[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1997 Edition]
[From the U.S. Government Publishing Office]


[[Page 1]]

          49



          Transportation



          PARTS 400 TO 999

                         Revised as of October 1, 1997

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT
          AS OF OCTOBER 1, 1997

          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration
          as a Special Edition of
          the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1997



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



[[Page iii]]




                            Table of Contents



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

  Title 49:
      Subtitle B--Other Regulations Relating to 
                                                                                Transportation--Continued:


    Chapter IV--Coast Guard, Department of Transportation.....       5
    Chapter V--National Highway Traffic Safety Administration, 
        Department of Transportation..........................      19
    Chapter VI--Federal Transit Administration, Department of 
        Transportation........................................     821
    Chapter VII--National Railroad Passenger Corporation 
        (AMTRAK)..............................................     933
    Chapter VIII--National Transportation Safety Board........     943
  Finding Aids:
    Material Approved for Incorporation by Reference..........    1029
    Table of CFR Titles and Chapters..........................    1037
    Alphabetical List of Agencies Appearing in the CFR........    1053
    List of CFR Sections Affected.............................    1063



[[Page iv]]


      


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

   Cite this Code:  CFR

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

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


[[Page v]]



                               EXPLANATION

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

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 1997), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

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

INCORPORATION BY REFERENCE

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

CFR INDEXES AND TABULAR GUIDES

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

[[Page vii]]

    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 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408.

SALES

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

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

October 1, 1997.



[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of seven volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-185, parts 186-199, parts 200-399, parts 400-999, parts 1000-1199, 
part 1200 to End. The first volume (parts 1-99) contains current 
regulations issued under subtitle A--Office of the Secretary of 
Transportation; the second volume (parts 100-185) and the third volume 
(parts 186-199) contain the current regulations issued under chapter I--
Research and Special Programs Administration (DOT); the fourth volume 
(parts 200-399) contains the current regulations issued under chapter 
II--Federal Railroad Administration (DOT), and chapter III--Federal 
Highway Administration (DOT); the fifth volume (parts 400-999) contains 
the current regulations issued under chapter IV--Coast Guard (DOT), 
chapter V--National Highway Traffic Safety Administration (DOT), chapter 
VI--Federal Transit Administration (DOT), chapter VII--National Railroad 
Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the sixth volume (parts 1000-1199) and the 
seventh volume (part 1200 to End) both contain current regulations 
issued under chapter X--Surface Transportation Board, Department of 
Transportation. The contents of these volumes represent all current 
regulations codified under this title of the CFR as of October 1, 1997.

    In the volume containing parts 100-185, see Sec. 172.101 for the 
Hazardous Materials Table, and Sec. 172.102 for the Optional Hazardous 
Materials Table. An Identification Number Cross Reference Index to 
Proper Shipping Names in Secs. 172.101 and 172.102 appears at the 
beginning of part 172. The Federal Motor Vehicle Safety Standards appear 
in part 571.

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

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

[[Page x]]




[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 400 to 999)

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

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

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

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

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

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

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

[[Page 3]]

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

[[Page 5]]



          CHAPTER IV--COAST GUARD, DEPARTMENT OF TRANSPORTATION




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

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

[[Page 7]]



                        SUBCHAPTER A--[RESERVED]





            SUBCHAPTER B--SAFETY APPROVAL OF CARGO CONTAINERS





PART 450--GENERAL--Table of Contents




                      Subpart A--General Provisions

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

      Subpart B--Procedures for Delegation to Approval Authorities

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

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



                      Subpart A--General Provisions



Sec. 450.1  Purpose.

    This subchapter establishes requirements and procedures for safety 
approval and periodic examination of cargo containers used in 
international transport, as defined in the International Safe Container 
Act.
[45 FR 37213, June 2, 1980]



Sec. 450.3  Definitions.

    (a) In this subchapter: (1) Approval Authority means a delegate of 
the Commandant authorized to approve containers within the terms of the 
convention, the International Safe Container Act and this subchapter.
    (2) Container means an article of transport equipment:
    (i) Of a permanent character and suitable for a repeated use.
    (ii) Specially design to facilitate the transport of goods, by one 
or more modes of transport, without intermediate reloading.
    (iii) Designed to be secured and readily handled, having corner 
fittings for these purposes.
    (iv) Of a size that the area enclosed by the four outer bottom 
corners is either:
    (A) At least 14 sq.m. (150 sq.ft.), or
    (B) At least 7 sq.m. (75 sq.ft.) if it has top corner fittings. The 
term container includes neither vehicles nor packaging; however, 
containers when carried on chassis are included.
    (3) Convention means the International Convention for Safe 
Containers (CSC) done at Geneva, December 2, 1972 and ratified by the 
United States on January 3, 1978.
    (4) District Commander means the Coast Guard officer designated by 
the Commandant to command a Coast Guard District.
    (5) New Container means a container, the construction of which began 
on or after September 6, 1977.
    (6) Existing Container means a container that is not a new 
container.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.5  General requirements and applicability.

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

[[Page 8]]

    (1) Is domiciled in the United States but has the principal office 
in the jurisdiction of another contracting party to the convention, or
    (2) Is domiciled in the jurisdiction of another contracting party to 
the convention but has the principal office in the United States, but 
elects to have the container examined in accordance with the procedures 
prescribed by the United States, shall conform to part 452 of this 
subchapter.
    (d) Every owner of an approved container used or offered for 
movement in international transport who is neither domiciled in nor has 
the principal office in the jurisdiction of a contracting party to the 
convention, but elects to have the container examined in accordance with 
procedures prescribed by the United States, shall conform to part 452 of 
this subchapter.
[45 FR 37213, June 2, 1980]



Sec. 450.7  Marking.

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

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

[49 FR 15562, Apr. 19, 1984]



       Subpart B--Procedure for Delegation to Approval Authorities



Sec. 450.11  Application for delegation of authority.

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

[[Page 9]]

and that it also delegates similar authority to United States citizens 
or organizations having delegations from the United States. The 
affidavit must also contain the name and address of the agency to which 
U.S. citizens or organizations must apply for delegation as an approval 
authority.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.12  Criteria for selection of Approval Authorities.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard selects persons or 
organizations in accordance with the following criteria:
    (1) The person or organization is independent of manufacturers and 
owners in that:
    (i) It has sufficient breadth of interest or activity, so that the 
loss or award of a specific contract to approve containers would not be 
a substantial factor in the financial well-being of the organization.
    (ii) The employment status of the personnel of the organization is 
free from influence or control of manufacturers, owners, operators or 
lessors of containers.
    (2) The person or organization has demonstrated the ability to 
competently carry out the procedures required for approval.
    (3) The person or organization has an acceptable degree of financial 
security.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.13  Granting of delegation.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard acts on applications for 
delegation within 60 days of receipt.
    (b) If an applicant for delegation does not provide sufficient 
information with regard to all the criteria for delegation, the Chief, 
Merchant Vessel Inspection Division, Office of Merchant Marine Safety, 
U.S. Coast Guard denies the application. A denial of an application on 
this basis is without prejudice to the submission of a new or amended 
application.
    (c) If an applicant satisfies all the criteria for delegation the 
Chief, Merchant Vessel Inspection Division, Office of Merchant Marine 
Safety, U.S. Coast Guard sends the applicant a letter of delegation, and 
assigns to the Approval Authority an alphabetic Approval Authority 
identification code.
    (d) If an applicant fails to satisfy all the criteria for 
delegation, the Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard gives the applicant written 
notice of denial of his application. The notice contains all the reasons 
for the denial. The applicant may contest the denial by submitting 
additional oral or written evidence in support of its qualifications. 
Upon review of the evidence, the Chief, Merchant Vessel Inspection 
Division, Office of Merchant Marine Safety, U.S. Coast Guard notifies 
the applicant of the final decision.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.14  Conditions of delegation.

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

[[Page 10]]

    (4) Each Approval Authority shall establish and make available to 
the public a schedule of fees for the approval services performed under 
these regulations. The fees must not be disproportionate to the costs 
(including transportation expense, if any) actually incurred.
    (5) The Approval Authority shall grant the Coast Guard the right to 
inspect records and shall cooperate in the conduct of such inspections.
    (6) The Approval Authority shall comply with any other term or 
condition stated in its letter of delegation.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.15  Termination of delegation.

    (a) An Approval Authority may voluntarily terminate its delegation 
by giving written notice of its intent to the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard. 
This notice must contain the date on which the termination is to be 
effective.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 450.16  Withdrawal of delegation.

    (a) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard withdraws a delegation if: (1) 
It is determined that the application for delegation contained a 
material misrepresentation.
    (2) An Approval Authority fails to comply with a condition of 
delegation.
    (3) An Approval Authority is incompetent.
    (b) When a delegation is withdrawn, the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard 
gives to the Approval Authority:
    (1) Written notice of the facts or conduct believed to warrant the 
withdrawal.
    (2) Opportunity to submit oral or written evidence.
    (3) Opportunity to demonstrate or achieve compliance with the 
applicable requirement.
[45 FR 37213, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



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




               Subpart A--Approval of Existing Containers

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

                  Subpart B--Approval of New Containers

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

                    Subpart C--Safety Approval Plate

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

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

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



               Subpart A--Approval of Existing Containers



Sec. 451.1  Application for approval.

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

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


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

[[Page 11]]

    (i) Container of this type has been safely used in marine or inland 
transport for a period of at least two years; or
    (ii) The container was manufactured to a design type which had been 
tested and found to comply with the technical conditions set out in 
Annex II to the convention with the exception of those technical 
conditions relating to the end-wall and side-wall strength tests; or
    (iii) The container was constructed to standards that were 
equivalent to the technical conditions set out in Annex II to the 
convention with the exception of those technical conditions relating to 
end-wall and side-wall strength tests.
    (6) A certification by the owner, or, if the owner is a corporation, 
partnership or unincorporated association, by a person authorized to 
make such statements for the organization, that the information provided 
in the application is true and correct.
[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.3  Action by Approval Authority.

    (a) The Approval Authority (or the Chief, Merchant Vessel Inspection 
Division, Office of Merchant Marine Safety, U.S. Coast Guard, if the 
application was submitted to the Coast Guard) issues to the owner a 
notice of approval or notifies the owner in writing that approval is 
denied, setting forth the deficiencies causing denial. Notification of 
approval entitles the owner to affix a safety approval plate to each 
container after an examination of each container concerned has been 
carried out in accordance with part 452 of this subchapter. In the case 
of an application submitted to the Coast Guard, the Chief, Merchant 
Vessel Inspection Division, Office of Merchant Marine Safety, U.S. Coast 
Guard acts on the application within 30 days of receipt of the 
application.
[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.5  Resubmission or appeal.

    (a) Upon receipt of a denial of approval for certain containers, an 
owner may correct the noted deficiencies and resubmit the application 
without prejudice.
    (b) An applicant aggrieved by a decision of an approval authority 
may obtain review of the decision by the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard. 
The decision of the Chief, Merchant Vessel Inspection Division, Office 
of Merchant Marine Safety, U.S. Coast Guard is a final agency action.
[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 451.7  Alternative approval of existing containers.

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



                  Subpart B--Approval of New Containers



Sec. 451.11  Application for approval-general.

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



Sec. 451.12  Application for approval by design type.

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

[[Page 12]]

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



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

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



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

    (a) New containers manufactured before June 16, 1978 without being 
approved under the preceding section may be approved by submission to an 
approval authority of an application corresponding to that required 
under Sec. 451.1(b) for existing containers. All new containers so 
approved must have safety approval plates affixed and receive their 
first periodic examination in accordance with the procedures prescribed 
in Sec. 452.3 by January 1, 1985.
[47 FR 50496, Nov. 8, 1982]



Sec. 451.15  Application for individual approval.

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



Sec. 451.16  Action by approval authority-individual approval.

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



Sec. 451.18  Review of denials of approval.

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

[[Page 13]]

Safety, U.S. Coast Guard is a final agency action.
[45 FR 37214, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



                    Subpart C--Safety Approval Plate



Sec. 451.21  Safety approval plate required.

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



Sec. 451.23  Plate specifications.

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



Sec. 451.25  Required information.

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



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




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

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



Sec. 452.1  Periodic examination required.

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

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

[[Page 14]]

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

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


    (b) Upon completion of an examination required by this part, the 
owner shall mark on the safety approval plate, or on the container 
itself as close as practicable to the safety approval plate, the month 
and year before which the container must next be examined. This marking 
must be on all containers by January 1, 1987. The marking may be by a 
decal, sticker, stencil, or other means so long as it is capable of 
remaining legible for at least 24 months. Affixing such a marking to a 
container that has not been examined in accordance with Sec. 452.3 
constitutes a misrepresentation in a matter within the jurisdiction of 
an agency of the United States, and makes the owner punishable under 18 
U.S.C. 1001.
    (c) The owner of containers subject to this section shall have those 
containers examined in accordance with the program prescribed in this 
section regardless of whether the examinations are preformed within or 
outside the United States.
[45 FR 37216, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982; 49 
FR 15562, Apr. 19, 1984]



Sec. 452.3  Elements of periodic examinations.

    (a) Periodic examinations required by Sec. 452.1 must conform to the 
following minimum requirements:
    (1) Each examination must include a detailed visual inspection for 
defects such as cracks, failures, corrosion, missing or deteriorated 
fasteners, and any other safety related deficiency or damage which could 
place any person in danger. Any such deficiencies disclosed by the 
examination must be corrected by the owner before the container is 
continued in service.
    (2) Each examination must take into account the particular 
characteristics of various kinds (types) of containers and materials of 
construction.
    (3) Each examination must be performed by qualified personnel, 
trained and experienced in the detection of container structural damage.
    (4) The examinations must be scheduled so as to allow adequate time 
for thorough performance.
    (5) Each examination must apply owner established or industry 
accepted pass/fail criteria to determine whether a container has any 
deficiency that must be remedied before the container is returned to 
service.
    (b) Examinations must be documented, and the records retained by the 
owner, until the next examination is completed and recorded. The records 
must include in addition to identification of the container, a record of 
the date of last examination and a means of identifying the examiner. 
The records must be maintained in an office under the control of the 
owner and be made available for inspection by the Coast Guard upon 
demand. If the original records are maintained outside the United 
States, its territories or possessions, supplementary records must be 
available in written or data processing form to be produced on demand of 
the Commandant or his representative.
[45 FR 37216, June 2, 1980]



Sec. 452.5  Examinations made in conjunction with other inspections.

    (a) Periodic examinations may be made in conjunction with or as part 
of routine change-of-custody inspections, or in any other manner 
convenient to the owner so long as the examinations conform to the 
requirements of Sec. 452.3.
[45 FR 37216, June 2, 1980]



Sec. 452.7  Continuous examination program.

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

[[Page 15]]

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


(The information collection requirements contained in paragraphs (a) and 
(b) have been approved by the Office of Management and Budget under OMB 
control number 2115-0094)
[49 FR 15562, Apr. 19, 1984]



Sec. 452.9  Elements of a continuous examination program.

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


(The information collection requirements contained in paragraph (b) have 
been approved by the Office of Management and Budget under OMB control 
number 2115-0094)
[49 FR 15562, Apr. 19, 1984]



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




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

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



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

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

[[Page 16]]

Captain of the Port may authorize limited movement of such container 
under conditions he deems appropriate. This paragraph becomes effective 
on January 3, 1979 for new containers and on January 1, 1985 for 
existing containers.
    (b) If a District Commander or Captain of the Port finds that a 
container used in or offered for movement in international transport, 
even though it has a valid safety approval plate attached to it, is in a 
condition that creates an obvious risk to safety, he issues a detention 
order causing the container to be removed from service until it is 
restored to a safe condition. In addition to removing a container from 
transport, a detention order may require any special handling, including 
unloading prior to movement, necessary to ensure safety.
    (c) If a District Commander or Captain of the Port finds that a 
container used or offered for movement in international transport has 
not been timely examined, the District Commander or Captain of the Port 
affixes to the container, at a place on the container where it will be 
readily noticeable to anyone loading or unloading the container, a mark 
or tag indicating that the container must be examined before being 
reloaded and again used in international transport. The mark or tag 
affixed by the District Commander or Captain of the Port indicates the 
place and the date on which it was affixed, and is capable of remaining 
legible and in place for at least 12 months. Such mark or tag must not 
be removed until the container is examined in accordance with Sec. 452.3 
of this subchapter. If a District Commander or Captain of the Port finds 
that container marked or tagged as provided for in this paragraph was 
reloaded and used or offered for movement in international transport 
without having been examined, the District Commander or Captain of the 
Port issues a detention order causing the container to be removed from 
service until it is brought into compliance.
[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]



Sec. 453.3  Detention orders and other orders.

    (a) The terms of any detention order or other order issued under 
Sec. 453.1, to the maximum extent practicable, make provisions to avoid 
loss or damage to cargo.
    (b) Written notice of any detention order or other order issued 
under Sec. 453.1 is given immediately to the terminal operator, 
stevedore, or other person having actual control over the container 
involved. Prompt notification is also given to the owner of the 
container, or his agent. The notification identifies the container 
involved, its location, and describes the condition which gave rise to 
the order.
[45 FR 37217, June 2, 1980]



Sec. 453.5  Termination of detention orders and other orders.

    (a) When a container, which is the subject of a detention order or 
other order, is restored to a safe condition or otherwise brought into 
compliance, it must be examined in accordance with Sec. 452.3 and a new 
re-examination date marked on the container in accordance with 
Sec. 452.1(b) of this subchapter.
    (b) The owner or the owner's agent shall notify the District 
Commander or Captain of the Port who issue the order, in writing, that 
the container has been brought into compliance. Upon giving such notice, 
the owner, or his agent, may return the container to service.
[45 FR 37217, June 2, 1980]



Sec. 453.7  Appeal provisions.

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

[[Page 17]]

Chief, Merchant Vessel Inspection Division, Office of Merchant Marine 
Safety, U.S. Coast Guard affirms, sets aside, or modifies the order.
    (c) The owner of a container is liable for any costs incident to a 
petition for review including any independent surveys, and for any other 
costs incident to or resulting from detention or other control of a 
container.
    (d) Unless otherwise determined by the Chief, Merchant Vessel 
Inspection Division, Office of Merchant Marine Safety, U.S. Coast Guard, 
a detention order or other order remains in effect pending the outcome 
of any petition or appeal of that order.
    (e) The Chief, Merchant Vessel Inspection Division, Office of 
Merchant Marine Safety, U.S. Coast Guard acts on all appeals within ten 
days of receipt.
[45 FR 37217, June 2, 1980, as amended at 47 FR 50496, Nov. 8, 1982]

[[Page 19]]



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




  --------------------------------------------------------------------
Part                                                                Page
501             Organization and delegation of powers and 
                    duties..................................          21
509             OMB control numbers for information 
                    collection requirements.................          26
510             Information gathering powers................          27
511             Adjudicative procedures.....................          33
512             Confidential business information...........          59
520             Procedures for considering environmental 
                    impacts.................................          65
523             Vehicle classification......................          81
525             Exemptions from average fuel economy 
                    standards...............................          84
526             Petitions and plans for relief under the 
                    Automobile Fuel Efficiency Act of 1980..          88
529             Manufacturers of multistage automobiles.....          89
531             Passenger automobile average fuel economy 
                    standards...............................          93
533             Light truck fuel economy standards..........          95
535             3-year carryforward and carryback of credits 
                    for light trucks........................          97
537             Automotive fuel economy reports.............          98
538             Manufacturing incentives for alternative 
                    fuel vehicles...........................         104
541             Federal motor vehicle theft prevention 
                    standard................................         105
542             Procedures for selecting lines to be covered 
                    by the theft prevention standard........         111
543             Exemption from vehicle theft prevention 
                    standard................................         114
544             Insurer reporting requirements..............         117
551             Procedural rules............................         122
552             Petitions for rulemaking, defect, and 
                    noncompliance orders....................         123
553             Rulemaking procedures.......................         125
554             Standards enforcement and defects 
                    investigation...........................         128
555             Temporary exemption from motor vehicle 
                    safety standards........................         130
556             Exemption for inconsequential defect or 
                    noncompliance...........................         134

[[Page 20]]

557             Petitions for hearings on notification and 
                    remedy of defects.......................         136
564             Replaceable light source information........         138
565             Vehicle identification number requirements..         142
566             Manufacturer identification.................         147
567             Certification...............................         148
568             Vehicles manufactured in two or more stages.         155
569             Regrooved tires.............................         157
570             Vehicle in use inspection standards.........         159
571             Federal motor vehicle safety standards......         169
572             Anthropomorphic test devices................         638
573             Defect and noncompliance reports............         702
574             Tire identification and recordkeeping.......         707
575             Consumer information regulations............         718
576             Record retention............................         745
577             Defect and noncompliance notification.......         746
578             Civil penalties.............................         753
579             Defect and noncompliance responsibility.....         755
580             Odometer disclosure requirements............         756
581             Bumper standard.............................         765
582             Insurance cost information regulation.......         767
583             Automobile parts content labeling...........         769
585             Automatic restraint phase-in reporting 
                    requirements............................         780
586             Side impact phase-in reporting requirements.         784
587             Side impact moving deformable barrier.......         786
588             Child restraint systems recordkeeping 
                    requirements............................         787
589             Upper interior component head impact 
                    protection phase-in reporting 
                    requirements............................         788
590             Back door latch hinge, and lock phase-in 
                    reporting requirements..................         790
591             Importation of vehicles and equipment 
                    subject to Federal safety, bumper and 
                    theft prevention standards..............         792
592             Registered importers of vehicles not 
                    originally manufactured to conform to 
                    the Federal motor vehicle safety 
                    standards...............................         802
593             Determinations that a vehicle not originally 
                    manufactured to conform to the Federal 
                    motor vehicle safety standards is 
                    eligible for importation................         807
594             Schedule of fees authorized by 49 U.S.C. 
                    30141...................................         816


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

[[Page 21]]



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




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

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

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



Sec. 501.1  Purpose.

    This part describes the organization of the National Highway Traffic 
Safety Administration (NHTSA) through Associate Administrator, Regional 
Administrator and Staff Office Director levels and provides for the 
performance of duties imposed on, and the exercise of powers vested in, 
the Administrator of the NHTSA (hereafter referred to as the 
``Administrator'').1



Sec. 501.2  General.

    The Administrator is delegated authority by the Secretary of 
Transportation (49 CFR 1.50) to:
    (a) Carry out the following chapters or sections of Title 49 of the 
United States Code:
    (1) Chapter 301--Motor Vehicle Safety.
    (2) Chapter 303--National Driver Register.
    (3) Chapter 305--National Automobile Title Information System.
    (4) Chapter 321--General.
    (5) Chapter 323--Consumer Information.
    (6) Chapter 325--Bumper Standards.
    (7) Chapter 327--Odometers.
    (8) Chapter 329--Automobile Fuel Economy.
    (9) Chapter 331--Theft Prevention.
    (10) Section 20134(a), with respect to the laws administered by the 
National Highway Traffic Safety Administrator pertaining to highway, 
traffic and motor vehicle safety.
    (b) Carry out 23 U.S.C. chapter 4, HIGHWAY SAFETY, as amended, 
except for section 409 and activities relating to highway design, 
construction and maintenance, traffic control devices, identification 
and surveillance of accident locations, and highway-related aspects of 
pedestrian and bicycle safety.
    (c) Exercise the authority vested in the Secretary by section 210(2) 
of the Clean Air Act, as amended (42 U.S.C. 7544(2)).
    (d) Carry out the Act of July 14, 1960, as amended (23 U.S.C. 313 
note).
    (e) Administer the following sections of Title 23, United States 
Code, with the concurrence of the Federal Highway Administrator:
    (1) Section 141, as it relates to certification of the enforcement 
of speed limits.
    (2) Section 153.
    (3) Section 154(a), (b), (d), and (e).
    (4) Section 158.
    (f) Carry out the consultation functions vested in the Secretary by 
Executive Order 11912 (3 CFR, 1976 Comp., p. 114), as amended.
[60 FR 43029, Aug. 18, 1995]



Sec. 501.3  Organization and general responsibilities.

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

[[Page 22]]

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

[[Page 23]]

Community Services) and other organizations in support of highway safety 
programs.
    (5) Associate Administrator for State and Community Services. As the 
principal advisor to the Administrator on all matters as they relate to 
the NHTSA Regional Offices, directs the management of the State and 
community highway safety programs and the activities of the Regional 
Administrators in the provision of leadership, technical guidance and 
assistance to the States; assures coordination of field programs with 
the Federal Highway Administration; provides guidance to promote 
effective implementation of the State and community highway safety 
programs; participates in the development, review, implementation, and 
coordination of related programs, policies, and procedures.
    (6) Associate Administrator for Research and Development. As the 
principal advisor to the Administrator on motor vehicle and highway 
safety research and development, directs and administers programs 
related to accident investigation and information collection, analysis 
and dissemination, and facilities requirements to support NHTSA research 
and development efforts.
    (7) Associate Administrator for Administration. Acts as the 
principal advisor to the Administrator on all administrative and 
managerial matters as they relate to NHTSA missions, programs, and 
objectives; organization and delegations of authority; management 
studies; personnel management; training; logistics and procurement; 
financial management; accounting and data systems design; paperwork 
management; investigations and security; audits; defense readiness; and 
administrative support services.
[53 FR 26258, July 12, 1988, as amended at 58 FR 12545, Mar. 5, 1993; 60 
FR 15504, Mar. 24, 1995; 60 FR 43029, Aug. 18, 1995]



Sec. 501.4  Succession to Administrator.

    The following officials in the order indicated, shall act in 
accordance with the requirements of 5 U.S.C. 3346-3349 as Administrator 
of the National Highway Traffic Safety Administration, in the case of 
the absence or disability or in the case of a vacancy in the office of 
the Administrator, until a successor is appointed:
    (a) Deputy Administrator;
    (b) Executive Director;
    (c) Chief Counsel;
    (d) Associate Administrator for Plans and Policy;
    (e) Associate Administrator for Safety Performance Standards;
    (f) Associate Administrator for Safety Assurance;
    (g) Associate Administrator for Traffic Safety Programs;
    (h) Associate Administrator for State and Community Services;
    (i) Associate Administrator for Research and Development; and
    (j) Associate Administrator for Administration.
[60 FR 43030, Aug. 18, 1995]



Sec. 501.5  Exercise of authority.

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

[[Page 24]]

the functions described in the officer's respective functional 
statements.
[53 FR 26258, July 12, 1988, as amended at 58 FR 12545, Mar. 5, 1993]



Sec. 501.6  Secretary's reservations of authority.

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



Sec. 501.7  Administrator's reservations of authority.

    The delegations of authority in this part do not extend to the 
following authority which is reserved to the Administrator and, in those 
instances when the office of the Administrator is vacant due to death or 
resignation, or when the Administrator is absent as provided by 
Sec. 501.5(a), to the Deputy Administrator or Executive Director:
    (a) The authority under chapter 301--Motor Vehicle Safety--of Title 
49 of the United States Code to:
    (1) Issue, amend, or revoke final federal motor vehicle safety 
standards and regulations;
    (2) Make final decisions concerning alleged safety-related defects 
and noncompliances with Federal motor vehicle safety standards;
    (3) Grant or renew temporary exemptions from federal motor vehicle 
safety standards; and
    (4) Grant or deny appeals from determinations upon petitions for 
inconsequential defect or noncompliance.
    (b) The authority under 23 U.S.C. chapter 4, as amended, to:
    (1) Apportion authorization amounts and distribute obligation 
limitations for State and community highway safety programs under 23 
U.S.C. 402;
    (2) Approve the initial awarding of alcohol incentive grants to the 
States authorized under 23 U.S.C. 408, and drunk driving prevention 
grants to the States authorized under 23 U.S.C. 410;
    (3) Issue, amend, or revoke uniform State and community highway 
safety guidelines, and, with the concurrence of the Federal Highway 
Administrator, designate priority highway safety programs, under 23 
U.S.C. 402;
    (4) Fix the rate of compensation for non-government members of 
agency sponsored committees which are entitled to compensation.
    (c) The authority under chapters 321, 323, 325, and 329 of Title 49 
of the United States Code to:
    (1) Issue, amend, or revoke final rules and regulations, except for 
final rules issued under section 32902(d); and
    (2) Assess civil penalties and approve manufacturer fuel economy 
credit plans under chapter 329.
    (d) The authority under sections 141, 153, 154 and 158 of Title 23 
of the United States Code, with the concurrence of the Federal Highway 
Administrator, to disapprove any State certification or to impose any 
sanction or transfer on a State for violations of the National Maximum 
Speed Limit, Safety Belt and Motorcycle Helmet Use Requirements, or the 
National Minimum Drinking Age.
[60 FR 43030, Aug. 18, 1995]



Sec. 501.8  Delegations.

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

[[Page 25]]

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

[[Page 26]]

Community Services, the Associate Administrator for Traffic Safety 
Programs is delegated authority to exercise the powers and perform the 
duties of the Administrator with respect to: 23 U.S.C. chapter 4, as 
amended; the authority vested by section 210(2) of the Clean Air Act, as 
amended (42 U.S.C. 7544(2)); the authority vested by 49 U.S.C. 20134(a), 
with respect to the laws administered by the Administrator pertaining to 
highway, traffic, and motor vehicle safety; the Act of July 14, 1960, as 
amended (23 U.S.C. 313 note) and 49 U.S.C. chapter 303; the authority 
vested by section 141, as it relates to certification of the enforcement 
of speed limits, and sections 153, 154(a), (b), (d), and (e) and 158 of 
Title 23 of the United States Code, with the concurrence of the Federal 
Highway Administrator; and section 209 of the Surface Transportation 
Assistance Act of 1978 (23 U.S.C. 401 note) as delegated by the 
Secretary in Sec. 501.2(i).
    (i) Associate Administrator for State and Community Services. The 
Associate Administrator for State and Community Services is delegated 
authority to exercise the powers and perform the duties of the 
Administrator with respect to State and community highway safety 
programs under 23 U.S.C. 402, including approval and disapproval of 
State highway safety plans and final vouchers, in accordance with the 
procedural requirements of the Administration; to approve the awarding 
of alcohol incentive grants to the States under 23 U.S.C. 408 and drunk 
driving prevention grants under 23 U.S.C. 410, for years subsequent to 
the initial awarding of such grants by the Administrator; as appropriate 
for activities benefiting states and communities, to implement 23 U.S.C. 
403; and to implement the requirements of 23 U.S.C. 153, jointly with 
the delegate of the Federal Highway Administrator.
    (j) Associate Administrator for Research and Development. The 
Associate Administrator for Research and Development is delegated 
authority to: develop and conduct research and development programs and 
projects necessary to support the purposes of chapters 301, 323, 325, 
327, 329, and 331 of Title 49 U.S.C., and Title 23 U.S.C. chapter 4, as 
amended, in coordination with the appropriate Associate Administrators, 
and the Chief Counsel.
    (k) Associate Administrator for Administration. The Associate 
Administrator for Administration is delegated authority to:
    (1) Exercise procurement authority with respect to NHTSA 
requirements;
    (2) Administer and conduct NHTSA's personnel management activities;
    (3) Administer NHTSA financial management programs, including 
systems of funds control and accounts of all financial transactions; and
    (4) Conduct administrative management services in support of NHTSA 
missions and programs.
    (l) Director, Office of Vehicle Safety Compliance, Enforcement. The 
Director, Office of Vehicle Safety Compliance, Enforcement, is delegated 
authority to exercise the powers and perform the duties of the 
Administrator with respect to granting and denying petitions for import 
eligibility decisions submitted to NHTSA by motor vehicle manufacturers 
and registered importers under 49 U.S.C. 30141(a)(1).
[60 FR 43030, Aug. 18, 1995, as amended at 61 FR 26469, May 28, 1996]



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




Sec.
509.1  Purpose.
509.2  Display.

    Authority:  44 U.S.C. 3507.



Sec. 509.1  Purpose.

    This part collects and displays the control numbers assigned to 
information collection requirements of NHTSA by the Office of Management 
and Budget (OMB). NHTSA intends that this part comply with the 
requirements of 44 U.S.C. 3507(f), which mandates that agencies display 
a current control number assigned by the Director of the OMB for each 
agency information collection requirement.
[48 FR 51310, Nov. 8, 1983]

[[Page 27]]



Sec. 509.2  Display.

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

[57 FR 21215, May 19, 1992]



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




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

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

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



Sec. 510.1  Scope and purpose.

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



Sec. 510.2  Definitions.

    (a) NHTSA means the National Highway Traffic Safety Administration.
    (b) Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    (c) Chief Counsel means the Chief Counsel of the National Highway 
Traffic Safety Administration.
    (d) Deputy Administrator means the Deputy Administrator of the 
National Highway Traffic Safety Administration.
    (e) Person includes agents, officers, and employees of sole 
proprietorships, partnerships, corporations, and other entities.
[45 FR 29042, May 1, 1980; 45 FR 32001, May 15, 1980]



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

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

[[Page 28]]

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



Sec. 510.4  Subpoenas, generally.

    NHTSA may issue to any person, sole proprietorship, partnership, 
corporation, or other entity a subpoena requiring the production of 
documents or things (subpoena duces tecum) and testimony of witnesses 
(subpoena ad testificandum), or both, relating to any matter under 
investigation or the subject of any inquiry. Subpoenas are issued by the 
Chief Counsel. When a person, sole proprietorship, partnership, 
corporation, or other entity is served with a subpoena ad testificandum 
under this part, the subpoena will describe with reasonable 
particularity the matters on which the testimony is required. In 
response to a subpoena ad testificandum, the sole proprietorship, 
partnership, corporation, or other entity so named shall designate one 
or more officers, directors, or managing agents, or other persons who 
consent to testify on its behalf, and set forth, for each person 
designated, the matters on which he or she will testify. The persons so 
designated shall testify as to matters known or reasonably available to 
the entity.
[53 FR 26261, July 12, 1988]

[[Page 29]]



Sec. 510.5  Information gathering hearings.

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

[[Page 30]]



Sec. 510.6  Administrative depositions.

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

[[Page 31]]

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



Sec. 510.7  General or special orders.

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



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

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



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

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

[[Page 32]]

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



Sec. 510.10  Supplementation of responses to process.

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



Sec. 510.11  Fees.

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



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

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

[[Page 33]]

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



PART 511--ADJUDICATIVE PROCEDURES--Table of Contents




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

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

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

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

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

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

                Subpart D--Discovery; Compulsory Process

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

                           Subpart E--Hearings

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

                           Subpart F--Decision

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

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

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

              Subpart H--Appearances; Standards of Conduct

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


Appendix I--Final Prehearing Order

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


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



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



Sec. 511.1  Scope of the rules.

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

[[Page 34]]



Sec. 511.2  Nature of adjudicative proceedings.

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



Sec. 511.3  Definitions.

    (a) As used in this part:
    (1) The term application means an ex parte request by a party for an 
order that may be granted or denied without opportunity for response by 
any other party.
    (2) The term NHTSA means the National Highway Traffic Safety 
Administration.
    (3) The term Administrator means the Administrator of the National 
Highway Traffic Safety Administration.
    (4) The term Complaint Counsel means prosecuting counsel for the 
NHTSA.
    (5) The term motion means a request by a party for a ruling or order 
that may be granted or denied only after opportunity for response by 
each affected party.
    (6) The term party means the NHTSA, and any person named as a 
respondent in a proceeding governed by this part.
    (7) The term person means any individual, partnership, corporation, 
association, public or private organization, or Federal, State or 
municipal governmental entity.
    (8) The term petition means a written request, made by a person or a 
party and addressed to the Presiding Officer or the Administrator, that 
the addressee take some action.
    (9) The term Presiding Officer means the person who conducts an 
adjudicative hearing under this part, who shall be an administrative law 
judge qualified under title 5, U.S.C., section 3105 and assigned by the 
Chief Administrative Law Judge, Office of Hearings, United States 
Department of Transportation.
    (10) The term Respondent means any person against whom a complaint 
has been issued.
    (11) The term Office of Hearings means the Officer of Hearings, 
Department of Transportation.
    (12) The term staff means the staff of the National Highway Traffic 
Safety Administration.
    (13) The term Chief Administrative Law Judge means the Chief 
Administrative Law Judge of the Office of Hearings, Department of 
Transportation.
    (14) The term Docket Section means the Docket Section, Office of the 
Secretary of Transportation.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]



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



Sec. 511.11  Commencement of proceedings.

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

[[Page 35]]

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



Sec. 511.12  Answer.

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



Sec. 511.13  Amendments and supplemental pleadings.

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



Sec. 511.14  Form and filing of documents.

    (a) Filing. Except as otherwise provided, all documents submitted to 
the Administrator or a Presiding Officer shall be filed with the Docket 
Section, Office of the Secretary, Department of Transportation, Room 
4107, 400 Seventh Street, SW., Washington, DC 20590. Documents may be 
filed in person or by mail and shall be deemed filed on the day of 
filing or mailing.
    (b) Caption. Every document shall contain a caption setting forth 
the name of the action in connection with which it is filed, the docket 
number, and the title of the document.
    (c) Copies. An original and nine (9) copies of all documents shall 
be filed. Documents may be reproduced by printing or any other process, 
provided that all copies filed are clear and legible.
    (d) Signature. (1) The original of each document filed shall be 
signed by a representative of record for the party; or in the case of 
parties not represented, by the party; or by a partner, officer, or 
regular employee of any corporation, partnership, or association, who 
files an appearance on behalf of the party.
    (2) The act of signing a document constitutes a representation by 
the signer that the signer has read it; that to the best of the signer's 
knowledge, information and belief, the statements made in it are true; 
and that it is not filed for purposes of delay.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15782, May 3, 1988]



Sec. 511.15  Time.

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

[[Page 36]]

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



Sec. 511.16  Service.

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

[[Page 37]]

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

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

 (Signature)____________________________________________________________
 For____________________________________________________________________

    (g) Date of service. The date of service of a document shall be the 
date on which the document is deposited in the United States mail or is 
delivered in person.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.17  Public participation.

    Participant Status. Any person interested in a proceeding commenced 
pursuant to Sec. 511.11 who desires to participate in the proceeding, 
shall file with the Docket Section a notice of intention to participate 
in the proceeding and shall serve a copy of such notice on each party to 
the proceeding. A notice of intention to participate shall be filed not 
later than the commencement of the hearing. Untimely filings will not be 
accepted absent a determination by the Presiding Officer that the person 
making the request has made a substantial showing of good cause for 
failure to file on time. Any person who files a notice to participate in 
the proceeding as a nonparty shall be known as a ``participant'' and 
shall have the rights specified in Sec. 511.41(d).
[53 FR 15783, May 3, 1988]



Sec. 511.18  Joinder of proceedings.

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



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



Sec. 511.21  Prehearing conferences.

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



Sec. 511.22  Prehearing briefs.

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

[[Page 38]]

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



Sec. 511.23  Motions.

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



Sec. 511.24  Interlocutory appeals.

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

[[Page 39]]

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



Sec. 511.25  Summary decision and order.

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



Sec. 511.26  Settlement.

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

[[Page 40]]

judicial review or otherwise to contest the validity of the order;
    (3) A description of the alleged noncompliance, or violation;
    (4) Provisions to the effect that the allegations of the complaint 
are resolved by the proposed consent agreement and order;
    (5) A listing of the acts or practices from which the respondent 
shall refrain;
    (6) A detailed statement of the corrective action(s) which the 
respondent shall excute and the civil penalty, if any, that respondent 
shall pay.
    (e) Transmittal. The Presiding Officer shall transmit to the 
Administrator for decision all offers of settlement and accompanying 
memoranda that meet the requirements enumerated in paragraph (d) of this 
section. The Presiding Officer may, but need not, recommend acceptance 
or rejection of such offers. Any party or participant, may object to a 
proposed consent agreement by filing a motion and supporting memorandum 
with the Administrator.
    (f) Stay of proceedings. When an offer of settlement has been agreed 
to by the parties and has been transmitted to the Administrator, the 
proceedings shall be stayed until the Administrator has ruled on the 
offer. When an offer of settlement has been made and transmitted to the 
Administrator but has not been agreed to by all parties, the proceedings 
shall not be stayed pending the Administrator's decision on the offer.
    (g) Administrator's ruling. The Administrator will rule upon all 
transmitted offers of settlement. If the Administrator accepts the 
offer, the Administrator shall issue an appropriate order. The order 
shall become effective upon issuance. In determining whether to accept 
an offer of settlement, the Administrator will consider the gravity of 
the alleged violation, and any good faith efforts by the respondent to 
comply with applicable requirements.
    (h) Rejection. If the Administrator rejects an offer of settlement, 
the Administrator shall give written notice of that decision and the 
reasons therefor to the parties and the Presiding Officer. Promptly 
thereafter, the Presiding Officer shall issue an order notifying the 
parties of the resumption of the proceedings, including any 
modifications to the schedule resulting from the stay of the 
proceedings.
    (i) Effect of rejected offer. Rejected offers of settlement shall 
not be admissible in evidence over the objection of any signatory, nor 
shall the fact of the proposal of the offer be admissible in evidence.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



                Subpart D--Discovery; Compulsory Process



Sec. 511.31  General provisions governing discovery.

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

[[Page 41]]

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

If a motion for a protective order is denied in whole or in part, the 
Presiding Officer may, on such terms or conditions as are just, order 
that any party provide or permit discovery.
    (e) Sequence and timing of discovery. Discovery may commence at any 
time after filing of the answer. Unless otherwise provided in these 
Rules or by order of the Presiding Officer, methods of discovery may be 
used in any sequence and the fact that a party is conducting discovery 
shall not operate to delay any other party's discovery.
    (f) Supplementation of responses. A party who has responded to a 
request for discovery shall supplement the response with information 
thereafter acquired.
    (g) Completion of discovery. All discovery shall be completed as 
soon as practical but in no case longer than one hundred fifty (150) 
days after issuance of a complaint unless otherwise ordered by the 
Presiding Officer in exceptional circumstances and for good cause shown. 
All discovery shall be served by a date which affords the party from 
whom discovery is sought the full response period provided by these 
Rules.
    (h) Service and filing of discovery. All discovery requests and 
written responses, and all notices of the taking of testimony, shall be 
filed with the Docket Section and served on all parties and the 
Presiding Officer.
    (i) Control of discovery. The use of these discovery procedures is 
subject to the control of the Presiding Officer, who may issue any just 
and appropriate order for the purpose of ensuring their timely 
completion.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.32  Written interrogatories to parties.

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

[[Page 42]]

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



Sec. 511.33  Production of documents and things.

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



Sec. 511.34  Requests for admission.

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

[[Page 43]]

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

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



Sec. 511.35  Testimony upon oral examination.

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

[[Page 44]]

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

[[Page 45]]

an examination fails to attend and proceed therewith and another party 
attends in person or by a representative pursuant to the notice, the 
Presiding Officer may order the party who gave the notice to pay the 
attending party the reasonable expenses incurred. If a party who notices 
an examination fails to serve a subpoena upon the witness and as a 
result the witness does not attend, and if another party attends in 
person or by a representative because that party expects the examination 
to be made, the Presiding Officer may order the party who gave notice to 
pay the attending party the reasonable expenses incurred.
    (h) Examination to preserve testimony--(1) When available. By leave 
of the Presiding Officer, a party may examine a witness for the purpose 
of perpetuating the testimony of that witness. A party who wishes to 
conduct such an examination shall obtain prior leave of the Presiding 
Officer by filing a motion. The motion shall include a showing of 
substantial reason to believe that the testimony could not be presented 
at the hearing. If the Presiding Officer is satisfied that the 
perpetuation of the testimony may prevent a failure of justice or is 
otherwise reasonably necessary, he or she shall order that the 
deposition be taken.
    (2) Procedure. Notice of an examination to preserve testimony shall 
be served at least fifteen (15) days prior to the examination. The 
examination shall be taken in accordance with the provisions of 
paragraph (d) of this section. Any examination taken to preserve 
testimony shall be fully transcribed and filed in accordance with 
paragraph (e) of this section.
    (i) Use of testimony obtained under this section. At the hearing or 
upon a motion or an interlocutory proceeding, any part or all of a 
deposition, so far as admissible under the rules of evidence applied as 
though the witness were then present and testifying, may be used against 
any party who was present or represented at the taking of the deposition 
or who had reasonable Notice thereof, in accordance with any of the 
following provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of deponent as a witness.
    (2) The deposition of a party or of a person who at the time of the 
taking of his testimony was an officer, director or managing agent of a 
party may be used against that party for any purpose.
    (3) The deposition of a witness, whether or not a party, may be used 
by any party for any purpose if the Presiding Officer finds:
    (i) That the witness is dead; or
    (ii) That the witness is at a greater distance than 100 miles from 
the place of the hearing, or is out of the United States, unless it 
appears that the absence of the witness was procured by the party 
offering the deposition; or
    (iii) That the witness is unable to attend or testify because of 
age, illness, infirmity, or imprisonment; or
    (iv) That the party offering the deposition has been unable to 
procure the attendance of the witness by subpoena; or
    (v) Upon application and notice, that such exceptional circumstances 
exist as to make it desirable, in the interest of justice and with due 
regard to the importance of presenting the testimony of witnesses orally 
in open court, to allow the deposition to be used.
    (4) If only part of a deposition is offered in evidence by a party, 
an adverse party may require him to introduce any other part which ought 
in fairness to be considered with the part introduced, and any party may 
introduce any other parts.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.36  Motions to compel discovery.

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

[[Page 46]]

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



Sec. 511.37  Sanctions for failure to comply with order.

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

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



Sec. 511.38  Subpoenas.

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

[[Page 47]]

returned forthwith to the Chief Counsel after service has been 
completed.
    (g) Motion to quash or limit subpoena. Within five (5) days of 
receipt of a subpoena, the person against whom it is directed may file 
with the Presiding Officer a motion to quash, modify, or limit the 
subpoena, setting forth the reasons why the subpoena should be withdrawn 
or why it should be modified or limited in scope. Any such motion shall 
be answered within five (5) days of service, and shall be ruled on 
immediately thereafter. The order shall specify the date, if any, for 
compliance with the specifications of the subpoena and the reasons for 
the decision.
    (h) Consequences of failure to comply. In the event of failure to 
comply with a subpoena, the Presiding Officer may take any of the 
actions enumerated in Sec. 511.37 or may order any other appropriate 
relief to compensate for the withheld testimony, documents, or other 
materials. If in the opinon of the Presiding Officer such relief is 
insufficient, the Presiding Officer shall certify to the Administrator a 
request for judicial enforcement of the subpoena.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 26261, July 12, 1988]



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

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



                           Subpart E--Hearings



Sec. 511.41  General rules.

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

[[Page 48]]



Sec. 511.42  Powers and duties of Presiding Officer.

    (a) General. A Presiding Officer shall have the duty to conduct 
full, fair, and impartial hearings, to take appropriate action to avoid 
unnecessary delay in the disposition of proceedings, and to maintain 
order. He or she shall have all powers necessary to that end, including 
the following powers:
    (1) To administer oaths and affirmations;
    (2) To compel discovery and to impose appropriate sanctions for 
failure to make discovery;
    (3) To issue subpoenas;
    (4) To rule upon offers of proof and receive relevant and probative 
evidence;
    (5) To regulate the course of the hearings and the conduct of the 
parties and their representatives therein;
    (6) To hold conferences for simplification of the issues, settlement 
of the proceedings, or any other proper purposes;
    (7) To consider and rule, orally or in writing, upon all procedural 
and order motions appropriate in an adjudicative proceeding;
    (8) To issue initial decisions, rulings, and orders, as appropriate;
    (9) To certify questions to the Administrator for determination; and
    (10) To take any action authorized in this part or in conformance 
with the provisions of title 5, U.S.C., sections 551 through 559.
    (b) Exclusion of parties by Presiding Officer. A Presiding Officer 
shall have the authority, for good cause stated on the record, to 
exclude from participation in a proceeding any party, participant, and/
or representative who shall violate requirements of Sec. 511.76. Any 
party, participant and/or representative so excluded may appeal to the 
Administrator in accordance with the provisions of Sec. 511.23. If the 
representative of a party or participant is excluded, the hearing shall 
be suspended for a reasonable time so that the party or participant may 
obtain another representative.
    (c) Substitution of Presiding Officer. In the event of the 
substitution of a new Presiding Officer for the one originally 
designated, any motion predicated upon such substitution shall be made 
within five (5) days of the substitution.
    (d) Interference. In the performance of adjudicative functions, a 
Presiding Officer shall not be responsible to or subject to the 
supervision or direction of the Administrator or of any officer, 
employee, or agent engaged in the performance of investigative or 
prosecuting functions for NHTSA. All directions by the Administrator to 
a Presiding Officer concerning any adjudicative proceeding shall appear 
on and be made a part of the record.
    (e) Disqualification of Presiding Officer. (1) When a Presiding 
Officer deems himself or herself disqualified to preside in a particular 
proceeding, he or she shall withdraw by notice on the record and shall 
notify the Chief Administrative Law Judge of the withdrawal.
    (2) Whenever, for any reason, any party shall deem the Presiding 
Officer to be disqualified to preside, or to continue to preside, in a 
particular proceeding, that party may file with the Chief Administrative 
Law Judge a motion to disqualify and remove, supported by affidavit(s) 
setting forth the alleged grounds for disqualification. A copy of the 
motion and supporting affidavit(s) shall be served by the Chief 
Administrative Law Judge on the Presiding Officer whose removal is 
sought. The Presiding Officer shall have ten (10) days from service to 
reply in writing. Such motion shall not stay the proceeding unless 
otherwise ordered by the Presiding Officer or the Administrator. If the 
Presiding Officer does not disqualify himself or herself, the 
Administrator will determine the validity of the grounds alleged, either 
directly or on the report of another Presiding Officer appointed to 
conduct a hearing for that purpose, and shall in the event of 
disqualification take appropriate action, by assigning another Presiding 
Officer or requesting assignment of another Administrative Law Judge 
through the Office of Hearings.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.43  Evidence.

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

[[Page 49]]

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



Sec. 511.44  Expert witnesses.

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

[[Page 50]]

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



Sec. 511.45  In camera materials.

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

[[Page 51]]

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



Sec. 511.46  Proposed findings, conclusions, and order.

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



Sec. 511.47  Record.

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



Sec. 511.48  Official docket.

    (a) The official docket in adjudicatory proceedings will be 
maintained in the Docket Section, Office of the Secretary, Room 4107, 
400 Seventh Street SW., Washington, DC 20590, and will be available for 
inspection during normal working hours (9:00 a.m.-5:00 p.m.) Monday 
through Friday.
    (b) Fees for production or disclosure of records contained in the 
official docket shall be levied as prescribed in the Department of 
Transportation's regulations on Public Availability of Information (49 
CFR part 7).
[53 FR 15783, May 3, 1988]



Sec. 511.49  Fees.

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



                           Subpart F--Decision



Sec. 511.51  Initial decision.

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

[[Page 52]]

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



Sec. 511.52  Adoption of initial decision.

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



Sec. 511.53  Appeal from initial decision.

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

[[Page 53]]



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

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



Sec. 511.55  Final decision on appeal or review.

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



Sec. 511.56  Reconsideration.

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



Sec. 511.57  Effective date of order.

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



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



Sec. 511.61  Purpose.

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



Sec. 511.62  Definitions.

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



Sec. 511.63  Criteria for settlement.

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

[[Page 54]]

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



Sec. 511.64  Petitions for settlement; timing, contents.

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



Sec. 511.65  Public comment.

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



Sec. 511.66  Confidential business information.

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

[[Page 55]]



Sec. 511.67  Settlement order.

    If, in accordance with this subpart, the Administrator allows a 
settlement of a case of violation of an average fuel economy standard, 
an order of settlement shall be issued, setting out the terms of the 
settlement, and containing a brief discussion of the factors underlying 
the exercise of the Administrator's discretion in allowing the 
settlement, including a discussion of comments received under 
Sec. 511.65. If the Administrator rejects a petition for settlement, the 
Administrator shall give written notice of the rejection and the reasons 
for the rejection to the parties and the Presiding Officer.
[53 FR 15783, May 3, 1988]



              Subpart H--Appearances; Standards of Conduct



Sec. 511.71  Who may make appearances.

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



Sec. 511.72  Authority for representation.

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



Sec. 511.73  Written appearances.

    (a) Any person who appears in a proceeding shall file a written 
notice of appearance with the Executive Secretary or deliver a written 
notice of appearance to the reporter at the hearing, stating for whom 
the appearance is made and the name, address, and telephone number 
(including area code) of the person making the appearance and the date 
of the commencement of the appearance. The written appearance shall be 
made a part of the record.
    (b) Any person who has previously appeared in a proceeding may 
withdraw his or her appearance by filing a written notice of withdrawal 
of appearance with the Docket Section. The notice of withdrawal shall 
state the name, address, and telephone number (including area code) of 
the person withdrawing the appearance, for whom the appearance was made, 
and the effective date of the withdrawal of the appearance, and such 
notice of withdrawal shall be filed within five (5) days of the 
effective date of the withdrawal of the appearance.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15783, May 3, 1988]



Sec. 511.74  Attorneys.

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



Sec. 511.75  Persons not attorneys.

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

[[Page 56]]

is a partner, officer, or regular employee.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]



Sec. 511.76  Qualifications and standards of conduct.

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



Sec. 511.77  Restrictions as to former members and employees.

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



Sec. 511.78  Prohibited communications.

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

[[Page 57]]

parte communication is made to a decisionmaker, he or she shall advise 
the person making the communication that the communication is prohibited 
and shall terminate the discussion.
    (ii) In the event of a prohibited oral ex parte communication, the 
decisionmaker shall forward to the Docket Section a dated statement 
containing such of the following information as is known to him/her:
    (A) The title and docket number of the proceeding;
    (B) The name and address of the person making the communication and 
his/her relationship (if any) to the parties to the proceeding;
    (C) The date and time of the communication, its duration, and the 
circumstances (telephone call, personal interview, etc.) under which it 
was made;
    (D) A brief statement of the substance of the matters discussed;
    (E) Whether the person making the communication persisted in doing 
so after being advised that the communication was prohibited.
    (3) All communications and statements forwarded to the Docket 
Section under this section shall be placed in the public file which 
shall be associated with, but not made a part of, the record of the 
proceedings, to which the communication or statement pertains.
    (4) Service on parties. The Administrator shall serve a copy of each 
communication and statement forwarded under this section on all parties 
to the proceedings. However, if the parties are numerous, or if other 
circumstances satisfy the Administrator that service of the 
communication or statement would be unduly burdensome, he or she may, in 
lieu of service, notify all parties in writing that the communication or 
statement has been made and filed and that it is available for 
inspection and copying.
    (5) Service on maker. The Administrator shall forward to the person 
who made the prohibited ex parte communication a copy of each 
communication or statement filed under this section.
    (f) Effect of ex parte communications. No prohibited ex parte 
communication shall be considered as part of the record for decision 
unless introduced into evidence by a party to the proceedings.
    (g) Sanctions. A party or participant who makes a prohibited ex 
parte communication, or who encourages or solicits another to make any 
such communication, may be subject to any appropriate sanction or 
sanctions, including but not limited to, exclusion from the proceedings 
and adverse rulings on the issues which are the subject of the 
prohibited communication.
[45 FR 81578, Dec. 11, 1980, as amended at 53 FR 15784, May 3, 1988]

                   Appendix I--Final Prehearing Order

                              Case Caption

                         Final Prehearing Order

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

    Counsel appeared as follows:

For the Administration staff:

For the Respondent(s):
Others:

    1. NATURE OF ACTION AND JURISDICTION.

               This is an action for ____________________

 _______________________________________________________________________

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

    2. STIPULATIONS AND STATEMENTS.

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

[[Page 58]]

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

The foregoing were modified at the pretrial conference as follows:

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

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

      [Identification number and brief description of each exhibit]

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

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

    4. RESPONDENT'S EVIDENCE.

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

      [Identification number and brief description of each exhibit]

The authenticity of these exhibits has been stipulated.

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

    5. ADDITIONAL ACTIONS.

The following additional action was taken:

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

    6. LIMITATIONS AND RESERVATIONS.

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


 _______________________________________________________________________

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

APPROVED AS TO FORM AND SUBSTANCE

Date: __________.

 _______________________________________________________________________

Complaint Counsel.

 _______________________________________________________________________

Attorney for Respondent(s).

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


[[Page 59]]





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




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


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

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

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



Sec. 512.1  Purpose and scope.

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



Sec. 512.2  Applicability.

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



Sec. 512.3  Definitions.

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



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

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

[[Page 60]]

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

[[Page 61]]

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



Sec. 512.5  Substantive standards for affording confidential treatment.

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

[[Page 62]]

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



Sec. 512.6  Determination of confidential treatment.

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



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

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

[[Page 63]]

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



Sec. 512.8  Modification of confidentiality determinations.

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



Sec. 512.9  Release of confidential business information.

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

[[Page 64]]

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



Sec. 512.10  Class determinations.

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

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

          Certificate in Support of Request for Confidentiality

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

[[Page 65]]

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

(signature of official)/EXTRACT

              Appendix B to Part 512--Class Determinations

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

                  Appendix C to Part 512--OMB Clearance

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



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




                           Subpart A--General

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

                          Subpart B--Procedures

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

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

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

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



                           Subpart A--General



Sec. 520.1  Purpose and scope.

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

[[Page 66]]

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



Sec. 520.2  Policy.

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



Sec. 520.3  Definitions.

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



Sec. 520.4  Applicability.

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

[[Page 67]]

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



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

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

[[Page 68]]

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



                          Subpart B--Procedures



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

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

[[Page 69]]

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

[[Page 70]]

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

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

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



Sec. 520.22  Maintenance of a list of actions.

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



Sec. 520.23  Preparation of draft environmental impact statements.

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

[[Page 71]]

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



Sec. 520.24  Internal processing of draft environmental impact statements.

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

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

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



Sec. 520.25  External review of draft environmental impact statements.

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

[[Page 72]]

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

[[Page 73]]

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



Sec. 520.26  Public hearings.

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



Sec. 520.27  Legislative actions.

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

[[Page 74]]



Sec. 520.28  Preparation of final environmental impact statements.

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



Sec. 520.29  Internal review of final environmental impact statements.

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



Sec. 520.30  Availability of final environmental impact statements.

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

(Secs. 102(a)(A), 102(2)(C), Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 
4332); secs. 2(b), 4(f), Pub. L. 89-670, 80 Stat. 931 (49 U.S.C. 
1651(b), 1653(f); E. O. 11514, 35 FR 4247; 40 CFR Part 1500; DOT Order 
5610.1B, 39 FR 35234; delegations of authority at 49 CFR 1.45, 1.50 and 
501.7)
[40 FR 52396, Nov. 10, 1975, as amended at 48 FR 44081, Sept. 27, 1983]



Sec. 520.31  Amendments or supplements.

    A draft or final environmental impact statement may be amended or

[[Page 75]]

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



Sec. 520.32  Emergency action procedures.

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



Sec. 520.33  Timing of proposed NHTSA actions.

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



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

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

               Attachment 1--Form and Content of Statement

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

      department of transportation national highway traffic safety 
                             administration

    (Draft) Environmental Impact Statement Pursuant to section 
102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).
    b. The heading specified above shall be modified to indicate that 
the statement also covers sections 4(f) of the DOT Act or 106 of the 
National Historic Preservation Act, when appropriate.
    c. Each statement will, as a minimum, contain sections corresponding 
to paragraph

[[Page 76]]

3 herein, supplemented as necessary to cover other matters provided in 
this Attachment.
    d. The format for the summary to accompany draft and final 
environmental statements is as follows:

                                 summary

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

[[Page 77]]

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

[[Page 78]]

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

[[Page 79]]

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

[[Page 80]]

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


[[Page 81]]



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

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

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

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

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

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



PART 523--VEHICLE CLASSIFICATION--Table of Contents




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

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



Sec. 523.1  Scope.

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

(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))
[42 FR 38362, July 28, 1977]



Sec. 523.2  Definitions.

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

[[Page 82]]

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

(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)
[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 523.3  Automobile.

    (a) An automobile is any 4-wheeled vehicle propelled by fuel which 
is manufactured primarily for use on public streets, roads, and highways 
(except

[[Page 83]]

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

(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)
[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
44 FR 4493, Jan. 2, 1979]



Sec. 523.4  Passenger automobile.

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

(Sec. 301, Pub. L. 94-163, 80 Stat. 901 (15 U.S.C. 2001))
[42 FR 38362, July 28, 1977]



Sec. 523.5  Light truck.

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

[[Page 84]]

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

(Sec. 9, Pub. L. 89-670, 80 Stat. 981 (49 U.S.C. 1657); sec. 301, Pub. 
L. 94-163, 89 Stat. 901 (15 U.S.C. 2002); delegation of authority at 41 
FR 25015, June 22, 1976)
[42 FR 38362, July 28, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
58 FR 18029, Apr. 7, 1993]



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




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

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

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



Sec. 525.1  Scope.

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



Sec. 525.2  Purpose.

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



Sec. 525.3  Applicability.

    This part applies to passenger automobile manufacturers.



Sec. 525.4  Definitions.

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

[[Page 85]]

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

(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))
[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]



Sec. 525.5  Limitation on eligibility.

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



Sec. 525.6  Requirements for petition.

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

(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))
[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 
46 FR 2063, Jan. 8, 1981]



Sec. 525.7  Basis for petition.

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

[[Page 86]]

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

(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976; sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))
[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979; 
58 FR 18029, Apr. 7, 1993]

[[Page 87]]



Sec. 525.8  Processing of petitions.

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

(Sec. 301, Pub. L. 94-163, 89 Stat. 871 (15 U.S.C. 2002); delegation of 
authority at 41 FR 25015, June 22, 1976); sec. 9, Pub. L. 89-670, 80 
Stat. 981 (49 U.S.C. 1657))
[42 FR 38376, July 28, 1977, as amended at 44 FR 55579, Sept. 27, 1979]

Sec. 525.9  Duration of exemption.

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

Sec. 525.10  Renewal of exemption.

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

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

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

Sec. 525.12  Public inspection of information.

    (a) Except as provided in paragraph (b), any person may inspect 
available information relevant to a petition under this part, including 
the petition and any supporting data, memoranda of informal meetings 
with the petitioner or any other interested persons, and the notices 
regarding the petition, in the Docket Section of the National Highway 
Traffic Safety Administration. Any person may obtain copies of the 
information available for inspection under this paragraph in accordance 
with Part 7 of the regulations of the Office of the Secretary of 
Transportation (49 CFR part 7).
    (b) Except for the release of confidential information authorized by 
section 505 of the Act and part 512 of this chapter, information made 
available for public inspection does not include information for which 
confidentiality is requested under Sec. 525.6(g) and is granted in 
accordance with Part 512 and sections 502 and 505 of the Act and section 
552(b) of title 5 of the U.S.C.
[46 FR 2063, Jan. 8, 1981]

[[Page 88]]



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




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

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

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



Sec. 526.1  General provisions.

    (a) Applicability. These regulations apply to petitions and plans 
submitted under the Automobile Fuel Efficiency Act of 1980, Pub. L. 96-
425, as codified in Title V of the Motor Vehicle Information and Cost 
Savings Act, 15 U.S.C. 2001 et seq.
    (b) Address. Each petition and plan submitted under the applicable 
provisions of sections 502 and 503 of the Motor Vehicle Information and 
Cost Savings Act must be addressed to the Administrator, National 
Highway Traffic Safety Administration, 400 Seventh Street, SW., 
Washington DC 20590.
    (c) Authority and scope of relief. Each petition or plan must 
specify the specific provision of the Motor Vehicle Information and Cost 
Savings Act under which relief is being sought. The petition or plan 
must also specify the model years for which relief is being sought.
[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



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

    Each petition filed under section 503(b)(3) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) For each model type (as defined by the Environmental Protection 
Agency in 40 CFR part 600) planned by the petitioner to be sold in the 
United States (regardless of place of manufacture), and for each model 
year beginning with the year before the first one for which relief is 
sought by the petition through the last year covered by the petition, 
the following information based on the petitioner's current product plan 
and the assumption that the petition will be granted:
    (1) A description of the model type, including car line designation, 
engine displacement and type, transmission type, and average fuel 
economy;
    (2) U.S. sales projected for the model type;
    (3) The average percentage of the cost to the manufacturer of the 
model type which is attributable to value added in the United States or 
Canada, determined in accordance with 40 CFR 600.511-80, and the total 
manufacturing cost per vehicle; and
    (4) In the case of model types not offered for sale in the United 
States before the first year for which relief is sought in the petition 
or other model types for which expansions in production capacity are 
planned during the years covered by the petition, information (including 
any marketing surveys) indicating from where the additional sales will 
be captured. If sales are projected to be captured from U.S. 
manufacturers, the petition must provide an estimate of the employment 
impact on those manufacturers of the lost sales and the gain in 
employment for the petitioner and its U.S. suppliers.
    (b) The total number of persons employed in the United States by the 
petitioner, excluding non-motor vehicle industry related employees, for 
each model year covered by the petition and for the model year 
immediately prior to those years.
    (c) A description of how the petitioner's responses to paragraphs 
(a) and (b) of this section would differ if the petition were denied.
[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



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

    Each plan submitted under section 503(b)(4) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) For each model year for which relief is sought in the plan and 
for each model type of automobile sought to be

[[Page 89]]

included by the submitter in its domestic fleet under the plan (i.e., 
those with at least 50 percent but less than 75 percent U.S. or Canadian 
value added), provide the following information:
    (1) A description of the model type, including engine type and 
displacement, transmission class, car line designation, and fuel 
economy;
    (2) The projected U.S. sales of the model type;
    (3) The average total manufacturing cost per vehicle for the model 
type;
    (4) The percentage of the cost to the manufacturer attributable to 
value added in the United States or Canada for the model type:
    (b) For each year covered by the plan, a list of individual product 
actions (e.g., change from imported engine to domestically manufactured 
engine) which will increase the domestic content of the affected 
vehicles. For each action, provide the model year in which the action 
will take effect, a description of the nature of the action, and the 
percentage change in domestic content resulting from the action.
[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



Sec. 526.4  [Reserved]



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

    Each plan submitted under section 502(l) of the Motor Vehicle 
Information and Cost Savings Act must contain the following information:
    (a) Projected average fuel economy and production levels for the 
class of automobiles which may fail to comply with a fuel economy 
standard and for any other classes of automobiles from which credits may 
be transferred, for the current model year and for each model year 
thereafter ending with the last year covered by the plan.
    (b) A list and full description of each planned product action 
(e.g., new model, mix change) which will affect the average fuel economy 
of the class of automobiles subject to the credit earning plan, for each 
model year beginning with the current model year and ending with the 
last year covered by the credit earning plan.
    (c) The portion of the petitioner's fleet affected by each product 
action (e.g., all K-cars with 6-cylinder engines) and the number of 
affected vehicles.
    (d) The fuel economy effect of each product action specified under 
paragraph (b) of this section per affected vehicle.
[47 FR 7248, Feb. 18, 1982, as amended at 59 FR 25576, May 17, 1994]



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




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

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

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



Sec. 529.1  Scope and purpose.

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



Sec. 529.2  Applicability.

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



Sec. 529.3  Definitions.

    (a) Statutory terms. (1) The term automobile is used as defined in 
section 501 of the Act and in accordance with the determinations in 49 
CFR part 523.
    (2) The terms manufacture, manufacturer, and fuel economy are used 
as defined in section 501 of the Act.
    (b) Other terms. (1) Act means the Motor Vehicle Information and 
Cost

[[Page 90]]

Savings Act (Pub. L. 92-513), as amended by the Energy Policy and 
Conservation Act (Pub. L. 94-163).
    (2) Completed automobile means an automobile that requires no 
further manufacturing operations to perform its intended function, other 
than the addition of readily attachable components, such as mirrors or 
tire and rim assemblies, or minor finishing operations such as painting.
    (3) Curb weight is defined the same as vehicle curb weight in 40 CFR 
part 86.
    (4) Final-stage manufacturer means a person who performs such 
manufacturing operations on an incomplete automobile that it becomes a 
completed automobile.
    (5) Frontal area is used as defined in 40 CFR 86.079-2.
    (6) Incomplete automobile means an assemblage consisting, as a 
minimum, of frame and chassis structure, power train, steering system, 
suspension system, and braking system to the extent that those systems 
are to be part of the completed automobile, that requires further 
manufacturing operations, other than the addition of readily attachable 
components, such as mirrors or tire and rim assemblies, or minor 
finishing operations such as painting, to become a completed automobile.
    (7) Incomplete automobile manufacturer means a person who 
manufactures an incomplete automobile by assembling components none of 
which, taken separately, constitute a complete automobile.
    (8) Intermediate manufacturer means a person, other than the 
incomplete automobile manufacturer or the final-stage manufacturer, who 
performs manufacturing operations on an incomplete automobile.
[42 FR 38372, July 28, 1977, as amended at 42 FR 39983, Aug. 8, 1977]



Sec. 529.4  Requirements for incomplete automobile manufacturers.

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

[[Page 91]]

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



Sec. 529.5  Requirements for intermediate manufacturers.

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

[[Page 92]]

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



Sec. 529.6  Requirements for final-stage manufacturers.

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

[[Page 93]]



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




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

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

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



Sec. 531.1  Scope.

    This part establishes average fuel economy standards pursuant to 
section 502 (a) and (c) of the Motor Vehicle Information and Cost 
Savings Act, as amended, for passenger automobiles.
[43 FR 28204, June 29, 1978]



Sec. 531.2  Purpose.

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



Sec. 531.3  Applicability.

    This part applies to manufacturers of passenger automobiles.



Sec. 531.4  Definitions.

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



Sec. 531.5  Fuel economy standards.

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

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

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

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

    (2) Rolls-Royce Motors, Inc.

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

    (3) Checker Motors Corporation.

[[Page 94]]



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

    (4) Aston Martin Lagonda, Inc.

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

    (5) Excalibur Automobile Corporation.

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

    (6) Lotus Cars Ltd.

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

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

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

    (8) Lamborghini of North America.

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

    (9) LondonCoach Co., Inc.

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

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

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

    (11) Dutcher Motors, Inc.

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

    (12) MedNet, Inc.

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

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

[[Page 95]]



Sec. 531.6  Measurement and calculation procedures.

    (a) The average fuel economy of all passenger automobiles that are 
manufactured by a manufacturer in a model year shall be determined in 
accordance with procedures established by the Administrator of the 
Environmental Protection Agency under section 502(a)(1) of the Act and 
set forth in 40 CFR part 600.



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




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

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



Sec. 533.1  Scope.

    This part establishes average fuel economy standards pursuant to 
section 502(b) of the Motor Vehicle Information and Cost Savings Act, as 
amended, for light trucks.
[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.2  Purpose.

    The purpose of this part is to increase the fuel economy of light 
trucks by establishing minimum levels of average fuel economy for those 
vehicles.
[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.3  Applicability.

    This part applies to manufacturers of light trucks.
[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



Sec. 533.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy, average 
fuel economy standard, fuel economy, import, manufacture, manufacturer, 
and model year are used as defined in section 501 of the Act.
    (2) The term automobile is used as defined in section 501 of the Act 
and in accordance with the determinations in part 523 of this chapter.
    (3) The term domestically manufactured is used as defined in section 
503(b)(2)(E) of the Act.
    (b) Other terms. As used in this part, unless otherwise required by 
the context--
    (1) Act means the Motor Vehicle Information Cost Savings Act, as 
amended by Pub. L. 94-163.
    (2) Light truck is used in accordance with the determinations in 
part 523 of this chapter.
    Captive import means with respect to a light truck, one which is not 
domestically manufactured but which is imported in the 1980 model year 
or thereafter by a manufacturer whose principal place of business is in 
the United States.
    4-wheel drive, general utility vehicle means a 4-wheel drive, 
general purpose automobile capable of off-highway operation that has a 
wheelbase of not more than 280 centimeters, and that has a body shape 
similar to 1977 Jeep CJ-5 or CJ-7, or the 1977 Toyota Land Cruiser.
    Basic engine means a unique combination of manufacturer, engine 
displacement, number of cylinders, fuel system (as distinguished by 
number of carburetor barrels or use of fuel injection), and catalyst 
usage.
    Limited product line light truck means a light truck manufactured by 
a manufacturer whose light truck fleet is powered exclusively by basic 
engines which are not also used in passenger automobiles.
[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978; 
43 FR 46547, Oct. 10, 1978; 58 FR 18029, Apr. 7, 1993]



Sec. 533.5  Requirements.

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

                                                     Table I                                                    
----------------------------------------------------------------------------------------------------------------
                                                                       2-wheel drive     4-wheel drive   Limited
                                                                       light trucks      light trucks    product
                             Model year                             ------------------------------------   line 
                                                                     Captive           Captive            light 
                                                                     imports   Other   imports   Other    trucks
----------------------------------------------------------------------------------------------------------------
1979...............................................................  .......     17.2  .......     15.8  .......

[[Page 96]]

                                                                                                                
1980...............................................................     16.0     16.0     14.0     14.0     14.0
1981...............................................................     16.7     16.7     15.0     15.0     14.5
----------------------------------------------------------------------------------------------------------------


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


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


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

    (b)(1) For model year 1979, each manufacturer may:
    (i) Combine its 2- and 4-wheel drive light trucks and comply with 
the average fuel economy standard in paragraph (a) of this section for 
2-wheel drive light trucks; or
    (ii) Comply separately with the two standards specified in paragraph 
(a) of this section.
    (2) For model year 1979, the standard specified in paragraph (a) of 
this section for 4-wheel drive light trucks applies only to 4-wheel 
drive general utility vehicles. All other 4-wheel drive light trucks in 
that model year shall be included in the 2-wheel drive category for 
compliance purposes.
    (c) For model years 1980 and 1981, manufacturers of limited product 
line light trucks may:
    (1) Comply with the separate standard for limited product line light 
trucks, or
    (2) Comply with the other standards specified in Sec. 533.5(a), as 
applicable.
    (d) For model years 1982-91, each manufacture may:
    (1) Combine its 2- and 4-wheel drive light trucks (segregating 
captive import and other light trucks) and comply with the combined 
average fuel economy standard specified in paragraph (a) of this 
section; or
    (2) Comply separately with the 2-wheel drive standards and the 4-
wheel drive standards (segregating captive import and other light 
trucks) specified in paragraph (a) of this section.
    (e) For model year 1992, each manufacturer shall comply with the 
average fuel economy standard specified in paragraph (a) of this section 
(segregating captive import and other light trucks).
[43 FR 12014, Mar. 23, 1978, as amended at 45 FR 20878, Mar. 31, 1980; 
47 FR 7250, Feb. 18, 1982; 47 FR 32721, July 29, 1982; 53 FR 11090, Apr. 
5, 1988; 55 FR 12497, Apr. 4, 1990; 56 FR 13784, Apr. 4, 1991; 58 FR 
18029, Apr. 7, 1993; 59 FR 16323, Apr. 6, 1994; 61 FR 14682, Apr. 3, 
1996; 62 FR 15860, Apr. 3, 1997]



Sec. 533.6  Measurement and calculation procedures.

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

[[Page 97]]

procedures established by the Administrator of the Environmental 
Protection Agency under section 503(a)(2) of the Act.
[42 FR 13807, Mar. 14, 1977, as amended at 43 FR 12013, Mar. 23, 1978]



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




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

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

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



Sec. 535.1  Scope.

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



Sec. 535.2  Applicability.

    This part applies to manufacturers of light trucks.



Sec. 535.3  Definitions.

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



Sec. 535.4  3-year carryforward and carryback of credits

    (a) For purposes of this part, credits under this section shall be 
considered to be available to any manufacturer upon the completion of 
the model year in which such credits are earned under paragraph (b) of 
this section unless under paragraph (c) of this section the credits are 
made available for use at a time prior to the model year in which 
earned.
    (b) Whenever the average fuel economy for a class of light trucks 
manufactured by a manufacturer in a particular model year exceeds an 
applicable average fuel economy standard established in part 533 of this 
chapter, such manufacturer shall be entitled to credit, calculated under 
paragraph (c) of this section, which--
    (1) Shall be available to be taken into account with respect to the 
average fuel economy for the same class of light trucks of that 
manufacturer for any of the three consecutive model years immediately 
prior to the model year in which such manufacturer exceeds such 
applicable average fuel economy standard, and
    (2) To the extent that such credit is not so taken into account 
pursuant to paragraph (b)(1) of this section, shall be available to be 
taken into account with respect to the average fuel economy for the same 
class of light trucks of that manufacturer for any of the three 
consecutive model years immediately following the model year in which 
such manufacturer exceeds such applicable average fuel economy standard.
    (c)(1) At any time prior to the end of any model year, a 
manufacturer which has reason to believe that its average fuel economy 
for a class of light trucks will be below such applicable standard for 
that model year may submit a plan demonstrating that such manufacturer 
will earn sufficient credits under paragraph (b) of this section within 
the next 3 model years which when taken into account would allow the 
manufacturer to meet that standard for the model year involved.
    (2) Such credits shall be available for the model year involved 
subject to--
    (i) The Administrator approving such plan; and

[[Page 98]]

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



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




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

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

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



Sec. 537.1  Scope.

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



Sec. 537.2  Purpose.

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



Sec. 537.3  Applicability.

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



Sec. 537.4  Definitions.

    (a) Statutory terms. (1) The terms average fuel economy standard, 
fuel, manufacture, and model year are used as defined in section 501 of 
the Act.
    (2) The term manufacturer is used as defined in section 501 of the 
Act and in accordance with part 529 of this chapter.
    (3) The terms average fuel economy, fuel economy, and model type are 
used as defined in subpart A of 40 CFR part 600.

[[Page 99]]

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



Sec. 537.5  General requirements for reports.

    (a) For each current model year, each manufacturer shall submit a 
pre-model year report, a mid-model year report, and, as required by 
Sec. 537.8, supplementary reports.
    (b)(1) The pre-model year report required by this part for each 
current model year must be submitted during the month of December (e.g., 
the pre-model year report for the 1983 model year must be submitted 
during December, 1982).
    (2) The mid-model year report required by this part for each current 
model year must be submitted during the month of July (e.g., the mid-
model year report for the 1983 model year must be submitted during July 
1983).
    (3) Each supplementary report must be submitted in accordance with 
Sec. 537.8(c).
    (c) Each report required by this part must:
    (1) Identify the report as a pre-model year report, mid-model year 
report, or supplementary report as appropriate;
    (2) Identify the manufacturer submitting the report;
    (3) State the full name, title, and address of the official 
responsible for preparing the report;
    (4) Be submitted in 10 copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590;
    (5) Identify the current model year;
    (6) Be written in the English language; and
    (7)(i) Specify any part of the information or data in the report 
that the manufacturer believes should be withheld from public disclosure 
as trade secret or other confidential business information.
    (ii) With respect to each item of information or data requested by 
the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 15 U.S.C. 
2005(d)(1), the manufacturer shall:
    (A) Show that the item is within the scope of sections 552(b)(4) and 
2005(d)(1);
    (B) Show that disclosure of the item would result in significant 
competitive damage;
    (C) Specify the period during which the item must be withheld to 
avoid that damage; and

[[Page 100]]

    (D) Show that earlier disclosure would result in that damage.
    (d) Each report required by this part must be based upon all 
information and data available to the manufacturer 30 days before the 
report is submitted to the Administrator.



Sec. 537.6  General content of reports.

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



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

    (a)(1) Provide the information required by paragraphs (b) and (c) of 
this section for the manufacturer's passenger automobiles for the 
current model year.
    (2) After providing the information required by paragraph (a)(1) of 
this section provide the information required by paragraphs (b) and (c) 
for this section of each class, as specified in part 533 of this 
chapter, of the manufacturer's light trucks for the current model year.
    (b) Projected average fuel economy. (1) State the projected average 
fuel economy for the manufacturer's automobiles determined in accordance 
with Sec. 537.9 and based upon the fuel economy values and projected 
sales figures provided under paragraph (c)(2) of this section.
    (2) State the projected final average fuel economy that the 
manufacturer anticipates having if changes implemented during the model 
year will cause that average to be different from the average fuel 
economy projected under paragraph (b)(1) of this section.
    (3) State whether the manufacturer believes that the projection it 
provides under paragraph (b)(2) of this section, or if it does not 
provide an average under that paragraph, the projection it provides 
under paragraph (b)(1) of this section sufficiently represents the 
manufacturer's average fuel economy for the current model year for the 
purposes of the Act. In the case of a manufacturer that believes that 
the projection is not sufficiently representative for those purposes, 
state the specific nature of any reason for the insufficiency and the 
specific additional testing or derivation of fuel economy values by 
analytical methods believed by the manufacturer necessary to eliminate 
the insufficiency and any plans of the manufacturer to undertake that 
testing or derivation voluntarily and submit the resulting data to the 
Environmental Protection Agency under 40 CFR 600.509.
    (c) Model type and configuration fuel economy and technical 
information. (1) For each model type of the manufacturer's automobiles, 
provide the information specified in paragraph (c)(2) of this section in 
tabular form. List the model types in order of increasing average 
inertia weight from top to bottom down the left side of the table and 
list the information categories in the order specified in paragraph 
(c)(2) of this section from left to right across the top of the table.
    (2)(i) Combined fuel economy; and

[[Page 101]]

    (ii) Projected sales for the current model year and total sales of 
all model types.
    (3) (Pre-model year report only.) For each vehicle configuration 
whose fuel economy was used to calculate the fuel economy values for a 
model type under paragraph (c)(2) of this section, provide the 
information specified in paragraph (c)(4) of this section either in 
tabular form or as a fixed format computer tape. If a tabular form is 
used then list the vehicle configurations, by model type in the order 
listed under paragraph (c)(2) of this section, from top to bottom down 
the left of the table and list the information categories across the top 
of the table from left to right in the order specified in paragraph 
(c)(4) of this section. Other formats (such as copies of EPA reports) 
which contain all the required information in a readily identifiable 
form are also acceptable. If a computer tape is used, any NHTSA approved 
fixed format structure may be used, but each vehicle configuration 
record should identify the manufacturer, model type, and for light 
trucks the drive wheel code, e.g., 2 or 4 wheel drive. At least the 
information categories specified here and in paragraph (c)(4) of this 
section must be provided, but if preferred the tape may contain any 
additional categories. Each computer tape record must contain all the 
required categories of information to enable direct reading and 
interpretation in the fixed format that was approved. There should be no 
titles, column headings, page numbers, or attachment numbers on the 
tape. It must be possible to directly calculate and produce the tables 
specified in paragraph (c)(1) of this section from the records on this 
tape.
    (4)(i) Loaded vehicle weight;
    (ii) Equivalent test weight;
    (iii) Engine displacement, liters;
    (iv) SAE net rated power, kilowatts;
    (v) SAE net horsepower;
    (vi) Engine code;
    (vii) Fuel system (number of carburetor barrels or, if fuel 
injection is used, so indicate);
    (viii) Emission control system;
    (ix) Transmission class;
    (x) Number of forward speeds;
    (xi) Existence of overdrive (indicate yes or no);
    (xii) Total drive ratio (N/V);
    (xiii) Axle ratio;
    (xiv) Combined fuel economy;
    (xv) Projected sales for the current model year;
    (xvi)(A) In the case of passenger automobiles:
    (1) Interior volume index, determined in accordance with subpart D 
of 40 CFR part 600, and
    (2) Body style;
    (B) In the case of light trucks:
    (1) Passenger-carrying volume, and
    (2) Cargo-carrying volume;
    (xvii) Performance of the function described in Sec. 523.5(a)(5) of 
this chapter (indicate yes or no);
    (xviii) Existence of temporary living quarters (indicate yes or no);
    (xix) Frontal area;
    (xx) Road load power at 50 miles per hour, if determined by the 
manufacturer for purposes other than compliance with this part to differ 
from the road load setting prescribed in 40 CFR 86.177-11(d);
    (xxi) Optional equipment which the manufacturer is required under 40 
CFR parts 86 and 600 to have actually installed on the vehicle 
configuration, or the weight of which must be included in the curb 
weight computation for the vehicle configuration, for fuel economy 
testing purposes.
    (5) For each model type of automobile which is classified as an 
automobile capable of off-highway operation under part 523 of this 
chapter, provide the following data:
    (i) Approach angle;
    (ii) Departure angle;
    (iii) Breakover angle;
    (iv) Axle clearance;
    (v) Minimum running clearance; and
    (vi) Existence of 4-wheel drive (indicate yes or no).
    (6) The fuel economy values provided under paragraphs (c) (2) and 
(4) of this section shall be determined in accordance with Sec. 537.9.
[47 FR 34986, Aug. 12, 1982, as amended at 58 FR 18029, Apr. 7, 1993]



Sec. 537.8  Supplementary reports.

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

[[Page 102]]

Sec. 537.7(b)(2) or, if no average fuel economy was projected under that 
section, under Sec. 537.7(b)(1), that was not less than the applicable 
average fuel economy standard and who now projects an average fuel 
economy which is less than the applicable standard shall file a 
supplementary report containing the information specified in paragraph 
(b)(1) of this section.
    (2) Except as provided in paragraph (d) of this section, each 
manufacturer that determines that its average fuel economy for the 
current model year as projected under Sec. 537.7(b)(2) or, if no average 
fuel economy was projected under that section, as projected under 
Sec. 537.7(b)(1), is less representative than the manufacturer 
previously reported it to be under Sec. 537.7(b)(3), this section, or 
both, shall file a supplementary report containing the information 
specified in paragraph (b)(2) of this section.
    (3) Each manufacturer whose pre-model year report omits any of the 
information specified in Sec. 537.7 (b), (c) (1) and (2), or (c)(4) 
(xvi) and (xxiv) shall file supplementary report containing the 
information specified in paragraph (b)(3) of this section.
    (b)(1) The supplementary report required by paragraph (a)(1) of this 
section must contain:
    (i) Such revisions of and additions to the information previously 
submitted by the manufacturer under this part regarding the automobiles 
whose projected average fuel economy has decreased as specified in 
paragraph (a)(1) of this section as are necessary--
    (A) To reflect the decrease and its cause;
    (B) To indicate a new projected average fuel economy based upon 
these additional measures.
    (ii) An explanation of the cause of the decrease in average fuel 
economy that led to the manufacturer's having to submit the 
supplementary report required by paragraph (a)(1) of this section.
    (2) The supplementary report required by paragraph (a)(2) of this 
section must contain:
    (i) A statement of the specific nature of and reason for the 
insufficiency in the representativeness of the projected average fuel 
economy;
    (ii) A statement of specific additional testing or derivation of 
fuel economy values by analytical methods believed by the manufacturer 
necessary to eliminate the insufficiency; and
    (iii) A description of any plans of the manufacturer to undertake 
that testing or derivation voluntarily and submit the resulting data to 
the Environmental Protection Agency under 40 CFR 600.509.
    (3) The supplementary report required by paragraph (a)(3) of this 
section must contain:
    (i) All of the information omitted from the pre-model year report 
under Sec. 537.6(c)(2); and
    (ii) Such revisions of and additions to the information submitted by 
the manufacturer in its pre-model year report regarding the automobiles 
produced during the current model year as are necessary to reflect the 
information provided under paragraph (b)(3)(i) of this section.
    (c)(1) Each report required by paragraph (a) (1) or (2) of this 
section must be submitted in accordance with Sec. 537.5(c) not more than 
45 days after the date on which the manufacturer determined, or could 
have, with reasonable diligence, determined that a report is required 
under paragraph (a) (1) or (2) of this section.
    (2) Each report required by paragraph (a)(3) of this section must be 
submitted in accordance with Sec. 537.5(c) not later than five days 
after the day by which the manufacturer is required to submit a 
preliminary calculation of its average fuel economy for the current 
model year to the Environmental Protection Agency under 40 CFR 600.506.
    (d) A supplementary report is not required to be submitted by the 
manufacturer under paragraph (a) (1) or (2) of this section:
    (1) With respect to information submitted under this part before the 
most recent semiannual report submitted by the manufacturer under this 
part, or
    (2) When the date specified in paragraph (c) of this section occurs:
    (i) During the 60-day period immediately preceding the day by which 
the mid-model year report for the current model year must be submitted 
by the manufacturer under this part, or

[[Page 103]]

    (ii) After the day by which the pre-model year report for the model 
year immediately following the current model year must be submitted by 
the manufacturer under this part.



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

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



Sec. 537.10  Incorporation by reference.

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



Sec. 537.11  Public inspection of information.

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



Sec. 537.12  Confidential information.

    (a) Information made available under Sec. 537.11 for public 
inspection does not include information for which confidentiality is 
requested under Sec. 537.5(c)(7), is granted in accordance with section 
505 of the Act and section 552(b) of Title 5 of the United States Code 
and is not subsequently released under paragraph (c) of this section in 
accordance with section 505 of the Act.
    (b) Denial of confidential treatment. When the Administrator denies 
a manufacturer's request under Sec. 537.5(c)(7) for confidential 
treatment of information, the Administrator gives the manufacturer 
written notice of the denial and reasons for it. Public disclosure of 
the information is not made until after the ten-day period immediately 
following the giving of the notice.

[[Page 104]]

    (c) Release of confidential information. After giving written notice 
to a manufacturer and allowing ten days, when feasible, for the 
manufacturer to respond, the Administrator may make available for public 
inspection any information submitted under this part that is relevant to 
a proceeding under the Act, including information that was granted 
confidential treatment by the Administrator pursuant to a request by the 
manufacturer under Sec. 537.5(c)(7).



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




Secs.
538.1  Scope.
538.2  Purpose.
538.3  Applicability.
538.4  Definitions.
538.5  Minimum driving range.
538.6  Measurement of driving range.
538.7  [Reserved]
538.8  Gallon Equivalents for Gaseous Fuels.

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

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



Sec. 538.1  Scope.

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



Sec. 538.2  Purpose.

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



Sec. 538.3  Applicability.

    This part applies to manufacturers of automobiles.



Sec. 538.4  Definitions.

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



Sec. 538.5  Minimum driving range.

    (a) The minimum driving range that a passenger automobile must have 
in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 
32901(c) is 200 miles when operating on its nominal useable fuel tank 
capacity of the alternative fuel, except when the alternative fuel is 
electricity.
    (b) [Reserved]



Sec. 538.6  Measurement of driving range.

    The driving range of a passenger automobile model type is determined 
by multiplying the combined EPA city/highway fuel economy rating when 
operating on the alternative fuel, by the nominal usable fuel tank 
capacity (in gallons), of the fuel tank containing the alternative fuel. 
The combined EPA city/highway fuel economy rating is the value 
determined by the procedures established by the Administrator of the EPA 
under 49 U.S.C. 32904 and set forth in 40 CFR part 600.



Sec. 538.7  [Reserved]



Sec. 538.8  Gallon Equivalents for Gaseous Fuels.

    The gallon equivalent of gaseous fuels, for purposes of calculations 
made

[[Page 105]]

under 49 U.S.C. 32905, are listed in Table I:

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



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




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


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

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

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

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



Sec. 541.1  Scope.

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



Sec. 541.2  Purpose.

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



Sec. 541.3.  Application.

    This standard applies to the following:
    (a) Passenger motor vehicle parts identified in Sec. 541.5(a) that 
are present:
    (1) In the passenger motor vehicle lines listed in appendix A of 
this part;
    (2) Beginning with model year 1997, in passenger motor vehicle lines 
which NHTSA has finally determined, pursuant to 49 CFR part 542, to be 
high theft based on the 1990/91 median theft rate; and
    (3) Beginning with model year 1997, in passenger motor vehicle lines 
listed in appendix B of this part.
    (b) Replacement parts for passenger motor vehicle lines described in 
Sec. 541.3(a) (1) and (2), if the part is identified in Sec. 541.5(a).
[59 FR 64168, Dec. 13, 1994]



Sec. 541.4.  Definitions.

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

[[Page 106]]

    (5) Multipurpose passenger vehicle (MPV) means a passenger motor 
vehicle which is constructed either on a truck chassis or with special 
features for occasional off-road operation and which is rated at 6,000 
pounds gross vehicle weight or less.
    (6) Passenger car is used as defined in Sec. 571.3 of this chapter.
    (7) VIN means the vehicle identification number required by part 565 
of this chapter.
[59 FR 64168, Dec. 13, 1994, as amended at 61 FR 29033, June 7, 1996]



Sec. 541.5  Requirements for passenger motor vehicles.

    (a) Each passenger motor vehicle subject to this standard must have 
an identifying number affixed or inscribed on each of the parts 
specified in paragraphs (a)(1) through (a)(18) inclusive, if the part is 
present on the passenger motor vehicle. In the case of passenger motor 
vehicles not originally manufactured to comply with applicable U.S. 
vehicle safety and bumper standards, each such motor vehicle subject to 
this standard must have an identifying number inscribed in a manner 
which conforms to paragraph (d)(2) of this section, on each of the parts 
specified in paragraphs (a)(1) through (a)(18), inclusive, if the part 
is present on the motor vehicle.

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

    (b)(1) Except as provided in paragraphs (b)(2) and (b)(3) of this 
section, the number required to be inscribed or affixed by paragraph (a) 
shall be the VIN of the passenger motor vehicle.
    (2) In place of the VIN, manufacturers who were marking engines and/
or transmissions with a VIN derivative consisting of at least the last 
eight characters of the VIN on October 24, 1984, may continue to mark 
engines and/or transmissions with such VIN derivative.
    (3) In the case of passenger motor vehicles not originally 
manufactured to comply with U.S. vehicle safety and bumper standards, 
the number required to be inscribed by paragraph (a) of this section 
shall be the original vehicle identification number assigned to the 
motor vehicle by its original manufacturer in the country where the 
motor vehicle was originally produced or assembled.
    (c) The characteristics of the number required to be affixed or 
inscribed by paragraph (a) of this section shall satisfy the size and 
style requirements set forth for vehicle certification labels in 
Sec. 567.4(g) of this chapter.
    (d) The number required by paragraph (a) of this section must be 
affixed by means that comply with paragraph (d)(1) of this section or 
inscribed by means that comply with paragraph (d)(2) of this section.
    (1) Labels. (i) The number must be printed indelibly on a label, and 
the label must be permanently affixed to the passenger motor vehicle's 
part.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location such that the number is, if 
practicable, on an interior surface of the part as installed on the 
vehicle and in a location where it:
    (A) Will not be damaged by the use of any tools necessary to 
install, adjust, or remove the part and any adjoining parts, or any 
portions thereof;
    (B) Is on a portion of the part not likely to be damaged in a 
collision; and
    (C) Will not be damaged or obscured during normal dealer preparation 
operations (including rustproofing and undercoating).
    (iii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible

[[Page 107]]

without further disassembly once the part has been removed from the 
vehicle.
    (iv) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (v) Removal of the label must--
    (A) Cause the label to self-destruct by tearing or rendering the 
number on the label illegible, and
    (B) Discernibly alter the appearance of that area of the part where 
the label was affixed by leaving residual parts of the label or adhesive 
in that area, so that investigators will have evidence that a label was 
originally present.
    (vi) Alteration of the number on the label must leave traces of the 
original number or otherwise visibly alter the appearance of the label 
material.
    (vii) The label and the number shall be resistant to counterfeiting.
    (viii) The logo or some other unique identifier of the vehicle 
manufacturer must be placed in the material of the label in a manner 
such that alteration or removal of the logo visibly alters the 
appearance of the label.
    (2) Other means of identification. (i) Removal or alteration of any 
portion of the number must visibly alter the appearance of the section 
of the vehicle part on which the identification is marked.
    (ii) The number must be placed on each part specified in paragraph 
(a) of this section in a location that is visible without further 
disassembly once the part has been removed from the vehicle.
    (iii) The number must be placed entirely within the target area 
specified by the original manufacturer for that part, pursuant to 
paragraph (e) of this section, on each part specified in paragraph (a) 
of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer who installs or assembles the covered major parts on a line 
shall designate a target area for the identifying numbers to be marked 
on each part specified in paragraph (a) of this section for each of its 
lines subject to this standard. The target area shall not exceed 50 
percent of the surface area on the surface of the part on which the 
target area is located.
    (2) Each manufacturer subject to paragraph (e)(1) of this section 
shall, not later than 30 days before the line is introduced into 
commerce, inform NHTSA in writing of the target areas designated for 
each line listed in appendix A. The information should be submitted to: 
Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW, Washington, DC 20590.
    (3) The target areas designated by the original vehicle manufacturer 
for a part on a line shall be maintained for the duration of the 
production of such line, unless a restyling of the part makes it no 
longer practicable to mark the part within the original target area. If 
there is such a restyling, the original vehicle manufacturer shall 
inform NHTSA of that fact and the new target area, in accordance with 
the requirements of paragraph (e)(2) of this section.
[59 FR 64168, Dec. 13, 1994]



Sec. 541.6  Requirements for replacement parts.

    (a) Each replacement part for a part specified in Sec. 541.5(a) must 
have the registered trademark of the manufacturer of the replacement 
part, or some other unique identifier if the manufacturer does not have 
a registered trademark, and the letter ``R'' affixed or inscribed on 
such replacement part by means that comply with Sec. 541.5(d), except as 
provided in paragraph (d) of this section. In the case of replacement 
parts subject to the marking requirements of this section, which were 
not originally manufactured for sale in the United States, the importer 
of the part shall inscribe its registered trademark, or some other 
unique identifier if the importer does not have a registered trademark, 
and the letter ``R'' on the part by means that comply with 
Sec. 541.5(d)(2), except as provided in paragraph (d) of this section.
    (b) A replacement part subject to paragraph (a) of this section 
shall not be marked pursuant to Sec. 541.5.
    (c) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be at least one centimeter high.

[[Page 108]]

    (d) The trademark and the letter ``R'' required by paragraph (a) of 
this section must be placed entirely within the target area specified by 
the vehicle manufacturer, pursuant to paragraph (e) of this section.
    (e) Target areas. (1) Each manufacturer that is the original 
producer or assembler of the vehicle for which the replacement part is 
designed shall designate a target area for the identifying symbols to be 
marked on each replacement part subject to the requirements of paragraph 
(a) of this section. Such target areas shall not exceed 25 percent of 
the surface area of the surface on which the replacement part marking 
will appear.
    (2) The boundaries of the target area designated under paragraph 
(e)(1) of this section shall be at least 10 centimeters at all points 
from the nearest boundaries of the target area designated for that part 
under Sec. 541.5(e) of this part.
    (3) Each manufacturer subject to paragraph (e)(1) of this section 
shall inform NHTSA in writing of the target areas designated for each 
replacement part subject to paragraph (a) of this section, at the same 
time as it informs the agency of the target area designated for the 
original equipment parts of the line, pursuant to Sec. 541.5(e)(2) of 
this part. The information should be submitted to: Administrator, 
National Highway Traffic Safety Administration, 400 Seventh Street, SW., 
Washington, DC 20590.
    (4) The target area designated by the original vehicle manufacturer 
for the parts subject to the requirements of paragraph (a) of this 
section shall be maintained for the duration of the production of such 
replacement part, unless a restyling of the part makes it no longer 
practicable to mark the part within the original target area. If there 
is such a restyling, the original vehicle manufacturer shall inform 
NHTSA of that fact and the new target area, in accordance with the 
requirements of paragraph (e)(3) of this section.
    (f) Each replacement part must bear the symbol ``DOT'' in letters at 
least one centimeter high within 5 centimeters of the trademark and of 
the letter ``R'', and entirely within the target area specified under 
paragraph (d) of this section. The symbol ``DOT'' constitutes the 
manufacturer's certification that the replacement part conforms to the 
applicable theft prevention standard, and shall be inscribed or affixed 
by means that comply with paragraph (a) of this section. In the case of 
replacement parts subject to the requirements of paragraph (a) of this 
section, which were not originally manufactured for sale in the United 
States, the importer shall inscribe the ``DOT'' symbol before the part 
is imported into the United States.

   Appendix A to Part 541.--Lines Subject to the Requirements of This   
                                Standard                                
------------------------------------------------------------------------
             Manufacturer                        Subject lines          
------------------------------------------------------------------------
Alfa Romeo...........................  Milano 161.                      
                                       164.                             
BMW..................................  Z3.                              
                                       3 Car Line.                      
                                       6Car Line.                       
Chrysler.............................  Chrysler Cirrus.                 
                                       Chrysler Executive, Sedan/       
                                        Limousine.                      
                                       Chrysler Fifth Avenue/Newport.   
                                       Chrysler Laser.                  
                                       Chrysler LeBaron/Town & Country. 
                                       Chrysler LeBaron GTS.            
                                       Chrysler's TC.                   
                                       Chrysler New Yorker Fifth Avenue.
                                       Chrysler Sebring.                
                                       Chrysler Town & Country.\1\      
                                       Dodge 600.                       
                                       Dodge Aries.                     
                                       Dodge Avenger.                   
                                       Dodge Colt.                      
                                       Dodge Daytona.                   
                                       Dodge Diplomat.                  
                                       Dodge Lancer.                    
                                       Dodge Neon.                      
                                       Dodge Shadow.                    
                                       Dodge Stratus.                   
                                       Dodge Stealth.                   
                                       Eagle Summit.                    
                                       Eagle Talon.                     
                                       Jeep Cherokee (MPV).\1\          
                                       Jeep Grand Cherokee (MPV).\1\    
                                       Jeep Wrangler (MPV).\1\          
                                       Plymouth Caravelle.              
                                       Plymouth Colt.                   
                                       Plymouth Laser.                  
                                       Plymouth Gran Fury.              
                                       Plymouth Neon.                   
                                       Plymouth Reliant.                
                                       Plymouth Sundance.               
                                       Plymouth Breeze.                 
Consulier............................  Consulier GTP.                   
Ferrari..............................  Mondial 8.                       
                                       308.                             
                                       328.                             
Ford.................................  Aspire.\1\                       
                                       Crown Victoria.\1\               
                                       Ford Escort.\1\                  
                                       Ford Mustang.                    
                                       Ford Probe.                      
                                       Ford Taurus.\1\                  
                                       Ford Thunderbird.                
                                       Lincoln Continental.             
                                       Lincoln Mark.                    

[[Page 109]]

                                                                        
                                       Lincoln Town Car.                
                                       Mercury Capri.                   
                                       Mercury Cougar.                  
                                       Mercury Grand Marquis.\1\        
                                       Mercury Sable.\1\                
                                       Mercury Tracer.\1\               
                                       Merkur Scorpio.                  
                                       Merkur XR4Ti.                    
General Motors.......................  Buick Electra.                   
                                       Buick Reatta.                    
                                       Buick Skylark.\1\                
                                       Chevrolet Astro (MPV).\1\        
                                       Chevrolet Beretta.\1\            
                                       Chevrolet Caprice.\1\            
                                       Chevrolet Corsica.\1\            
                                       Chevrolet Lumina APV (MPV).\1\   
                                       Chevrolet Monte Carlo (MYs 1987- 
                                        88).                            
                                       Chevrolet Nova.                  
                                       Chevrolet Blazer (MPV).\1\       
                                       Chevrolet S-10 Pickup.\1\        
                                       Geo Prizm.\3\                    
                                       Geo Storm.\3\                    
                                       Geo Tracker (MPV).1,3            
                                       GMC Jimmy (MPV).\1\              
                                       GMC Safari (MPV).\1\             
                                       GMC Sonoma Pickup.\1\            
                                       Oldsmobile Achieva.1             
                                       Oldsmobile Bravada.\1\           
                                       Oldsmobile Cutlass Ciera.\1\     
                                       Oldsmobile Cutlass Supreme (MYs  
                                        1988-1997).\2\                  
                                       Oldsmobile Intrigue.             
                                       Pontiac Fiero.                   
                                       Pontiac Grand Am.1               
                                       Pontiac Grand Prix.              
                                       Saturn Sports Coupe.             
Honda................................  Accord.\1\                       
                                       Civic.\1\                        
                                       CRV (MPV).\1\                    
                                       Passport.\1\                     
                                       Prelude.1                        
                                       Acura Integra.\1\                
Hyundai..............................  Accent.                          
                                       Sonata.\1\                       
                                       Tiburon.\1\                      
ISUZU................................  Impulse.                         
                                       Rodeo.\1\                        
                                       Stylus.                          
                                       Trooper/Trooper II.\1\           
JAGUAR...............................  XJ.                              
                                       XJ-6.                            
                                       XJ-40.                           
 KIA MOTORS..........................  S-II.\2\                         
LOTUS................................  Elan.                            
MASERATI.............................  Biturbo.                         
                                       Quattroporte.                    
                                       228.                             
MAZDA................................  GLC.                             
                                       626.                             
                                       MX-6.                            
                                       MX-5 Miata.                      
                                       MX-3.                            
MERCEDES-BENZ........................  190 D.                           
                                       190 E.                           
                                       250D-T.                          
                                       260 E.                           
                                       300 SE.                          
                                       300 TD.                          
                                       300 SDL.                         
                                       300 SEC/500 SEC.                 
                                       300 SEL/500 SEL.                 
                                       420 SEL.                         
                                       560 SEL.                         
                                       560 SEC.                         
                                       560 SL.                          
MITSUBISHI...........................  Cordia.                          
                                       Eclipse.                         
                                       Mirage.                          
                                       Montero (MPV).\1\                
                                       Montero Sport (MPV).\1\          
                                       Tredia.                          
                                       3000GT.                          
NISSAN...............................  240SX.\1\                        
                                       Maxima.                          
                                       Pathfinder.\1\                   
                                       Sentra.\1\                       
                                       Stanza/Altima.\1\                
PEUGEOT..............................  405.                             
PORSCHE..............................  924S.                            
SUBARU...............................  XT.                              
                                       SVX.                             
                                       Forester (MPV).\2\               
                                       Legacy.                          
SUZUKI...............................  X90.\1\                          
                                       Samurai (MPV).\1\                
                                       Sidekick (MPV).\1\               
TOYOTA...............................  4-Runner (MPV).\1\               
                                       Avalon.                          
                                       Camry.                           
                                       Celica.                          
                                       Corolla/Corolla Sport.           
                                       MR2.                             
                                       RAV4 (MPV).\1\                   
                                       Starlet.                         
                                       Sienna (MPV).\2\                 
                                       Tercel.\1\                       
VOLKSWAGEN...........................  Audi Quattro.                    
                                       Rabbit.                          
                                       Scirocco.                        
------------------------------------------------------------------------
\1\ Lines added for MY 1997.                                            
\2\ Lines added for MY 1998.                                            
\3\ All Geo models will be replaced by the Chevrolet make identifier    
  beginning with MY 1998.                                               

[62 FR 40951, July 31, 1997]

    Appendix A-I.--High-Theft Lines With Antitheft Devices Which Are    
 Exempted From the Parts-Marking Requirements of This Standard Pursuant 
                           to 49 CFR Part 543                           
------------------------------------------------------------------------
             Manufacturer                        Subject lines          
------------------------------------------------------------------------
Austin Rover.........................  Sterling.                        
BMW..................................  5 Car Line.\1\                   
                                       7 Car Line                       
                                       8 Car Line.                      
Chrysler.............................  Chrysler Conquest.               
                                       Imperial.                        
General Motors.......................  Buick Park Avenue.\1\            
                                       Buick Regal/Century.\1\          
                                       Buick Riviera.                   
                                       Cadillac Allante.                
                                       Cadillac Seville.\2\             
                                       Chevrolet Cavalier.\1\           
                                       Chevrolet Corvette.              
                                       Chevrolet Lumina/Monte Carlo.    

[[Page 110]]

                                                                        
                                       Oldsmobile Aurora.               
                                       Oldsmobile Toronado.             
                                       Pontiac Sunfire.\2\              
Honda................................  Acura CL.\1\                     
                                       Acura Legend (MYs 1987-1996).\3\ 
                                       Acura NS-X.                      
                                       Acura RL.                        
                                       Acura SLX.\1\                    
                                       Acura TL.                        
                                       Acura Vigor (MYs 1992-1995).\4\  
Isuzu................................  Impulse (MYs 1987-1991).         
Jaguar...............................  XK8.\1\                          
Mazda................................  929.                             
                                       RX-7.                            
                                       Millenia.                        
                                       Amati 1000.                      
Mercedes-Benz........................  124 Car Line (the models within  
                                        this line are):                 
                                          300D.                         
                                          300E.                         
                                          300CE.                        
                                          300TE.                        
                                          400E.                         
                                          500E.                         
                                       129 Car Line (the models within  
                                        this line are):                 
                                          300SL.                        
                                          500SL.                        
                                          600SL.                        
                                          202 Car Line.                 
                                          C-Class.                      
Mitsubishi...........................  Galant.                          
                                       Starion.                         
                                       Diamante.                        
Nissan...............................  300ZX.                           
                                       Infiniti M30.                    
                                       Infiniti QX4.\1\                 
                                       Infiniti Q45.                    
                                       Infiniti J30.                    
                                       Infiniti I.                      
Porsche..............................  911.                             
                                       928.                             
                                       968.                             
                                       Boxster.                         
Saab.................................  900.                             
                                       9000.                            
Toyota...............................  Supra.                           
                                       Cressida.                        
                                       Lexus ES.                        
                                       Lexus GS.                        
                                       Lexus LS.                        
                                       Lexus SC.                        
Volkswagen...........................  Audi 5000S.                      
                                       Audi 100.                        
                                       Audi 200.                        
                                       Audi A6.                         
                                       Audi S4.                         
                                       Audi S6.                         
                                       Audi Cabriolet.                  
                                       Volkswagen Cabrio.               
                                       Volkswagen Corrado.              
                                       Volkswagen Golf/GTI.             
                                       Volkswagen Passat.\1\            
                                       Volkswagen Jetta/Jetta III.      
------------------------------------------------------------------------
\1\ Exempted in full beginning with MY 1997.                            
\2\ Exempted in full beginning with MY 1998.                            
\3\ Renamed the Acura RL beginning with MY 1997.                        
\4\ Replaced by the Acura TL beginning with MY 1996.                    

[62 FR 40952, July 31, 1997]

 Appendix A--II to Part 541.--High-Theft Lines With Antitheft Devices Which Are Exempted In-Part From the Parts-
                        Marking Requirements of This Standard Pursuant to 49 CFR Part 543                       
----------------------------------------------------------------------------------------------------------------
              Manufacturers                      Subject lines                     Parts to be marked           
----------------------------------------------------------------------------------------------------------------
General Motors..........................  Buick LeSabre..............  Engine, Transmission.                    
                                          Cadillac Deville...........  Engine, Transmission.                    
                                          Cadillac Eldorado..........  Engine, Transmission.                    
                                          Cadillac Sixty Special \1\.  Engine, Transmission.                    
                                          Oldsmobile 98..............  Engine, Transmission.                    
                                          Pontiac Bonneville.........  Engine, Transmission.                    
                                          Pontiac Firebird...........  Engine, Transmission.                    
                                          Chevrolet Camaro...........  Engine, Transmission.                    
                                          Oldsmobile 88 Royale.......  Engine, Transmission.                    
----------------------------------------------------------------------------------------------------------------
\1\ Renamed the Cadillac Concours beginning with MY 1994.                                                       

[[Page 111]]

                                                                                                                

[62 FR 40952, July 31, 1997]

Appendix B to Part 541--Passenger Motor Vehicle Lines (Except Light Duty 
Trucks) With Theft Rates Below the 1990/91 Median Theft Rate, Subject to 
                    the Requirements of This Standard

                                                                        
------------------------------------------------------------------------
             Manufacturer                         Subject lines         
------------------------------------------------------------------------
Chrysler..............................  Dodge Ramcharger (MPV).         
                                        Dodge Ram Wagon/Van B150.       
Ferrari...............................  Testarossa.                     
Ford..................................  Crown Victoria.                 
                                        Festiva.                        
                                        Mercury Grand Marquis.          
                                        Mercury Sable.                  
                                        Taurus.                         
General Motors........................  Chevrolet Astro (MPV).          
                                        Chevrolet Celebrity.            
                                        Chevrolet Sprint.               
                                        GMC Safari (MPV).               
                                        Oldsmobile Custom Cruiser.      
Honda.................................  Civic.                          
Mazda.................................  Navajo.                         
Nissan................................  Axxess.                         
Porsche...............................  944.                            
Rover Group...........................  Range Rover (MPV).              
Volvo.................................  760.                            
Volkswagen............................  Fox.                            
                                        Passat.                         
------------------------------------------------------------------------

[59 FR 64169, Dec. 13, 1994]

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

                                  Scope

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

                                 Purpose

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

                               Application

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

                               Methodology

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

                                Criteria

    1. Retail price of the vehicle line.
    2. Vehicle image or marketing strategy.
    3. Vehicle lines with which the new line is intended to compete, and 
the theft rates of such lines.
    4. Vehicle line(s), if any, which the new line is intended to 
replace, and the theft rate(s) of such line(s).
    5. Presence or absence of any new theft prevention devices or 
systems.
    6. Preliminary theft rate for the line, if it can be determined on 
the basis of currently available data.



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




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

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

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



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

    (a) Scope. This section sets forth the procedures for motor vehicle 
manufacturers and NHTSA to follow in the determination of whether any 
new vehicle line is likely to have a theft rate above or below the 
median theft rate.
    (b) Application. These procedures apply to each manufacturer that 
plans to introduce a new line into commerce in the United States on or 
after April 24, 1986, and to each of those new lines.
    (c) Procedures. (1)(i) For each new line introduced before the 1997 
model year, each manufacturer uses the criteria in appendix C of part 
541 of this chapter to evaluate each new line and to conclude whether 
the new line is likely to have a theft rate above or below the median 
theft rate established for calendar years 1990 and 1991.
    (ii) For each new line to be introduced for the 1997 or subsequent 
model

[[Page 112]]

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



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

    (a) Scope. This section sets forth the procedures for motor vehicle 
manufacturers and NHTSA to follow in the determination of whether any 
new lines that will be likely to have a low theft rate have major parts 
interchangeable with a majority of the covered major parts of a line 
having or likely to have a high theft rate.
    (b) Application. These procedures apply to:
    (1) Each manufacturer that produces--
    (i) At least one passenger motor vehicle line that has been or will 
be introduced into commerce in the United States and that has been 
listed in appendix A of part 541 of this chapter or that has been 
identified by the manufacturer or preliminarily or finally determined by 
NHTSA to be a high-theft line under Sec. 542.1, and
    (ii) At least one passenger motor vehicle line that will be 
introduced into commerce in the United States on or after April 24, 1986 
and that the manufacturer identifies as likely to have a theft rate 
below the median theft rate; and
    (2) Each of those likely submedian theft rate lines.
    (c) Procedures. (1)(i) For each new line that is to be introduced 
before the 1997 model year and that a manufacturer identifies under 
appendix C of part 541 of this chapter as likely to have a theft rate 
below the median rate, the manufacturer identifies how many and which of 
the major parts of that line

[[Page 113]]

will be interchangeable with the covered major parts of any other of its 
lines that has been listed in appendix A of part 541 of this chapter or 
identified by the manufacturer or preliminarily or finally determined by 
the agency to be a high theft line under Sec. 542.1.
    (ii) For each new line that is to be introduced in the 1997 or 
subsequent model years and that a manufacturer identifies under appendix 
C of part 541 of this chapter as likely to have a theft rate below the 
median rate, the manufacturer shall identify how many and which of the 
major parts of that line will be interchangeable with the covered major 
parts of any other of its lines that has been listed in appendix A of 
part 541 of this chapter or identified by the manufacturer or 
preliminarily or finally determined by the agency to be a high-theft 
line under Sec. 542.1.
    (2)(i) If the manufacturer concludes that a new line that is to be 
introduced before the 1997 model year has a likely submedian theft rate 
and will have major parts that are interchangeable with a majority of 
the covered major parts of a high theft line, the manufacturer 
determines whether all the vehicles of those lines with likely submedian 
theft rates and interchangeable parts will account for more than 90 
percent of the total annual production of all of the manufacturer's 
lines with those interchangeable parts.
    (ii) If the manufacturer concludes that a new line that is to be 
introduced for the 1997 or subsequent model years has a likely submedian 
theft rate and will have major parts that are interchangeable with a 
majority of the covered major parts of a high theft line, the 
manufacturer shall determine whether all the vehicles of those lines 
with likely submedian theft rates and interchangeable parts will account 
for more than 90 percent of the total annual production of all of the 
manufacturer's lines with those interchangeable parts.
    (3)(i) For new lines to be introduced before the 1997 model year, 
the manufacturer submits its evaluations and identifications made under 
paragraphs (c)(1)(i) and (2)(i) of this section, together with the 
underlying factual information, to NHTSA not less than 18 months before 
the date of introduction. During this period, the manufacturer may 
request a meeting with the agency to further explain the bases for its 
evaluations and conclusions.
    (ii) For new lines to be introduced for the 1997 and subsequent 
model years, the manufacturer shall submit its evaluations and 
conclusions made under paragraphs (c)(1)(ii) and (2)(ii) of this 
section, together with the underlying factual information, to NHTSA not 
less than 15 months before the date of introduction. During this period, 
the manufacturer may request a meeting with the agency to further 
explain the bases for its evaluations and conclusions.
    (4) Within 90 days after its receipt of the manufacturer's 
submission under paragraph (c)(3) of this section, the agency considers 
that submission, if any, and independently makes, on a preliminary 
basis, the determinations of those lines with likely submedian theft 
rates which should or should not be subject to Sec. 541.5 of this 
chapter. NHTSA informs the manufacturer by letter of the agency's 
preliminary determinations, together with the factual information 
considered by the agency in making them.
    (5) The manufacturer may request the agency to reconsider any of its 
preliminary determinations made under paragraph (c)(4) of this section. 
The manufacturer must submit its request to the agency within 30 days of 
its receipt of the letter under paragraph (c)(4) of this section 
informing it of the agency's evaluations and preliminary determinations. 
The request must include the facts and arguments underlying the 
manufacturer's objections to the agency's preliminary determinations. 
During this 30-day period, the manufacturer may also request a meeting 
with the agency to discuss those objections.
    (6) Each of the agency's preliminary determinations made under 
paragraph (c)(4) of this section becomes final 45 days after the agency 
sends the letter specified in that paragraph unless a request for 
reconsideration has been received in accordance with paragraph (c)(5) of 
this section. If such a request has been received, the agency makes its 
final determinations within 60 days

[[Page 114]]

of its receipt of the request. NHTSA informs the manufacturer by letter 
of those determinations and its response to the request for 
reconsideration.



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




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

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

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



Sec. 543.1  Scope.

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



Sec. 543.2  Purpose.

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



Sec. 543.3  Application.

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



Sec. 543.4  Definitions.

    (a) Statutory terms. All terms defined in sections 2, 601, and 605 
of the Motor Vehicle Information and Cost Savings Act are used in 
accordance with their statutory meanings unless otherwise defined in 
paragraph (b) of this section.
    (b) Other definitions.
    Line or car line means a name which a manufacturer applies to a 
group of motor vehicles of the same make which have the same body or 
chassis, or otherwise are similar in construction or design. A ``line'' 
may, for example, include 2-door, 4-door, station wagon, and hatchback 
vehicles of the same make.
    NHTSA means the National Highway Traffic Safety Administration.



Sec. 543.5  Petition: General requirements.

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

[[Page 115]]

    (6) Set forth in full the data, views, and arguments of the 
petitioner supporting the exemption, including the information specified 
in Sec. 543.6; and
    (7) Specify and segregate any part of the information and data 
submitted which the petitioner requests be withheld from public 
disclosure in accordance with part 512, Confidential Business 
Information, of this chapter.
[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994]



Sec. 543.6  Petition: Specific content requirements.

    (a) Each petition for exemption filed under this part must include:
    (1) A statement that an antitheft device will be installed as 
standard equipment on all vehicles in the line for which an exemption is 
sought;
    (2) A list naming each component in the antitheft system, and a 
diagram showing the location of each of those components within the 
vehicle;
    (3) A discussion that explains the means and process by which the 
device is activated and functions, including any aspect of the device 
designed to--
    (i) Facilitate or encourage its activation by motorists,
    (ii) Attract attention to the efforts of an unauthorized person to 
enter or move a vehicle by means other than a key,
    (iii) Prevent defeating or circumventing the device by an 
unauthorized person attempting to enter a vehicle by means other than a 
key,
    (iv) Prevent the operation of a vehicle which an unauthorized person 
has entered using means other than a key, and
    (v) Ensure the reliability and durability of the device;
    (4) The reasons for the petitioner's belief that the antitheft 
device will be effective in reducing and deterring motor vehicle theft, 
including any theft data and other data that are available to the 
petitioner and form a basis for that belief;
    (5) The reasons for the petitioner's belief that the agency should 
determine that the antitheft device is likely to be as effective as 
compliance with the parts-marking requirements of part 541 in reducing 
and deterring motor vehicle theft, including any statistical data that 
are available to the petitioner and form a basis for petitioner's belief 
that a line of passenger motor vehicles equipped with the antitheft 
device is likely to have a theft rate equal to or less than that of 
passenger motor vehicles of the same, or a similar, line which have 
parts marked in compliance with part 541.
    (b) Any petitioner submitting data under paragraph (a) (4) or (5) of 
this section shall submit an explanation of its belief that the data are 
sufficiently representative and reliable to warrant NHTSA's reliance 
upon them.
[52 FR 33829, Sept. 8, 1987, as amended at 59 FR 10758, Mar. 8, 1994]



Sec. 543.7  Processing an exemption petition.

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

[[Page 116]]

notifies the petitioner in writing of the agency's decision.



Sec. 543.8  Duration of exemption.

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



Sec. 543.9  Terminating or modifying an exemption.

    (a) On its own initiative or in response to a petition, NHTSA may 
commence a proceeding to terminate or modify any exemption granted under 
this part.
    (b) Any interested person may petition the agency to commence a 
proceeding to terminate or modify an exemption.
    (c)(1) In a petition to terminate an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) State the reasons for petitioner's belief that the standard 
equipment antitheft device installed under the exemption is not as 
effective as compliance with the parts-marking requirements of part 541 
in reducing and deterring motor vehicle theft;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7).
    (2) In a petition to modify an exemption, the petitioner must:
    (i) Identify the vehicle line or lines that are the subject of the 
exemption;
    (ii) Request permission to use an antitheft device similar to, but 
different from the standard equipment antitheft device which is 
installed under the exemption;
    (iii) Comply with Sec. 543.5, paragraphs (b) (1) through (3) and 
(7); and
    (iv) Provide the same information for the modified device that is 
required under Sec. 543.6 for a new device, except that the information 
specified by Sec. 543.6(a)(3) need by provided only to the extent that 
the modified device differs from the standard equipment antitheft device 
installed under the exemption.
    (d) NHTSA processes any complete petition. If a person submits a 
petition under this section that does not contain all the information 
required by it, NHTSA informs the manufacturer of the areas of 
insufficiency and advises the manufacturer that the agency does not 
process the petition until it receives the required information.
    (e) If NHTSA denies a petition requesting a proceeding to terminate 
or modify an exemption, the agency notifies the petitioner by letter.
    (f) If NHTSA commences a termination proceeding on its own 
initiative or in response to a petition, the agency provides the 
manufacturer of the exempted line with a copy of the petition, if any, a 
written statement of NHTSA's reasons for commencing the proceeding, and 
an opportunity to present its written views.
    (g)(1) The agency terminates an exemption if it determines that the 
antitheft device installed under the exemption has not been as effective 
as parts-marking in reducing and deterring motor vehicle theft.
    (2) Except as provided in paragraph (g)(3) of this section, a 
decision to terminate an exemption under this section takes effect on 
the later of the following dates:
    (i) The last day of the model year in which NHTSA issues the 
termination decision, or
    (ii) Six months after the manufacturer receives written notice of 
the termination.
    (3) If a manufacturer shows good cause why terminating its exemption 
effective on a date later than the one specified in paragraph (g)(2) of 
this section is consistent with the public interest and the purposes of 
the Act, the agency may set such later date.
    (h)(1) The agency modifies an exemption if it detemines, based on 
substantial evidence, that the modified antitheft device described in 
the petition is likely to be as effective in reducing and deterring 
motor vehicle theft as compliance with the parts-marking requirements of 
part 541.
    (2)(i) Except as provided in paragraph (h)(2)(ii) of this section, a 
decision to modify an exemption under this section takes effect on the 
first day of the model year following the model year in which NHTSA 
issued the modification decision.
    (ii) If a manufacturer shows good cause why modifying its exemption 
effective on a date earlier than the one

[[Page 117]]

specified in paragraph (h)(2)(i) of this section is consistent with the 
public interest and the purposes of the Act, the agency may set such 
earlier date.
    (i) [Reserved]
    (j) NHTSA publishes notice in the Federal Register of any agency 
decision terminating or modifying an exemption, and notifies the 
affected manufacturer in writing.



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




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


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

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

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



Sec. 544.1  Scope.

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



Sec. 544.2  Purpose.

    The purpose of these reporting requirements in this part is to aid 
in implementing and evaluating the provisions of 49 U.S.C. Chapter 331 
Theft Prevention to prevent or discourage the theft of motor vehicles, 
to prevent or discourage the sale or distribution in interstate commerce 
of used parts removed from stolen motor vehicles, and to help reduce the 
cost to consumers of comprehensive insurance coverage for motor 
vehicles.
[62 FR 33756, June 23, 1997]



Sec. 544.3  Application.

    This part applies to the motor vehicle insurance policy issuers 
listed in appendices A or B, and to the motor vehicle rental and leasing 
companies listed in appendix C.
[55 FR 25609, June 22, 1990]



Sec. 544.4  Definitions.

    (a) Statutory terms. All terms defined in 49 U.S.C. 33101 and 33112 
are used in accordance with their statutory meanings unless otherwise 
defined in paragraph (b) of this section.
    (b) Other definitions. (1) Comprehensive insurance coverage means 
the indemnification of motor vehicle owners by an insurer against losses 
due to fire, theft, robbery, pilferage, malicious mischief and 
vandalism, and damage resulting from floods, water, tornadoes, cyclones, 
or windstorms.
    (2) Gross vehicle weight rating is used as defined at Sec. 571.3 of 
this chapter.
    (3) Heavy truck means a truck with a gross vehicle weight rating of 
more than 10,000 pounds.
    (4) Light truck means a truck with a gross vehicle weight rating of 
10,000 pounds or less.
    (5) Major part means--
    (i) In the case of passenger motor vehicles, any part listed in 
Sec. 541.5(a) (1) through (14) of this chapter;
    (ii) In the case of light trucks, any part listed in Sec. 541.4(a) 
(1) through (14) of this chapter, or the cargo bed or transfer case;
    (iii) In the case of heavy trucks, any part listed in Sec. 541.5(a) 
(1) through (14) of this chapter, or the cargo bed, drive axle assembly, 
fifth wheel, sleeper, or the transfer case;
    (iv) In the case of multipurpose passenger vehicles, any part listed 
in Sec. 541.5(a) (1) through (14) of this chapter, or the cargo bed or 
transfer case; and
    (v) In the case of motorcycles, the crankcase, engine, frame, front 
fork, or transmission.

[[Page 118]]

    (6) Motorcycle is used as defined at Sec. 571.3 of this chapter.
    (7) Motorcycle vehicle means a passenger motor vehicle, multipurpose 
passenger vehicle, truck, or motorcycle.
    (8) Multipurpose passenger vehicle is used as defined at Sec. 571.3 
of this chapter.
    (9) Recovery means regaining physical possession of a motor vehicle 
or a major portion of the superstructure of a motor vehicle with one or 
more major parts still attached to the superstructure, after that 
vehicle has been stolen.
    (10) Recovery-in-part means a recovery in which one or more of the 
recovered vehicle's major parts is missing at the time of recovery.
    (11) Recovery intact means a recovery with none of the recovered 
vehicle's major parts missing at the time of recovery, and with no 
apparent damage to any part of the motor vehicle other than those parts 
damaged in order to enter, start, and operate the vehicle, but with 
additional mileage and ordinary wear and tear.
    (12) Recovery-in-whole means a recovery with none of the recovered 
vehicle's major parts missing at the time of recovery, but with apparent 
damage to some part or parts of the vehicle in addition to those parts 
damaged in order to enter, start, and operate the vehicle.
    (13) Reporting period means the calendar year covered by a report 
submitted under this part.
    (14) Truck is used as defined at Sec. 571.3 of this chapter.
    (15)(i) In the case of insurers that issue motor vehicle insurance 
policies, vehicle theft means an actual physical removal of a motor 
vehicle without the permission of its owner, but does not include the 
removal of component parts, accessories, or personal belongings from a 
motor vehicle which is not moved.
    (ii) In the case of an insurer which has a fleet of 20 or more 
vehicles (other than a governmental entity) used primarily for rental or 
lease and not covered by theft insurance policies issued by insurers of 
motor vehicles, ``vehicle theft'' means an actual physical removal of a 
motor vehicle without the permission of its owner, or keeping possession 
of the motor vehicle without permission of its owner for a sufficient 
period of time so that the vehicle could have been reported as stolen to 
the State police in the State in which the vehicle was to have been 
returned. However, vehicle theft does not include the removal of 
component parts, accessories, or personal belongings from a motor 
vehicle which is not moved.
[52 FR 76, Jan. 2, 1987, as amended at 60 FR 33148, June 27, 1995; 61 FR 
41987, Aug. 13, 1996; 62 FR 33756, June 23, 1997]



Sec. 544.5  General requirements for reports.

    (a) Each insurer to which this part applies shall submit a report 
annually not later than October 25, beginning on October 25, 1986. This 
report shall contain the information required by Sec. 544.6 of this part 
for the calendar year three years previous to the year in which the 
report is filed (e.g., the report due by October 25, 1997 shall contain 
the required information for the 1994 calendar year).
    (b) Each report required by this part must:
    (1) Have a heading preceding its text that includes the words 
``Insurer Report'';
    (2) Identify the insurer, including all subsidiary companies, on 
whose behalf the report is submitted, and the designated agent, if any, 
submitting the report or that will submit further documents to complete 
the report;
    (3) Identify the State or States in which the insurer did business 
during the reporting period;
    (4) State the full name and title of the official responsible for 
preparing the report, and the address of the insurer;
    (5) Identify the reporting period covered by the report;
    (6) Be written in the English language;
    (7) Include a glossary defining all acronyms and terms of art used 
in the report, unless those acronyms and terms of art are defined 
immediately after they first appear in the report;
    (8) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590; and

[[Page 119]]

    (9) If the insurer wishes to submit certain information under a 
claim of confidentiality, be submitted in accordance with part 512 of 
this chapter.
[52 FR 76, Jan. 2, 1987, 60 FR 33149, June 27, 1995, as amended at 61 FR 
41987, Aug. 13, 1996; 62 FR 33756, June 23, 1997]



Sec. 544.6  Contents of insurer reports.

    (a)(1) In the case of insurers that issue motor vehicle insurance 
policies, provide the information specified in paragraphs (b) through 
(g) of this section for each State in which the insurer, including any 
subsidiary, did business during the reporting period if the insurer is 
listed in appendix A, or for each State listed after the insurer's name 
if the insurer is listed in appendix B.
    (2) In the case of a motor vehicle rental or leasing company listed 
in appendix C, provide the information specified in paragraphs (c), 
(d)(2)(iv), and (g) of this section for each vehicle type listed in 
paragraph (b) of this section, for each State in which the company, 
including any licensee, franchisee, or subsidiary, did business during 
the reporting period. The information for each listed company shall 
include all relevant information from any licensee, franchisee, or 
subsidiary.
    (b) For each of the following vehicle types, provide the information 
specified in paragraphs (c) through (g) of this section for all vehicles 
of that type insured by the insurer during the reporting period--
    (1) Passenger cars.
    (2) Multipurpose passenger vehicles.
    (3) Light trucks.
    (4) Heavy trucks.
    (5) Motorcycles.
    (c)(1) List the total number of vehicle thefts for vehicles 
manufactured in the 1983 or subsequent model years, subdivided into 
model year, model, make, and line, for this type of motor vehicle.
    (2) List the total number of recoveries for vehicles manufactured in 
the 1983 or subsequent model years, subdivided into model year, model, 
make, and line, for this type of motor vehicle. Beginning with the 
report due not later than October 25, 1987, for each of these subdivided 
number of recoveries, indicate how many were:
    (i) Recoveries intact;
    (ii) Recoveries-in-whole; and
    (iii) Recoveries-in-part.
    (3) Explain how the theft and recovery data set forth in response to 
paragraphs (c) (1) and (2) of this section were obtained by the insurer, 
and the steps taken by the insurer to ensure that these data are 
accurate and timely.
    (4) Explain the use made by the insurer of the information set forth 
in response to paragraphs (c) (1) and (2) of this section, including the 
extent to which such information is reported to national, public, and 
private entities (e.g., the Federal Bureau of Investigation and State 
and local police). If such reports are made, state the frequency and 
timing of the reporting.
    (d)(1) Provide the rating characteristics used by the insurer to 
establish the premiums it charges for comprehensive insurance coverage 
for this type of motor vehicle and the premium penalties for vehicles of 
this type considered by the insurer as more likely to be stolen. This 
requirement may be satisfied by furnishing the pertinent sections of the 
insurer's rate manual(s).
    (2) Provide the loss data used by the insurer to establish the 
premiums it charges for comprehensive insurance coverage for this type 
of motor vehicle and the premium penalties it charges for vehicles of 
this type it considers as more likely to be stolen. This requirement may 
be satisfied by providing the following:
    (i) The total number of comprehensive insurance claims paid by the 
insurer during the reporting period;
    (ii)(A) The total number of claims listed in (d)(2)(i) of this 
section that arose from a theft;
    (B) The insurer's best estimate of the percentage of the number 
listed in paragraph (d)(2)(ii)(A) of this section that arose from 
vehicle thefts, and an explanation of the basis for the estimate;
    (iii) The total amount (in dollars) paid out by the insurer during 
the reporting period in response to all the comprehensive claims filed 
by its policyholders;
    (iv)(A) In the case of insurers listed in appendix A or B, provide--

[[Page 120]]

    (1) The total amount (in dollars) listed under paragraph (d)(2)(iii) 
of this section paid out by the insurer as a result of theft; and
    (2) The insurer's best estimate of the percentage of the dollar 
total listed in paragraph (d)(2)(iv)(A)(1) of this section that arose 
from vehicle thefts, and an explanation of the basis for the estimate;
    (B) In the case of other insurers subject to this part, the net 
losses suffered by the insurer (in dollars) as a result of vehicle 
theft;
    (v)(A) The total amount (in dollars) recovered by the insurer from 
the sale of recovered vehicles, major parts recovered not attached to 
the vehicle superstructure, or other recovered parts, after the insurer 
had made a payment listed under paragraph (d)(2)(iv) of this section.
    (B) The insurer's best estimate of the percentage of the dollar 
total listed in paragraph (d)(2)(v)(A) of this section that arose from 
vehicle thefts, and an explanation of the basis for the estimate;
    (vi) An identification of the vehicles for which the insurer charges 
comprehensive insurance premium penalties, because the insurer considers 
such vehicles as more likely to be stolen;
    (vii) The total number of comprehensive insurance claims paid by the 
insurer for each vehicle risk grouping identified in paragraph 
(d)(2)(vi) of this section during the reporting period, and the total 
amount (in dollars) paid out by the insurer in response to each of the 
listed claims totals; and
    (viii) The maximum premium adjustments (as a percentage of the basic 
comprehensive insurance premium) made for each vehicle risk grouping 
identified in paragraph (d)(2)(vi) of this section during the reporting 
period, as a result of the insurer's determination that such vehicles 
are more likely to be stolen.
    (3) Identify any other rating rules and plans used by the insurer to 
establish its comprehensive insurance premiums and premium penalties for 
motor vehicles it considers as more likely to be stolen, and explain how 
such rating rules and plans are used to establish the premiums and 
premium penalties.
    (4) Explain the basis for the insurer's comprehensive insurance 
premiums and the premium penalties charged for motor vehicles it 
considers as more likely to be stolen. This requirement may be satisfied 
by providing the pertinent sections of materials filed with State 
insurance regulatory officials and clearly indicating which information 
in those sections is being submitted in compliance with this paragraph.
    (e) List each action taken by the insurer to reduce the premiums it 
charges for comprehensive insurance coverage because of a reduction in 
thefts of this type of motor vehicle. For each action:
    (1) State the conditions that must be satisfied to receive such a 
reduction (e.g., installation of antitheft device, marking of vehicle in 
accordance with theft prevention standard, etc.);
    (2) State the number of the insurer's policyholders and the total 
number of vehicles insured by the insurer that received this reduction; 
and
    (3) State the difference in average comprehensive insurance premiums 
for those policyholders that received this reduction versus those 
policyholders that did not receive the reduction.
    (f) In the case of an insurer that offered a reduction in its 
comprehensive insurance premiums for vehicles equipped with antitheft 
devices, provide:
    (1) The specific criteria used by the insurer to determine whether a 
vehicle is eligible for the reduction (original equipment antitheft 
device, passive antitheft device, etc.);
    (2) The total number of vehicle thefts for vehicles manufactured in 
the 1983 or subsequent model years that received a reduction under each 
listed criterion; and
    (3) The total number of recoveries of vehicles manufactured in the 
1983 or subsequent model years that received a reduction under each 
listed criterion. Beginning with the report due not later than October 
25, 1987, indicate how many of the total number of recoveries were--
    (i) Recoveries intact;
    (ii) Recoveries-in-whole; and
    (iii) Recoveries-in-part.

[[Page 121]]

    (g)(1) List each action taken by the insurer to assist in deterring 
or reducing thefts of motor vehicles. For each action, describe the 
action and explain why the insurer believed it would be effective in 
deterring or reducing motor vehicle thefts.
    (2)(i) State the insurer's policy regarding the use of used parts to 
effect repairs paid for by the insurer on vehicles it insures. Indicate 
whether the insurer required, promoted, allowed, or forbade the use of 
used parts in those repairs.
    (ii) In the case of insurers requiring, promoting, or allowing the 
use of used parts to make repairs paid for by the insurer on vehicles it 
insures, indicate the precautions taken by or on behalf of the insurer 
to identify the origin of those used parts.
[52 FR 76, Jan. 2, 1987, as amended at 55 FR 25610, June 22, 1990]



Sec. 544.7  Incorporating previously filed documents.

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

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

Aetna Life & Casualty Group
Allstate Insurance Group
American Family Group
American International Group
California State Auto Association
CNA Insurance Companies
Farmers Insurance Group
Geico Corporation Group
ITT Hartford Insurance Group
Liberty Mutual Group
Metropolitan Group
Nationwide Group
Progressive Group
Prudential of America Group
Safeco Insurance Companies
State Farm Group
Travelers Insurance Group
USAA Group
[62 FR 33756, June 23, 1997]

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

Alfa Insurance Group (Alabama)
Arbella Mutual Insurance (Massachusetts)
Auto Club of Michigan (Michigan)
Commerce Group, Inc. (Massachusetts)
Commercial Union Insurance Companies (Maine)
Concord Group Insurance Companies (Vermont)
Erie Insurance Group (Pennsylvania)
Integon Corporate Group (North Carolina) \1\
---------------------------------------------------------------------------

    \1\ Indicates a newly listed company which must file a report 
beginning with the report due on October 25, 1997.
---------------------------------------------------------------------------

Kentucky Farm Bureau Group (Kentucky)
Tennessee Farmers Companies (Tennessee)
Nodak Mutual Insurance Company (North Dakota)
Southern Farm Bureau Casualty Group (Arkansas, Mississippi)
[62 FR 33756, June 23, 1997]

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

Alamo Rent-A-Car, Inc.
ARI (Automotive Rentals, Inc.) \1\
A T & T Automotive Services, Inc.\1\

[[Page 122]]

Avis, Inc.
Budget Rent-A-Car Corporation
Citicorp Bankers Leasing Corporation
Dollar Rent-A-Car Systems, Inc.
Donlen Corporation
Hertz Rent-A-Car Division (subsidiary of Hertz Corporation)
Lease Plan International
National Car Rental System, Inc.
Penske Truck Leasing Company
Ryder System, Inc. (Both rental and leasing operations)
U-Haul International, Inc. (Subsidiary of AMERCO)
USL Capital Fleet Services
[62 FR 33756, June 23, 1997]



PART 551--PROCEDURAL RULES--Table of Contents




                           Subpart A--General

Sec.
551.1  Scope.

                          Subpart B--[Reserved]

                    Subpart C--Submittals in Writing

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

                  Subpart D--Service of Process; Agents

551.45  Service of process on foreign manufacturers and importers.

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

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



                           Subpart A--General



Sec. 551.1  Scope.

    This part contains rules of procedure generally applicable to the 
transaction of official business under the National Traffic and Motor 
Vehicle Safety Act of 1966, the Motor Vehicle Information and Cost 
Savings Act, and the Highway Safety Act of 1966. These rules apply in 
addition to the rules governing specific proceedings. In case of 
inconsistency with these general rules, the specific rules prevail.
[33 FR 19700, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 38 FR 20086, July 27, 1973]



                          Subpart B--[Reserved]



                    Subpart C--Submittals in Writing



Sec. 551.31  Form of communications.

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



Sec. 551.33  Address of communications.

    Unless otherwise specified, communications shall be addressed to the 
Administrator, National Highway Traffic Safety Administration, U.S. 
Department of Transportation, 400 Seventh Street SW., Washington, DC 
20590. Communications may not be addressed to a staff member's private 
address.
[36 FR 1147, Jan. 23, 1971; 38 FR 20086, July 27, 1973]



Sec. 551.35  Subscription of communications.

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



Sec. 551.37  Language of communications.

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

[[Page 123]]



                  Subpart D--Service of Process; Agents



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

    (a) Designation of agent for service. Any manufacturer, assembler, 
or importer of motor vehicles or motor vehicle equipment (hereinafter 
called manufacturer) before offering a motor vehicle or item of motor 
vehicle equipment for importation into the United States, shall 
designate a permanent resident of the United States as his agent upon 
whom service of all processes, notices, orders, decisions, and 
requirements may be made for him and on his behalf as provided in 
section 110(e) of the National Traffic and Motor Vehicle Safety Act of 
1966 (80 Stat. 718) and in this section. The agent may be an individual, 
a firm, or a domestic corporation. Any number of manufacturers may 
designate the same person as agent.
    (b) Form and contents of designation. The designation shall be 
addressed to the Administrator, National Highway Traffic Safety 
Administration, U.S. Department of Transportation, 400 Seventh Street 
SW., Washington, DC 20590. It shall be in writing and dated; all 
signatures shall be in ink. The designation shall be made in legal form 
required to make it valid, and binding on the manufacturer, under the 
laws, corporate bylaws, or other requirements governing the making of 
the designation by the manufacturer at the place and time where it is 
made, and the person or persons signing the designation shall certify 
that it is so made. The designation shall disclose the full legal name, 
principal place of business, and mailing address of the manufacturer. If 
any of the products of the manufacturer do not bear his legal name, the 
marks, trade names, or other designations of origin which these products 
bear shall be stated in the designation. The designation of agent shall 
provide that it remains in effect until withdrawn or replaced by the 
manufacturer. The designation shall bear a declaration of acceptance 
duly signed by the designated agent. The full legal name and mailing 
address of the agent shall be stated. Designations are binding on the 
manufacturer even when not in compliance with all the requirements of 
this section, until rejected by the Administrator. The designated agent 
may not assign performance of his functions under the designation to 
another person.
    (c) Method of service. Service of any process, notice, order, 
requirement, or decision specified in section 110(e) of the National 
Traffic and Motor Vehicle Safety Act of 1966 may be made by registered 
or certified mail addressed to the agent, with return receipt requested, 
or in any other manner authorized by law. If service cannot be effected 
because the agent has died (or, if a firm or a corporation ceased to 
exist) or moved, or otherwise does not receive correctly addressed mail, 
service may be made by posting as provided in section 110(e).
[33 FR 19700, Dec. 25, 1968. Redesignated and amended at 35 FR 5118, 
Mar. 26, 1970; 36 FR 1147, Jan. 23, 1971; 48 FR 44081, Sept. 27, 1983]



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




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

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

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



Sec. 552.1  Scope.

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

60 FR 17267, Apr. 5, 1995]

[[Page 124]]



Sec. 552.2  Purpose.

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

60 FR 17267, Apr. 5, 1995]



Sec. 552.3  General.

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

60 FR 17267, Apr. 5, 1995]



Sec. 552.4  Requirements for petition.

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



Sec. 552.5  Improperly filed petitions.

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



Sec. 552.6  Technical review.

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

60 FR 17267, Apr. 5, 1995]



Sec. 552.7  Public meeting.

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



Sec. 552.8  Notification of agency action on the petition.

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

[[Page 125]]

or deny the petition within 120 days after its receipt of the petition.

60 FR 17267, Apr. 5, 1995]



Sec. 552.9  Grant of petition.

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



Sec. 552.10  Denial of petition.

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



PART 553--RULEMAKING PROCEDURES--Table of Contents




                           Subpart A--General

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

               Subpart B--Procedures for Adoption of Rules

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

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

                               Authority:

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

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



                           Subpart A--General



Sec. 553.1  Applicability.

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



Sec. 553.3  Definitions.

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



Sec. 553.5  Regulatory docket.

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

[[Page 126]]

the public under applicable provisions of Title 49 and section 552(b) of 
title 5 of the U.S.C., and may obtain a copy of it upon payment of a 
fee.



Sec. 553.7  Records.

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



               Subpart B--Procedures for Adoption of Rules



Sec. 553.11  Initiation of rulemaking.

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



Sec. 553.13  Notice of proposed rulemaking.

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



Sec. 553.15  Contents of notices of proposed rulemaking.

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



Sec. 553.17  Participation of interested persons.

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



Sec. 553.19  Petitions for extension of time to comment.

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



Sec. 553.21  Contents of written comments.

    All written comments shall be in English. Unless otherwise specified 
in a notice requesting comments, comments may not exceed 15 pages in 
length, but necessary attachments may be appended to the submission 
without regard to the 15-page limit. Any interested person shall submit 
as a part of his written comments all material that he considers 
relevant to any statement of fact made by him. Incorporation by 
reference should be avoided. However,

[[Page 127]]

if incorporation by reference is necessary, the incorporated material 
shall be identified with respect to document and page. It is requested, 
but not required, that 10 copies and attachments, if any, be submitted.



Sec. 553.23  Consideration of comments received.

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



Sec. 553.25  Additional rulemaking proceedings.

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



Sec. 553.27  Hearings.

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



Sec. 553.29  Adoption of final rules.

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



Sec. 553.31-553.33  [Reserved]



Sec. 553.35  Petitions for reconsideration.

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



Sec. 553.37  Proceedings on petitions for reconsideration.

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

[[Page 128]]

or denial of a petition for reconsideration, for issuance to the 
petitioner, and issues it to the petitioner. The Administrator may 
consolidate petitions relating to the same rule.



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

    The filing of a timely petition for reconsideration of any rule 
issued under this part postpones the expiration of the statutory period 
in which to seek judicial review of that rule only as to the petitioner, 
and not as to other interested persons. For the petitioner, the period 
for seeking judicial review will commence at the time the agency takes 
final action upon the petition for reconsideration.
[60 FR 63651, Dec. 12, 1995]

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

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



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




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

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

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



Sec. 554.1  Scope.

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



Sec. 554.2  Purpose.

    The purpose of this part is to inform interested persons of the 
procedures followed by the National Highway Traffic Safety 
Administration in order more fairly and effectively to implement 49 
U.S.C. Chapter 301.
[60 FR 17267, Apr. 5, 1995]



Sec. 554.3  Application.

    This part applies to actions, investigations, and defect and 
noncompliance decisions of the National Highway traffic Safety 
Administration under 49 U.S.C. 30116, 30117, 30118, 30120 and 30165.
[60 FR 17267, Apr. 5, 1995]



Sec. 554.4  Office of Vehicle Safety Compliance.

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



Sec. 554.5  Office of Defects Investigation.

    The Office of Defects Investigation conducts investigations to 
implement the provisions of the Act concerning the identification and 
correction of safety-related defects in motor vehicles and motor vehicle 
equipment. It elicits

[[Page 129]]

from every available source and evaluates on a continuing basis any 
information suggesting the existence of a safety-related defect.



Sec. 554.6  Opening an investigation.

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



Sec. 554.7  Investigation priorities.

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



Sec. 554.8  Monthly reports.

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



Sec. 554.9  Availability of files.

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



Sec. 554.10  Initial determinations and public meetings.

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

[[Page 130]]

    (4) States the time and place of a public meeting or the deadline 
for written submission in which the manufacturer and interested persons 
may present information, views, and arguments respecting the decision.
    (d) A transcript of the public meeting is kept and exhibits may be 
offered. There is no cross-examination of witnesses.
[45 FR 10797, Feb. 19, 1980, as amended at 60 FR 17267, Apr. 5, 1995]



Sec. 554.11  Final decisions.

    (a) The Administrator bases his final decision on the completed 
investigative file and on information, views, and arguments submitted at 
the public meeting.
    (b) If the Administrator decides that a failure to comply or a 
safety-related defect exists, he orders the manufacturer to furnish the 
notification specified in 49 U.S.C. 30118 and 30119 and to remedy the 
defect or failure to comply.
    (c) If the Administrator closes an investigation following an 
initial determination, without making a final determination that a 
failure to comply or a safety-related defect exists, he or she will so 
notify the manufacturer and publish a notice of that closing in the 
Federal Register.
    (d) A statement of the Administrator's final decision and the 
reasons for it appears in each completed public file.
[60 FR 17268, Apr. 5, 1995]



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




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

    Authority:  49 U.S.C. 30113; delegation of authority at 49 CFR 1.50.

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



Sec. 555.1  Scope.

    This part establishes requirements for the temporary exemption, by 
the National Highway Traffic Safety Administration (NHTSA), of certain 
motor vehicles from compliance with one or more Federal motor vehicle 
safety standards in accordance with section 123 of the National Traffic 
and Motor Vehicle Safety Act of 1966, 15 U.S.C. 1410.



Sec. 555.2  Purpose.

    The purpose of this part is to provide a means by which 
manufacturers of motor vehicles may obtain temporary exemptions from 
Federal motor vehicle safety standards on the basis of substantial 
economic hardship, facilitation of the development of new motor vehicle 
safety or low-emission engine features, or existence of an equivalent 
overall level of motor vehicle safety.



Sec. 555.3  Application.

    This part applies to manufacturers of motor vehicles.



Sec. 555.4  Definitions.

    Administrator means the National Highway Traffic Safety 
Administrator or his delegate.
    United States means the several States, the District of Columbia, 
the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal 
Zone, and American Samoa.



Sec. 555.5  Petition for exemption.

    (a) A manufacturer of motor vehicles may petition the NHTSA for a 
temporary exemption from any Federal motor vehicle safety standard or 
for a renewal of any exemption on the bases of substantial economic 
hardship, facilitation of the development of new motor vehicle safety or 
low-emission engine features, or the existence of an equivalent overall 
level of motor vehicle safety.
    (b) Each petition filed under this part for an exemption or its 
renewal must--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;

[[Page 131]]

    (3) State the full name and address of the applicant, the nature of 
its organization (individual, partnership, corporation, etc.) and the 
name of the State or country under the laws of which it is organized;
    (4) State the number and title, and the text or substance of the 
standard or portion thereof from which the temporary exemption is 
sought, and the length of time desired for such exemption;
    (5) Set forth the basis for the petition and the information 
required by Sec. 555.6(a), (b), (c), or (d) as appropriate.
    (6) Specify any part of the information and data submitted which 
petitioner requests be withheld from public disclosure in accordance 
with part 512 of this chapter.
    (7) Set forth the reasons why the granting of the exemption would be 
in the public interest and consistent with the objectives of the 
National Traffic and Motor Vehicle Safety Act.
    (c) The knowing and willful submission of false, fictitious or 
fraudulent information will subject the petitioner to the civil and 
criminal penalties of 18 U.S.C. 1001.
[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 46 
FR 2063, Jan. 8, 1981]



Sec. 555.6  Basis for petition.

    (a) If the basis of the petition is substantial economic hardship 
the petitioner shall provide the following information.
    (1) Engineering and financial information demonstrating in detail 
how compliance or failure to obtain an exemption would cause substantial 
economic hardship, including--
    (i) A list or description of each item of motor vehicle equipment 
that would have to be modified in order to achieve compliance;
    (ii) The itemized estimated cost to modify each such item of motor 
vehicle equipment if compliance were to be achieved--
    (A) As soon as possible,
    (B) At the end of a 1-year exemption period (if the petition is for 
1 year or more),
    (C) At the end of a 2-year exemption period (if the petition is for 
2 years or more),
    (D) At the end of a 3-year exemption period (if the petition is for 
3 years),
    (iii) The estimated price increase per vehicle to balance the total 
costs incurred pursuant to paragraph (a)(1)(ii) of this section and a 
statement of the anticipated effect of each such price increase;
    (iv) Corporate balance sheets and income statements for the three 
fiscal years immediately preceding the filing of the application;
    (v) Projected balance sheet and income statement for the fiscal year 
following a denial of the petition; and
    (vi) A discussion of any other hardships (e.g., loss of market) that 
the petitioner desires the agency to consider.
    (2) A description of its efforts to comply with the standards, 
including--
    (i) A chronological analysis of such efforts showing its 
relationship to the rule making history of the standard from which 
exemption is sought;
    (ii) A discussion of alternate means of compliance considered and 
the reasons for rejection of each;
    (iii) A description of the steps to be taken, while the exemption is 
in effect, and the estimated date by which full compliance will be 
achieved either by design changes or termination of production of 
nonconforming vehicles; and
    (iv) The total number of motor vehicles produced by or on behalf of 
the petitioner in the 12-month period prior to filing the petition, and 
the inclusive dates of the period. (Section 123 of the Act limits 
eligibility for exemption on the basis of economic hardship to 
manufacturers whose total motor vehicle production does not exceed 
10,000.)
    (b) If the basis of the petition is the development or field 
evaluation of new motor vehicle safety features, the petitioner shall 
provide the following information:
    (1) A description of the safety features, and research, development, 
and testing documentation establishing the innovational nature of such 
features.
    (2) An analysis establishing that the level of safety of the 
features is equivalent to or exceeds the level of safety established in 
the standard from which exemption is sought, including--
    (i) A detailed description of how a motor vehicle equipped with the 
safety

[[Page 132]]

features differs from one that complies with the standard;
    (ii) If applicant is presently manufacturing a vehicle conforming to 
the standard, the results of tests conducted to substantiate 
certification to the standard; and
    (iii) The results of tests conducted on the safety features that 
demonstrate performance which meets or exceeds the requirements of the 
standard.
    (3) Substantiation that a temporary exemption would facilitate the 
development or field evaluation of the vehicle.
    (4) A statement whether, at the end of the exemption period, the 
manufacturer intends to conform to the standard, apply for a further 
exemption, or petition for rulemaking to amend the standard to 
incorporate the safety features.
    (5) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. A petition for renewal of 
such an exemption shall also include the total number of exempted 
vehicles sold in the United States under the existing exemption.
    (c) If the basis of the petition is the development or field 
evaluation of a low-emission motor vehicle, the petitioner shall 
provide--
    (1) Substantiation that the motor vehicle is a low-emission vehicle 
as defined by section 123(g) of the Act.
    (2) Research, development, and testing documentation establishing 
that a temporary exemption would not unreasonably degrade the safety of 
the vehicle, including--
    (i) A detailed description of how the motor vehicle equipped with 
the low-emission engine would, if exempted, differ from one that 
complies with the standard;
    (ii) If applicant is presently manufacturing a vehicle conforming to 
the standard, the results of tests conducted to substantiate 
certification to the standard;
    (iii) The results of any tests conducted on the vehicle that 
demonstrate its failure to meet the standard, expressed as comparative 
performance levels; and
    (iv) Reasons why the failure to meet the standard does not 
unreasonably degrade the safety of the vehicle.
    (3) Substantiation that a temporary exemption would facilitate the 
development or field evaluation of the vehicle.
    (4) A statement whether, at the end of the exemption period, the 
manufacturer intends to conform with the standard.
    (5) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. A petition for renewal of an 
exemption shall also include the total number of exempted vehicles sold 
in the United States under the existing exemption.
    (d) If the basis of the petition is that the petitioner is otherwise 
unable to sell a motor vehicle whose overall level of safety is 
equivalent to or exceeds the overall level of safety of nonexempted 
motor vehicles, the petitioner shall provide--
    (1) A detailed analysis of how the vehicle provides an overall level 
of safety equivalent to or exceeding the overall safety of nonexempted 
vehicles, including--
    (i) A detailed description of how the motor vehicle, if exempted, 
differs from one that conforms to the standard;
    (ii) A detailed description of any safety features that the motor 
vehicle offers as standard equipment that are not required by the 
Federal motor vehicle safety standards;
    (iii) The results of any tests conducted on the vehicle 
demonstrating that it fails to meet the standard, expressed as 
comparative performance levels;
    (iv) The results of any tests conducted on the vehicle demonstrating 
that its overall level of safety exceeds that which is achieved by 
conformity to the standards.
    (v) Other arguments that the overall level of safety of the vehicle 
equals or exceeds the level of safety of nonexempted vehicles.
    (2) Substantiation that compliance would prevent the sale of the 
vehicle.

[[Page 133]]

    (3) A statement whether, at the end of the exemption period, the 
manufacturer intends to comply with the standard.
    (4) A statement that not more than 2,500 exempted vehicles will be 
sold in the United States in any 12-month period for which an exemption 
may be granted pursuant to this paragraph. A petition for renewal of any 
exemption shall also include the total number of exempted vehicles sold 
in the United States under the existing exemption.
[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974]



Sec. 555.7  Processing of petitions.

    (a) The NHTSA publishes in the Federal Register, affording 
opportunity for comment, a notice of each petition containing the 
information required by this part. However, if the NHTSA finds that a 
petition does not contain the information required by this part, it so 
informs the petitioner, pointing out the areas of insufficiency and 
stating that the petition will not receive further consideration until 
the required information is submitted.
    (b) No public hearing, argument, or other formal proceeding is held 
directly on a petition filed under this part before its disposition 
under this section.
    (c) Any interested person may, upon written request, appear 
informally before an appropriate official of the NHTSA to discuss a 
petition for exemption or the action taken in response to a petition.
    (d) If the Administrator determines that the petition does not 
contain adequate justification, he denies it and notifies the petitioner 
in writing. He also publishes in the Federal Register a notice of the 
denial and the reasons for it.
    (e) If the Administrator determines that the petition contains 
adequate justification, he grants it, and notifies the petitioner in 
writing. He also publishes in the Federal Register a notice of the grant 
and the reasons for it.
    (f) Unless a later effective date is specified in the notice of the 
grant, a temporary exemption is effective upon publication of the notice 
in the Federal Register and exempts vehicles manufactured on and after 
the effective date.
[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 5489, Feb. 13, 1974; 39 
FR 37988, Oct. 25, 1974]



Sec. 555.8  Termination of temporary exemptions.

    (a) A temporary exemption from a standard granted on the basis of 
substantial economic hardship terminates according to its terms but not 
later than 3 years after the date of issuance unless terminated sooner 
pursuant to paragraph (d) of this section.
    (b) A temporary exemption from a standard granted on a basis other 
than substantial economic hardship terminates according to its terms but 
not later than 2 years after the date of issuance unless terminated 
sooner pursuant to paragraph (d) of this section.
    (c) Any interested person may petition for the termination or 
modification of an exemption granted under this part. The petition will 
be processed in accordance with the procedures of part 552 of this 
chapter.
    (d) The Administrator terminates or modifies a temporary exemption 
if he determines that--
    (1) The temporary exemption is no longer consistent with the public 
interest and the objectives of the Act; or
    (2) The temporary exemption was granted on the basis of false, 
fraudulent, or misleading representations or information.
    (e) If a petition for renewal of a temporary exemption that meets 
the requirements of Sec. 555.5 has been filed not later than 60 days 
before the termination date of an exemption, the exemption does not 
terminate until the Administrator grants or denies the petition for 
renewal.
    (f) The Administrator publishes in the Federal Register a notice of:
    (1) A petition for termination or modification of an exemption and 
the action taken in response to it; and
    (2) Any termination or modification of an exemption pursuant to the 
Administrator's own motion.
[38 FR 2694, Jan. 29, 1973, as amended at 39 FR 37989, Oct. 25, 1974; 40 
FR 42015, Sept. 10, 1975]

[[Page 134]]



Sec. 555.9  Temporary exemption labels.

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

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

(Secs. 114, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1403, 1408); 
sec. 3, Pub. L. 92-548, 86 Stat. 1159 (15 U.S.C. 1410); secs. 102, 105, 
Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912, 1915); delegations of 
authority at 49 CFR 1.50 and 501.8)
[38 FR 2694, Jan. 29, 1973, as amended at 50 FR 10772, Mar. 18, 1985; 60 
FR 1750, Jan. 5, 1995]



Sec. 555.10  Availability for public inspection.

    (a) Information relevant to a petition under this part, including 
the petition and supporting data, memoranda of informal meetings with 
the petitioner or any other interested person, and the grant or denial 
of the petition, is available for public inspection, except as specified 
in paragraph (b) of this section, in the Docket Section, Room 5109, 
National Highway Traffic Safety Administration, 400 Seventh Street SW., 
Washington, DC 20590. Copies of available information may be obtained, 
as provided in Part 7 of the regulations of the Office of the Secretary 
of Transportation (49 CFR part 7).
    (b) Except for the release of confidential information authorized by 
part 512 of this chapter, information made available for inspection 
under paragraph (a) shall not include materials not relevant to the 
petition for which confidentiality is requested and granted in 
accordance with sections 112, 113, and 158 of the Act (15 U.S.C. 1401, 
1402, and 1418) and section 552(b) of title 5 of the U.S.C.).
[38 FR 2694, Jan. 29, 1973, as amended at 46 FR 2064, Jan. 8, 1981; 48 
FR 44081, Sept. 27, 1983]



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




Sec.
556.1  Scope.
556.2  Purpose.
556.3  Application.
556.4  Petition for exemption.
556.5  Processing of petition.
556.6  Meetings.
556.7  Disposition of petition.

556.8  Rescission of decision.
556.9  Public inspection of relevant information.
    Authority: Sec. 157, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417); 
delegation of authority at 49 CFR 1.50.
    Source: 42 FR 7145, Feb. 7, 1977, unless otherwise noted.



Sec. 556.1  Scope.

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



Sec. 556.2  Purpose.

    The purpose of this part is to enable manufacturers of motor 
vehicles and replacement equipment to petition the NHTSA for exemption 
from the notification and remedy requirements of the Act due to the 
inconsequentiality of

[[Page 135]]

the defect or noncompliance as it relates to motor vehicle safety, and 
to give all interested persons an opportunity for presentation of data, 
views, and arguments on the issues of inconsequentiality.



Sec. 556.3  Application.

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



Sec. 556.4  Petition for exemption.

    (a) A manufacturer who has determined the existence, in a motor 
vehicle or item of replacement equipment that he produces, of a defect 
related to motor vehicle safety or a noncompliance with an applicable 
Federal motor vehicle safety standard, or who has received notice of an 
initial determination by the NHTSA of the existence of a defect related 
to motor vehicle safety or a noncompliance, may petition for exemption 
from the Act's notification and remedy requirements on the grounds that 
the defect or noncompliance is inconsequential as it relates to motor 
vehicle safety.
    (b) Each petition submitted under this part shall--
    (1) Be written in the English language;
    (2) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, Washington, DC 20590;
    (3) State the full name and address of the applicant, the nature of 
its organization (e.g., individual, partnership, or corporation) and the 
name of the State or country under the laws of which it is organized.
    (4) Describe the motor vehicle or item of replacement equipment, 
including the number involved and the period of production, and the 
defect or noncompliance concerning which an exemption is sought; and
    (5) Set forth all data, views, and arguments of the petitioner 
supporting his petition.
    (6) Be accompanied by three copies of the report the manufacturer 
has submitted, or is submitting, to NHTSA in accordance with part 573 of 
this chapter, relating to its determination of the existence of safety 
related defect or noncompliance with an applicable safety standard that 
is the subject of the petition.
    (c) In the case of defects related to motor vehicle safety or 
noncompliances determined to exist by a manufacturer, petitions under 
this part must be submitted not later than 30 days after such 
determination. In the case of defects related to motor vehicle safety or 
noncompliances initially determined to exist by the NHTSA, petitions 
must be submitted not later than 30 days after notification of the 
determination has been received by the manufacturer. Such a petition 
will not constitute a concession by the manufacturer of, nor will it be 
considered relevant to, the existence of a defect related to motor 
vehicle safety or a nonconformity.
[42 FR 7145, Feb. 7, 1977, as amended at 56 FR 66376, Dec. 23, 1991]



Sec. 556.5  Processing of petition.

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



Sec. 556.6  Meetings.

    (a) At a meeting held under this part, any interested person may 
make oral (as well as written) presentations of

[[Page 136]]

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



Sec. 556.7  Disposition of petition.

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



Sec. 556.8  Rescission of decision.

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



Sec. 556.9  Public inspection of relevant information.

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

(Sec. 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1417))
[42 FR 7145, Feb. 7, 1977, as amended at 48 FR 44081, Sept. 27, 1983]



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




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

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

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



Sec. 557.1  Scope.

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

[[Page 137]]



Sec. 557.2  Purpose.

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



Sec. 557.3  General.

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



Sec. 557.4  Requirements for petition.

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



Sec. 557.5  Improperly filed petitions.

    (a) A petition that is not addressed as specified in Sec. 557.4, but 
that meets the other requirements of that section, will be treated as a 
properly filed petition, received as of the time it is discovered and 
identified.
    (b) A document that fails to conform to one or more of the 
requirements of Sec. 557.4(a) (1) through (5) will not be treated as a 
petition under this part. Such a document will be treated according to 
the existing correspondence and other procedures of the NHTSA, and any 
information contained in it will be considered at the discretion of the 
Administrator.



Sec. 557.6  Determination whether to hold a public hearing.

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

[[Page 138]]



Sec. 557.7  Public hearing.

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



Sec. 557.8  Determination of manufacturer's obligation.

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



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




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


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

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

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



Sec. 564.1  Scope.

    This part requires the submission of dimensional, electrical 
specification, and marking/designation information, as specified in 
Appendix A and Appendix B of this part, for original equipment 
replaceable light sources used in motor vehicle headlighting systems.
[61 FR 20500, May 7, 1996]



Sec. 564.2  Purposes.

    The purposes of this part are achieved through its Appendices:
    (a) The purposes of Appendix A of this part are to ensure
    (1) The availability to replacement light source manufacturers of 
the manufacturing specifications of original equipment light sources so 
that replacement light sources are interchangeable with original 
equipment light sources and provide equivalent performance, and
    (2) That redesigned or newly developed light sources are designated 
as distinct, different, and noninterchangeable with previously existing 
light sources.
    (b) The purposes of Appendix B of this part are to ensure
    (1) That original equipment light sources are replaceable and that 
replacement light sources provide equivalent performance, and
    (2) That redesignated or newly developed light sources are 
designated as distinct, different, and noninterchangeable with 
previously existing light sources.
[61 FR 20500, May 7, 1996]



Sec. 564.3  Applicability.

    This part applies to replaceable light sources used as original 
equipment in motor vehicle headlighting systems.
[60 FR 14228, Mar. 16, 1995]



Sec. 564.4  Definitions.

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



Sec. 564.5  Information filing; agency processing of filings.

    (a) Each manufacturer of a motor vehicle, original equipment 
headlamp, or

[[Page 139]]

original equipment headlamp replaceable light source, which intends to 
manufacture a replaceable light source as original equipment or to 
incorporate a replaceable light source in its headlamps or motor 
vehicles, shall furnish the information specified in Appendix A. If the 
rated laboratory life of the light source is not less than 2,000 hours, 
the manufacturer shall furnish the information specified in either 
Appendix A or Appendix B of this part. Information shall be furnished 
to: Associate Administrator for Safety Performance Standards, National 
Highway Traffic Safety Administration, 400 Seventh Street SW, 
Washington, D.C. 20590. Attn: Replaceable Light Source Information 
Docket No. 93-11 (unless the agency has already filed such information 
in Docket No. 93-11).
    (b) The manufacturer shall submit such information not later than 60 
days before it intends to begin the manufacture of the replaceable light 
source to which the information applies, or to incorporate the light 
source into a headlamp or motor vehicle of its manufacture. Each 
submission shall consist of one original set of information and 10 
legible reproduced copies, all on 8\1/2\ by 11-inch paper.
    (c) The Associate Administrator promptly reviews each submission and 
informs the manufacturer not later than 30 days after its receipt 
whether the submission has been accepted. Upon acceptance, the Associate 
Administrator files the information in Docket No. 93-11. The Associate 
Administrator does not accept any submission that does not contain all 
the information specified in Appendix A or Appendix B of this part, or 
whose accompanying information indicates that any new light source which 
is the subject of a submission is interchangeable with any replaceable 
light source for which the agency has previously filed information in 
Docket No. 93-11.
    (d) A manufacturer may request modification of a light source for 
which information has previously been filed in Docket No. 93-11, and the 
submission shall be processed in the manner provided by Sec. 564.5(c). A 
request for modification shall contain the following:
    (1) All the information specified in Appendix A or Appendix B of 
this part that is relevant to the modification requested,
    (2) The reason for the requested modification,
    (3) A statement that use of the light source as modified will not 
create a noncompliance with any requirement of Motor Vehicle Safety 
Standard No. 108 (49 CFR 571.108) when used to replace an unmodified 
light source in a headlamp certified by its manufacturer as conforming 
to all applicable Federal motor vehicle safety standards, together with 
reasons in support of the statement; and
    (4) Information demonstrating that the modification would not 
adversely affect interchangeability with the original light source.
    After review of the request for modification, the Associate 
Administrator may seek further information either from the manufacturer 
or through a notice published in the Federal Register requesting comment 
on whether a modified light source incorporating the changes requested 
will create a noncompliance with Motor Vehicle Safety Standard No. 108 
when substituted for an unmodified light source. If the Associate 
Administrator seeks comment public comment on a submission, (s)he shall 
publish a further notice stating whether (s)he has accepted or rejected 
the submission. If a submission is accepted, the Associate Administrator 
files the information in Docket No. 93-11. If a submission is rejected, 
a manufacturer may submit information with respect to it, as provided in 
paragraph 564.5(a), for consideration as a new light source after such 
changes as will ensure that it is not interchangeable with the light 
source for which modification was originally requested.
    (e) Information submitted under this section is made available by 
NHTSA for public inspection as soon as practicable after its receipt, 
but not later than the date on which a vehicle equipped with a new or 
revised replaceable light source is offered for sale.
[60 FR 14228, Mar. 16, 1995, as amended at 61 FR 20500, May 7, 1996]


[[Page 140]]



  Appendix A to Part 564--Information To Be Submitted for Replaceable 
                              Light Sources

 I. Filament or Discharge Arc Position Dimensions and Tolerances Using 
    Either Direct Filament or Discharge Arc Dimensions or the Three 
          Dimensional Filament or Discharge Arc Tolerance Box.

    A. Lower beam filament dimensions or filament tolerance box 
dimensions and relation of these to the bulb base reference plane and 
centerline.
    1. Axial location of the filament centerline or the filament 
tolerance box relative to the bulb base reference plane.
    2. Vertical location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    3. Transverse location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    4. Filament tolerance box dimensions, if used.
    B. Upper beam filament dimensions or the filament tolerance box 
dimensions, and relation of these to the bulb base reference plane and 
centerline.
    1. Axial location of the filament centerline or the filament 
tolerance box relative to the bulb base reference plane.
    2. Vertical location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    3. Transverse location of the filament centerline or the filament 
tolerance box relative to the bulb base centerline.
    4. Filament tolerance box dimensions, if used.
    C. If the replaceable light source has both a lower beam and an 
upper beam filament, the dimensional relationship between the two 
filament centerlines or the filament tolerance boxes may be provided 
instead of referencing the upper beam filament centerline or filament 
tolerance box to the bulb base centerline or reference plane.
    D. For a light source using excited gas mixtures as a filament, 
necessary fiducial information and specifications including electrode 
position dimensions and tolerance information that provide similar 
location and characteristics information required by paragraphs A, B, 
and C of this section I for light sources using a resistive type 
filament.

   II. Dimensions Pertaining to Filament Capsule and Capsule Supports

    A. Maximum length from bulb base reference plane to tip of filament 
capsule.
    B. Maximum radial distances from bulb base centerline to periphery 
of filament capsule and/or supports.
    C. Location of black cap relative to low beam filament centerline, 
filament tolerance box or other to-be-specified reference.
    D. Size, length, shape, or other pertinent features and dimensions 
for providing undistorted walls for the filament capsule.

       III. Bulb Base Interchangeability Dimensions and Tolerance

    A. Angular locations, diameters, key/keyway sizes, and any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Diameter of the bulb base at the interface of the base and its 
perpendicular reference surface.
    D. Dimensions of features related to retention of the bulb base in 
the bulb holder such as tabs, keys, keyways, surfaces, etc.

       IV. Bulb Holder Interchangeability Dimensions and Tolerance

    A. Mating angular locations, diameters, key/keyway sizes, and any 
other interchangeability dimensions for indexing the bulb base in the 
bulb holder.
    B. Mating diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Mating diameter of the bulb holder at the interface of the bulb 
base aperture and its perpendicular reference surface.
    D. Mating dimensions of features related to retention of the bulb 
base in the bulb holder such as tabs, keys, keyways, surfaces, etc.

 V. Wiring Harness Connector to Bulb Base Interchangeability Dimensions 
                             and Tolerances

    A. Maximum depth of harness connector insertion into bulb base.
    B. Location of electrical pins in bulb base.
    C. Dimensions of electrical pins in bulb base--length, diameter, 
width, thickness and etc.
    D. Fit of harness connector into bulb base providing all necessary 
dimensions, key/keyway controls, and dimensions, tapers etc.
    E. Dimensions and location of locking features for wiring harness 
connector to bulb base.
    F. Identification of upper beam, lower beam, and common terminals.

 VI. Seal Specifications (if replaceable light source is intended to be 
                        of a sealed base design)

    A. Type.
    B. Material.
    C. Dimensions.

     VII. Electrical Specifications for Each Filament at 12.8 Volts

    A. Maximum power (in watts).

[[Page 141]]

    B. Luminous Flux with tolerance (in lumens) with black cap if so 
equipped, measured in accordance with the document: Illuminating 
Engineering Society of North America, LM-45; IES Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps (April 1980).

     VIII. Bulb Markings/Designation-- ANSI Number, ECE Identifier, 
     Manufacturer's Part Number, Individually or in Any Combination

  IX. All other information, dimensions or performance specifications 
    necessary for interchangeability, replaceability, or system test 
purposes not listed in sections I through VIII. If a ballast is required 
  for operation, a complete listing of the requirements and parameters 
between the light source and ballast, and ballast and the vehicle shall 
                            also be provided.

[58 FR 3860, Jan. 12, 1993, as amended at 61 FR 20500, 20501, May 7, 
1996]

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

 I. Filament or Discharge Arc Position Dimensions and Tolerances Using 
    Either Direct Filament or Discharge Arc Dimensions or the Three 
            Dimensional Filament Discharge Arc Tolerance Box.

    A. Lower beam filament or discharge arc dimensions or filament or 
discharge arc tolerance box dimensions and relation of these to the bulb 
base reference plane and centerline.
    1. Axial location of the filament or discharge arc centerline or the 
filament or discharge arc tolerance box relative to the bulb base 
reference plane.
    2. Vertical location of the filament or discharge arc centerline or 
the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    3. Transverse location of the filament or discharge arc centerline 
or the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    4. Filament or discharge arc tolerance box dimensions, if used.
    B. Upper beam filament or discharge arc dimensions or the filament 
or discharge arc tolerance box dimensions and relation of these to the 
bulb base reference plane and centerline.
    1. Axial location of the filament or discharge arc centerline or the 
filament or discharge arc tolerance box relative to the bulb base 
reference plane.
    2. Vertical location of the filament or discharge arc centerline or 
the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    3. Transverse location of the filament or discharge arc centerline 
or the filament or discharge arc tolerance box relative to the bulb base 
centerline.
    4. Filament or discharge arc tolerance box dimensions, if used.
    C. If the replaceable light source has both a lower beam and upper 
beam filament or discharge arc, the dimensional relationship between the 
two filament or discharge arc centerlines or the filament or discharge 
arc tolerance boxes may be provided instead of referencing the upper 
beam filament or discharge arc centerline or filament or discharge arc 
tolerance box to the bulb base centerline or reference plane.
    D. For a light source using excited gas mixtures as a filament, 
necessary fiducial information and specifications including electrode 
position dimensions, and tolerance information that provide similar 
location and characteristics information required by paragraphs A, B, 
and C of this section I for light sources using a resistive type 
filament.

       II. Bulb Base Interchangeability Dimensions and Tolerance.

    A. Angular locations, diameters, key/keyway sizes, and any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Diameter, width, depth, and surface finish of seal groove, 
surface, or other pertinent sealing features.
    C. Diameter of the bulb base at the interface of the base and its 
perpendicular reference surface.
    D. Dimensions of features related to retention of the bulb base in 
the bulb holder such as tabs, keys, keyways, surface, etc.

     III. Bulb Holder Interchangeability Dimensions and Tolerances.

    A. Mating angular locations, diameters, key/keyway sizes, any other 
interchangeability dimensions for indexing the bulb base in the bulb 
holder.
    B. Mating diameter, width, depth, and surface, or other pertinent 
sealing features.
    C. Mating diameter of the bulb holder at the interface of the bulb 
base aperture and its perpendicular reference surface.
    D. Mating dimensions of features related to retention of the bulb 
base in the bulb holder such as tabs, keys, keyways, surface, or any 
other characteristics necessary for mating dimensions.

[[Page 142]]

IV. Electrical Specifications for Each Light Source that Operates With a 
     Ballast and Rated Life of the Light Source/Ballast Combination.

    A. Maximum power (in watts).
    B. Luminous Flux (in lumens).
    C. Rated laboratory life of the light source/ballast combination 
(not less than 2,000 hours).

V. Applicable to Light Sources that Operate With a Source Voltage Other 
 Than 12.8 Volts Direct Current, and When a Proprietary Ballast Must Be 
                       Used With the Light Source.

    A. Manufacturer's part number for the ballast.
    B. Any other characteristics necessary for system operation.

      VI. Bulb Markings/Designation-- ANSI Number, ECE Identifier, 
      Manufacturer's Part Number, Individual or in Any Combination.

VII. All other identification, dimensions or performance specifications 
 necessary for replaceability or systems test not listed in sections I 
                               through VI.

[61 FR 20500, May 7, 1996]



PART 565--VEHICLE IDENTIFICATION NUMBER REQUIREMENTS--Table of Contents




Sec.
565.1  Purpose and scope.
565.2  Applicability.
565.3  Definitions.
565.4  General requirements.
565.5  Motor vehicles imported into the United States.
565.6  Content requirements.
565.7  Reporting requirements.

    Authority:  49 U.S.C. 322, 30111, 30115, 30117, 30141, 30146, 30166, 
and 30168; delegation of authority at 49 CFR 1.50.
[61 FR 29033, June 7, 1996]



Sec. 565.1  Purpose and scope.

    This part specifies the format, content and physical requirements 
for a vehicle identification number (VIN) system and its installation to 
simplify vehicle identification information retrieval and to increase 
the accuracy and efficiency of vehicle recall campaigns.



Sec. 565.2  Applicability.

    This part applies to passenger cars, multipurpose passenger 
vehicles, trucks, buses, trailers (including trailer kits), incomplete 
vehicles, and motorcycles. Vehicles imported into the United States 
under 49 CFR 591.5(f), other than by the corporation responsible for the 
assembly of that vehicle or a subsidiary of such a corporation, are 
excluded from requirements of Sec. 565.4(b), Sec. 565.4(c), 
Sec. 565.4(g), Sec. 565.4(h), Sec. 565.5 and Sec. 565.6.



Sec. 565.3  Definitions.

    (a) Federal Motor Vehicle Safety Standards Definitions. Unless 
otherwise indicated, all terms used in this part that are defined in 49 
CFR 571.3 are used as defined in 49 CFR 571.3.
    (b) Body type means the general configuration or shape of a vehicle 
distinguished by such characteristics as the number of doors or windows, 
cargo-carrying features and the roofline (e.g., sedan, fastback, 
hatchback).
    (c) Check digit means a single number or the letter X used to verify 
the accuracy of the transcription of the vehicle identification number.
    (d) Engine type means a power source with defined characteristics 
such as fuel utilized, number of cylinders, displacement, and net brake 
horsepower. The specific manufacturer and make shall be represented if 
the engine powers a passenger car or a multipurpose passenger vehicle, 
or truck with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or 
less.
    (e) Incomplete vehicle means an assemblage consisting, as a minimum, 
of frame and chassis structure, power train, steering system, suspension 
system and braking system, to the extent that those systems are to be 
part of the completed vehicle, that requires further manufacturing 
operations, other than the addition of readily attachable components, 
such as mirrors or tire and rim assemblies, or minor finishing 
operations such as painting, to become a completed vehicle.
    (f) Line means a name that a manufacturer applies to a family of 
vehicles within a make which have a degree of commonality in 
construction, such as body, chassis or cab type.
    (g) Make means a name that a manufacturer applies to a group of 
vehicles or engines.
    (h) Manufacturer means a person--

[[Page 143]]

    (1) Manufacturing or assembling motor vehicles or motor vehicle 
equipment; or
    (2) Importing motor vehicles or motor vehicle equipment for resale.
    (i) Model means a name that a manufacturer applies to a family of 
vehicles of the same type, make, line, series and body type.
    (j) Model Year means the year used to designate a discrete vehicle 
model, irrespective of the calendar year in which the vehicle was 
actually produced, so long as the actual period is less than two 
calendar years.
    (k) Plant of manufacture means the plant where the manufacturer 
affixes the VIN.
    (l) Series means a name that a manufacturer applies to a subdivision 
of a ``line'' denoting price, size or weight identification and that is 
used by the manufacturer for marketing purposes.
    (m) Trailer kit means a trailer that is fabricated and delivered in 
complete but unassembled form and that is designed to be assembled 
without special machinery or tools.
    (n) Type means a class of vehicle distinguished by common traits, 
including design and purpose. Passenger cars, multipurpose passenger 
vehicles, trucks, buses, trailers, incomplete vehicles and motorcycles 
are separate types.
    (o) VIN means a series of Arabic numbers and Roman letters that is 
assigned to a motor vehicle for identification purposes.



Sec. 565.4  General requirements.

    (a) Each vehicle manufactured in one stage shall have a VIN that is 
assigned by the manufacturer. Each vehicle manufactured in more than one 
stage shall have a VIN assigned by the incomplete vehicle manufacturer. 
Vehicle alterers, as specified in 49 CFR 567.7, shall utilize the VIN 
assigned by the original manufacturer of the vehicle.
    (b) Each VIN shall consist of seventeen (17) characters.
    (c) A check digit shall be part of each VIN. The check digit shall 
appear in position nine (9) of the VIN, on the vehicle and on any 
transfer documents containing the VIN prepared by the manufacturer to be 
given to the first owner for purposes other than resale.
    (d) The VINs of any two vehicles manufactured within a 30-year 
period shall not be identical.
    (e) The VIN of each vehicle shall appear clearly and indelibly upon 
either a part of the vehicle, other than the glazing, that is not 
designed to be removed except for repair or upon a separate plate or 
label that is permanently affixed to such a part.
    (f) The VIN for passenger cars, multipurpose passenger vehicles and 
trucks of 4536 kg or less GVWR shall be located inside the passenger 
compartment. It shall be readable, without moving any part of the 
vehicle, through the vehicle glazing under daylight lighting conditions 
by an observer having 20/20 vision (Snellen) whose eye-point is located 
outside the vehicle adjacent to the left windshield pillar. Each 
character in the VIN subject to this paragraph shall have a minimum 
height of 4 mm.
    (g) Each character in each VIN shall be one of the letters in the 
set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] 
assigned according to the method given in Sec. 565.5.
    (h) All spaces provided for in the VIN must be occupied by a 
character specified in paragraph (g) of this section.
    (i) The type face utilized for each VIN shall consist of capital, 
sanserif characters.



Sec. 565.5  Motor vehicles imported into the United States.

    (a) Importers shall utilize the VIN assigned by the original 
manufacturer of the motor vehicle.
    (b) A passenger car certified by a Registered Importer under 49 CFR 
part 592 shall have a plate or label that contains the following 
statement, in characters with a minimum height of 4 mm, with the 
identification number assigned by the original manufacturer provided in 
the blank: SUBSTITUTE FOR U.S. VIN: ____________ SEE PART 565. The plate 
or label shall conform to Sec. 565.4 (h) and (i). The plate or label 
shall be permanently affixed inside the passenger compartment. The plate 
or label shall be readable, without moving

[[Page 144]]

any part of the vehicle, through the vehicle glazing under daylight 
lighting conditions by an observer having 20/20 vision (Snellen) whose 
eye-point is located outside the vehicle adjacent to the left windshield 
pillar. It shall be located in such a manner as not to cover, obscure, 
or overlay any part of any identification number affixed by the original 
manufacturer. Passenger cars conforming to Canadian Motor Vehicle Safety 
Standard 115 are exempt from this paragraph.



Sec. 565.6  Content requirements.

    The VIN shall consist of four sections of characters which shall be 
grouped accordingly:
    (a) The first section shall consist of three characters that occupy 
positions one through three (1-3) in the VIN. This section shall 
uniquely identify the manufacturer, make and type of the motor vehicle 
if its manufacturer produces 500 or more motor vehicles of its type 
annually. If the manufacturer produces less than 500 motor vehicles of 
its type annually, these characters along with the third, fourth and 
fifth characters of the fourth section shall uniquely identify the 
manufacturer, make and type of the motor vehicle. These characters are 
assigned in accordance with Sec. 565.7(a).
    (b) The second section shall consist of five characters, which 
occupy positions four through eight (4-8) in the VIN. This section shall 
uniquely identify the attributes of the vehicle as specified in Table I. 
For passenger cars, and for multipurpose passenger vehicles and trucks 
with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, 
the first and second characters shall be alphabetic and the third and 
fourth characters shall be numeric. The fifth character may be either 
alphabetic or numeric. The characters utilized and their placement 
within the section may be determined by the manufacturer, but the 
specified attributes must be decipherable with information supplied by 
the manufacturer in accordance with Sec. 565.7(c). In submitting the 
required information to NHTSA relating to gross vehicle weight rating, 
the designations in Table II shall be used. The use of these 
designations within the VIN itself is not required. Tables I and II 
follow:

          Table I--Type of Vehicle and Information Decipherable

Passenger car: Line, series, body type, engine type and restraint system 
type.
Multipurpose passenger vehicle: Line, series, body type, engine type, 
gross vehicle weight rating.
Truck: Model or line, series, chassis, cab type, engine type, brake 
system and gross vehicle weight rating.
Bus: Model or line, series, body type, engine type, and brake system
Trailer, including trailer kits and incomplete trailer: Type of trailer, 
body type, length and axle configuration.
Motorcycle: Type of motorcycle, line, engine type, and net brake 
horsepower.
Incomplete Vehicle other than a trailer: Model or line, series, cab 
type, engine type and brake system.

Note to Table I: Engine net brake horsepower when encoded in the VIN 
shall differ by no more than 10 percent from the actual net brake 
horsepower; shall in the case of motorcycle with an actual net brake 
horsepower of 2 or less, be not more than 2; and shall be greater than 2 
in the case of a motorcycle with an actual brake horsepower greater than 
2.

              Table II--Gross Vehicle Weight Rating Classes

    Class A--Not greater than 1360 kg. (3,000 lbs.)
    Class B--Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.)
    Class C--Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.)
    Class D--Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.)
    Class E--Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.)
    Class F--Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.)
    Class G--Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.)
    Class H--Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.)
    Class 3--Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.)
    Class 4--Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.)
    Class 5--Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.)

[[Page 145]]

    Class 6--Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.)
    Class 7--Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.)
    Class 8--Greater than 14968 kg. (33,001 lbs. and over)

    (c) The third section shall consist of one character, which occupies 
position nine (9) in the VIN. This section shall be the check digit 
whose purpose is to provide a means for verifying the accuracy of any 
VIN transcription. After all other characters in VIN have been 
determined by the manufacturer, the check digit shall be calculated by 
carrying out the mathematical computation specified in paragraphs (c) 
(1) through (4) of this section.
    (1) Assign to each number in the VIN its actual mathematical value 
and assign to each letter the value specified for it in Table III, as 
follows:

                       Table III--Assigned Values

A = 1
B = 2
C = 3
D = 4
E = 5
F = 6
G = 7
H = 8
J = 1
K = 2
L = 3
M = 4
N = 5
P = 7
R = 9
S = 2
T = 3
U = 4
V = 5
W = 6
X = 7
Y = 8
Z = 9

    (2) Multiply the assigned value for each character in the VIN by the 
position weight factor specified in Table IV, as follows:

                Table IV--VIN Position and Weight Factor

  1st................... 8
  2d.................... 7
  3d.................... 6
  4th................... 5
  5th................... 4
  6th................... 3
  7th................... 2
  8th...................10
  9th..(check digit)
10th.................... 9
11th.................... 8
12th.................... 7
13th.................... 6
14th.................... 5
15th.................... 4
16th.................... 3
17th.................... 2

    (3) Add the resulting products and divide the total by 11.
    (4) The numerical remainder is the check digit. If the remainder is 
10 the letter ``X'' shall be used to designate the check digit. The 
correct numeric remainder, zero through nine (0-9) or the letter ``X,'' 
shall appear in VIN position nine (9).
    (5) A sample check digit calculation is shown in Table V as follows:

                                      Table V--Calculation of a Check Digit                                     
                                                                                                                
                                                                                                                
                                                                                                                
VIN Position................................   1   2   3   4   5   6   7   8   9  10  11  12  13  14  15  16  17
Sample VIN..................................   1   G   4   A   H   5   9   H  ..                                
                                                                               .   5   G   1   1   8   3   4   1
Assigned Value..............................   1   7   4   1   8   5   9   8  ..                                
                                                                               .   5   7   1   1   8   3   4   1
Weight Factor...............................   8   7   6   5   4   3   2  10   0   9   8   7   6   5   4   3   2
Multiply Assigned value times weight factor.   8  49  24   5  32  15  18  80   0  45  56   7   6  40  12  12  2 
                                                                                                                
Add products: 8+49+24+5+32+15+18+80+0+45+56+7+6+40+12+12+2 = 411                                                
Divide by 11: 411/11 = 37 4/11                                                                                  
The remainder is 4; this is the check digit to be inserted in position nine (9) of the VIN                      

    (d) The fourth section shall consist of eight characters, which 
occupy positions ten through seventeen (10-17) of the VIN. The last five 
(5) characters of this section shall be numeric for passenger cars and 
for multipurpose passenger vehicles and trucks with a gross vehicle 
weight rating of 4536 kg. (10,000 lbs.) or less, and the last four (4) 
characters shall be numeric for all other vehicles.
    (1) The first character of the fourth section shall represent the 
vehicle model year. The year shall be designated as indicated in Table 
VI as follows:

[[Page 146]]



                      Table VI--Year Codes for VIN                      
------------------------------------------------------------------------
                           Year                                 Code    
------------------------------------------------------------------------
1980......................................................            A 
1981......................................................            B 
1982......................................................             C
1983......................................................            D 
1984......................................................            E 
1985......................................................            F 
1986......................................................            G 
1987......................................................            H 
1988......................................................            J 
1989......................................................            K 
1990......................................................            L 
1991......................................................            M 
1992......................................................            N 
1993......................................................            P 
1994......................................................            R 
1995......................................................            S 
1996......................................................            T 
1997......................................................            V 
1998......................................................            W 
1999......................................................            X 
2000......................................................            Y 
2001......................................................            1 
2002......................................................            2 
2003......................................................            3 
2004......................................................            4 
2005......................................................            5 
2006......................................................            6 
2007......................................................            7 
2008......................................................            8 
2009......................................................            9 
2010......................................................            A 
2011......................................................            B 
2012......................................................             C
2013......................................................            D 
------------------------------------------------------------------------

    (2) The second character of the fourth section shall represent the 
plant of manufacture.
    (3) The third through the eighth characters of the fourth section 
shall represent the number sequentially assigned by the manufacturer in 
the production process if the manufacturer produces 500 or more vehicles 
of its type annually. If the manufacturer produces less than 500 motor 
vehicles of its type annually, the third, fourth and fifth characters of 
the fourth section, combined with the three characters of the first 
section, shall uniquely identify the manufacturer, make and type of the 
motor vehicle and the sixth, seventh, and eighth characters of the 
fourth section shall represent the number sequentially assigned by the 
manufacturer in the production process.



Sec. 565.7  Reporting requirements.

    The information collection requirements contained in this part have 
been approved by the Office of Management and Budget under the 
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.) and 
have been assigned OMB Control Number 2127-0510.
    (a) The National Highway Traffic Safety Administration (NHTSA) has 
contracted with the Society of Automotive Engineers (SAE) to coordinate 
the assignment of manufacturer identifiers. Manufacturer identifiers 
will be supplied by SAE at no charge. All requests for assignments of 
manufacturer identifiers should be forwarded directly to: Society of 
Automotive Engineers, 400 Commonwealth Avenue, Warrendale, Pennsylvania 
15096, Attention: WMI Coordinator. Any requests for identifiers 
submitted to NHTSA will be forwarded to SAE. Manufacturers may request a 
specific identifier or may request only assignment of an identifier(s). 
SAE will review requests for specific identifiers to determine that they 
do not conflict with an identifier already assigned or block of 
identifiers already reserved. SAE will confirm the assignments in 
writing to the requester. Once confirmed by SAE, the identifier need not 
be resubmitted to NHTSA.
    (b) Manufacturers of vehicles subject to this part shall submit, 
either directly or through an agent, the unique identifier for each make 
and type of vehicle it manufactures at least 60 days before affixing the 
first VIN using the identifier. Manufacturers whose unique identifier 
appears in the fourth section of the VIN shall also submit the three 
characters of the first section that constitutes a part of their 
identifier.
    (c) Manufacturers of vehicles subject to the requirements of this 
part shall submit to NHTSA the information necessary to decipher the 
characters contained in its VINs. Amendments to this information shall 
be submitted to the agency for VINs containing an amended coding. The 
agency will not routinely provide written approvals of these 
submissions, but will contact the manufacturer should any corrections to 
these submissions be necessary.
    (d) The information required under paragraph (c) of this section 
shall be submitted at least 60 days prior to offering for sale the first 
vehicle identified by a VIN containing that information, or if 
information concerning vehicle characteristics sufficient to specify the 
VIN code is unavailable to the

[[Page 147]]

manufacturer by that date, then within one week after that information 
first becomes available. The information shall be addressed to: 
Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590, Attention: VIN Coordinator.



PART 566--MANUFACTURER IDENTIFICATION--Table of Contents




Sec.
566.1  Scope.
566.2  Purpose.
566.3  Application.

566.4  Definitions.
566.5  Requirements.
566.6  Submittal of information.
    Authority: Secs. 112 and 119, National Traffic and Motor Vehicle 
Safety Act (15 U.S.C. 1401 and 1407); delegation of authority at 49 CFR 
1.50.



Sec. 566.1  Scope.

    This part requires manufacturers of motor vehicles, and of motor 
vehicle equipment to which a motor vehicle safety standard applies, to 
submit identifying information and a description of the items they 
produce.
[36 FR 20978, Nov. 2, 1971]



Sec. 566.2  Purpose.

    The purpose of this part is to facilitate the regulation of 
manufacturers under the National Traffic and Motor Vehicle Safety Act, 
and to aid in establishing a code numbering system for all regulated 
manufacturers.
[36 FR 20978, Nov. 2, 1971]



Sec. 566.3  Application.

    This part applies to all manufacturers of motor vehicles, and to 
manufacturers of motor vehicle equipment, other than tires, to which a 
motor vehicle safety standard applies (hereafter referred to as 
``covered equipment'').
[36 FR 22063, Nov. 19, 1971]



Sec. 566.4  Definitions.

    All terms defined in the Act and the rules and standards issued 
under its authority are used as defined therein. Specifically, 
incomplete vehicle, intermediate manufacturer, and final-stage 
manufacturer are used as defined in Part 568--Vehicles Manufactured in 
Two or More Stages.

(15 U.S.C. 1392, 1397)
[37 FR 1364, Jan. 28, 1972]



Sec. 566.5  Requirements.

    Each manufacturer of motor vehicles, and each manufacturer of 
covered equipment, shall furnish the information specified in paragraphs 
(a) through (c) of this section to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590.
    (a) Full individual, partnership, or corporate name of the 
manufacturer.
    (b) Residence address of the manufacturer and State of incorporation 
if applicable.
    (c) Description of each type of motor vehicle or of covered 
equipment manufactured by the manufacturer, including, for motor 
vehicles, the approximate ranges of gross vehicle weight ratings for 
each type.
    (1) Except as noted below, the description may be of general types, 
such as ``passenger cars'' or ``brake fluid.''
    (2) In the case of multipurpose passenger vehicles, trucks, and 
trailers, the description shall be specific enough also to indicate the 
types of use for which the vehicles are intended, such as ``tank 
trailer,'' ``motor home,'' or ``cargo van.''
    (3) In the case of motor vehicles produced in two or more stages, if 
the manufacturer is an incomplete vehicle manufacturer, the description 
shall so state and include a description indicating the stage of 
completion of the vehicle and, where known, the types of use for which 
the vehicle is intended.

    Example: ``Incomplete vehicle manufacturer--Chassis-cab intended for 
completion as van-type truck.''


If the manufacturer is an intermediate manufacturer, or a final stage 
manufacturer, the description shall so state and include a brief 
description of the work performed.

    Example: ``Multipurpose passenger vehicles: Motor homes with GVWR 
from 8,000 to

[[Page 148]]

12,000 pounds. Final-stage manufacturer--add body to bare chassis.''

(15 U.S.C. 1392, 1397)
[36 FR 20978, Nov. 2, 1971, as amended at 37 FR 1364, Jan. 28, 1972]



Sec. 566.6  Submittal of information.

    Each manufacturer required to submit information under Sec. 566.5 
shall submit the information not later than February 1, 1972. After that 
date, each person who begins to manufacture a type of motor vehicle or 
covered equipment for which he has not submitted the required 
information shall submit the information specified in paragraphs (a) 
through (c) of Sec. 566.5 not later than 30 days after he begins 
manufacture. Each manufacturer who has submitted required information 
shall keep his entry current, accurate and complete by submitting 
revised information not later than 30 days after the relevant changes in 
his business occur.
[36 FR 20978, Nov. 2, 1971, as amended at 53 FR 20119, June 2, 1988]



PART 567--CERTIFICATION--Table of Contents




Sec.
567.1  Purpose.
567.2  Application.
567.3  Definitions.
567.4  Requirements for manufacturers of motor vehicles.
567.5  Requirements for manufacturers of vehicles manufactured in two or 
          more stages.
567.6  Requirements for persons who do not alter certified vehicles or 
          do so with readily attachable components.
567.7  Requirements for persons who alter certified vehicles.

    Authority:  49 U.S.C. 322, 30111, 30115, 30117, 30166, 32502, 32504, 
33101-33014, and 33109; delegation of authority at 49 CFR 1.50.

    Editorial Note: For a ruling concerning unavailable weight ratings, 
see 36 FR 25013, Dec. 28, 1971.



Sec. 567.1  Purpose.

    The purpose of this part is to specify the content and location of, 
and other requirements for, the certification label or tag to be affixed 
to motor vehicles as required by section 114 of the National Traffic and 
Motor Vehicle Safety Act of 1966 (15 U.S.C. 1403) (the Safety Act) and 
by sections 105(c)(1) and 606(c) of the Motor Vehicle Information and 
Cost Savings Act (15 U.S.C. 1915(c) and 2026(c)) (the Cost Savings Act), 
and to provide the consumer with information to assist him or her in 
determining which of the Federal Motor Vehicle Safety Standards (part 
571 of this chapter) and Federal Theft Prevention Standards (part 541 of 
this chapter) (standards) are applicable to the vehicle.
[50 FR 43192, Oct. 24, 1985]



Sec. 567.2  Application.

    (a) This part applies to manufacturers and distributors of motor 
vehicles to which one or more standards are applicable.
    (b) In the case of imported motor vehicles, the requirement of 
affixing a label or tag applies to Registered Importers of vehicles 
admitted to the United States under 49 CFR 591.5(f) to which the 
required label or tag is not affixed.
[36 FR 7056, Apr. 14, 1971, as amended at 48 FR 46995, Oct. 17, 1983; 56 
FR 22356, May 15, 1991]



Sec. 567.3  Definitions.

    All terms that are defined in the Act and the rules and standards 
issued under its authority are used as defined therein. The term bumper 
has the meaning assigned to it in Title I of the Cost Savings Act and 
the rules and standards issued under its authority.
    Chassis-cab means an incomplete vehicle, with a completed occupant 
compartment, that requires only the addition of cargo-carrying, work-
performing, or load-bearing components to perform its intended 
functions.
[36 FR 7056, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977; 43 
FR 21891, May 22, 1978]



Sec. 567.4  Requirements for manufacturers of motor vehicles.

    (a) Each manufacturer of motor vehicles (except vehicles 
manufactured in two or more stages) shall affix to each vehicle a label, 
of the type and in the manner described below, containing the statements 
specified in paragraph (g) of this section.
    (b) The label shall, unless riveted, be permanently affixed in such 
a manner

[[Page 149]]

that it cannot be removed without destroying or defacing it.
    (c) Except for trailers and motorcycles, the label shall be affixed 
to either the hinge pillar, door-latch post, or the door edge that meets 
the door-latch post, next to the driver's seating position, or if none 
of these locations is practicable, to the left side of the instrument 
panel. If that location is also not practicable, the label shall be 
affixed to the inward-facing surface of the door next to the driver's 
seating position. If none of the preceding locations is practicable, 
notification of that fact, together with drawings or photographs showing 
a suggested alternate location in the same general area, shall be 
submitted for approval to the Administrator, National Highway Traffic 
Safety Administration, Washington, DC 20590. The location of the label 
shall be such that it is easily readable without moving any part of the 
vehicle except an outer door.
    (d) The label for trailers shall be affixed to a location on the 
forward half of the left side, such that it is easily readable from 
outside the vehicle without moving any part of the vehicle.
    (e) The label for motorcycles shall be affixed to a permanent member 
of the vehicle as close as is practicable to the intersection of the 
steering post with the handle bars, in a location such that it is easily 
readable without moving any part of the vehicle except the steering 
system.
    (f) The lettering on the label shall be of a color that contrasts 
with the background of the label.
    (g) The label shall contain the following statements, in the English 
language, lettered in block capitals and numerals not less than three 
thirty-seconds of an inch high, in the order shown:
    (1) Name of manufacturer: Except as provided in paragraphs (g)(1) 
(i), (ii), and (iii) of this section, the full corporate or individual 
name of the actual assembler of the vehicle shall be spelled out, except 
that such abbreviations as ``Co.'' or ``Inc.'' and their foreign 
equivalents, and the first and middle initials of individuals, may be 
used. The name of the manufacturer shall be preceded by the words 
``Manufactured By'' or ``Mfd By.'' In the case of imported vehicles, 
where the label required by this section is affixed by the Registered 
Importer, the name of the Registered Importer shall also be placed on 
the label in the manner described in this paragraph, directly below the 
name of the final assembler.
    (i) If a vehicle is assembled by a corporation that is controlled by 
another corporation that assumes responsibility for conformity with the 
standards, the name of the controlling corporation may be used.
    (ii) If a vehicle is fabricated and delivered in complete but 
unassembled form, such that it is designed to be assembled without 
special machinery or tools, the fabricator of the vehicle may affix the 
label and name itself as the manufacturer for the purposes of this 
section.
    (iii) If a trailer is sold by a person who is not its manufacturer, 
but who is engaged in the manufacture of trailers and assumes legal 
responsibility for all duties and liabilities imposed by the Act with 
respect to that trailer, the name of that person may appear on the label 
as the manufacturer. In such a case the name shall be preceded by the 
words ``Responsible Manufacturer'' or ``Resp Mfr.''
    (2) Month and year of manufacture: This shall be the time during 
which work was completed at the place of main assembly of the vehicle. 
It may be spelled out, as ``June 1970'', or expressed in numerals, as 
``6/70.''
    (3) ``Gross Vehicle Weight Rating'' or ``GVWR,'' followed by the 
appropriate value in pounds, which shall not be less than the sum of the 
unloaded vehicle weight, rated cargo load, and 150 pounds times the 
vehicle's designated seating capacity. However, for school buses the 
minimum occupant weight allowance shall be 120 pounds.
    (4) ``Gross Axle Weight Rating'' or ``GAWR,'' followed by the 
appropriate value in pounds for each axle, identified in order from 
front to rear (e.g., front, first intermediate, second intermediate, 
rear). The ratings for any consecutive axles having indentical gross 
axle weight ratings when equipped with tires having the same tire size 
designation may, at the option of the manufacturer, be stated as a 
single value,

[[Page 150]]

with label indicating to which axles the ratings apply.

                      Examples of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT (D) tires.
    (b) Front--12,000 with 10.00-20(G) tires.
    First intermediate to rear--15,000 with 12.00-20(H) tires.

    (5) The statement: ``This vehicle conforms to all applicable Federal 
motor vehicle safety standards in effect on the date of manufacture 
shown above.'' The expression ``U.S.'' or ``U.S.A.'' may be inserted 
before the word ``Federal''.
    (i) In the case of passenger cars manufactured on or after September 
1, 1978, the expression ``and bumper'' shall be included in the 
statement following the word ``safety''.
    (ii) In the case of 1987 and subsequent model year passenger cars 
manufactured on or after April 24, 1986, the expression ``safety, 
bumper, and theft prevention'' shall be substituted in the statement for 
the word ``safety''.
    (6) Vehicle identification number.
    (7) The type classification of the vehicle as defined in Sec. 571.3 
of this chapter (e.g., truck, MPV, bus, trailer).
    (h) Multiple GVWR-GAWR ratings. (1) (For passenger cars only) In 
cases where different tire sizes are offered as a customer option, a 
manufacturer may at his option list more than one set of values for GVWR 
and GAWR, in response to the requirements of paragraphs (g) (3) and (4) 
of this section. If the label shows more than one set of weight rating 
values, each value shall be followed by the phrase ``with ______ 
tires,'' inserting the proper tire size designations. A manufacturer may 
at his option list one or more tire sizes where only one set of weight 
ratings is provided.

                          Passenger Car Example

GVWR:
    4400 LB with G78-14B Tires, 4800 LB with H78-14B Tires.

GAWR:
    Front--2000 LB with G78-14B Tires at 24 psi, 2200 LB with H78-14B 
Tires at 24 psi.
    Rear--2400 LB with G78-14B Tires at 28 psi, 2600 LB with H78-14B 
Tires at 28 psi.

    (2) (For multipurpose passenger vehicles, trucks, buses, trailers, 
and motorcycles) The manufacturer may, at its option, list more than one 
GVWR-GAWR-tire-rim-combination on the label, as long as the listing 
conforms in content and format to the requirements for tire-rim-
inflation information set forth in Standard No. 120 of this chapter 
(Sec. 571.120).
    (3) At the option of the manufacturer, additional GVWR-GAWR ratings 
for operation of the vehicle at reduced speeds may be listed at the 
bottom of the certification label following any information that is 
required to be listed.
    (i) [Reserved]
    (j) A manufacturer may, at his option, provide information 
concerning which tables in the document that accompanies the vehicle 
pursuant to Sec. 575.6(a) of this chapter apply to the vehicle. This 
information may not precede or interrupt the information required by 
paragraph (g) of this section.
    (k) In the case of passenger cars admitted to the United States 
under 49 CFR part 592 to which the label required by this section has 
not been affixed by the original producer or assembler of the passenger 
car, a label meeting the requirements of this paragraph shall be affixed 
by the importer before the vehicle is imported into the United States, 
if the car is from a line listed in Appendix A of 49 CFR Part 541. This 
label shall be in addition to, and not in place of, the label required 
by paragraphs (a) through (j), inclusive, of this section.
    (1) The label shall, unless riveted, be permanently affixed in such 
a manner that it cannot be removed without destroying or defacing it.
    (2) The label shall be affixed to either the hinge pillar, door-
latch post, or the door edge that meets the door-latch post, next to the 
driver's seating position, or, if none of these locations is 
practicable, to the left side of the instrument panel. If that location 
is also not practicable, the label shall be affixed to the inward-facing 
surface of the door next to the driver's seating position. The location 
of the label shall be such that it is easily readable without moving any 
part of the vehicle except an outer door.
    (3) The lettering on the label shall be of a color that contrasts 
with the background of the label.

[[Page 151]]

    (4) The label shall contain the following statements, in the English 
language, lettered in block capitals and numerals not less than three 
thirty-seconds of an inch high, in the order shown:
    (i) Model year (if applicable) or year of manufacture and line of 
the vehicle, as reported by the manufacturer that produced or assembled 
the vehicle. ``Model year'' is used as defined in Sec. 565.3(h) of this 
chapter. ``Line'' is used as defined in Sec. 541.4 of this chapter.
    (ii) Name of the importer: The full corporate or individual name of 
the importer of the vehicle shall be spelled out, except that such 
abbreviations as ``Co.'' or ``Inc.'' and their foreign equivalents and 
the middle initial of individuals, may be used. The name of the importer 
shall be preceded by the words ``Imported By''.
    (iii) The statement: ``This vehicle conforms to the applicable 
Federal motor vehicle theft prevention standard in effect on the date of 
manufacture.''
    (l)(1) In the case of a passenger car imported into the United 
States under 49 CFR 591.5(f) which does not have an identification 
number that complies with 49 CFR 565.4 (b), (c), and (g) at the time of 
importation, the Registered Importer shall permanently affix a label to 
the vehicle in such a manner that, unless the label is riveted, it 
cannot be removed without being destroyed or defaced. The label shall be 
in addition to the label required by paragraph (a) of this section, and 
shall be affixed to the vehicle in a location specified in paragraph (c) 
of this section.
    (2) The label shall contain the following statement, in the English 
language, lettered in block capitals and numerals not less than 4 mm 
high, with the location on the vehicle of the original manufacturer's 
identification number provided in the blank: ORIGINAL MANUFACTURER'S 
IDENTIFICATION NUMBER SUBSTITUTING FOR U.S. VIN IS LOCATED ____________.
[36 FR 7056, Apr. 14, 1971, as amended at 36 FR 23572, Dec. 10, 1971; 41 
FR 3479, Jan. 23, 1976; 41 FR 13923, Apr. 1, 1976; 42 FR 7144, Feb. 7, 
1977; 42 FR 31162, June 20, 1977; 42 FR 37371, July 21, 1977; 42 FR 
37817, July 25, 1977; 50 FR 43192, Oct. 24, 1985; 52 FR 28562, July 31, 
1987; 54 FR 46256, Nov. 2, 1989; 56 FR 22356, May 15, 1991; 59 FR 64170, 
Dec. 13, 1994; 61 FR 29036, June 7, 1996]



Sec. 567.5  Requirements for manufacturers of vehicles manufactured in two or more stages.

    (a) Except as provided in paragraph (e) of this section, each 
manufacturer of a chassis-cab shall affix a label to each chassis-cab 
manufactured on or after July 25, 1978, in the location and form 
specified in Sec. 567.4, that contains the following statements to the 
extent that they are applicable.
    (1) ``This chassis-cab conforms to Federal Motor Vehicle Safety 
Standard Nos. ______.'' The statement shall be completed by inserting 
the numbers of the safety standards (e.g., 101, 207) to which the 
chassis-cab conforms.
    (2) ``This vehicle will conform to Standard Nos. ______ if it is 
completed in accordance with the instructions contained in the 
incomplete vehicle document furnished pursuant to 49 CFR part 568.'' The 
statement shall be completed by inserting the numbers of the safety 
standards conformity to which is substantially affected by both the 
design of the chassis-cab and the manner in which the vehicle is 
completed (i.e., the standards listed under category (ii) in 
Sec. 568.4(a)(7) of this chapter).
    (3) ``Comformity to the other safety standards applicable to this 
vehicle when completed is not substantially affected by the design of 
the chassis-cab.''
    (4) Name of chassis-cab manufacturer preceded by the words 
``CHASSIS-CAB MANUFACTURED BY'' or ``CHASSIS-CAB MFD BY''.
    (5) Month and year of manufacture of chassis-cab. This may be 
spelled out, as

[[Page 152]]

in ``JUNE 1970'', or expressed in numerals, as in ``6/70''. No preface 
is required.
    (b) Except as provided in paragraphs (e) and (f) of this section, 
each intermediate manufacturer of a vehicle manufactured in two or more 
stages shall affix a label, in the location and form specified in 
Sec. 567.4, to each chassis-cab respecting which he is required by 
Sec. 568.5 to furnish an addendum to the incomplete vehicle document 
described in Sec. 568.4. However, this paragraph applies only to 
chassis-cabs that have been certified by a chassis-cab manufacturer in 
accordance with paragraph (a) of this section. The label shall contain 
the following statements as appropriate.
    (1)(i) ``With respect to Standard Nos. ______, the instructions of 
prior manufacturers have been followed so that the chassis-cab now 
conforms to these standards.'' The statement shall be completed by 
inserting the numbers of all or less than all of the standards, and only 
those standards, respecting which the latest prior certification 
statement was in the form prescribed in paragraph (a)(2) or (b)(2) of 
this section.
    (ii) ``This chassis-cab conforms to Federal Motor Vehicle Safety 
Standard Nos. ______.'' The statement shall be completed by inserting 
the numbers of the other standards to which the chassis-cab conforms, 
excluding those standards respecting which the latest prior 
certification statement was in the form prescribed in paragraphs (a)(1), 
(b)(1)(i), or this paragraph.
    (2) ``This vehicle will conform to Standard Nos. ______ if it is 
completed in accordance with the instructions contained in the amended 
incomplete vehicle document furnished pursuant to 49 CFR part 568.'' The 
statement shall be completed by inserting the numbers of the standards 
conformity to which is substantially affected by both the design of the 
chassis-cab (as modified by the intermediate manufacturer) and the 
manner in which the vehicle is completed.
    (3) ``Conformity to Standard Nos. ______ is no longer substantially 
affected by the design of this chassis-cab.'' The statement shall be 
completed by inserting the numbers of all or less than all of the 
standards, and only those standards, respecting which the latest prior 
certification statement was in the form prescribed in paragraphs (a) (1) 
and (2), (b)(1) (i) and (ii), or (b)(2) of this section.
    (4) Name of intermediate manufacturer, preceded by the words 
``INTERMEDIATE MANUFACTURE BY'' or ``INTERMEDIATE MFR BY''.
    (5) Month and year in which the intermediate manufacturer performed 
his last manufacturing operation on the chassis-cab. This may be spelled 
out, as ``JUNE 1970'', or expressed as numerals, as ``6/70''. No preface 
is required.
    (c) Except as provided in paragraphs (e) and (f) of this section, 
each final-stage manufacturer, as defined in Sec. 568.3 of Title 49 of 
the CFR, of a vehicle manufactured in two or more stages shall affix to 
each vehicle a label, of the type and in the manner and form described 
in Sec. 567.4 of this part, containing the following statements:
    (1) Name of final-stage manufacturer, preceded by the words 
``MANUFACTURED BY'' or ``MFD BY''.
    (2) Month and year in which final-stage manufacture is completed. 
This may be spelled out, as in ``JUNE 1970'', or expressed in numerals, 
as in ``6/70''. No preface is required.
    (3) Name of original manufacturer of the incomplete vehicle, 
preceded by the words ``INCOMPLETE VEHICLE MANUFACTURED BY'' or ``INC 
VEH MFD BY''. This item and item (4) may be omitted in cases where the 
incomplete vehicle was a chassis-cab.
    (4) Month and year in which the original manufacturer of the 
incomplete vehicle performed his last manufacturing operation on the 
incomplete vehicle, in the same form as paragraph (c)(2) of this 
section.
    (5) ``GROSS VEHICLE WEIGHT RATING'' or ``GVWR'', followed by the 
appropriate value in pounds, which shall not be less than the sum of the 
unloaded vehicle weight, rated cargo load, and 150 pounds times the 
vehicle's designated seating capacity. However, for school buses the 
minimum occupant weight allowance shall be 120 pounds.
    (6) ``GROSS AXLE WEIGHT RATING'' or ``GAWR'', followed by the 
appropriate value in pounds for each axle,

[[Page 153]]

identified in order from front to rear (e.g., front, first intermediate, 
second intermediate, rear). The ratings for any consecutive axles having 
identical gross axle weight ratings when equipped with tires having the 
same tire size designation may be stated as a single value, with the 
label indicating to which axles the rating apply.

                      Examples of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT(D) tires; (b) Front--
12,000 with 10.00-20(G) tires. First intermediate to rear--15,000 with 
12.00-20(H) tires.

    (7) One of the following statements as appropriate. Statements (i), 
(ii), and (iii) are alternative certification statements. Statement (i) 
may be used by manufacturers meeting the requirements described in the 
instruction portion of that paragraph. Statements (ii) and (iii) may be 
used by any final-stage manufacturer.
    (i) ``Conformity of the chassis-cab to Federal Motor Vehicle Safety 
Standards, which have been previously fully certified by the incomplete 
vehicle manufacturer or intermediate vehicle manufacturer, has not been 
affected by final-stage manufacture. The vehicle has been completed in 
accordance with the prior manufacturer's instructions, where applicable. 
This vehicle conforms to all other applicable Federal Motor Vehicle 
Safety Standards in effect in (month, year).''

The preceding statement shall be used only in cases in which the final-
stage manufacturer has:

(A) Not affected conformity to standards compliance with which has been 
fully certified by a chassis-cab manufacturer pursuant to paragraph 
(a)(1) of this section or by an intermediate manufacturer pursuant to 
paragraphs (b)(1)(i) or (b)(1)(ii) of this section, and (B) has 
completed the vehicle in accordance with the prior manufacturer's 
instructions in regard to standards listed, as apporpriate, in a 
chassis-cab manufacturer's conditional statement under paragraph (a)(2) 
of this section or in an intermediate manufacturer's conditional 
statement under paragraph (b)(2) of this section. The date shown in the 
third sentence of the statement shall be not earlier than the 
manufacturing date of the incomplete vehicle, and not later than the 
date of completion of final-stage manufacture.
    (ii) ``Conformity of the chassis-cab to Federal Motor Vehicle Safety 
Standards Nos. ------ has not been affected by final stage manufacture. 
With respect to Standards Nos. ____________, the vehicle has been 
completed in accordance with the prior manufacturer's instructions. This 
vehicle conforms to all other applicable Federal Motor Vehicle Safety 
Standards in effect in (month, year).''
    The first sentence of the preceding statement shall be completed by 
inserting the numbers of all or less than all of the standards, and only 
those standards, respecting which the latest prior certification 
statement was made by a chassis-cab manufacturer pursuant to paragraph 
(a)(1) of this section or by an intermediate manufacturer pursuant to 
paragraphs (b)(1)(i) or (b)(1)(ii) of this section. The second sentence 
of the statement shall be completed by inserting the numbers of all or 
less than all of the standards and only those standards, respecting 
which the latest prior certification statement was a chassis-cab 
manufacturer's conditional statement under paragraph (a)(2) of this 
section or an intermediate manufacturer's conditional statement under 
paragraph (b)(2) of this section. The date shown in the third sentence 
of the statement shall be not earlier than the manufacturing date of the 
incomplete vehicle, and not later than the date of completion of final-
stage manufacture.
    (iii) ``This vehicle conforms to all applicable Federal Motor 
Vehicle Safety Standards in effect in (month, year).''
    The date shown shall be not earlier than the manufacturing date of 
the incomplete vehicle and not later than the date of completion of 
final-stage manufacture.
    (8) Vehicle identification number.
    (9) The type classification of the vehicle as defined in Sec. 571.3 
of Title 49 of the CFR (e.g., truck, MPV, bus, trailer).
    (d) More than one set of figures for GVWR and GAWR, and one or more 
tire sizes, may be listed in satisfaction of the requirements of 
paragraphs (c)

[[Page 154]]

(5) and (6) of this section, as provided in Sec. 567.4(h).
    (e) If an incomplete vehicle manufacturer assumes legal 
responsibility for all duties and liabilities imposed by the Act, with 
respect to the vehicle as finally manufactured, the incomplete vehicle 
manufacturer shall ensure that a label is affixed to the final vehicle 
in conformity with paragraph (c) of this section, except that the name 
of the incomplete vehicle manufacturer shall appear instead of the name 
of the final-stage manufacturer after the words ``MANUFACTURED BY'' or 
``MFD BY'' required by paragraph (c)(1) of this section, the additional 
manufacturer's name required by paragraph (c)(3) of this section shall 
be omitted, and the date required by paragraph (c)(4) of this section 
shall be preceded by the words ``INCOMPLETE VEHICLE MANUFACTURED'' or 
``INC VEH MFD.''
    (f) If an intermediate manufacturer of a vehicle assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the Act, with respect to the vehicle as finally manufactured, the 
intermediate manufacturer shall ensure that a label is affixed to the 
final vehicle in conformity with paragraph (c) of this section, except 
that the name of the intermediate manufacturer shall appear instead of 
the name of the final-stage manufacturer after the words ``MANUFACTURED 
BY'' or ``MFD BY'' required by paragraph (c)(1) of this section.
[42 FR 37817, July 25, 1977; 42 FR 46927, Sept. 19, 1977, as amended at 
43 FR 9605, Mar. 3, 1978; 43 FR 12014, Mar. 23, 1978; 43 FR 29124, July 
6, 1978; 48 FR 51309, Nov. 8, 1983]



Sec. 567.6  Requirements for persons who do not alter certified vehicles or do so with readily attachable components.

    A person who does not alter a motor vehicle or who alters such a 
vehicle only by the addition, substitution, or removal of readily 
attachable components such as mirrors or tires and rim assemblies, or 
minor finishing operations such as painting, in such a manner that the 
vehicle's stated weight ratings are still valid, need not affix a label 
to the vehicle, but shall allow a manufacturer's label that conforms to 
the requirements of this part to remain affixed to the vehicle. If such 
a person is a distributor of the motor vehicle, allowing the 
manufacturer's label to remain affixed to the vehicle shall satisfy the 
distributor's certification requirements under the Act.
[38 FR 15962, June 19, 1973]



Sec. 567.7  Requirements for persons who alter certified vehicles.

    A person who alters a vehicle that has previously been certified in 
accordance with Sec. 567.4 or Sec. 567.5, other than by the addition, 
substitution, or removal of readily attachable components such as 
mirrors or tire and rim assemblies, or minor finishing operations such 
as painting, or who alters the vehicle in such a manner that its stated 
weight ratings are no longer valid, before the first purchase of the 
vehicle in good faith for purposes other than resale, shall allow the 
original certification label to remain on the vehicle, and shall affix 
to the vehicle an additional label of the type and in the manner and 
form described in Sec. 567.4, containing the following information:
    (a) The statement: ``This vehicle was altered by (individual or 
corporate name) in (month and year in which alterations were completed) 
and as altered it conforms to all applicable Federal Motor Vehicle 
Safety Standards affected by the alteration and in effect in (month, 
year).'' The second date shall be no earlier than the maufacturing date 
of the original vehicle, and no later than the date alterations were 
completed. However, in the case of passenger cars, the expression ``and 
bumper'':
    (1) May, at the option of the manufacturer, be included in the 
statement following the word ``safety''; and
    (2) Shall be included in the statement following the word ``safety'' 
in the case of passenger cars manufactured on or after September 1, 
1978.
    (b) If the gross vehicle weight rating or any of the gross axle 
weight ratings of the vehicle as altered are different from those shown 
on the original certification label, the modified values shall be 
provided in the form specified in Sec. 567.4(g) (3) and (5).
    (c) If the vehicle as altered has a different type classification 
from that shown on the original certification

[[Page 155]]

label, the type as modified shall be provided.
[38 FR 15963, June 19, 1973, as amended at 43 FR 21891, May 22, 1978; 45 
FR 18929, Mar. 24, 1980]



PART 568--VEHICLES MANUFACTURED IN TWO OR MORE STAGES--Table of Contents




Sec.
568.1  Purpose and scope.
568.2  Application.
568.3  Definitions.
568.4  Requirements for incomplete vehicle manufacturers.
568.5  Requirements for intermediate manufacturers.
568.6  Requirements for final-stage manufacturers.
568.7  Requirements for manufacturers who assume legal responsibility 
          for the vehicle.
568.8  Requirements for persons who alter certified vehicles.

    Authority:  Secs. 103, 112, 114, and 119, National Traffic and Motor 
Vehicle Safety Act (15 U.S.C. 1392, 1401, 1403, and 1407); delegation of 
authority at 49 CFR 1.50.



Sec. 568.1  Purpose and scope.

    The purpose of this part is to prescribe the method by which 
manufacturers of vehicles manufactured in two or more stages shall 
ensure conformity of those vehicles with the Federal motor vehicle 
safety standards (``standards'') and other regulations issued under the 
National Traffic and Motor Vehicle Safety Act.
[36 FR 7057, Apr. 14, 1971]



Sec. 568.2  Application.

    This part applies to incomplete vehicle manufacturers, intermediate 
manufacturers, and final-stage manufacturers of vehicles manufactured in 
two or more stages.
[36 FR 7057, Apr. 14, 1971]



Sec. 568.3  Definitions.

    Completed vehicle means a vehicle that requires no further 
manufacturing operations to perform its intended function, other than 
the addition of readily attachable components, such as mirrors or tire 
and rim assemblies, or minor finishing operations such as painting.
    Final-stage manufacturer means a person who performs such 
manufacturing operations on an incomplete vehicle that it becomes a 
completed vehicle.
    Incomplete vehicle means an assemblage consisting, as a minimum, of 
frame and chassis structure, power train, steering system, suspension 
system, and braking system, to the extent that those systems are to be 
part of the completed vehicle, that requires further manufacturing 
operations, other than the addition of readily attachable components, 
such as mirrors or tire and rim assemblies, or minor finishing 
operations such as painting, to become a completed vehicle.
    Intermediate manufacturer means a person, other than the incomplete 
vehicle manufacturer or the final-stage manufacturer, who performs 
manufacturing operations on an incomplete vehicle.
    Incomplete vehicle manufacturer means a person who manufactures an 
incomplete vehicle by assembling components none of which, taken 
separately, constitute an incomplete vehicle.
[36 FR 7057, Apr. 14, 1971, as amended at 37 FR 10938, June 1, 1972]



Sec. 568.4  Requirements for incomplete vehicle manufacturers.

    (a) The incomplete vehicle manufacturer shall furnish with the 
incomplete vehicle, at or before the time of delivery, a document that 
contains the following statements, in the order shown, and any other 
information required by this chapter to be included therein.
    (1) Name and mailing address of the incomplete vehicle manufacturer.
    (2) Month and year during which the incomplete vehicle manufacturer 
performed his last manufacturing operation on the incomplete vehicle.
    (3) Identification of the incomplete vehicle(s) to which the 
document applies. The identification may be by serial number, groups of 
serial numbers, or otherwise, but it must be sufficient to ascertain 
positively that a document applies to a particular incomplete vehicle 
after the document has been removed from the vehicle.
    (4) Gross vehicle weight rating of the completed vehicle for which 
the incomplete vehicle is intended.

[[Page 156]]

    (5) Gross axle weight rating for each axle of the completed vehicle, 
listed and identified in order from front to rear (e.g., front, first 
intermediate, second intermediate, rear). The ratings for any consective 
axles having identical gross axle weight ratings when equipped with 
tires having the same tire size designation may, at the option of the 
incomplete vehicle manufacturer, be stated as a single value, with the 
label indicating to which axles the ratings apply.

                       Example of Combined Ratings

    GAWR: (a) All axles--4080 with 7.00-15 LT(D) tires.
    (b) Front--12,000 with 10.00-20(G) tires.
    First intermediate to rear--15,000 with 12.00-20(H) tires.

    (6) Listing of the vehicle types as defined in Sec. 571.3 of this 
chapter (e.g., truck, MPV, bus, trailer) into which the incomplete 
vehicle may appropriately be manufactured.
    (7) Listing by number of each standard, in effect at the time of 
manufacture of the incomplete vehicle, that applies to any of the 
vehicle types listed in this paragraph (a)(6) of this section, followed 
in each case by one of the following three types of statement, as 
applicable:
    (i) A statement that the vehicle when completed will conform to the 
standard if no alterations are made in identified components of the 
incomplete vehicle.

    Example: 107--This vehicle when completed will conform to Standard 
107 (see Sec. 571.107 of this chapter), Reflecting Surfaces, if no 
alterations are made in the windshield wiper components or in the 
reflecting surfaces in the interior of the cab.

    (ii) A statement of specific conditions of final manufacture under 
which the manufacturer specifies that the completed vehicle will conform 
to the standard.

    Example: 121--This vehicle when completed will conform to Standard 
121, Airbrake Systems (see Sec. 571.121 of this chapter), if it does not 
exceed any of the gross axle weight ratings, if the center of gravity at 
GVWR is not higher than nine feet above the ground, and if no 
alterations are made in any brake system component.

    (iii) A statement that conformity with the standard is not 
substantially affected by the design of the incomplete vehicle, and that 
the incomplete vehicle manufacturer makes no representation as to 
conformity with the standard.
    (b) The document shall be attached to the incomplete vehicle in such 
a manner that it will not be inadvertently detached, or alternatively, 
it may be sent directly to a final-stage manufacturer, intermediate 
manufacturer or purchaser for purposes other than resale to whom the 
incomplete vehicle is delivered.
[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 31162, June 20, 1977; 42 
FR 37371, July 21, 1977; 42 FR 37816, July 25, 1977]



Sec. 568.5  Requirements for intermediate manufacturers.

    (a) Each intermediate manufacturer of an incomplete vehicle shall 
furnish the document required by Sec. 568.4 in the manner specified in 
that section. If any of the changes in the vehicle made by the 
intermediate manufacturer affect the validity of the statements in the 
document as provided to him he shall furnish an addendum to the document 
that contains his name and mailing address and an indication of all 
changes that should be made in the document to reflect changes that he 
made in the vehicle.
    (b) Each intermediate manufacturer shall, in accordance with 
Sec. 567.5 of this chapter, affix a label to each chassiscab respecting 
which he is required by paragraph (a) above to furnish an addendum to 
the document required by Sec. 568.4.

(Secs. 103, 108, 112, 114, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 
1392, 1397, 1401, 1403, 1407); delegation of authority at 49 CFR 1.50)
[43 FR 9605, Mar. 9, 1978]

Sec. 568.6  Requirements for final-stage manufacturers.

    (a) Each final-stage manufacturer shall complete the vehicle in such 
a manner that it conforms to the standards in effect on the date of 
manufacture of the incomplete vehicle, the date of final completion, or 
a date between those two dates. This requirement shall, however, be 
superseded by any conflicting provisions of a standard that applies by 
its terms to vehicles manufactured in two or more stages.

[[Page 157]]

    (b) Each final-stage manufacturer shall affix a label to the 
completed vehicle in accordance with Sec. 567.5 of this chapter.
[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977]

Sec. 568.7  Requirements for manufacturers who assume legal 
          responsibility for the vehicle.

    (a) If an incomplete vehicle manufacturer assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1381 
through 1425) (hereafter referred to as the Act), with respect to the 
vehicle as finally manufactured, the requirements of Secs. 568.4, 568.5 
and 568.6(b) do not apply to that vehicle. In such a case, the 
incomplete vehicle manufacturer shall ensure that a label is affixed to 
the final vehicle in conformity with Sec. 567.5(e) of this chapter.
    (b) If an intermediate manufacturer of a vehicle assumes legal 
responsibility for all duties and liabilities imposed on manufacturers 
by the Act, with respect to the vehicle as finally manufactured, 
Secs. 568.5 and 568.6(b) do not apply to that vehicle. In such a case, 
the manufacturer assuming responsibility shall ensure that a label is 
affixed to the final vehicle in conformity with Sec. 567.5(f) of this 
chapter. The assumption of responsibility by an intermediate 
manufacturer does not, however, change the requirements for incomplete 
vehicle manufacturers in Sec. 568.4.
[36 FR 7057, Apr. 14, 1971, as amended at 42 FR 37817, July 25, 1977]

Sec. 568.8  Requirements for persons who alter certified vehicles.

    A person who alters a vehicle that has been previously certified in 
accordance with Sec. 567.4 or Sec. 567.5, other than by the addition, 
substitution, or removal of readily attachable components such as 
mirrors or tire and rim assemblies, or minor finishing operations such 
as painting, or who alters a vehicle in such a manner that its stated 
weight ratings are no longer valid, before the first purchase of the 
vehicle in good faith for purposes other than resale, shall ascertain 
that the vehicle as altered conforms to the standards which are affected 
by the alteration and are in effect on the original date of manufacture 
of the vehicle, the date of final completion, or a date between those 
two dates. That person shall certify the vehicle in accordance with 
Sec. 567.7 of this chapter.
[45 FR 18929, Mar. 24, 1980]



PART 569--REGROOVED TIRES--Table of Contents




Sec.
569.1  Purpose and scope.
569.3  Definitions.
569.5  Applicability.
569.7  Requirements.
569.9  Labeling of regroovable tires.

    Authority:  Secs. 119, 204, 80 Stat. 728, 729 (15 U.S.C. 1407, 
1424); and Secretary's delegation of authority, 49 CFR 1.4(c).



Sec. 569.1  Purpose and scope.

    This part sets forth the conditions under which regrooved and 
regroovable tires manufactured or regrooved after the effective date of 
the regulation may be sold, offered for sale, introduced for sale or 
delivered for introduction into interstate commerce.
[42 FR 21613, Apr. 28, 1977]



Sec. 569.3  Definitions.

    (a) Statutory definitions. All terms used in this part that are 
defined in section 102 of the National Traffic and Motor Vehicle Safety 
Act of 1966 (15 U.S.C. 1391) are used as defined in the Act.
    (b) Motor Vehicle Safety Standard definitions. Unless otherwise 
indicated, all terms used in this part that are defined in the Motor 
Vehicle Safety Standards, part 571, of this subchapter (hereinafter 
``The Standards''), are used as defined therein without regard to the 
applicability of a standard in which a definition is contained.
    (c) Regroovable tire means a tire, either original tread or retread, 
designed and constructed with sufficient tread material to permit 
renewal of the tread pattern or the generation of a new tread pattern in 
a manner which conforms to this part.
    (d) Regrooved tire means a tire, either original tread or retread, 
on which the tread pattern has been renewed or a new tread has been 
produced by cutting

[[Page 158]]

into the tread of a worn tire to a depth equal to or deeper than the 
molded original groove depth.
[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 569.5  Applicability.

    (a) General. Except as provided in paragraph (b) of this section, 
this part applies to all motor vehicle regrooved or regroovable tires 
manufactured or regrooved after the effective date of the regulation.
    (b) Export. This part does not apply to regrooved or regroovable 
tires intended solely for export and so labeled or tagged.
[34 FR 1150, Jan. 24, 1969. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 569.7  Requirements.

    (a) Regrooved tires. (1) Except as permitted by paragraph (a)(2) of 
this section, no person shall sell, offer for sale, or introduce or 
deliver for introduction into interstate commerce regrooved tires 
produced by removing rubber from the surface of a worn tire tread to 
generate a new tread pattern. Any person who regrooves tires and leases 
them to owners or operators of motor vehicles and any person who 
regrooves his own tires for use on motor vehicles is considered to be a 
person delivering for introduction into interstate commerce within the 
meaning of this part.
    (2) A regrooved tire may be sold, offered for sale, or introduced 
for sale or delivered for introduction into interstate commerce only if 
it conforms to each of the following requirements:
    (i) The tire being regrooved shall be a regroovable tire;
    (ii) After regrooving, cord material below the grooves shall have a 
protective covering of tread material at least \3/32\-inch thick;
    (iii) After regrooving, the new grooves generated into the tread 
material and any residual original molded tread groove which is at or 
below the new regrooved depth shall have a minimum of 90 linear inches 
of tread edges per linear foot of the circumference;
    (iv) After regrooving, the new groove width generated into the tread 
material shall be a minimum of \3/16\-inch and a maximum of \5/16\-inch;
    (v) After regrooving, all new grooves cut into the tread shall 
provide unobstructed fluid escape passages; and
    (vi) After regrooving, the tire shall not contain any of the 
following defects, as determined by a visual examination of the tire 
either mounted on the rim, or dismounted, whichever is applicable:
    (A) Cracking which extends to the fabric,
    (B) Groove cracks or wear extending to the fabric, or
    (C) Evidence of ply, tread, or sidewall separation;
    (vii) If the tire is siped by cutting the tread surface without 
removing rubber, the tire cord material shall not be damaged as a result 
of the siping process, and no sipe shall be deeper than the original or 
retread groove depth.
    (b) Siped regroovable tires. No person shall sell, offer for sale, 
or introduce for sale or deliver for introduction into interstate 
commerce a regroovable tire that has been siped by cutting the tread 
surface without removing rubber if the tire cord material is damaged as 
a result of the siping process, or if the tire is siped deeper than the 
original or retread groove depth.
[39 FR 15039, Apr. 30, 1974, as amended at 42 FR 21613, Apr. 28, 1977]



Sec. 569.9  Labeling of regroovable tires.

    (a) Regroovable tires. After August 30, 1969, each tire designed and 
constructed for regrooving shall be labeled on both sidewalls with the 
word ``Regroovable'' molded on or into the tire in raised or recessed 
letters 0.025 to 0.040 inch. The word ``Regroovable'' shall be in 
letters 0.38 to 0.50 inch in height and not less than 4 inches and not 
more than 6 inches in length. The lettering shall be located in the 
sidewall of the tire between the maximum section width and the bead in 
an area which will not be obstructed by the rim flange.
[34 FR 1150, Jan. 24, 1969; 34 FR 1830, Feb. 7, 1969]

[[Page 159]]



PART 570--VEHICLE IN USE INSPECTION STANDARDS--Table of Contents




         Subpart A--Vehicles With GVWR of 10,000 Pounds or Less

Sec.
570.1  Scope.
570.2  Purpose.
570.3  Applicability.
570.4  Definitions.
570.5  Service brake system.
570.6  Brake power unit.
570.7  Steering systems.
570.8  Suspension systems.
570.9  Tires.
570.10  Wheel assemblies.

        Subpart B--Vehicles With GVWR of More Than 10,000 Pounds

570.51  Scope.
570.52  Purpose.
570.53  Applicability.
570.54  Definitions.
570.55  Hydraulic brake system.
570.56  Vacuum brake assist unit and vacuum brake system.
570.57  Air brake system and air-over-hydraulic brake subsystem.
570.58  Electric brake system.
570.59  Service brake system.
570.60  Steering system.
570.61  Suspension system.
570.62  Tires.
570.63  Wheel assemblies.

    Authority:  Secs. 103, 108, 119, Pub. L. 89-563, 80 Stat. 718 (15 
U.S.C. 1392, 1397, 1407); delegation of authority at 49 CFR 1.50.



         Subpart A--Vehicles With GVWR of 10,000 Pounds or Less

    Source:  38 FR 23950, Sept. 5, 1973, unless otherwise noted.



Sec. 570.1  Scope.

    This part specifies standards and procedures for inspection of 
hydraulic service brake systems, steering and suspension systems, and 
tire and wheel assemblies of motor vehicles in use.



Sec. 570.2  Purpose.

    The purpose of this part is to establish criteria for the inspection 
of motor vehicles by State inspection systems, in order to reduce death 
and injuries attributable to failure or inadequate performance of motor 
vehicle systems.



Sec. 570.3  Applicability.

    This part does not in itself impose requirements on any person. It 
is intended to be implemented by States through the highway safety 
program standards issued under the Highway Safety Act (23 U.S.C. 402) 
with respect to inspection of motor vehicles with gross vehicle weight 
rating of 10,000 pounds or less, except motorcycles or trailers.



Sec. 570.4  Definitions.

    Unless otherwise indicated, all terms used in this part that are 
defined in 49 CFR part 571, Motor Vehicle Safety Standards, are used as 
defined in that part.



Sec. 570.5  Service brake system.

    Unless otherwise noted, the force to be applied during inspection 
procedures to power-assisted and full-power brake systems is 25 lb, and 
to all other systems, 50 lb.
    (a) Failure indicator. The brake system failure indicator lamp, if 
part of a vehicle's original equipment, shall be operable. (This lamp is 
required by Federal Motor Vehicle Safety Standard No. 105, 49 CFR 
571.105, on every new passenger car manufactured on or after January 1, 
1968, and on other types of motor vehicles manufactured on or after 
September 1, 1975.)
    (1) Inspection procedure. Apply the parking brake and turn the 
ignition to start, or verify lamp operation by other means indicated by 
the vehicle manufacturer that the brake system failure indicator lamp is 
operable.
    (b) Brake system integrity. The brake system shall demonstrate 
integrity as indicated by no perceptible decrease in pedal height under 
a 125 pound force applied to the brake pedal or by no illumination of 
the brake system failure indicator lamp. The brake system shall 
withstand the application of force to the pedal without failure of any 
line or other part.
    (1) Inspection procedures. With the engine running on vehicles 
equipped with power brake systems, and the ignition turned to ``on'' in 
other vehicles, apply a force of 125 pounds to the brake pedal and hold 
for 10 seconds. Note any decrease in pedal height, and whether the lamp 
illuminates.

[[Page 160]]

    (c) Brake pedal reserve. When the brake pedal is fully depressed, 
the distance that the pedal has traveled from its free position shall be 
not greater than 80 percent of the total distance from its free position 
to the floorboard or other object that restricts pedal travel.
    (1) Inspection procedure. Measure the distance (A) from the free 
pedal position to the floorboard or other object that restricts brake 
pedal travel. Depress the brake pedal, and with the force applied 
measure the distance (B) from the depressed pedal position to the 
floorboard or other object that restricts pedal travel.

Determine the percentage as

                            [(A-B)/A] x 100.

The engine must be operating when power-assisted brakes are checked. The 
pedal reserve check is not required for vehicles equipped with full 
power (central hydraulic) brake systems, or to vehicles with brake 
systems designed to operate with greater than 80 percent pedal travel.
    (d) Service brake performance. Compliance with one of the following 
performance criteria will satisfy the requirements of this section. 
Verify that tire inflation pressure is within the limits recommended by 
vehicle manufacturer before conducting either of the following tests.
    (1) Roller-type or drive-on platform tests. The force applied by the 
brake on a front wheel or a rear wheel shall not differ by more than 20 
percent from the force applied by the brake on the other front wheel or 
the other rear wheel respectively.
    (i) Inspection procedure. The vehicle shall be tested on a drive-on 
platform, or a roller-type brake analyzer with the capability of 
measuring equalization. The test shall be conducted in accordance with 
the test equipment manufacturer's specifications. Note the left to right 
brake force variance.
    (2) Road test. The service brake system shall stop the vehicle in a 
distance of 25 feet or less from a speed of 20 miles per hour without 
leaving a 12-foot-wide lane.
    (i) Inspection procedure. The road test shall be conducted on a 
level (not to exceed plus or minus one percent grade) dry, smooth, hard-
surfaced road that is free from loose material, oil, or grease. The 
service brakes shall be applied at a vehicle speed of 20 miles per hour 
and the vehicle shall be brought to a stop as specified. Measure the 
distance required to stop.
    (e) Brake hoses and assemblies. Brake hoses shall not be mounted so 
as to contact the vehicle body or chassis. Hoses shall not be cracked, 
chafed, or flattened. Protective devices, such as ``rub rings,'' shall 
not be considered part of the hose or tubing.
    (1) Inspection procedure. Examine visually, inspecting front brake 
hoses through all wheel positions from full left to full right for 
conditions indicated.


    Note: To inspect for paragraphs (f), (g), and (h) of this section, 
remove at a minimum one front wheel and one rear wheel.


    (f) Disc and drum condition. If the drum is embossed with a maximum 
safe diameter dimension or the rotor is embossed with a minimum safety 
thickness dimension, the drum or disc shall be within the appropriate 
specifications. These dimensions will be found on motor vehicles 
manufactured since January 1, 1971, and may be found on vehicles 
manufactured for several years prior to that time. If the drums and 
discs are not embossed, the drums and discs shall be within the 
manufacturer's specifications.
    (1) Inspection procedure. Examine visually for condition indicated, 
measuring as necessary.
    (g) Friction materials. On each brake the thickness of the lining or 
pad shall not be less than one thirty-second of an inch over the rivet 
heads, or the brake shoe on bonded linings or pads. Brake linings and 
pads shall not have cracks or breaks that extend to rivet holes except 
minor cracks that do not impair attachment. Drum brake linings shall be 
securely attached to brake shoes. Disc brake pads shall be securely 
attached to shoe plates.
    (1) Inspection procedure. Examine visually for conditions indicated, 
and measure height of rubbing surface of lining over rivet heads. 
Measure bonded lining thickness over shoe surface at the thinnest point 
on the lining or pad.

[[Page 161]]

    (h) Structural and mechanical parts. Backing plates and caliper 
assemblies shall not be deformed or cracked. System parts shall not be 
broken, misaligned, missing, binding, or show evidence of severe wear. 
Automatic adjusters and other parts shall be assembled and installed 
correctly.
    (1) Inspection procedure. Examine visually for conditions indicated.
[38 FR 23950, Sept. 5, 1973; 38 FR 25685, Sept. 14, 1973, as amended at 
39 FR 12868, Apr. 9, 1974; 39 FR 17321, May 15, 1974]



Sec. 570.6  Brake power unit.

    (a) Vacuum hoses shall not be collapsed, abraded, broken, improperly 
mounted, or audibly leaking. With residual vacuum exhausted and a 
constant 25 pound force on the brake pedal, the pedal shall fall 
slightly when the engine is started, demonstrating integrity of the 
power assist system. This test is not applicable to vehicles equipped 
with full power brake system as the service brake performance test shall 
be considered adequate test of system performance.
    (1) Inspection procedure. With engine running, examine hoses 
visually and aurally for conditions indicated. Stop engine and apply 
service brakes several times to destroy vacuum in system. Depress brake 
pedal with 25 pounds of force and while maintaining that force, start 
the engine. If brake pedal does not fall slightly under force when the 
engine starts, there is a malfunction in the power assist system.



Sec. 570.7  Steering systems.

    (a) System play. Lash or free play in the steering system shall not 
exceed values shown in Table 1.
    (1) Inspection procedure. With the engine on and the wheels in the 
straight ahead position, turn the steering wheel in one direction until 
there is a perceptible movement of a front wheel. If a point on the 
steering wheel rim moves more than the value shown in Table 1 before 
perceptible return movement of the wheel under observation, there is 
excessive lash or free play in the steering system.

                Table 1--Steering System Free Play Values               
------------------------------------------------------------------------
                                                                 Lash   
              Steering wheel diameter (inches)                 (inches) 
------------------------------------------------------------------------
16 or less..................................................           2
18..........................................................      2\1/4\
20..........................................................      2\1/2\
22..........................................................      2\3/4\
------------------------------------------------------------------------

    (b) Linkage play. Free play in the steering linkage shall not exceed 
one-quarter of an inch.
    (1) Inspection procedure. Elevate the front end of the vehicle to 
load the ball joints. Insure that wheel bearings are correctly adjusted. 
Grasp the front and rear of a tire and attempt to turn the tire and 
wheel assembly left and right. If the free movement at the front or rear 
tread of the tire exceeds one-quarter inch there is excessive steering 
linkage play.
    (c) Free turning. Steering wheels shall turn freely through the 
limit of travel in both directions.
    (1) Inspection procedure. Turn off steering wheel through the limit 
of travel in both directions. Feel for binding or jamming in the 
steering gear mechanism.
    (d) Alignment. Toe-in and toe-out measurements shall not be greater 
than 1.5 times the value listed in the vehicle manufacturer's service 
specification for alignment setting.
    (1) Inspection procedure. Verify that toe-in or toe-out is not 
greater than 1.5 times the values listed in the vehicle manufacturer's 
service specification for alignment settings as measured by a bar-type 
scuff gauge or other toe-in measuring device. Values to convert toe-in 
readings in inches to scuff gauge readings in ft/mi side-slip for 
different wheel sizes are provided in Table I. Tire diameters used in 
computing scuff gauge readings are based on the average maximum tire 
dimensions of grown tires in service for typical wheel and tire 
assemblies.

[[Page 162]]



                                           Table I--Toe-in Settings From Vehicle MFR's Service Specifications                                           
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                       Nominal                             Readings in feet per mile sideslip                           
                                                        tire   -----------------------------------------------------------------------------------------
                 Wheel size (inches)                  diameter   \1/16\              \3/16\              \5/16\              \7/16\              \9/16\ 
                                                      (inches)     in     \1/8\ in     in     \1/4\ in     in     \3/8\ in     in     \1/2\ in     in   
--------------------------------------------------------------------------------------------------------------------------------------------------------
13..................................................      25.2      13.1      26.2      39.3      52.4      65.5      78.6      91.7     104.8     117.9
14..................................................      26.4      12.5      25.0      37.5      50.0      62.5      75.0      87.5     100.0     112.5
15..................................................      28.5      11.5      23.0      34.5      46.0      57.5      69.0      80.5      92.0     103.5
16..................................................      35.6       9.3      18.6      27.9      37.2      46.5      55.8      65.1      74.4      83.7
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (e) Power steering system. The power steering system shall not have 
cracked or slipping belts, or insufficient fluid in the reservoir.
    (1) Inspection procedure. Examine fluid reservoir and pump belts for 
conditions indicated.
[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]



Sec. 570.8  Suspension systems.

    (a) Suspension condition. Ball joint seals shall not be cut or 
cracked. Structural parts shall not be bent or damaged. Stabilizer bars 
shall be connected. Springs shall not be broken, or extended above the 
vehicle manufacturer's design height. Spacers, if installed, shall be 
installed on both front springs, both rear springs, or on all four 
springs. Shock absorber mountings, shackles, and U-bolts shall be 
securely attached. Rubber bushings shall not be cracked, extruded out 
from or missing from suspension joints. Radius rods shall not be missing 
or damaged.
    (1) Inspection procedure. Examine front and rear end suspension 
parts for conditions indicated.
    (b) Shock absorber condition. There shall be no oil on the shock 
absorber housing attributable to leakage by the seal, and the vehicle 
shall not continue free rocking motion for more than two cycles.
    (1) Inspection procedure. Examine shock absorbers for oil leaking 
from within, then with vehicle on a level surface, push down on one end 
of vehicle and release. Note number of cycles of free rocking motion. 
Repeat procedure at other end of vehicle.
[38 FR 23950, Sept. 5, 1973, as amended at 44 FR 68470, Nov. 29, 1979]



Sec. 570.9  Tires.

    (a) Tread depth. The tread on each tire shall be not less than two 
thirty-seconds of an inch deep.
    (1) Inspection procedure. Passenger car tires have tread depth 
indicators that become exposed when tread depth is less than two thirty-
seconds of an inch. Inspect for indicators in any two adjacent major 
grooves at three locations spaced approximately equally around the 
outside of the tire. For vehicles other than passenger cars, it may be 
necessary to measure tread depth with a tread gauge.
    (b) Type. Vehicle shall be equipped with tires on the same axle that 
are matched in tire size designation, construction, and profile.
    (1) Inspection procedures. Examine visually. A major mismatch in 
tire size designation, construction, and profile between tires on the 
same axle, or a major deviation from the size as recommended by the 
manufacturer (e.g., as indicated on the glove box placard on 1968 and 
later passenger cars) are causes for rejection.
    (c) General condition. Tires shall be free from chunking, bumps, 
knots, or bulges evidencing cord, ply, or tread separation from the 
casing or other adjacent materials.
    (1) Inspection procedure. Examine visually for conditions indicated.
    (d) Damage. Tire cords or belting materials shall not be exposed, 
either to the naked eye or when cuts or abrasions on the tire are 
probed.
    (1) Inspection procedures. Examine visually for conditions 
indicated, using a blunt instrument if necessary to probe cuts or 
abrasions.
[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974; 39 
FR 19781, June 4, 1974]

[[Page 163]]



Sec. 570.10  Wheel assemblies.

    (a) Wheel integrity. A tire rim, wheel disc, or spider shall have no 
visible cracks, elongated bolt holes, or indication of repair by 
welding.
    (1) Inspection procedure. Examine visually for conditions indicated.
    (b) Deformation. The lateral and radial runout of each rim bead area 
shall not exceed one-eighth of an inch of total indicated runout.
    (1) Inspection procedure. Using a runout indicator gauge, and a 
suitable stand, measure lateral and radial runout of rim bead through 
one full wheel revolution and note runout in excess of one-eighth of an 
inch.
    (c) Mounting. All wheel nuts and bolts shall be in place and tight.
    (1) Inspection procedure. Check wheel retention for conditions 
indicated.
[38 FR 23950, Sept. 5, 1973, as amended at 39 FR 12868, Apr. 9, 1974]



        Subpart B--Vehicles With GVWR of More than 10,000 Pounds

    Source:  39 FR 26027, July 16, 1974, unless otherwise noted.



Sec. 570.51  Scope.

    This part specifies standards and procedures for the inspection of 
brake, steering and suspension systems, and tire and wheel assemblies, 
of motor vehicles in use with a gross vehicle weight rating of more than 
10,000 pounds.



Sec. 570.52  Purpose.

    The purpose of this part is to establish criteria for the inspection 
of motor vehicles through State inspection programs, in order to reduce 
deaths and injuries attributable to failure or inadequate performance of 
the motor vehicle systems covered by this part.



Sec. 570.53  Applicability.

    This part does not in itself impose requirements on any person. It 
is intended to be implemented by States through the highway safety 
program standards issued under the Highway Safety Act (23 U.S.C. 402) 
with respect to inspection of motor vehicles with gross vehicle weight 
rating greater than 10,000 pounds, except mobile structure trailers.
[39 FR 28980, Aug. 13, 1974]



Sec. 570.54  Definitions.

    Unless otherwise indicated, all terms used in this part that are 
defined in part 571 of this chapter, Motor Vehicle Safety Standards, are 
used as defined in that part.
    Air-over-hydraulic brake subsystem means a subsystem of the air 
brake that uses compressed air to transmit a force from the driver 
control to a hydraulic brake system to actuate the service brakes.
    Electric brake system means a system that uses electric current to 
actuate the service brake.
    Vacuum brake system means a system that uses a vacuum and 
atmospheric pressure for transmitting a force from the driver control to 
the service brake, but does not include a system that uses vacuum only 
to assist the driver in applying muscular force to hydraulic or 
mechanical components.



Sec. 570.55  Hydraulic brake system.

    The following requirements apply to vehicles with hydraulic brake 
systems.
    (a) Brake system failure indicator. The hydraulic brake system 
failure indicator lamp, if part of a vehicle's original equipment, shall 
be operable.
    (1) Inspection procedure. Apply the parking brake and turn the 
ignition to start to verify that the brake system failure indicator lamp 
is operable, or verify by other means recommended by the vehicle 
manufacturer.
    (b) Brake system integrity. The hydraulic brake system shall 
demonstrate integrity as indicated by no perceptible decrease in pedal 
height under a 125-pound force applied to the brake pedal and by no 
illumination of the brake system failure indicator lamp. The brake 
system shall withstand the application of force to the pedal without 
failure of any tube, hose or other part.
    (1) Inspection procedure. With the engine running in vehicles 
equipped with power brake systems and the ignition turned to ``on'' in 
other vehicles, apply a force of 125 pounds to the brake pedal and hold 
for 10 seconds. Note any additional decrease in pedal height after the 
initial decrease, and whether the

[[Page 164]]

brake system failure indicator lamp illuminates.
    (c) Brake pedal reserve. When the brake pedal is depressed with a 
force of 50 pounds, the distance that the pedal has traveled from its 
free position shall be not greater than 80 percent of the total distance 
from its free position to the floorboard or other object that restricts 
pedal travel. The brake pedal reserve test is not required for vehicles 
with brake systems designed by the original vehicle, manufacturer to 
operate with greater than 80 percent pedal travel.
    (1) Inspection procedure. Measure the distance (i) from the free 
pedal position to the floor board or other object that restricts brake 
pedal travel. Depress the brake pedal, and with the force applied 
measure the distance (ii) from the depressed pedal position to the floor 
board or other object that restricts pedal travel. Determine the pedal 
travel percentage as

                             [(A-B)/A] x 100

The engine must be operating when power-assisted brakes are checked.
    (d) Brake hoses, master cylinder, tubes and tube assemblies. 
Hydraulic brake hoses shall not be mounted so as to contact the vehicle 
body or chassis. Hoses shall not be cracked, chafed, or flattened. Brake 
tubes shall not be flattened or restricted. Brake hoses and tubes shall 
be attached or supported to prevent damage by vibration or abrasion. 
Master cylinder shall not show signs of leakage. Hose or tube protective 
rings or devices shall not be considered part of the hose or tubing.
    (1) Inspection procedure. Examine visually brake master cylinder, 
hoses and tubes, including front brake hoses, through all wheel 
positions from full left turn to full right turn for conditions 
indicated.
[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975]



Sec. 570.56  Vacuum brake assist unit and vacuum brake system.

    The following requirements apply to vehicles with vacuum brake 
assist units and vacuum brake systems.
    (a) Vacuum brake assist unit integrity. The vacuum brake assist unit 
shall demonstrate integrity as indicated by a decrease in pedal height 
when the engine is started and a constant 50-pound force is maintained 
on the pedal.
    (1) Inspection procedure. Stop the engine and apply service brake 
several times to destroy vacuum in system. Depress the brake pedal with 
50 pounds of force and while maintaining that force, start the engine. 
If the brake pedal does not move slightly under force when the engine 
starts, there is a malfunction in the power assist unit.
    (b) Low-vacuum indicator. If the vehicle has a low-vacuum indicator, 
the indicator activation level shall not be less than 8 inches of 
mercury.
    (1) Inspection procedure. Run the engine to evacuate the system 
fully. Shut off the engine and slowly reduce the vacuum in the system by 
moderate brake applications until the vehicle vacuum gauge reads 8 
inches of mercury. Observe the functioning of the low-vacuum indicator.
    (c) Vacuum brake system integrity. (1) The vacuum brake system shall 
demonstrate integrity by meeting the following requirements:
    (i) The vacuum brake system shall provide vacuum reserve to permit 
one service brake application with a brake pedal force of 50 pounds 
after the engine is turned off without actuating the low vacuum 
indicator.
    (ii) Trailer vacuum brakes shall operate in conjunction with the 
truck or truck tractor brake pedal.
    (2) Inspection procedure. (i) Check the trailer vacuum system by 
coupling trailer(s) to truck or truck tractor and opening trailer 
shutoff valves. Start the engine and after allowing approximately 1 
minute to build up the vacuum, apply and release the brake pedal. In the 
case of trailer brakes equipped with brake chamber rods, observe the 
chamber rod movement. Run the engine to re-establish maximum vacuum, 
then shut off the engine and apply the brakes with a 50-pound force on 
the brake pedal. Note the brake application and check for low-vacuum 
indicator activation.
    (ii) For a combination vehicle equipped with breakaway protection 
and no reservoir on the towing vehicle supply line, close the supply 
line shutoff valve and disconnect the supply

[[Page 165]]

line. Apply a 50-pound force to the brake pedal on the towing vehicle 
and release. Trailer brakes should remain in the applied position.
    (d) Vacuum system hoses, tubes and connections. Vacuum hoses, tubes 
and connections shall be in place and properly supported. Vacuum hoses 
shall not be collapsed, cracked or abraded.
    (1) Inspection procedure. With the engine running, examine hoses and 
tubes for the conditions indicated and note broken or missing clamps.



Sec. 570.57  Air brake system and air-over-hydraulic brake subsystem.

    The following requirements apply to vehicles with air brake and air-
over-hydraulic brake systems. Trailer(s) must be coupled to a truck or 
truck-tractor for the purpose of this inspection, except as noted.
    (a) Air brake system integrity. The air brake system shall 
demonstrate integrity by meeting the following requirements:
    (1) With the vehicle in a stationary position, compressed air 
reserve shall be sufficient to permit one full service brake 
application, after the engine is stopped and with the system fully 
charged, without lowering reservoir pressure more than 20 percent below 
the initial reading.
    (2) The air brake system compressor shall increase the air pressure 
in the reservoir(s) from the level developed after the test prescribed 
in Sec. 570.57(a)(1) to the initial pressure noted before the full brake 
application, with the engine running at the manufacturer's maximum 
recommended number of revolutions per minute with the compressor 
governor in the cut-off position, in not more than 30 seconds for 
vehicles manufactured prior to March 1, 1975. For vehicles, manufactured 
on or after March 1, 1975, the time allowed for air pressure buildup 
shall not exceed 45 seconds.
    (3) The warning device (visual or audible) connected to the brake 
system air pressure source shall be activated when air pressure is 
lowered to an activating level that is not less than 50 psi. For 
vehicles manufactured to conform to Federal Motor Vehicle Safety 
Standard No. 121, the low-pressure indicator shall be activated when air 
pressure is lowered to an activating level that is not less than 60 psi.
    (4) The governor cut-in pressure shall be not lower than 80 psi, and 
the cut-out pressure shall be not higher than 135 psi, unless other 
values are recommended by the vehicle manufacturer.
    (5) Air brake pressure shall not drop more than 2 psi in 1 minute 
for single vehicles or more than 3 psi in 1 minute for combination 
vehicles, with the engine stopped and service brakes released. There may 
be an additional 1 psi drop per minute for each additional towed 
vehicle.
    (6) With the reservoir(s) fully charged, air pressure shall not drop 
more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 
minute for combination vehicles, with the engine stopped and service 
brakes fully applied. There may be an additional 1 psi drop per minute 
for each additional towed vehicle.
    (7) The compressor drive belt shall not be badly worn or frayed and 
belt-tension shall be sufficient to prevent slippage.

Inspection procedure. With the air system charged, open the drain cocks 
in the service and supply reservoir on the truck or truck-tractor. Note 
the pressure at which the visual or audible warning device connected to 
the low-pressure indicator is activated. Close the drain cocks, and, 
with the trailer(s) uncoupled, check air pressure buildup at the 
manufacturer's recommended engine speed. Observe the time required to 
raise the air pressure from 85 to 100 psi. Continue running the engine 
until the governor cuts out and note the pressure. Reduce engine speed 
to idle, couple the trailer(s), if applicable, and make a series of 
brake applications. Note the pressure at which the governor cuts in. 
Increased engine speed to fast idle and charge the system to its 
governed pressure. Stop the engine and record the pressure drop in psi 
per minute with brakes released and with brakes fully applied.
    (b) Air brake system hoses, tubes and connections. Air system tubes, 
hoses and connections shall not be restricted, cracked or improperly 
supported, and the air hose shall not be abraded.

[[Page 166]]

    (1) Inspection procedure. Stop the engine and examine air hoses, 
tubes and connections visually for conditions specified.
    (c) Air-over-hydraulic brake subsystem integrity. The air-over-
hydraulic brake subsystem shall demonstrate integrity by meeting the 
following requirements:
    (1) The air brake system compressor shall increase the air pressure 
in the reservoir(s) from the level developed after the test prescribed 
in Sec. 570.57(a)(1) to the initial pressure noted before the full brake 
application, with the engine running at the manufacturer's recommended 
number of revolutions per minute and the compressor governor in the cut-
out position, in not more than 30 seconds for vehicles manufactured 
prior to March 1, 1975. For vehicles manufactured on or after March 1, 
1975, the time for air pressure build up shall not exceed 45 seconds.
    (2) The warning device (visual or audible) connected to the brake 
system air pressure source shall be activated when the air pressure is 
lowered to not less than 50 psi.
    (3) The governor cut-in pressure shall be not lower than 80 psi, and 
the cut-out pressure shall not be higher than 135 psi, unless other 
values are recommended by the vehicle manufacturer.
    (4) Air brake pressure shall not drop more than 2 psi in 1 minute 
for single vehicles or more than 3 psi in 1 minute for combination 
vehicles, with the engine stopped and service brakes released. Allow a 
1-psi drop per minute for each additional towed vehicle.
    (5) With the reservoir(s) fully charged, air pressure shall not drop 
more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 
minute for combination vehicles, with the engine stopped and service 
brakes fully applied. Allow a 1-psi pressure drop in 1 minute for each 
additional towed vehicle.
    (6) The compressor drive belt shall not be badly worn or frayed and 
belt tension shall be sufficient to prevent slippage.

Inspection procedure. With the air system charged, open the drain cocks 
in the service and supply reservoir on the truck or truck-tractor. Note 
the pressure at which the visual or audible warning device connected to 
the low pressure indicator is activated. Close the drain cocks and, with 
the trailers uncoupled, check air pressure buildup at the manufacturer's 
recommended engine speed. Observe the time required to raise the air 
pressure from 85 to 100 psi. Continue running the engine until the 
governor cuts out and note the pressure. Reduce engine speed to idle, 
couple trailers, and make a series of brake applications. Note the 
pressure at which the governor cuts in. Increase engine speed to fast 
idle and charge the system to its governed pressure. Stop the engine and 
record the pressure drop in psi per minute with brakes released and with 
brakes fully applied.
    (d) Air-over-hydraulic brake subsystem hoses, master cylinder, tubes 
and connections. System tubes, hoses and connections shall not be 
cracked or improperly supported, the air and hydraulic hoses shall not 
be abraded and the master cylinder shall not show signs of leakage.
    (1) Inspection procedure. Stop the engine and examine air and 
hydraulic brake hoses, brake master cylinder, tubes and connections 
visually for conditions specified.
[39 FR 26027, July 16, 1974, as amended at 40 FR 5160, Feb. 4, 1975; 41 
FR 13924, Apr. 1, 1976]



Sec. 570.58  Electric brake system.

    (a) Electric brake system integrity. The average brake amperage 
value shall be not more than 20 percent above, and not less than 30 
percent below, the brake manufacturer's maximum current rating. In 
progressing from zero to maximum, the ammeter indication shall show no 
fluctuation evidencing a short circuit or other interruption of current.
    (1) Inspection procedure. Insert a low range (0 to 25 amperes for 
most 2- and 4-brake systems and 0 to 40 amperes for a 6-brake system) 
d.c. ammeter into the brake circuit between the controller and the 
brakes. With the controller in the ``off'' position, the ammeter should 
read zero. Gradually apply the controller to the ``full on'' position 
for a brief period (not to exceed 1 minute) and observe the maximum 
ammeter reading. Gradually return the controller to ``full off'' and 
observe return to

[[Page 167]]

zero amperes. Divide the maximum ammeter reading by the number of brakes 
and determine the brake amperage value.
    (b) Electric brake wiring condition. Electric brake wiring shall not 
be frayed. Wiring clips or brackets shall not be broken or missing. 
Terminal connections shall be clean. Conductor wire gauge shall not be 
below the brake manufacturer's minimum recommendation.
    (1) Inspection procedure. Examine visually for conditions specified.



Sec. 570.59  Service brake system.

    (a) Service brake performance. Compliance with any one of the 
following performance criteria will satisfy the requirements of this 
section. Verify that tire inflation pressure is within the limits 
recommended by the vehicle manufacturer before conducting either of the 
following tests.
    (1) Roller-type or drive-on platform tests. The force applied by the 
brake on a front wheel or a rear wheel shall not differ by more than 25 
percent from the force applied by the brake on the other front wheel or 
the other rear wheel respectively.
    (i) Inspection procedure. The vehicle shall be tested on a drive-on 
platform, or a roller-type brake analyzer with the capability of 
measuring equalization. The test shall be conducted in accordance with 
the test equipment manufacturer's specifications. Note the brake force 
variance.
    (2) Road test. The service brake system shall stop single unit 
vehicles, except truck-tractors, in a distance of not more than 35 feet, 
or combination vehicles and truck-tractors in a distance of not more 
than 40 feet, from a speed of 20 mph, without leaving a 12-foot-wide 
lane.
    (i) Inspection procedure. The road test shall be conducted on a 
level (not to exceed plus or minus 1 percent grade), dry, smooth, hard-
surfaced road that is free from loose material, oil or grease. The 
service brakes shall be applied at a vehicle speed of 20 mph and the 
vehicle shall be brought to a stop as specified. Measure the distance 
required to stop.


    Note: Inspect for paragraphs (b), (c) and (d) of this section on 
vehicles equipped with brake inspection ports or access openings, and 
when removal of wheel is not required.


    (b) Disc and drum condition. If the drum is embossed with a maximum 
safe diameter dimension or the rotor is embossed with a minimum safe 
thickness dimension, the drum or disc shall be within the appropriate 
specifications. These dimensions will generally be found on motor 
vehicles manufactured since January 1, 1971, and may be found on 
vehicles manufactured for several years prior to that time. If the drums 
and discs are not embossed, they shall be within the manufacturer's 
specifications.
    (1) Inspection procedure. Examine visually for the condition 
indicated, measuring as necessary.
    (c) Friction materials. On each brake, the thickness of the lining 
or pad shall not be less than one thirty-second of an inch over the 
fastener, or one-sixteenth of an inch over the brake shoe on bonded 
linings or pads. Brake linings and pads shall not have cracks or breaks 
that extend to rivet holes except minor cracks that do not impair 
attachment. The wire in wire-backed lining shall not be visible on the 
friction surface. Drum brake linings shall be securely attached to brake 
shoes. Disc brake pads shall be securely attached to shoe plates.
    (1) Inspection procedure. Examine visually for the conditions 
indicated, and measure the height of the rubbing surface of the lining 
over the fastener heads. Measure bonded lining thickness over the 
surface at the thinnest point on the lining or pad.
    (d) Structural and mechanical parts. Backing plates, brake spiders 
and caliper assemblies shall not be deformed or cracked. System parts 
shall not be broken, misaligned, missing, binding, or show evidence of 
severe wear. Automatic adjusters and other parts shall be assembled and 
installed correctly.
    (1) Inspection procedure. Examine visually for conditions indicated.



Sec. 570.60  Steering system.

    (a) System play. Lash or free play in the steering system shall not 
exceed the values shown in Table 2.
    (1) Inspection procedure. With the engine on and the steering axle 
wheels in

[[Page 168]]

the straight ahead position, turn the steering wheel in one direction 
until there is a perceptible movement of the wheel. If a point on the 
steering wheel rim moves more than the value shown in Table 1 before 
perceptible return movement of the wheel under observation, there is 
excessive lash or free play in the steering system.

                Table 2. Steering Wheel Free Play Values                
------------------------------------------------------------------------
                                                                 Lash   
              Steering wheel diameter (inches)                 (inches) 
------------------------------------------------------------------------
16 or less..................................................           2
18..........................................................      2\1/4\
20..........................................................      2\1/2\
22..........................................................      2\3/4\
------------------------------------------------------------------------

    (b) Linkage play. Free play in the steering linkage shall not exceed 
the values shown in Table 3.
    (1) Inspection procedure. Elevate the front end of the vehicle to 
load the ball joints, if the vehicle is so equipped. Insure that wheel 
bearings are correctly adjusted. Grasp the front and rear of a tire and 
attempt to turn the tire and wheel assemble left and right. If the free 
movement at the front or rear tread of the tire exceeds the applicable 
value shown in Table 3, there is excessive steering linkage play.

             Table 3. Front Wheel Steering Linkage Free Play            
------------------------------------------------------------------------
                                                                 Play   
         Nominal bead diameter or rim size (inches)            (inches) 
------------------------------------------------------------------------
16 or less..................................................       \1/4\
16.01 through 18.00.........................................       \3/8\
18.01 or more...............................................       \1/2\
------------------------------------------------------------------------

    (c) Free turning. Steering wheels shall turn freely through the 
limit of travel in both directions.
    (1) Inspection procedure. With the engine running on a vehicle with 
power steering, or the steerable wheels elevated on a vehicle without 
power steering, turn the steering wheel through the limit of travel in 
both directions. Feel for binding or jamming in the steering gear 
mechanism.
    (d) Alignment. Toe-in or toe-out condition shall not be greater than 
1.5 times the values listed in the vehicle manufacturer's service 
specification for alignment setting.
    (1) Inspection procedure. Drive the vehicle over a sideslip 
indicator or measure with a tread gauge, and verify that the toe-in or 
toe-out is not greater than 1.5 times the values listed in the vehicle 
manufacturer's service specification.
    (e) Power steering system. The power steering system shall not have 
cracked, frayed or slipping belts, chafed or abrated hoses, show signs 
of leakage or have insufficient fluid in the reservoir.
    (1) Inspection procedure. Examine fluid reservoir, hoses and pump 
belts for the conditions indicated.


    Note: Inspection of the suspension system must not precede the 
service brake performance test.



Sec. 570.61  Suspension system.

    (a) Suspension condition. Ball joint seals shall not be cut or 
cracked, other than superficial surface cracks. Ball joints and kingpins 
shall not be bent or damaged. Stabilizer bars shall be connected. 
Springs shall not be broken and coil springs shall not be extended by 
spacers. Shock absorber mountings, shackles, and U-bolts shall be 
securely attached. Rubber bushings shall not be cracked, extruded out 
from or missing from suspension joints. Radius rods shall not be missing 
or damaged.
    (1) Inspection procedure. Examine front and rear end suspension 
parts for the conditions indicated.
    (b) Shock absorber condition. There shall be no oil on the shock 
absorber housings attributable to leakage by the seal.
    (1) Inspection procedure. Examine shock absorbers for oil leakage 
from within.



Sec. 570.62  Tires.

    (a) Tread depth. The tread shall be not less than four thirty-
seconds of an inch deep on each front tire of any vehicle other than a 
trailer and not less than two thirty-seconds of an inch on all other 
tires.
    (1) Inspection procedure. For tires with treadwear indicators, check 
for indicators in any two adjacent major grooves at three locations 
spaced approximately 120 deg. apart around the circumference of the 
tire. For tires without treadwear indicators, measure the tread depth 
with a suitable gauge or scale in two adjacent major grooves at

[[Page 169]]

3 locations spaced approximately 120 deg. apart around the circumference 
of the tire at the area of greatest wear.
    (b) Type. Vehicles should be equipped with tires on the same axle 
that are matched in construction and tire size designation, and dual 
tires shall be matched for overall diameter within one-half inch.
    (1) Inspection procedure. Examine visually. A mismatch in size and 
construction between tires on the same axle, or a major deviation from 
the size recommended by the vehicle or tire manufacturer, is a cause for 
rejection. On a dual-tire arrangement the diameter of one of the duals 
must be within one-half inch of the other as measured by a gauge block 
inserted between the tire and a caliper.
    (c) General condition. Tires shall be free from chunking, bumps, 
knots, or bulges evidencing cord, ply or tread separation from the 
casing.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (d) Damage. Tire cords or belting materials shall not be exposed, 
either to the naked eye or when cuts on the tire are probed. 
Reinforcement repairs to the cord body are allowable on tires other than 
front-mounted tires.
    (1) Inspection procedure. Examine visually for the conditions 
indicated, using a blunt instrument if necessary to probe cuts and 
abrasions.
    (e) Special purpose tires. Tires marked ``Not For Highway Use'' or 
``Farm Use Only'' or other such restrictions shall not be used on any 
motor vehicles operating on public highways.
    (1) Inspection procedure. Examine visually for tires labeled with 
specific restrictions.



Sec. 570.63  Wheel assemblies.

    (a) Wheel integrity. A tire rim, wheel disc or spider shall have no 
visible cracks, elongated bolt holes, or indications of in-service 
repair by welding.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (b) Cast wheels. Cast wheels shall not be cracked or show evidence 
of excessive wear in the clamp area.
    (1) Inspection procedure. Examine visually for the conditions 
indicated.
    (c) Mounting. All wheel nuts shall be in place and tight.
    (1) Inspection procedure. Check wheel retention for the conditions 
indicated.



PART 571--FEDERAL MOTOR VEHICLE SAFETY STANDARDS6--Table of Contents




                           Subpart A--General

Sec.
571.1  Scope.
571.3  Definitions.
571.4  Explanation of usage.
571.5  Matter incorporated by reference.
571.7  Applicability.
571.8  Effective date.
571.9  Separability.

            Subpart B--Federal Motor Vehicle Safety Standards

571.101  Standard No. 101; Controls and displays.
571.102  Standard No. 102; Transmission shift lever sequence, starter 
          interlock, and transmission braking effect.
571.103  Standard No. 103; Windshield defrosting and defogging systems.
571.104  Standard No. 104; Windshield wiping and washing systems.
571.105  Standard No. 105; Hydraulic and electric brake systems.
571.106  Standard No. 106; Brake hoses.
571.107  [Reserved]
571.108  Standard No. 108; Lamps, reflective devices, and associated 
          equipment.
571.109  Standard No. 109; New pneumatic tires.
571.110  Standard No. 110; Tire selection and rims.
571.111  Standard No. 111; Rearview mirrors.
571.112  [Reserved]
571.113  Standard No. 113; Hood latch system.
571.114  Standard NO. 114; Theft protection.
571.115  [Reserved]
571.116  Standard No. 116; Motor vehicle brake fluids.
571.117  Standard No. 117; Retreaded pneumatic tires.
571.118  Standard No. 118; Power-operated window, partition, and roof 
          panel systems.
571.119  Standard No. 119; New pneumatic tires for vehicles other than 
          passenger cars.
571.120  Standard No. 120; Tire selection and rims for motor vehicles 
          other than passenger cars.
571.121  Standard No. 121; Air brake systems.
571.122  Standard No. 122; Motorcycle brake systems.
571.123  Standard No. 123; Motorcycle controls and displays.
571.124  Standard No. 124; Accelerator control systems.
571.125  Standard No. 125; Warning devices.
571.126  [Reserved]

[[Page 170]]

571.129  Standard No. 129; New non-pneumatic tires for passenger cars.
571.131  Standard No. 131; School bus pedestrian safety devices.
571.135  Standard No. 135; Passenger car brake systems.
571.201  Standard No. 201; Occupant protection in interior impact.
571.202  Standard No. 202; Head restraints.
571.203  Standard No. 203; Impact protection for the driver from the 
          steering control system.
571.204  Standard No. 204; Steering control rearward displacement.
571.205  Standard No. 205; Glazing materials.
571.206  Standard No. 206; Door locks and door retention components.
571.207  Standard No. 207; Seating systems.
571.208  Standard No. 208; Occupant crash protection.
571.209  Standard No. 209; Seat belt assemblies.
571.210  Standard No. 210; Seat belt assembly anchorages.
571.211  [Reserved]
571.212  Standard No. 212; Windshield mounting.
571.213  Standard No. 213; Child restraint systems.
571.214  Standard No. 214; Side impact protection.
571.215  [Reserved]
571.216  Standard No. 216; Roof crush resistance.
571.217  Standard No. 217; Bus emergency exits and window retention and 
          release.
571.218  Standard No. 218; Motorcycle helmets.
571.219  Standard No. 219; Windshield zone intrusion.
571.220  Standard No. 220; School bus rollover protection.
571.221  Standard No. 221; School bus body joint strength.
571.222  Standard No. 222; School bus passenger seating and crash 
          protection.
571.223  Standard No. 223; Rear impact guards.
571.224  Standard No. 224; Rear impact protection.
571.301  Standard No. 301; Fuel system integrity.
571.302  Standard No. 302; Flammability of interior materials.
571.303  Standard No. 303; Fuel system integrity of compressed natural 
          gas vehicles.
571.304  Standard No. 304; Compressed natural gas fuel container 
          integrity.

    Authority:  49 U.S.C. 322, 30111, 30115, 30177, 30166; delegation of 
authority at 49 CFR 1.50.



                           Subpart A--General



Sec. 571.1  Scope.

    This part contains the Federal Motor Vehicle Safety Standards for 
motor vehicles and motor vehicle equipment established under section 103 
of the National Traffic and Motor Vehicle Safety Act of 1966 (80 Stat. 
718).
[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]



Sec. 571.3  Definitions.

    (a) Statutory definitions. All terms defined in section 102 of the 
Act are used in their statutory meaning.
    (b) Other definitions. As used in this chapter--
    Act means the National Traffic and Motor Vehicle Safety Act of 1966 
(80 Stat. 718).
    Approved, unless used with reference to another person, means 
approved by the Secretary.
    Boat trailer means a trailer designed with cradle-type mountings to 
transport a boat and configured to permit launching of the boat from the 
rear of the trailer.
    Bus means a motor vehicle with motive power, except a trailer, 
designed for carrying more than 10 persons.
    Curb weight means the weight of a motor vehicle with standard 
equipment; maximum capacity of engine fuel, oil, and coolant; and, if so 
equipped, air conditioning and additional weight optional engine.
    Designated seating capacity means the number of designated seating 
positions provided.
    Designated seating position means any plan view location capable of 
accommodating a person at least as large as a 5th percentile adult 
female, if the overall seat configuration and design and vehicle design 
is such that the position is likely to be used as a seating position 
while the vehicle is in motion, except for auxiliary seating 
accommodations such as temporary or folding jump seats. Any bench or 
split-bench seat in a passenger car, truck or multipurpose passenger 
vehicle with a GVWR less than 4,536 kilograms (10,000 pounds), having 
greater than 127 centimeters (50 inches) of hip room (measured in 
accordance with SAE Standard J1100(a)) shall have not less than three 
designated seating positions, unless the seat design or vehicle design 
is such that the center position cannot be used

[[Page 171]]

for seating. For the sole purpose of determining the classification of 
any vehicle sold or introduced into interstate commerce for purposes 
that include carrying students to and from school or related events, any 
location in such vehicle intended for securement of an occupied 
wheelchair during vehicle operation shall be regarded as four designated 
seating positions.
    Driver means the occupant of a motor vehicle seated immediately 
behind the steering control system.
    Emergency brake means a mechanism designed to stop a motor vehicle 
after a failure of the service brake system.
    5th percentile adult female means a person possessing the dimensions 
and weight of the 5th percentile adult female specified for the total 
age group in Public Health Service Publication No. 1000, Series 11, No. 
8, ``Weight, Height, and Selected Body Dimensions of Adults.''
    Firefighting vehicle means a vehicle designed exclusively for the 
purpose of fighting fires.
    Fixed collision barrier means a flat, vertical, unyielding surface 
with the following characteristics:
    (1) The surface is sufficiently large that when struck by a tested 
vehicle, no portion of the vehicle projects or passes beyond the 
surface.
    (2) The approach is a horizontal surface that is large enough for 
the vehicle to attain a stable attitude during its approach to the 
barrier, and that does not restrict vehicle motion during impact.
    (3) When struck by a vehicle, the surface and its supporting 
structure absorb no significant portion of the vehicle's kinetic energy, 
so that a performance requirement described in terms of impact with a 
fixed collision barrier must be met no matter how small an amount of 
energy is absorbed by the barrier.
    Forward control means a configuration in which more than half of the 
engine length is rearward of the foremost point of the windshield base 
and the steering wheel hub is in the forward quarter of the vehicle 
length.
    Full trailer means a trailer, except a pole trailer, that is 
equipped with two or more axles that support the entire weight of the 
trailer.
    Gross axle weight rating or GAWR means the value specified by the 
vehicle manufacturer as the load-carrying capacity of a single axle 
system, as measured at the tire-ground interfaces.
    Gross combination weight rating or GCWR means the value specified by 
the manufacturer as the loaded weight of a combination vehicle.
    Gross vehicle weight rating or GVWR means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    H point means the mechanically hinged hip point of a manikin which 
simulates the actual pivot center of the human torso and thigh, 
described in SAE Recommended Practice J826, ``Manikins for Use in 
Defining Vehicle Seating Accommodations,'' November 1962.
    Head impact area means all nonglazed surfaces of the interior of a 
vehicle that are statically contactable by a 6.5-inch diameter spherical 
head form of a measuring device having a pivot point to ``top-of-head'' 
dimension infinitely adjustable from 29 to 33 inches in accordance with 
the following procedure, or its graphic equivalent:
    (a) At each designated seating position, place the pivot point of 
the measuring device--
    (1) For seats that are adjustable fore and aft, at--
    (i) The seating reference point; and
    (ii) A point 5 inches horizontally forward of the seating reference 
point and vertically above the seating reference point an amount equal 
to the rise which results from a 5-inch forward adjustment of the seat 
or 0.75 inch; and
    (2) For seats that are not adjustable fore and aft, at the seating 
reference point.
    (b) With the pivot point to ``top-of-head'' dimension at each value 
allowed by the device and the interior dimensions of the vehicle, 
determine all contact points above the lower windshield glass line and 
forward of the seating reference point.
    (c) With the head form at each contact point, and with the device in 
a vertical position if no contact points exists for a particular 
adjusted length, pivot the measuring device forward and downward through 
all arcs in vertical planes to 90 deg. each side of the vertical

[[Page 172]]

longitudinal plane through the seating reference point, until the head 
form contacts an interior surface or until it is tangent to a horizontal 
plane 1 inch above the seating reference point, whichever occurs first.
    Interior compartment door means any door in the interior of the 
vehicle installed by the manufacturer as a cover for storage space 
normally used for personal effects.
    Longitudinal or longitudinally means parallel to the longitudinal 
centerline of the vehicle.
    Motorcycle means a motor vehicle with motive power having a seat or 
saddle for the use of the rider and designed to travel on not more than 
three wheels in contact with the ground.
    Motor-driven cycle means a motorcycle with a motor that produces 5-
brake horsepower or less.
    Multipurpose passenger vehicle means a motor vehicle with motive 
power, except a trailer, designed to carry 10 persons or less which is 
constructed either on a truck chassis or with special features for 
occasional off-road operation.
    Open-body type vehicle means a vehicle having no occupant 
compartment top or an occupant compartment top that can be installed or 
removed by the user at his convenience.
    Outboard designated seating position means a designated seating 
position where a longitudinal vertical plane tangent to the outboard 
side of the seat cushion is less than 12 inches from the innermost point 
on the inside surface of the vehicle at a height between the design H-
point and the shoulder reference point (as shown in fig. 1 of Federal 
Motor Vehicle Safety Standard No. 210) and longitudinally between the 
front and rear edges of the seat cushion.
    Overall vehicle width means the nominal design dimension of the 
widest part of the vehicle, exclusive of signal lamps, marker lamps, 
outside rearview mirrors, flexible fender extensions, and mud flaps, 
determined with doors and windows closed and the wheels in the straight-
ahead position.
    Parking brake means a mechanism designed to prevent the movement of 
a stationary motor vehicle.
    Passenger car means a motor vehicle with motive power, except a 
multipurpose passenger vehicle, motorcycle, or trailer, designed for 
carrying 10 persons or less.
    Pelvic impact area means that area of the door or body side panel 
adjacent to any outboard designated seating position which is bounded by 
horizontal planes 7 inches above and 4 inches below the seating 
reference point and vertical transverse planes 8 inches forward and 2 
inches rearward of the seating reference point.
    Pole trailer means a motor vehicle without motive power designed to 
be drawn by another motor vehicle and attached to the towing vehicle by 
means of a reach or pole, or by being boomed or otherwise secured to the 
towing vehicle, for transporting long or irregularly shaped loads such 
as poles, pipes, or structural members capable generally of sustaining 
themselves as beams between the supporting connections.
    School bus means a bus that is sold, or introduced in interstate 
commerce, for purposes that include carrying students to and from school 
or related events, but does not include a bus designed and sold for 
operation as a common carrier in urban transportation.
    Seating reference point (SgRP) means the unique design H-point, as 
defined in SAE J1100 (June 1984), which:
    (a) Establishes the rearmost normal design driving or riding 
position of each designated seating position, which includes 
consideration of all modes of adjustment, horizontal, vertical, and 
tilt, in a vehicle;
    (b) Has X, Y, and Z coordinates, as defined in SAE J1100 (June 
1984), established relative to the designed vehicle structure;
    (c) Simulates the position of the pivot center of the human torso 
and thigh; and
    (d) Is the reference point employed to position the two-dimensional 
drafting template with the 95th percentile leg described in SAE J826 
(May 1987), or, if the drafting template with the 95th percentile leg 
cannot be positioned in the seating position, is located with the seat 
in its most rearward adjustment position.

[[Page 173]]

    Semitrailer means a trailer, except a pole trailer, so constructed 
that a substantial part of its weight rests upon or is carried by 
another motor vehicle.
    Service brake means the primary mechanism designed to stop a motor 
vehicle.
    Speed attainable in 1 mile means the speed attainable by 
accelerating at maximum rate from a standing start for 1 mile, on a 
level surface.
    Speed attainable in 2 miles means the speed attainable by 
accelerating at maximum rate from a standing start for 2 miles, on a 
level surface.
    Torso line means the line connecting the ``H'' point and the 
shoulder reference point as defined in SAE Recommended Practice J787g, 
``Motor Vehicle Seat Belt Anchorage,'' September 1966.
    Trailer means a motor vehicle with or without motive power, designed 
for carrying persons or property and for being drawn by another motor 
vehicle.
    Trailer converter dolly means a trailer chassis equipped with one or 
more axles, a lower half of a fifth wheel and a drawbar.
    Truck means a motor vehicle with motive power, except a trailer, 
designed primarily for the transportation of property or special purpose 
equipment.
    Truck tractor means a truck designed primarily for drawing other 
motor vehicles and not so constructed as to carry a load other than a 
part of the weight of the vehicle and the load so drawn.
    Unloaded vehicle weight means the weight of a vehicle with maximum 
capacity of all fluids necessary for operation of the vehicle, but 
without cargo, occupants, or accessories that are ordinarily removed 
from the vehicle when they are not in use.
    95th percentile adult male means a person possessing the dimensions 
and weight of the 95th percentile adult male specified in Public Health 
Service Publication No. 1000, Series 11, No. 8, ``Weight, Height, and 
Selected Body Dimensions of Adults.''
    Vehicle fuel tank capacity means the tank's unusable capacity (i.e., 
the volume of fuel left at the bottom of the tank when the vehicle's 
fuel pump can no longer draw fuel from the tank) plus its usable 
capacity (i.e., the volume of fuel that can be pumped into the tank 
through the filler pipe with the vehicle on a level surface and with the 
unusable capacity already in the tank). The term does not include the 
vapor volume of the tank (i.e., the space above the fuel tank filler 
neck) nor the volume of the fuel tank filler neck.
[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]

    Editorial Note: For Federal Register citations affecting Sec. 571.3, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 571.4  Explanation of usage.

    The word any, used in connection with a range of values or set of 
items in the requirements, conditions, and procedures of the standards 
or regulations in this chapter, means generally the totality of the 
items or values, any one of which may be selected by the Administration 
for testing, except where clearly specified otherwise.

    Examples: ``The vehicle shall meet the requirements of S4.1 when 
tested at any point between 18 and 22 inches above the ground.'' This 
means that the vehicle must be capable of meeting the specified 
requirements at every point between 18 and 22 inches above the ground. 
The test in question for a given vehicle may call for a single test (a 
single impact, for example), but the vehicle must meet the requirement 
at whatever point the Administration selects, within the specified 
range.
    ``Each tire shall be capable of meeting the requirements of this 
standard when mounted on any rim specified by the manufacturer as 
suitable for use with that tire.'' This means that, where the 
manufacturer specifies more than one rim as suitable for use with a 
tire, the tire must meet the requirements with whatever rim the 
Administration selects from the specified group.
    ``Any one of the items listed below may, at the option of the 
manufacturer, be substituted for the hardware specified in S4.1.'' Here 
the wording clearly indicates that the selection of items is at the 
manufacturer's option.
[36 FR 2511, Feb. 5, 1971]



Sec. 571.5  Matter incorporated by reference.

    (a) Incorporation. There are hereby incorporated, by reference, into 
this part, all materials referred to in any standard in subpart B of 
this part that are

[[Page 174]]

not set forth in full in the standard. These materials are thereby made 
part of this regulation. The Director of the Federal Register has 
approved the materials incorporated by reference. For materials subject 
to change, only the specific version approved by the Director of the 
Federal Register and specified in the standard are incorporated. A 
notice of any change in these materials will be published in the Federal 
Register. As a convenience to the reader, the materials incorporated by 
reference are listed in the Finding Aid Table found at the end of this 
volume of the Code of Federal Regulations.
    (b) Availability. The materials incorporated by reference, other 
than acts of Congress and matter published elsewhere in the Federal 
Register, are available as follows:
    (1) Standards of the Society of Automotive Engineers (SAE). They are 
published by the Society of Automotive Engineers, Inc. Information and 
copies may be obtained by writing to: Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, Pennsylvania 15096.
    (2) Standards of the American Society for Testing and Materials. 
They are published by the American Society for Testing and Materials. 
Information on copies may be obtained by writing to the American Society 
for Testing and Materials, 1916 Race Street, Philadelphia, PA 19103.
    (3) Standards of the American National Standards Institute. They are 
published by the American National Standards Institute. Information and 
copies may be obtained by writing to: American National Standards 
Institute, 1430 Broadway, New York, New York 10018.
    (4) Data from the National Health Survey, Public Health Publication 
No. 1000, Series 11, No. 8. This is published by the U.S. Department of 
Health, Education, and Welfare. Copies may be obtained for a price of 35 
cents from the Superintendent of Documents, U.S. Government Printing 
Office, Washington, DC 20402.
    (5) Test methods of the American Association of Textile Chemists and 
Colorists. They are published by the American Association of Textile 
Chemists and Colorists. Information and copies can be obtained by 
writing to: American Association of Textile Chemists and Colorists, Post 
Office Box 886, Durham, NC.
    (6) Test methods of the Illuminating Engineering Society of North 
America (IES). They are published by the Illuminating Engineering 
Society of North America. Copies can be obtained by writing to: 
Illuminating Engineering Society of North America, 345 East 47th St., 
New York, NY 10017.
    (7) Standards of Suppliers of Advanced Composite Materials 
Association (SACMA). They are published by Suppliers of Advanced 
Composite Materials Association. Information and copies may be obtained 
by writing to: Suppliers of Advanced Composite Materials Association, 
1600 Wilson Blvd., Suite 1008, Arlington, VA 22209.
    (8) Standards of the American Society of Mechanical Engineers 
(ASME). They are published by The American Society of Mechanical 
Engineers. Information and copies may be obtained by writing to: The 
American Society of Mechanical Engineers, 345 East 47th Street, New 
York, NY 10017.
    (9) [Reserved]
    (10) All of the above materials, as well as any other materials 
incorporated by reference, are available for inspection and copying at 
the Office of Vehicle Safety Standards, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
materials are also available for inspection and copying at the Office of 
the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, DC.
[33 FR 19704, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 35 FR 5120, Mar. 26, 1970; 36 FR 1148, Jan. 23, 1971; 41 
FR 52880, Dec. 2, 1976; 41 FR 56812, Dec. 30, 1976; 47 FR 7254, Feb. 18, 
1982; 48 FR 30141, June 30, 1983; 54 FR 20083, May 9, 1989; 59 FR 49021, 
Sept. 26, 1994; 60 FR 37843, Jul. 24, 1995]



Sec. 571.7  Applicability.

    (a) General. Except as provided in paragraphs (c) and (d) of this 
section, each standard set forth in subpart B of this part applies 
according to its terms to all motor vehicles or items of motor vehicle 
equipment the manufacture of which is completed on or after the 
effective date of the standard.

[[Page 175]]

    (b) [Reserved]
    (c) Military vehicles. No standard applies to a vehicle or item of 
equipment manufactured for, and sold directly to, the Armed Forces of 
the United States in conformity with contractual specifications.
    (d) Export. No standard applies to a vehicle or item of equipment in 
the circumstances provided in section 108(b)(5) of the Act (15 U.S.C. 
1397 (b)(5)).
    (e) Combining new and used components. When a new cab is used in the 
assembly of a truck, the truck will be considered newly manufactured for 
purposes of paragraph (a) of this section, the application of the 
requirements of this chapter, and the Act, unless the engine, 
transmission, and drive axle(s) (as a minimum) of the assembled vehicle 
are not new, and at least two of these components were taken from the 
same vehicle.
    (f) Combining new and used components in trailer manufacture. When 
new materials are used in the assembly of a trailer, the trailer will be 
considered newly manufactured for purposes of paragraph (a) of this 
section, the application of the requirements of this chapter, and the 
Act, unless, at a minimum, the trailer running gear assembly (axle(s), 
wheels, braking and suspension) is not new, and was taken from an 
existing trailer--
    (1) Whose identity is continued in the reassembled vehicle with 
respect to the Vehicle Identification Number; and
    (2) That is owned or leased by the user of the reassembled vehicle.
[33 FR 19703, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970, 
and amended at 36 FR 7855, Apr. 27, 1971; 38 FR 12808, May 16, 1973; 40 
FR 49341, Oct. 22, 1975; 41 FR 27074, July 1, 1976]



Sec. 571.8  Effective date.

    Notwithstanding the effective date provisions of the motor vehicle 
safety standards in this part, the effective date of any standard or 
amendment of a standard issued after September 1, 1971, to which 
firefighting vehicles must conform shall be, with respect to such 
vehicles, either 2 years after the date on which such standard or 
amendment is published in the rules and regulations section of the 
Federal Register, or the effective date specified in the notice, 
whichever is later, except as such standard or amendment may otherwise 
specifically provide with respect to firefighting vehicles.
[36 FR 13927, July 28, 1971]



Sec. 571.9  Separability.

    If any standard established in this part or its application to any 
person or circumstance is held invalid, the remainder of the part and 
the application of that standard to other persons or circumstances is 
not affected thereby.
[33 FR 19705, Dec. 25, 1968. Redesignated at 35 FR 5118, Mar. 26, 1970]



            Subpart B--Federal Motor Vehicle Safety Standards

    Source:  36 FR 22902, Dec. 2, 1971, unless otherwise noted.



Sec. 571.101  Standard No. 101; Controls and displays.

    S1. Scope. This standard specifies requirements for the location, 
identification, and illumination of motor vehicle controls and displays.
    S2. Purpose. The purpose of this standard is to ensure the 
accessibility and visibility of motor vehicle controls and displays and 
to facilitate their selection under daylight and nighttime conditions, 
in order to reduce the safety hazards caused by the diversion of the 
driver's attention from the driving task, and by mistakes in selecting 
controls.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S4. Definitions.
    Telltale means a display that indicates the actuation of a device, a 
correct or defective functioning or condition, or a failure to function.
    Gauge means a display that is listed in S5.1 or in Table 2 and is 
not a telltale.
    S5. Requirements. Each passenger car, multipurpose passenger 
vehicle, truck and bus manufactured with any control listed in S5.1 or 
in column 1 of Table 1, and each passenger car, multipurpose passenger 
vehicle and truck or bus less than 10,000 pounds GVWR with any display 
listed in S5.1 or in column 1 of

[[Page 176]]

Table 2, shall meet the requirements of this standard for the location, 
identification, and illumination of such control or display.
    S5.1 Location. Under the conditions of S6, each of the following 
controls that is furnished shall be operable by the driver and each of 
the following displays that is furnished shall be visible to the driver. 
Under the conditions of S6, telltales are considered visible when 
activated.

                         Hand-Operated Controls

    (a) Steering wheel.
    (b) Horn.
    (c) Ignition.
    (d) Headlamp.
    (e) Taillamp.
    (f) Turn signal.
    (g) Illumination intensity.
    (h) Windshield wiper.
    (i) Windshield washer.
    (j) Manual transmission shift lever, except transfer case.
    (k) Windshield defrosting and defogging system.
    (l) Rear window defrosting and defogging system.
    (m) Manual choke.
    (n) Driver's sun visor.
    (o) Automatic vehicle speed system.
    (p) Highbeam.
    (q) Hazard warning signal.
    (r) Clearance lamps.
    (s) Hand throttle.
    (t) Identification lamps.

                         Foot-Operated Controls

    (a) Service brake.
    (b) Accelerator.
    (c) Clutch.
    (d) Highbeam.
    (e) Windshield washer.
    (f) Windshield wiper.

                                Displays

    (a) Speedometer.
    (b) Turn signal.
    (c) Gear position.
    (d) Brake failure warning.
    (e) Fuel.
    (f) Engine coolant temperature.
    (g) Oil.
    (h) Highbeam.
    (i) Electrical charge.

    S5.2  Identification.
    S5.2.1  Vehicle controls shall be identified as follows:
    (a) Except as specified in S5.2.1(b), any hand-operated control 
listed in column 1 of Table 1 that has a symbol designated for it in 
column 3 of that table shall be identified by either the symbol 
designated in column 3 (or symbol substantially similar in form to that 
shown in column 3) or the word or abbreviation shown in column 2 of that 
table. Any such control for which no symbol is shown in Table 1 shall be 
identified by the word or abbreviation shown in column 2. Words or 
symbols in addition to the required symbol, word or abbreviation may be 
used at the manufacturer's discretion for the purpose of clarity. Any 
such control for which column 2 of Table 1 and/or column 3 of Table 1 
specifies ``Mfr. Option'' shall be identified by the manufacturer's 
choice of a symbol, word or abbreviation, as indicated by that 
specification in column 2 and/or column 3. The identification shall be 
placed on or adjacent to the control. The identification shall, under 
the conditions of S6, be visible to the driver and, except as provided 
in S5.2.1.1, S5.2.1.2, and S5.2.1.3, appear to the driver perceptually 
upright.
    (b) S5.2.1(a) does not apply to a turn signal control which is 
operated in a plane essentially parallel to the face plane of the 
steering wheel in its normal driving position and which is located on 
the left side of the steering column so that it is the control on that 
side of the column nearest to the steering wheel face plane.
    S5.2.1.1  The identification of the following need not appear to the 
driver perceptually upright:
    (a) A master lighting switch or headlamp and tail lamp control that 
adjusts control and display illumination by means of rotation, or any 
other rotating control that does not have an off position.
    (b) A horn control.
    S5.2.1.2  The identification of a rotating control other than one 
described by S5.2.1.1 shall appear to the driver perceptually upright 
when the control is in the off position.
    S5.2.1.3  The identification of an automatic vehicle speed control 
located on the steering wheel, including the steering wheel hub and 
spokes, need not appear to the driver perceptually upright except when 
the vehicle, aligned to the manufacturer's specifications, has its 
wheels positioned for

[[Page 177]]

the vehicle to travel in a straight forward direction.
    S5.2.2  Identification shall be provided for each function of any 
automatic vehicle speed system control and any heating and air 
conditioning system control, and for the extreme positions of any such 
control that regulates a function over a quantitative range. If this 
identification is not specified in Table 1 or 2, it shall be in word or 
symbol form unless color coding is used. If color coding is used to 
identify the extreme positions of a temperature control, the hot extreme 
shall be identified by the color red and the cold extreme by the color 
blue.
    Example 1.  A slide lever controls the temperature of the air in the 
vehicle heating system over a continuous range, from no heat to maximum 
heat. Since the control regulates a single function over a quantitative 
range, only the extreme positions require identification.
    Example 2. A switch has three positions, for heat, defrost, and air 
conditioning. Since each position regulates a different function, each 
position must be identified.
    S5.2.3  Any display located within the passenger compartment and 
listed in column 1 of Table 2 that has a symbol designated in column 4 
of that table shall be identified by either the symbol designated in 
column 4 (or symbol substantially similar in form to that shown in 
column 4) or the word or abbreviation shown in column 3. Additional 
words or symbols may be used at the manufacturer's discretion for the 
purpose of clarity. Any telltales used in conjuction with a gauge need 
not be identified. The identification required or permitted by this 
section shall be placed on or adjacent to the display that it 
identifies. The identification of any display shall, under the 
conditions of S6, be visible to the driver and appear to the driver 
perceptually upright.
    S5.3  Illumination.
    S5.3.1  Except for foot-operated controls or hand-operated controls 
mounted upon the floor, floor console, or steering column, or in the 
windshield header area, the identification required by S5.2.1 or S5.2.2 
of any control listed in column 1 of Table 1 and accompanied by the word 
``yes'' in the corresponding space in column 4 shall be capable of being 
illuminated whenever the headlights are activated. However, control 
identification for a heating and air-conditioning system need not be 
illuminated if the system does not direct air directly upon windshield. 
If a gauge is listed in column 1 of Table 2 and accompanied by the word 
``yes'' in column 5, then the gauge and its identification required by 
S5.2.3 shall be illuminated whenever the ignition switch and/or the 
headlamps are activated. Controls, gauges, and their identifications 
need not be illuminated when the headlamps are being flashed. A telltale 
shall not emit light except when identifying the malfunction or vehicle 
condition for whose indication it is designed or during a bulb check 
upon vehicle starting.
    S5.3.2.  Each telltale shall be of the color shown in column 2 of 
Table 2. The identification of each telltale shall be in a color that 
contrasts with the background.
    S5.3.3 (a) Means shall be provided for making controls, gauges, and 
the identification of those items visible to the driver under all 
driving conditions.
    (b) The means for providing the required visibility--
    (1) Shall be adjustable to provide at least two levels of 
brightness, one of which is barely discernible to a driver who has 
adapted to dark ambient roadway conditions.
    (2) May be operable manually or automatically, and
    (3) May have levels of brightness at which those items and 
identification are not visible.
    (c) If the level of brightness is adjusted by automatic means to a 
point where those items or their identification are not visible to the 
driver, a means shall be provided to enable the driver to restore 
visibility.
    S5.3.4  (a) Means shall be provided that are capable of making 
telltales and their identification visible to the driver under all 
driving conditions.
    (b) The means for providing the required visibility may be 
adjustable manually or automatically, except that the telltales and 
identification for brakes, highbeams, turn signals, and safety belts may 
not be adjustable under any driving condition to a level that is 
invisible.
    S5.3.5  Any source of illumination within the passenger compartment

[[Page 178]]

which is forward of a transverse vertical plane 4.35 inch (110.6 mm) 
rearward of the manikin ``H'' point with the driver's seat in its 
rearmost driving position, which is not used for the controls and 
displays regulated by this standard, which is not a telltale, and which 
is capable of being illuminated while the vehicle is in motion, shall 
have either (1) light intensity which is manually or automatically 
adjustable to provide at least two levels of brightness, (2) a single 
intensity that is barely discernible to a driver who has adapted to dark 
ambient roadway conditions, or (3) a means of being turned off. This 
requirement does not apply to buses that are normally operated with the 
passenger compartment illuminated.
    S5.4  A common space may be used to display messages from any 
sources, subject to the following requirements:
    (a) The telltales for the brake, high beam, and turn signal, and the 
safety belt telltale required by S4.5.3.3 of Standard No. 208 may not be 
shown on the common space.
    (b) Except as provided in S5.4(e), the telltales listed in Table 2 
shall be displayed at the initiation of any underlying condition.
    (c) When the underlying condition exists for actuation of two or 
more messages, the messages shall be either--
    (1) Repeated automatically in sequence, or
    (2) Indicated by visible means and capable of being selected by the 
driver for viewing.
    (d) Messages may be cancellable automatically or by the driver.
    (e) The safety belt telltale must be displayed and visible during 
the time specified in S7.3 of Standard No. 208.
    S6. Conditions. The driver is restrained by the crash protection 
equipment installed in accordance with the requirements of Sec. 571.208 
of this part (Standard No. 208), adjusted in accordance with the 
manufacturer's instructions.

[[Page 179]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.000



[[Page 180]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.002


[43 FR 27542, June 26, 1978, as amended at 44 FR 55583, Sept. 27, 1979; 
45 FR 71804, Oct. 30, 1980; 47 FR 2998, Jan. 21, 1982; 49 FR 30196, July 
27, 1984; 50 FR 23431, June 4, 1985; 52 FR 3247, Feb. 3, 1987; 52 FR 
7157, Mar. 9, 1987; 52 FR 19874, May 28, 1987; 52 FR 33417, Sept. 3, 
1987; 56 FR 51848, Oct. 16, 1991; 60 FR 63977, Dec. 13, 1995; 62 FR 
32542, 32543, June 16, 1997]

[[Page 181]]



Sec. 571.102  Standard No. 102; Transmission shift lever sequence, starter interlock, and transmission braking effect.

    S1. Purpose and scope. This standard specifies the requirements for 
the transmission shift lever sequence, a starter interlock, and for a 
braking effect of automatic transmissions, to reduce the likelihood of 
shifting errors, starter engagement with vehicle in drive position, and 
to provide supplemental braking at speeds below 40 kilometers per hour.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Requirements.
    S3.1  Automatic transmissions.
    S3.1.1  Location of transmission shift lever positions on passenger 
cars. A neutral position shall be located between forward drive and 
reverse drive positions. If a steering-column-mounted transmission shift 
lever is used, movement from neutral position to forward drive position 
shall be clockwise. If the transmission shift lever sequence includes a 
park position, it shall be located at the end, adjacent to the reverse 
drive position.
    S3.1.2  Transmission braking effect. In vehicles having more than 
one forward transmission gear ratio, one forward drive position shall 
provide a greater degree of engine braking than the highest speed 
transmission ratio at vehicle speeds below 40 kilometers per hour.
    S3.1.3  Starter interlock. The engine starter shall be inoperative 
when the transmission shift lever is in a forward or reverse drive 
position.
    S3.1.4  Identification of shift lever positions.
    S3.1.4.1  Except as specified in S3.1.4.3, if the transmission shift 
lever sequence includes a park position, identification of shift lever 
positions, including the positions in relation to each other and the 
position selected, shall be displayed in view of the driver whenever any 
of the following conditions exist:
    (a) The ignition is in a position where the transmission can be 
shifted.
    (b) The transmission is not in park.

    S3.1.4.2  Except as specified in S3.1.4.3, if the transmission shift 
lever sequence does not include a park position, identification of shift 
lever positions, including the positions in relation to each other and 
the position selected, shall be displayed in view of the driver whenever 
the ignition is in a position in which the engine is capable of 
operation.
    S3.1.4.3  Such information need not be displayed when the ignition 
is in a position that is used only to start the vehicle.
    S3.1.4.4  Effective September 23, 1991, all of the information 
required to be displayed by S3.1.4.1 or S3.1.4.2 shall be displayed in 
view of the driver in a single location. At the option of the 
manufacturer, redundant displays providing some or all of the 
information may be provided.
    S3.2  Manual transmissions. Identification of the shift lever 
pattern of manual transmissions, except three forward speed manual 
transmissions having the standard ``H'' pattern, shall be displayed in 
view of the driver at all times when a driver is present in the driver's 
seating position.
[36 FR 22902, Dec. 2, 1971, as amended at 54 FR 29045, July 11, 1989; 56 
FR 12471, Mar. 26, 1991; 60 FR 13642, March 14, 1995]



Sec. 571.103  Standard No. 103; Windshield defrosting and defogging systems.

    S1. Scope. This standard specifies requirements for windshield 
defrosting and defogging systems.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definitions. Road load means the power output required to move a 
given motor vehicle at curb weight plus 180 kilograms on level, clean, 
dry, smooth portland cement concrete pavement (or other surface with 
equivalent coefficient of surface friction) at a specified speed through 
still air at 20 degrees Celsius, and standard barometric pressure (101.3 
kilopascals) and includes driveline friction, rolling friction, and air 
resistance.
    S4. Requirements. (a) Except as provided in paragraph (b) of this 
section, each passenger car shall meet the requirements specified in 
S4.1, S4.2, and S4.3, and each multipurpose passenger vehicle, truck, 
and bus shall meet the requirements specified in Sec. 4.1.

[[Page 182]]

    (b) Each passenger car, multipurpose passenger vehicle, truck, and 
bus manufactured for sale in the noncontinental United States may, at 
the option of the manufacturer, have a windshield defogging system which 
operates either by applying heat to the windshield or by dehumidifying 
the air inside the passenger compartment of the vehicle, in lieu of 
meeting the requirements specified by paragraph (a) of this section.
    S4.1  Each vehicle shall have a windshield defrosting and defogging 
system.
    S4.2  Each passenger car windshield defrosting and defogging system 
shall meet the requirements of section 3 of SAE Recommended Practice 
J902, ``Passenger Car Windshield Defrosting Systems,'' August 1964, when 
tested in accordance with S4.3, except that ``the critical area'' 
specified in paragraph 3.1 of SAE Recommended Practice J902 shall be 
that established as Area C in accordance with Motor Vehicle Safety 
Standard No. 104, ``Windshield Wiping and Washing Systems,'' and ``the 
entire windshield'' specified in paragraph 3.3 of SAE Recommended 
Practice J902 shall be that established as Area A in accordance with 
Sec. 571.104.
    S4.3  Demonstration procedure. The passenger car windshield 
defrosting and defogging system shall be tested in accordance with the 
portions of paragraphs 4.1 through 4.4.7 of SAE Recommended Practice 
J902, August 1964, or SAE Recommended Practice J902a, March 1967, 
applicable to that system, except that--
    (a) During the first 5 minutes of the test:
    (1) For a passenger car equipped with a heating system other than a 
heat exchanger type that uses the engine's coolant as a means to supply 
the heat to the heat exchanger, the warm-up procedure is that specified 
by the vehicle's manufacturer for cold weather starting, except that 
connection to a power or heat source external to the vehicle is not 
permitted.
    (2) For all other passenger cars, the warm-up procedure may be that 
recommended by the vehicle's manufacturer for cold weather starting.
    (b) During the last 35 minutes of the test period (or the entire 
test period if the 5-minute warm-up procedure specified in paragraph (a) 
of this section is not used),
    (1) For a passenger car equipped with a heating system other than a 
heat exchanger type that uses the engine's coolant as a means to supply 
the heat to the heat exchanger, the procedure shall be that specified by 
the vehicle's manufacturer for cold weather starting, except that 
connection to a power or heat source external to the vehicle is not 
permitted.
    (2) For all other passenger cars, either--
    (i) The engine speed shall not exceed 1,500 r.p.m. in neutral gear; 
or
    (ii) The engine speed and load shall not exceed the speed and load 
at 40 kilometers per hour in the manufacturer's recommended gear with 
road load;
    (c) A room air change of 90 times per hour is not required;
    (d) The windshield wipers may be used during the test if they are 
operated without manual assist;
    (e) One or two windows may be open a total of 25 millimeters;
    (f) The defroster blower may be turned on at any time; and
    (g) The wind velocity is at any level from 0 to 3 kilometers per 
hour.
    (h) The test chamber temperature and the wind velocity shall be 
measured, after the engine has been started, at the forwardmost point of 
the vehicle or a point 914 millimeters from the base of the windshield, 
whichever is farther forward, at a level halfway between the top and 
bottom of the windshield on the vehicle centerline.
[36 FR 22902, Dec. 2, 1971, as amended at 40 FR 12992, Mar. 24, 1975; 40 
FR 32336, Aug. 1, 1975; 50 FR 48775, Nov. 27, 1985; 59 FR 11006, Mar. 9, 
1994; 60 FR 13642, Mar. 14, 1995]



Sec. 571.104  Standard No. 104; Windshield wiping and washing systems.

    S1. Scope. This standard specifies requirements for windshield 
wiping and washing systems.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definitions. The term seating reference point is substituted for 
the terms manikin H point, manikin H point with seat in rearmost 
position and H point wherever any of these terms appear in

[[Page 183]]

any SAE Standard or SAE Recommended Practice referred to in this 
standard.
    Daylight opening means the maximum unobstructed opening through the 
glazing surface, as defined in paragraph 2.3.12 of section E, Ground 
Vehicle Practice, SAE Aerospace-Automotive Drawing Standards, September 
1963.
    Glazing surface reference line means the line resulting from the 
intersection of the glazing surface and a horizontal plane 625 
millimeters above the seating reference point, as shown in Figure 1 of 
SAE Recommended Practice J903a, ``Passenger Car Windshield Wiper 
Systems,'' May 1966.
    Overall width means the maximum overall body width dimension 
``W116'', as defined in section E, Ground Vehicle Practice, SAE 
Aerospace-Automotive Drawing Standards, September 1963.
    Plan view reference line means--
    (a) For vehicles with bench-type seats, a line parallel to the 
vehicle longitudinal centerline outboard of the steering wheel 
centerline 0.15 times the difference between one-half of the shoulder 
room dimension and the steering wheel centerline-to-car-centerline 
dimension as shown in Figure 2 of SAE Recommended Practice J903a, May 
1966; or
    (b) For vehicles with individual-type seats, either--
    (i) A line parallel to the vehicle longitudinal centerline which 
passes through the center of the driver's designated seating position; 
or
    (ii) A line parallel to the vehicle longitudinal centerline located 
so that the geometric center of the 95 percent eye range contour is 
positioned on the longitudinal centerline of the driver's designated 
seating position.
    Shoulder room dimension means the front shoulder room dimension 
``W3'' as defined in section E, Ground Vehicle Practice, SAE Aerospace-
Automotive Drawing Standards, September 1963.
    95 percent eye range contour means the 95th percentile tangential 
cutoff specified in SAE Recommended Practice J941, ``Passenger Car 
Driver's Eye Range,'' November 1965.
    S4. Requirements.
    S4.1  Windshield wiping system. Each vehicle shall have a power-
driven windshield wiping system that meets the requirements of S4.1.1.
    S4.1.1  Frequency.
    S4.1.1.1  Each windshield wiping system shall have at least two 
frequencies or speeds.
    S4.1.1.2  One frequency or speed shall be at least 45 cycles per 
minute regardless of engine load and engine speed.
    S4.1.1.3  Regardless of engine speed and engine load, the highest 
and one lower frequency or speed shall differ by at least 15 cycles per 
minute. Such lower frequency or speed shall be at least 20 cycles per 
minute regardless of engine speed and engine load.
    S4.1.1.4  Compliance with subparagraphs S4.1.1.2 and S4.1.1.3 may be 
demonstrated by testing under the conditions specified in sections 4.1.1 
and 4.1.2 of SAE Recommended Practice J903a, May 1966.
    S4.1.2  Wiped area. When tested wet in accordance with SAE 
Recommended Practice J903a, May 1966, each passenger car windshield 
wiping system shall wipe the percentage of Areas A, B, and C of the 
windshield (established in accordance with S4.1.2.1) that (1) is 
specified in column 2 of the applicable table following subparagraph 
S4.1.2.1 and (2) is within the area bounded by a perimeter line on the 
glazing surface 25 millimeters from the edge of the daylight opening.
    S4.1.2.1  Areas A, B, and C shall be established as shown in Figures 
1 and 2 of SAE Recommended Practice J903a, May 1966, using the angles 
specified in Columns 3 through 6 of Table I, II, III, or IV, as 
applicable.

                     Table I--Passenger Cars of Less Than 1520 Millimeters in Overall Width                     
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees         
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        16        49        7        5
B..............................................................         94        13        46        4        3
C..............................................................         99         7        15        3        1
----------------------------------------------------------------------------------------------------------------


[[Page 184]]


            Table II--Passenger Cars of 1520 or More But Less Than 1630 Millimeters in Overall Width            
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees         
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        17        51        8        5
B..............................................................         94        13        49        4        3
C..............................................................         99         7        15        3        1
----------------------------------------------------------------------------------------------------------------


            Table III--Passenger Cars of 1630 or More But Less Than 1730 Millimeters in Overall Width           
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees         
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        17        53        9        5
B..............................................................         94        14        51        5        3
C..............................................................         99         8        15        4        1
----------------------------------------------------------------------------------------------------------------


                      Table IV--Passenger Cars of 1730 or More Millimeters in Overall Width                     
----------------------------------------------------------------------------------------------------------------
                                                                 Column 2--           Angles in degrees         
                                                                   Minimum  ------------------------------------
                         Column 1--Area                          percent to   Column   Column    Column   Column
                                                                  be wiped   3--Left  4--Right   5--Up   6--Down
----------------------------------------------------------------------------------------------------------------
A..............................................................         80        18        56       10        5
B..............................................................         94        14        53        5        3
C..............................................................         99        10        15        5        1
----------------------------------------------------------------------------------------------------------------

    S4.2  Windshield washing system.
    S4.2.1  Each passenger car shall have a windshield washing system 
that meets the requirements of SAE Recommended Practice J942, 
``Passenger Car Windshield Washer Systems,'' November 1965, except that 
the reference to ``the effective wipe pattern defined in SAE J903, 
paragraph 3.1.2'' in paragraph 3.1 of SAE Recommended Practice J942 
shall be deleted and ``the areas established in accordance with 
subparagraph S4.1.2.1 of Motor Vehicle Safety Standard No. 104'' shall 
be inserted in lieu thereof.
    S4.2.2  Each multipurpose passenger vehicle truck, and bus shall 
have a windshield washing system that meets the requirements of SAE 
Recommended Practice J942, November 1965, except that the reference to 
``the effective wipe pattern defined in SAE J903, paragraph 3.1.2'' in 
paragraph 3.1 of SAE Recommended Practice J942 shall be deleted and 
``the pattern designed by the manufacturer for the windshield wiping 
system on the exterior surface of the windshield glazing'' shall be 
inserted in lieu thereof.
[36 FR 22902, Dec. 2, 1971, as amended at 58 FR 13023, Mar. 9, 1993; 60 
FR 13643, Mar. 14, 1995]



Sec. 571.105  Standard No. 105; Hydraulic and electric brake systems.

    S1. Scope. This standard specifies requirements for hydraulic and 
electric service brake systems, and associated parking brake systems.
    S2. Purpose. The purpose of this standard is to insure safe braking 
performance under normal and emergency conditions.
    S3. Application. This standard applies to hydraulically-braked 
vehicles with a GVWR greater than 3,500 kilograms (7,716 pounds). This 
standard applies to hydraulically-braked passenger cars manufactured 
before September 1, 2000, and to hydraulically-braked multipurpose 
passenger vehicles, trucks and buses with a GVWR of 3,500 kilograms or 
less that are manufactured before September 1, 2002. At the option of 
the manufacturer, hydraulically-braked passenger cars manufactured 
before September 1, 2000, and hydraulically-braked multipurpose 
passenger vehicles, trucks and buses with a GVWR of 3,500 kilograms 
(7,716 pounds) or less manufactured before September 1, 2002, may meet 
the requirements of Federal Motor Vehicle Safety Standard No. 135, Light 
Vehicle Brake Systems instead of this standard.
    S4. Definitions. Antilock system means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
at one or more road wheels of the vehicle during braking.
    Backup system means a portion of a service brake system, such as a 
pump, that automatically supplies energy, in the event of a primary 
brake power source failure.
    Brake power assist unit means a device installed in a hydraulic 
brake system

[[Page 185]]

that reduces the operator effort required to actuate the system, and 
that if inoperative does not prevent the operator from braking the 
vehicle by a continued application of muscular force on the service 
brake control.
    Brake power unit means a device installed in a brake system that 
provides the energy required to actuate the brakes, either directly or 
indirectly through an auxiliary device, with the operator action 
consisting only of modulating the energy application level.
    Electric vehicle or EV means a motor vehicle that is powered by an 
electric motor drawing current from rechargeable storage batteries, fuel 
cells, or other portable sources of electrical current, and which may 
include a non-electrical source of power designed to charge batteries 
and components thereof.
    Electrically-actuated service brakes means service brakes that 
utilize electrical energy to actuate the foundation brakes.
    Hydraulic brake system means a system that uses hydraulic fluid as a 
medium for transmitting force from a service brake control to the 
service brake, and that may incorporate a brake power assist unit, or a 
brake power unit.
    Initial brake temperature means the average temperature of the 
service brakes on the hottest axle of the vehicle 0.2 mi before any 
brake application.
    Lightly loaded vehicle weight means:
    (a) For vehicles with a GVWR of 10,000 lbs. or less, unloaded 
vehicle weight plus 400 lbs. (including driver and instrumentation);
    (b) For vehicles with a GVWR greater than 10,000 lbs., unloaded 
vehicle weight plus 500 lbs. (including driver and instrumentation).
    Parking mechanism means a component or subsystem of the drive train 
that locks the drive train when the transmission control is placed in a 
parking or other gear position and the ignition key is removed.
    Pressure component means a brake system component that contains the 
brake system fluid and controls or senses the fluid pressure.
    Regenerative braking system or RBS means an electrical energy system 
that is installed in an EV for recovering or dissipating kinetic energy, 
and which uses the propulsion motor(s) as a retarder for partial braking 
of the EV while returning electrical energy to the propulsion batteries 
or dissipating electrical energy.
    Skid number means the frictional resistance of a pavement measured 
in accordance with American Society for Testing and Materials (ASTM) 
Method E-274-70 (as revised July, 1974) at 40 mph, omitting water 
delivery as specified in paragraphs 7.1 and 7.2 of that method.
    Snub means the braking deceleration of a vehicle from a higher 
reference speed to a lower reference speed that is greater than zero.
    Spike stop means a stop resulting from the application of 200 lbs of 
force on the service brake control in 0.08 s.
    Split service brake system means a brake system consisting of two or 
more subsystems actuated by a single control, designed so that a single 
failure in any subsystem (such as a leakage-type failure of a pressure 
component of a hydraulic subsystem except structural failure of a 
housing that is common to two or more subsystems, or an electrical 
failure in an electric subsystem) does not impair the operation of any 
other subsystem.
    Stopping distance means the distance traveled by a vehicle from the 
point of application of force to the brake control to the point at which 
the vehicle reaches a full stop.
    Variable proportioning brake system means a system that 
automatically adjusts the braking force at the axles to compensate for 
vehicle static axle loading and/or dynamic weight transfer between axles 
during deceleration.
    S5.  Requirements.
    S5.1  Service brake systems. Each vehicle shall be equipped with a 
service brake system acting on all wheels. Wear of the service brake 
shall be compensated for by means of a system of automatic adjustment. 
Each passenger car and each multipurpose passenger vehicle, truck and 
bus with a GVWR of 10,000 lbs. or less, and each school bus with a GVWR 
of greater than 10,000 lbs. shall be capable of meeting the requirements 
of S5.1.1 through S5.1.6 under the conditions prescribed in S6, when 
tested according to the procedures and in

[[Page 186]]

the sequence set forth in S7. Each multipurpose passenger vehicle, 
truck, and bus (other than a school bus) with a GVWR greater than 10,000 
lbs. shall meet the requirements of S5.1.2 and S5.1.3 under the 
conditions specified in S6 when tested according to the procedures and 
in the sequence set forth in S7. Except as noted in S5.1.1.2 and 
S5.1.1.4, if a vehicle is incapable of attaining a speed specified in 
S5.1.1, S5.1.2, S5.1.3, or S5.1.6, its service brakes shall be capable 
of stopping the vehicle from the multiple of 5 mph that is 4 to 8 mph 
less than the speed attainable in 2 miles, within distances that do not 
exceed the corresponding distances specified in Table II. If a vehicle 
is incapable of attaining a speed specified in S5.1.4 in the time or 
distance interval set forth, it shall be tested at the highest speed 
attainable in the time or distance interval specified.
    S5.1.1  Stopping distance. The service brakes shall be capable of 
stopping each vehicle, other than a vehicle which both has a GVWR of not 
less than 8,000 pounds and not greater than 10,000 pounds and is not a 
school bus, in four effectiveness tests within the distances and from 
the speeds specified in S5.1.1.1, S5.1.1.2, S5.1.1.3, and S5.1.1.4. The 
service brakes shall be capable of stopping each vehicle which both has 
a GVWR of not less than 8,000 pounds and not greater than 10,000 pounds 
and is not a school bus, in three effectiveness tests within the 
distances and from the speeds specified in S5.1.1.1, S5.1.1.2, and 
S5.1.1.4.
    S5.1.1.1  In the first (preburnished) effectiveness test, the 
vehicle shall be capable of stopping from 30 mph and 60 mph within the 
corresponding distances specified in column I of table II.
    S5.1.1.2  In the second effectiveness test, the vehicle shall be 
capable of stopping from 30 and 60 mph within the corresponding 
distances specified in column II of Table II. If the speed attainable in 
2 miles is not less than 84 mph, a passenger car or other vehicle with a 
GVWR of 10,000 pounds or less shall also be capable of stopping from 80 
mph within the corresponding distances specified in column II of table 
II.
    S5.1.1.3 In the third effectiveness test the vehicle shall be 
capable of stopping at lightly loaded vehicle weight from 60 mph within 
the corresponding distance specified in column III of table II.
    S5.1.1.4  In the fourth effectiveness test, a vehicle with a GVWR of 
10,000 pounds or less shall be capable of stopping from 30 and 60 mph 
within the corresponding distances specified in column I of table II. If 
the speed attainable in 2 miles is not less than 84 mph, a passenger 
car, or other vehicle with a GVWR of 10,000 lbs., or less, shall also be 
capable of stopping from 80 mph within the corresponding distance 
specified in column I of table II.
    If the speed attainable in 2 miles is not less than 99 mph, a 
passenger car shall, in addition, be capable of stopping from the 
applicable speed indicated below, within the corresponding distance 
specified in column I of table II.

------------------------------------------------------------------------
                                                               Required 
              Speed attainable in 2 miles (mph)                 to stop 
                                                              from (mph)
------------------------------------------------------------------------
Not less than 99 but less than 104..........................          95
104 or more.................................................         100
------------------------------------------------------------------------


For an EV, the speed attainable in 2 miles is determined with the 
propulsion batteries at a state of charge of not less than 95 percent at 
the beginning of the run.
    S5.1.2  Partial failure.
    S5.1.2.1  In vehicles manufactured with a split service brake 
system, in the event of a rupture or leakage type of failure in a single 
subsystem, other than a structural failure of a housing that is common 
to two or more subsystems, the remaining portion(s) of the service brake 
system shall continue to operate and shall be capable of stopping a 
vehicle from 60 mph within the corresponding distance specified in 
column IV of table II.
    S5.1.2.2  In vehicles not manufactured with a split service brake 
system, in the event of any one rupture or leakage type of failure in 
any component of the service brake system the vehicle shall, by 
operation of the service brake control, be capable of stopping 10 times 
consecutively from 60 mph within the corresponding distance specified in 
column IV of table II.
    S5.1.2.3 For a vehicle manufactured with a service brake system in 
which

[[Page 187]]

the brake signal is transmitted electrically between the brake pedal and 
some or all of the foundation brakes, regardless of the means of 
actuation of the foundation brakes, the vehicle shall be capable of 
stopping from 60 mph within the corresponding distance specified in 
Column IV of Table II with any single failure in any circuit that 
electrically transmits the brake signal, and with all other systems 
intact.
    S5.1.2.4 For an EV manufactured with a service brake system that 
incorporates RBS, the vehicle shall be capable of stopping from 60 mph 
within the corresponding distance specified in Column IV of Table II 
with any single failure in the RBS, and with all other systems intact.
    S5.1.3  Inoperative brake power assist unit or brake power unit. A 
vehicle equipped with one or more brake power assist units shall meet 
the requirements of either S5.1.3.1, S5.1.3.2, or S5.1.3.4 (chosen at 
the option of the manufacturer), and a vehicle equipped with one or more 
brake power units shall meet the requirements of either S5.1.3.1, 
S5.1.3.3, or S5.1.3.4 (chosen at the option of the manufacturer).
    S5.1.3.1  The service brakes on a vehicle equipped with one or more 
brake power assist units or brake power units, with one such unit 
inoperative and depleted of all reserve capability, shall be capable of 
stopping a vehicle from 60 mph within the corresponding distance 
specified in column IV of table II.
    S5.1.3.2  Brake power assist units. The service brakes on a vehicle 
equipped with one or more brake power assist units, with one such unit 
inoperative, shall be capable of stopping a vehicle from 60 mph:
    (a) In six consecutive stops at an average deceleration for each 
stop that is not lower than that specified in column I of table III, 
when the inoperative unit is not initially depleted of all reserve 
capability; and
    (b) In a final stop, at an average deceleration that is not lower 
than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) 
or 6 FPSPS for vehicles other than passenger cars (equivalent stopping 
distance 646 feet), as applicable, when the inoperative unit is depleted 
of all reserve capacity.
    S5.1.3.3  Brake power units. The service brakes of a vehicle 
equipped with one or more brake power units with an accumulator-type 
reserve system, with any one failure in any one unit shall be capable of 
stopping the vehicle from 60 mph--
    (a) In 10 consecutive stops at an average deceleration for each stop 
that is not lower than that specified in column II of table III, when 
the unit is not initially depleted of all reserve capability; and
    (b) In a final stop, at an average deceleration that is not lower 
than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) 
or 6 FPSPS for vehicles other than passenger cars (equivalent stopping 
distance 646 feet), as applicable, when the inoperative unit is depleted 
of all reserve capacity.
    S5.1.3.4  Brake power assist and brake power units. The service 
brakes of a vehicle equipped with one or more brake power assist units 
or brake power units with a backup system, with one brake power assist 
unit or brake power unit inoperative and depleted of all reserve 
capability and with only the backup system operating in the failed 
subsystem, shall be capable of stopping the vehicle from 60 mph in 15 
consecutive stops at an average deceleration for each stop that is not 
lower than 12 fpsps (equivalent stopping distance 323 feet).
    S5.1.3.5 Electric brakes. Each vehicle with electrically-actuated 
service brakes (brake power unit) shall comply with the requirements of 
S5.1.3.1 with any single electrical failure in the electrically-actuated 
service brakes and all other systems intact.
    S5.1.4  Fade and recovery. The service brakes shall be capable of 
stopping each vehicle in two fade and recovery tests as specified below.
    S5.1.4.1  The control force used for the baseline check stops or 
snubs shall be not less than 10 pounds, nor more than 60 pounds, except 
that the control force for a vehicle with a GVWR of 10,000 pounds or 
more may be between 10 pounds and 90 pounds.
    S5.1.4.2 (a) Each vehicle with GVWR of 10,000 lbs or less shall be 
capable of making 5 fade stops (10 fade stops on the second test) from 
60 mph at a deceleration not lower than 15 fpsps for each

[[Page 188]]

stop, followed by 5 fade stops at the maximum deceleration attainable 
from 5 to 15 fpsps.
    (b) Each vehicle with a GVWR greater than 10,000 pounds shall be 
capable of making 10 fade snubs (20 fade snubs on the second test) from 
40 mph to 20 mph at 10 fpsps for each snub.
    S5.1.4.3 (a)  Each vehicle with a GVWR of 10,000 pounds or less 
shall be capable of making five recovery stops from 30 mph at 10 fpsps 
for each stop, with a control force application that falls within the 
following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 20 pounds more than the average control force for 
the baseline check; and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    (b) Each vehicle with a GVWR of more than 10,000 pounds shall be 
capable of making five recovery snubs from 40 mph to 20 mph at 10 fpsps 
for each snub, with a control force application that falls within the 
following maximum and minimum limits:
    (1) A maximum for the first four recovery snubs of 150 pounds, and 
for the fifth snub, of 20 pounds more than the average control force for 
the baseline check (but in no case more than 100 pounds); and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    S5.1.5  Water recovery. The service brakes shall be capable of 
stopping each vehicle in a water recovery test, as specified below.
    S5.1.5.1  The control force used for the baseline check stops or 
snubs shall be not less than 10 pounds, nor more than 60 pounds, except 
that the control force for a vehicle with a GVWR of 10,000 pounds or 
more may be between 10 and 90 pounds.
    S5.1.5.2(a)  After being driven for 2 minutes at a speed of 5 mph in 
any combination of forward and reverse directions through a trough 
having a water dept of 6 inches, each vehicle with a GVWR of 10,000 
pounds or less shall be capable of making five recovery stops from 30 
mph at ten fpsps for each stop with a control force application that 
falls within the following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 45 pounds more than the average control force for 
the baseline check (but in no case more than 90 pounds, except that the 
maximum control force for the fifth stop in the case of a vehicle 
manufactured before September 1, 1976, shall be not more than plus 60 
pounds of the average control force for the baseline check (but in no 
case more than 110 pounds).
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    (b) After being driven for 2 minutes at a speed of 5 mph in any 
combination of forward and reverse directions through a trough having a 
water depth of 6 inches, each vehicle with a GVWR of more than 10,000 
pounds shall be capable of making five recovery stops from 30 mph at 10 
fpsps for each stop with a control force application that falls within 
the following maximum and minimum limits:
    (1) A maximum for the first four recovery stops of 150 pounds, and 
for the fifth stop, of 60 pounds more than the average control force for 
the baseline check (but in no case more than 110 pounds); and
    (2) A minimum of--

    (A) The average control force for the baseline check minus 10 
pounds, or
    (B) The average control force for the baseline check times 0.60,

whichever is lower (but in no case lower than 5 pounds).
    S5.1.6  Spike stops. Each vehicle with a GVWR of 10,000 lbs. or less 
shall be capable of making 10 spike stops from 30 mph, followed by 6 
effectiveness

[[Page 189]]

(check) stops from 60 mph, at least one of which shall be within a 
corresponding stopping distance specified in column I of table II.
    S5.2  Parking brake system. Each vehicle with a GVWR of 10,000 lbs. 
or less and each school bus with a GVWR greater than 10,000 lbs., shall 
be manufactured with a parking brake system of a friction type with a 
solely mechanical means to retain engagement, which shall under the 
conditions of S6., when tested according to the procedures specified in 
S7., meet the requirements specified in S5.2.1, S5.2.2, or S5.2.3 as 
appropriate, with the system engaged--
    (a) In the case of a vehicle with a GVWR of 10,000 lbs. or less, 
with a force applied to the control not to exceed 125 pounds for a foot-
operated system and 90 pounds for a hand-operated system; and
    (b) In the case of a school bus with a GVWR greater than 10,000 lbs. 
with a force applied to the control not to exceed 150 pounds for a foot-
operated system and 125 pounds for a hand-operated system.
    S5.2.1.  Except as provided in Sec. 5.2.2, the parking brake system 
on a passenger car and on a school bus with a GVWR of 10,000 pounds or 
less shall be capable of holding the vehicle stationary (to the limit of 
traction on the braked wheels) for 5 minutes in both a forward and 
reverse direction on a 30 percent grade.
    S5.2.2  A vehicle of a type described in S5.2.1 at the option of the 
manufacturer may meet the requirements of S5.2.2.1, S5.2.2.2, and 
S5.2.2.3 instead of the requirements of S5.2.1 if:
    (a) The vehicle has a transmission or transmission control which 
incorporates a parking mechanism, and
    (b) The parking mechanism must be engaged before the ignition key 
can be removed.
    S5.2.2.1  The vehicle's parking brake and parking mechanism, when 
both are engaged, shall be capable of holding the vehicle stationary (to 
the limit of traction of the braked wheels) for 5 minutes, in both 
forward and reverse directions, on a 30 percent grade.
    S5.2.2.2  The vehicle's parking brake, with the parking mechanism 
not engaged, shall be capable of holding the vehicle stationary for 5 
minutes, in both forward and reverse directions, on a 20 percent grade.
    S5.2.2.3  With the parking mechanism engaged and the parking brake 
not engaged, the parking mechanism shall not disengage or fracture in a 
manner permitting vehicle movement, when the vehicle is impacted at each 
end, on a level surface, by a barrier moving at 2\1/2\ mph.
    S5.2.3.  The parking brake system on a multipurpose passenger 
vehicle, truck and bus (other than a school bus) with a GVWR of 10,000 
pounds or less and a school bus with a GVWR greater than 10,000 pounds 
shall be capable of holding the vehicle stationary for 5 minutes, in 
both forward and reverse directions, on a 20 percent grade.
    S5.3  Brake system indicator lamp. Each vehicle shall have one or 
more brake system indicator lamps, mounted in front of and in clear view 
of the driver, which meet the requirements of S5.3.1 through S5.3.5. 
However, the options provided in S5.3.1(a) shall not apply to a vehicle 
manufactured without a split service brake system; such a vehicle shall, 
to meet the requirements of S5.3.1(a), be equipped with a warning 
indicator that activates under the conditions specified in S5.3.1(a)(4). 
This warning indicator shall, instead of meeting the requirements of 
S5.3.2. through S5.3.5, activate (while the vehicle remains capable of 
meeting the requirements of S5.1.2.2 and the ignition switch is in the 
``on'' position) a continuous or intermittent audible signal and a 
flashing warning light, displaying the words ``STOP--BRAKE FAILURE'' in 
block capital letters not less than one-quarter of an inch in height.
    S5.3.1 An indicator lamp shall be activated when the ignition 
(start) switch is in the ``on'' (``run'') position and whenever any of 
the conditions (a) or (b), (c), (d), (e), (f), and (g) occur:
    (a) A gross loss of pressure (such as caused by rupture of a brake 
line but not by a structural failure of a housing that is common to two 
or more subsystems) due to one of the following conditions (chosen at 
the option of the manufacturer):
    (1) Before or upon application of a differential pressure of not 
more than

[[Page 190]]

225 lb/in 2 between the active and failed brake system 
measured at a master cylinder outlet or a slave cylinder outlet.
    (2) Before or upon application of 50 pounds of control force upon a 
fully manual service brake.
    (3) Before or upon application of 25 pounds of control force upon a 
service brake with a brake power assist unit.
    (4) When the supply pressure in a brake power unit drops to a level 
not less than one-half of the normal system pressure.
    (b) A drop in the level of brake fluid in any master cylinder 
reservoir compartment to less than the recommended safe level specified 
by the manufacturer or to one-fourth of the fluid capacity of that 
reservoir compartment, whichever is greater.
    (c) A total functional electrical failure in an antilock or variable 
proportioning brake system.
    (d) Application of the parking brake.
    (e) For a vehicle with electrically-actuated service brakes, failure 
of the source of electric power to the brakes, or diminution of state of 
charge of the batteries to less than a level specified by the 
manufacturer for the purpose of warning a driver of degraded brake 
performance.
    (f) For a vehicle with electric transmission of the service brake 
control signal, failure of a brake control circuit.
    (g) For an EV with RBS that is part of the service brake system, 
failure of the RBS. An amber lamp may be used displaying the symbol 
``RBS.'' RBS failure in a system that is part of the service brake 
system may also be indicated by an amber lamp that also indicates ABS 
failure and displays the symbol ``ABS/RBS''.
    S5.3.2 (a) Except as provided in paragraph (b) of this section, all 
indicator lamps shall be activated as a check of lamp function either 
when the ignition (start) switch is turned to the ``on'' (run) position 
when the engine is not running, or when the ignition (start) switch is 
in a position between ``on'' (run) and ``start'' that is designated by 
the manufacturer as a check position.
    (b) The indicator lamps need not be activated when a starter 
interlock is in operation.
    S5.3.3  Each indicator lamp activated due to a condition specified 
in S5.3.1 shall remain activated as long as the condition exists, 
whenever the ignition (start) switch is in the ``on'' (run) position, 
whether or not the engine is running.
    S5.3.4  When an indicator lamp is activated it may be steady burning 
or flashing.
    S5.3.5 (a) Each indicator lamp shall display word, words or 
abbreviation, in accordance with the requirements of Standard No. 101 
(49 CFR 571.101) and/or this section, which shall have letters not less 
than \1/8\-inch high and be legible to the driver in daylight when 
lighted. Words in addition to those required by Standard No. 101 and/or 
this section and symbols may be provided for purposes of clarity.
    (b) If a single common indicator is used, the lamp shall display the 
word ``Brake''. The letters and background of a single common indicator 
shall be of contrasting colors, one of which is red.
    (c)(1) If separate indicators are used for one or more of the 
conditions described in S5.3.1(a) through S5.3.1(g) of this standard, 
the indicator display shall include the word ``Brake'' and appropriate 
additional labeling, except as provided in (c)(1) (A) through (D) of 
this paragraph.
    (A) If a separate indicator lamp is provided for gross loss of 
pressure, the words ``Brake Pressure'' shall be used for S5.3.1(a).
    (B) If a separate indicator lamp is provided for low brake fluid, 
the words ``Brake Fluid'' shall be used for S5.3.1(b), except for 
vehicles using hydraulic system mineral oil.
    (C) If a separate indicator lamp is provided for an anti-lock 
system, the single word ``Antilock'' or ``Anti-lock'', or the 
abbreviation ``ABS'', may be used for S5.3.1(c).
    (D) If a separate indicator lamp is provided for application of the 
parking brake, the single word ``Park'' may be used for S5.3.1(d).
    (2) Except for a separate indicator lamp for an anti-lock system, 
the letters and background of each separate indicator lamp shall be of 
contrasting colors, one of which is red. The letters and background of a 
separate indicator

[[Page 191]]

lamp for an anti-lock system shall be of contrasting colors, one of 
which is yellow.
    S5.4  Reservoirs.
    S5.4.1  Master cylinder reservoirs. A master cylinder shall have a 
reservoir compartment for each service brake subsystem serviced by the 
master cylinder. Loss of fluid from one compartment shall not result in 
a complete loss of brake fluid from another compartment.
    S5.4.2  Reservoir capacity. Reservoirs, whether for master cylinders 
or other type systems, shall have a total minimum capacity equivalent to 
the fluid displacement resulting when all the wheel cylinders or caliper 
pistons serviced by the reservoirs move from a new lining, fully 
retracted position (as adjusted initially to the manufacturer's 
recommended setting) to a fully worn, fully applied position, as 
determined in accordance with S7.18(c) of this standard. Reservoirs 
shall have completely separate compartments for each subsystem except 
that in reservoir systems utilizing a portion of the reservoir for a 
common supply to two or more subsystems, individual partial compartments 
shall each have a minimum volume of fluid equal to at least the volume 
displaced by the master cylinder piston servicing the subsystem, during 
a full stroke of the piston. Each brake power unit reservoir servicing 
only the brake system shall have a minimum capacity equivalent to the 
fluid displacement required to charge the system piston(s) or 
accumulator(s) to normal operating pressure plus the displacement 
resulting when all the wheel cylinders or caliper pistons serviced by 
the reservoir or accumulator(s) move from a new lining fully retracted 
position (as adjusted initially to the manufacturer's recommended 
setting) to a fully worn, fully applied position.
    S5.4.3 Reservoir labeling--Each vehicle equipped with hydraulic 
brakes shall have a brake fluid warning statement that reads as follows, 
in letters at least one-eighth of an inch high: ``WARNING, Clean filler 
cap before removing. Use only ______ fluid from a sealed container.'' 
(Inserting the recommended type of brake fluid as specified in 49 CFR 
571.116, e.g., ``DOT 3''). The lettering shall be--
    (a) Permanently affixed, engraved, or embossed;
    (b) Located so as to be visible by direct view, either on or within 
4 inches of the brake fluid reservoir filler plug or cap; and
    (c) Of a color that contrasts with its background, if it is not 
engraved or embossed.
    S5.5 Antilock and variable proportioning brake systems.
    S5.5.1 On and after March 1, 1999, each vehicle with a GVWR greater 
than 10,000 pounds, except for any vehicle that has a speed attainable 
in 2 miles of not more than 33 mph, shall be equipped with an antilock 
brake system that directly controls the wheels of at least one front 
axle and the wheels of at least one rear axle of the vehicle. On and 
after March 1, 1999, on each vehicle with a GVWR greater than 10,000 
pounds but not greater than 12,000 pounds, the antilock brake system may 
also directly control the wheels of the drive axle by means of a single 
sensor in the drive line. Wheels on other axles of the vehicle may be 
indirectly controlled by the antilock brake system.
    S5.5.2 In the event of any failure (structural or functional) in an 
antilock or variable proportioning brake system, the vehicle shall be 
capable of meeting the stopping distance requirements specified in 
S5.1.2 for service brake system partial failure. For an EV that is 
equipped with both ABS and RBS that is part of the service brake system, 
the ABS must control the RBS.
    S5.6  Brake system integrity. Each vehicle shall be capable of 
completing all performance requirements of S5 without--
    (a) Detachment or fracture of any component of the braking system, 
such as brake springs and brake shoe or disc pad facing, other than 
minor cracks that do not impair attachment of the friction facing. All 
mechanical components of the braking system shall be intact and 
functional. Friction facing tearout (complete detachment of lining) 
shall not exceed 10 percent of the lining on any single frictional 
element.

[[Page 192]]

    (b) Any visible brake fluid or lubricant on the friction surface of 
the brake, or leakage at the master cylinder or brake power unit 
reservoir cover, seal and filler openings.
    S6. Test conditions. The performance requirements of S5 shall be met 
under the following conditions. Where a range of conditions is 
specified, the vehicle shall be capable of meeting the requirements at 
all points within the range.
    S6.1  Vehicle weight.
    S6.1.1  Other than tests specified at lightly loaded vehicle weight 
in S7.7, S7.8, and S7.9, the vehicle is loaded to its GVWR such that the 
weight on each axle as measured at the tire-ground interface is in 
proportion to its GAWR, except that each fuel tank is filled to any 
level from 100 percent of capacity (corresponding to full GVWR) to 75 
percent. However, if the weight on any axle of a vehicle at lightly 
loaded vehicle weight exceeds the axle's proportional share of the gross 
vehicle weight rating, the load required to reach GVWR is placed so that 
the weight on that axle remains the same as a lightly loaded vehicle 
weight.
    S6.1.2  For the applicable tests specified in S7.7, S7.8, and S7.9, 
vehicle weight is lightly loaded vehicle weight, with the added weight 
distributed in the front passenger seat area in passenger cars, 
multipurpose passenger vehicles, and trucks, and in the area adjacent to 
the driver's seat in buses.
    S6.2 Electric vehicles and electric brakes.
    S6.2.1 The state of charge of the propulsion batteries is determined 
in accordance with SAE Recommended Practice J227a, Electric Vehicle Test 
Procedure, February 1976. The applicable sections of J227a are 3.2.1 
through 3.2.4, 3.3.1 through 3.3.2.2, 3.4.1 and 3.4.2, 4.2.1, 5.2, 
5.2.1, and 5.3.
    S6.2.2 At the beginning of the first effectiveness test specified in 
S7.3, and at the beginning of each burnishing procedure, each EV's 
propulsion battery is at the maximum state of charge recommended by the 
manufacturer, as stated in the vehicle operator's manual or on a label 
that is permanently attached to the vehicle, or, if the manufacturer has 
made no recommendation, at a state of charge of not less than 95 
percent. If a battery is replaced rather than recharged, the replacement 
battery is to be charged and measured for state of charge in accordance 
with these procedures. During each burnish procedure, each propulsion 
battery is restored to the recommended state of charge or a state of 
charge of not less than 95 percent after each increment of 40 burnish 
stops until each burnish procedure is complete. The batteries may be 
charged at a more frequent interval if, during a particular 40-stop 
increment, the EV is incapable of achieving the initial burnish test 
speed. During each burnish procedure, the propulsion batteries may be 
charged by an external means or replaced by batteries that are charged 
to the state of charge recommended by the manufacturer or a state of 
charge of not less than 95 percent. For EVs having a manual control for 
setting the level of regenerative braking, the manual control, at the 
beginning of each burnish procedure, is set to provide maximum 
regenerative braking throughout the burnish.
    S6.2.3 At the beginning of each performance test in the test 
sequence (S7,3, S7.5, S7.7 through S7.11, and S7.13 through S7.19 of 
this standard), unless otherwise specified, each propulsion battery of 
an EV is at the maximum state of charge recommended by the manufacturer, 
as stated in the vehicle operator's manual or on a label that is 
permanently attached to the vehicle, or, if the manufacturer has made no 
recommendation, at a state of charge of not less than 95 percent. If 
batteries are replaced rather than recharged, each replacement battery 
shall be charged and measured for state of charge in accordance with 
these procedures. No further charging of any propulsion battery occurs 
during any of the performance tests in the test sequence of this 
standard. If the propulsion batteries are depleted during a test 
sequence such that the vehicle reaches automatic shut-down, will not 
accelerate, or the low state of charge warning lamp is illuminated, the 
vehicle is to be accelerated to brake test speed by auxiliary means.
    S6.2.4 (a) For an EV equipped with RBS, the RBS is considered to be 
part of the service brake system if it is

[[Page 193]]

automatically controlled by an application of the service brake control, 
if there is no means provided for the driver to disconnect or otherwise 
deactivate it, and if it is activated in all transmission positions, 
including neutral. The RBS is operational during all burnishes and all 
tests, except for the test of a failed RBS.
    (b) For an EV equipped with an RBS that is not part of the service 
brake system, the RBS is operational and set to produce the maximum 
regenerative braking effect during the burnishes, and is disabled during 
the test procedures. If the vehicle is equipped with a neutral gear that 
automatically disables the RBS, the test procedures which are designated 
to be conducted in gear may be conducted in neutral.
    S6.2.5  For tests conducted ``in neutral,'' the operator of an EV 
with no ``neutral'' position (or other means such as a clutch for 
disconnecting the drive train from the propulsion motor(s)) does not 
apply any electromotive force to the propulsion motor(s). Any 
electromotive force that is applied to the propulsion motor(s) 
automatically remains in effect unless otherwise specified by the test 
procedure.
    S6.2.6  A vehicle equipped with electrically-actuated service brakes 
also performs the following test series. Conduct 10 stopping tests from 
a speed of 100 kph or the maximum vehicle speed, whichever is less. At 
least two of the 10 stopping distances must be less than or equal to 70 
meters. The vehicle is loaded to GVWR for these tests and the 
transmission is in the neutral position when the service brake control 
is actuated and throughout the remainder of the test. The battery or 
batteries providing power to those electrically-actuated brakes, at the 
beginning of each test, shall be in a depleted state of charge for 
conditions (a), (b), or (c) of this paragraph as appropriate. An 
auxiliary means may be used to accelerate an EV to test speed.
    (a) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries, and with automatic shut-
down capability of the propulsion motor(s), the propulsion batteries are 
at not more than five percent above the EV actual automatic shut-down 
critical value. The critical value is determined by measuring the state-
of-charge of each propulsion battery at the instant that automatic shut-
down occurs and averaging the states-of-charge recorded.
    (b) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries, and with no automatic 
shut-down capability of the propulsion motor(s), the propulsion 
batteries are at an average of not more than five percent above the 
actual state of charge at which the brake failure warning signal, 
required by S5.3.1(e) of this standard, is illuminated.
    (c) For a vehicle which has an auxiliary battery (or batteries) that 
provides electrical energy to operate the electrically-actuated service 
brakes, the auxiliary battery(batteries) is (are) at (at an average of) 
not more than five percent above the actual state of charge at which the 
brake failure warning signal, required by S5.3.1(e) of this standard, is 
illuminated.
    S6.3  Tire inflation pressure. Tire inflation pressure is the 
pressure recommended by the vehicle manufacturer for the GVWR of the 
vehicle.
    S6.4  Transmission selector control. For S7.3, S7.5, S7.8, S7.15, 
S7.17, S7.11.1.2, S7.11.2.2, S7.11.3.2, and as required for S7.13, the 
transmission selector control is in neutral for all decelerations. For 
all other tests during all decelerations, the transmission selector is 
in the control position, other than overdrive, recommended by the 
manufacturer for driving on a level surface at the applicable test 
speed. To avoid engine stall during tests required to be run in gear a 
manual transmission may be shifted to neutral (or the clutch disengaged) 
when the vehicle speed decreases to 20 mph.
    S6.5  Engine. Engine idle speed and ignition timing settings are 
according to the manufacturer's recommendations. If the vehicle is 
equipped with an adjustable engine speed governor, it is adjusted 
according to the manufacturer's recommendation.
    S6.6  Vehicle openings. All vehicle openings (doors, windows, hood, 
trunk, convertible top, cargo doors, etc.) are

[[Page 194]]

closed except as required for instrumentation purposes.
    S6.7  Ambient temperature. The ambient temperature is any 
temperature between 32 deg. F. and 100 deg. F.
    S6.8  Wind velocity. The wind velocity is zero.
    S6.9  Road surface. Road tests are conducted on a 12-foot-wide, 
level roadway having a skid number of 81. Burnish stops are conducted on 
any surface. The parking brake test surface is clean, dry, smooth 
Portland cement concrete.
    S6.10  Vehicle position. The vehicle is aligned in the center of the 
roadway at the start of each brake application. Stops, other than spike 
stops, are made without any part of the vehicle leaving the roadway. 
Except as noted below, stops are made without lockup of any wheel at 
speeds greater than 10 mph. There may be controlled lockup on an 
antilock-equipped axle, and lockup of not more than one wheel per 
vehicle, uncontrolled by an antilock system. (Dual wheels on one side of 
an axle are considered a single wheel.) Locked wheels at speeds greater 
than 10 mph are allowed during spike stops (but not spike check stops), 
partial failure stops and inoperative brake power or power assist unit 
stops.
    S6.11  Thermocouples. The brake temperature is measured by plug-type 
thermocouples installed in the approximate center of the facing length 
and width of the most heavily loaded shoe or disc pad, one per brake, as 
shown in figure 1. A second thermocouple may be installed at the 
beginning of the test sequence if the lining wear is expected to reach a 
point causing the first thermocouple to contact the metal rubbing 
surface of a drum or rotor. For centergrooved shoes or pads, 
thermocouples are installed within one-eighth of an inch to one-quarter 
inch of the groove and as close to the center as possible.
    S6.12  Initial brake temperature. Unless otherwise specified the 
brake temperature is 150 deg. F. to 200 deg. F.
    S6.13  Control forces. Unless otherwise specified, the force applied 
to a brake control is not less than 15 lb and not more than 150 lb.
    S7. Test procedures and sequence. Each vehicle shall be capable of 
meeting all the applicable requirements of S5. when tested according to 
the procedures and in the sequence set forth below, without replacing 
any brake system part or making any adjustments to the brake system 
other than as permitted in burnish and reburnish procedures and in S7.9 
and S7.10. (For vehicles only having to meet the requirements of S5.1.2 
and S5.1.3 in section S5.1, the applicable test procedures and sequence 
are S7.1, S7.2, S7.4, S7.9, S7.10 and S7.18. However, at the option of 
the manufacturer, the following test procedures and sequence may be 
conducted: S7.1, S7.2, S7.3, S7.4, S7.5, S7.6, S7.7, S7.8, S7.9, S7.10 
and S7.18. The choice of this option shall not be construed as adding to 
the requirements specified in S5.1.2 and S5.1.3.) For vehicles 
manufactured before September 1, 1991, automatic adjusters may be locked 
out, at the option of the manufacturer, when the vehicle is prepared for 
testing. If this option is selected, adjusters must remain locked out 
for the entire sequence of tests. For vehicles manufactured on or after 
September 1, 1991, automatic adjusters must remain activated at all 
times. A vehicle shall be deemed to comply with the stopping distance 
requirements of S5.1 if at least one of the stops at each speed and load 
specified in each of S7.3, S7.5, S7.8, S7.9, S7.10, S7.15, or S7.17 
(check stops) is made within a stopping distance that does not exceed 
the corresponding distance specified in Table II. When the transmission 
selector control is required to be in neutral for a deceleration, a stop 
or snub shall be obtained by the following procedures: (1) Exceed the 
test speed by 4 to 8 mph; (2) close the throttle and coast in gear to 
approximately 2 mph above the test speed; (3) shift to neutral; and (4) 
when the test speed is reached, apply the service brakes.
    S7.1 Brake warming. If the initial brake temperature for the first 
stop in a test procedure (other than S7.7 and S7.16) has not been 
reached, heat the brakes to the initial brake temperature by making not 
more than 10 snubs from not more than 40 to 10 mph, at a deceleration 
not greater than 10 fpsps.
    S7.2  Pretest instrumentation check. Conduct a general check of 
instrumentation by making not more than 10

[[Page 195]]

stops from a speed of not more than 30 mph, or 10 snubs from a speed of 
not more than 40 to 10 mph, at a deceleration of not more than 10 fpsps. 
If instrument repair, replacement, or adjustment is necessary, make not 
more than 10 additional stops or snubs after such repair, replacement, 
or adjustment.
    S7.3  Service brake system--first (preburnish) effectiveness test. 
Make six stops from 30 mph. Then make six stops from 60 mph.
    S7.4  Service brake system--burnish procedure.
    S7.4.1  Vehicles with GVWR of 10,000 lb or less.
    S7.4.1.1  Burnish. Burnish the brakes by making 200 stops from 40 
mph at 12 fpsps (the 150 lb control force limit does not apply here). 
The interval from the start of one service brake application to the 
start of the next shall be either the time necessary to reduce the 
initial brake temperature to between 230 deg. F. and 270 deg. F., or the 
distance of 1 mile, whichever occurs first. Accelerate to 40 mph after 
each stop and maintain that speed until making the next stop.
    S7.4.1.2  Brake adjustment--post burnish. After burnishing, adjust 
the brakes in accordance with the manufacturer's published 
recommendations.
    S7.4.2 Vehicles with GVWR greater than 10,000 pounds.
    S7.4.2.1  Burnish. Vehicles are burnished according to the following 
procedures. Make 500 snubs between 40 mph and 20 mph at a deceleration 
rate of 10 f.p.s.p.s. Except where an adjustment is specified, after 
each brake application accelerate to 40 mph and maintain that speed 
until making the next brake application at a point 1 mile from the 
initial point of the previous brake application. If the vehicle cannot 
attain a speed of 40 mph in 1 mph, continue to accelerate until the 
vehicle reaches 40 mph or until the vehicle has traveled 1.5 miles from 
the initial point of the previous brake application, whichever occurs 
first. The brakes shall be adjusted three times during the burnish 
procedure, in accordance with the manufacturer's recommendations, after 
125, 250, and 375 snubs.
    S7.4.2.2  Brake adjustment--post burnish. After burnishing, adjust 
the brakes in accordance with the manufacturer's published 
recommendations.
    S7.5  Service brake system--second effectiveness test. Repeat S7.3. 
Then (for passenger cars and other vehicles with a GVWR of 10,000 lbs. 
or less) make four stops from 80 mph if the speed attainable in 2 miles 
is not less than 84 mph.
    S7.6  First reburnish. Repeat S7.4, except make 35 burnish stops or 
snubs. In the case of vehicles burnished in accordance with S7.4.2.1(a) 
of this section, reburnish the vehicle by making 35 snubs from 60 to 20 
mph, but if the hottest brake temperature reaches 500  deg. F 
 50  deg. F, make the remainder of the brake applications 
from the highest snub condition listed in Table IV that will maintain 
the hottest brake temperature at 500  deg. F  50  deg. F. If 
at a snub condition of 40 to 20 mph, the temperature of the hottest 
brake exceeds 550  deg. F, make the remainder of the 35 brake 
applications from the snub condition without regard to brake 
temperature.
    S7.7  Parking brake test. The parking brake tests for any vehicle on 
different grades, in different directions, and for different loads may 
be conducted in any order. The force required for actuation of a hand-
operated brake system shall be measured at the center of the hand grip 
area or at a distance of 1\1/2\ inches from the end of the actuation 
lever, as illustrated in Figure II.
    S7.7.1  Test procedure for requirements of S5.2.1.
    S7.7.1.1  Condition the parking brake friction elements so that the 
temperature at the beginning of the test is at any level not more than 
150 deg. F. (when the temperature of components on both ends of an axle 
are averaged).
    S7.7.1.2  Drive the vehicle, loaded to GVWR, onto the specified 
grade with the longitudinal axis of the vehicle in the direction of the 
slope of the grade, stop the vehicle and hold it stationary by 
application of the service brake control, and place the transmission in 
neutral.
    S7.7.1.3  With the vehicle held stationary by means of the service 
brake control, apply the parking brake by a single application of the 
force specified

[[Page 196]]

in (a), (b), or (c) of this paragraph, except that a series of 
applications to achieve the specified force may be made in the case of a 
parking brake system design that does not allow the application of the 
specified force in a single application:
    (a) In the case of a passenger car or other vehicle with a GVWR of 
10,000 lbs. or less, not more than 125 pounds for a foot-operated 
system, and not more than 90 pounds for a hand-operated system; and
    (b) In the case of a school bus with a GVWR greater than 10,000 lbs. 
not more than 150 pounds for a foot-operated system, and not more than 
125 pounds for a hand-operated system.
    (c) For a vehicle using an electrically-activated parking brake, 
apply the parking brake by activating the parking brake control.
    S7.7.1.4  Following the application of the parking brake in 
accordance with S7.7.1.3, release all force on the service brake control 
and commence the measurement of time if the vehicle remains stationary. 
If the vehicle does not remain stationary, reapplication of the service 
brake to hold the vehicle stationary, with reapplication of a force to 
the parking brake control at the level specified in S7.7.1.3 (a) or (b) 
as appropriate for the vehicle being tested (without release of the 
ratcheting or other holding mechanism of the parking brake) may be used 
twice to attain a stationary position.
    S7.7.1.5  Following observation of the vehicle in a stationary 
condition for the specified time in one direction, repeat the same test 
procedure with the vehicle orientation in the opposite direction on the 
specified grade.
    S7.7.1.6  Check the operation of the parking brake application 
indicator required by S5.3.1(d).
    S7.7.2  Test procedure for requirements of S5.2.2 (a) Check that 
transmission must be placed in park position to release key;
    (b) Test as in S7.7.1, except in addition place the transmission 
control to engage the parking mechanism; and
    (c) Test as in S7.7.1 except on a 20 percent grade, with the parking 
mechanism not engaged.
    S7.7.3  Lightly loaded vehicle. Repeat S7.7.1 or S7.7.2 as 
applicable except with the vehicle at lightly loaded vehicle weight.
    S7.7.4  Non-service brake type parking brake systems. For vehicles 
with parking brake systems not utilizing the service brake friction 
elements, burnish the friction elements of such systems prior to parking 
brake tests according to the manufacturer's published recommendations as 
furnished to the purchaser. If no recommendations are furnished, run the 
vehicle in an unburnished condition.
    S7.8  Service brake system--lightly loaded vehicle (third 
effectiveness) test. Make six stops from 60 mph with vehicle at lightly 
loaded vehicle weight. (This test is not applicable to a vehicle which 
both has a GVWR of not less than 8,000 pounds and not greater than 
10,000 pounds and is not a school bus.)
    S7.9  Service brake system test--partial failure.
    S7.9.1  With the vehicle at lightly loaded vehicle weight, alter the 
service brake system to produce any one rupture or leakage type of 
failure, other than a structural failure of a housing that is common to 
two or more subsystems. Determine the control force, pressure level, or 
fluid level (as appropriate for the indicator being tested) necessary to 
activate the brake system indicator lamp. Make four stops if the vehicle 
is equipped with a split service brake system, or 10 stops if the 
vehicle is not so equipped, each from 60 mph, by a continuous 
application of the service brake control. Restore the service brake 
system to normal at completion of this test.
    S7.9.2  Repeat S7.9.1 for each of the other subsystems.
    S7.9.3  Repeat S7.9.1 and S7.9.2 with vehicle at GVWR. Restore the 
service brake system to normal at completion of this test.
    S7.9.4  (For vehicles with antilock and/or variable proportioning 
brake systems.) With vehicle at GVWR, disconnect functional power 
source, or otherwise render antilock system inoperative. Disconnect 
variable proportioning brake system. Make four stops, each from 60 mph. 
If more than one antilock or variable proportioning

[[Page 197]]

brake subsystem is provided, disconnect or render one subsystem 
inoperative and run as above. Restore system to normal at completion of 
this test. Repeat for each subsystem provided.
    Determine whether the brake system indicator lamp is activated when 
the electrical power source to the antilock or variable proportioning 
unit is disconnected.
    S7.9.5  For a vehicle in which the brake signal is transmitted 
electrically between the brake pedal and some or all of the foundation 
brakes, regardless of the means of actuation of the foundation brakes, 
the tests in S7.9.1 through S7.9.3 of this standard are conducted by 
inducing any single failure in any circuit that electrically transmits 
the brake signal, and all other systems intact. Determine whether the 
brake system indicator lamp is activated when the failure is induced.
    S7.9.6  For an EV with RBS that is part of the service brake system, 
the tests specified in S7.9.1 through S7.9.3 are conducted with the RBS 
disconnected and all other systems intact. Determine whether the brake 
system indicator lamp is activated when the RBS is disconnected.
    S7.10  Service brake system--inoperative brake power unit or brake 
power assist unit test. (For vehicles equipped with brake power unit or 
brake power assist unit.)
    S7.10.1  Regular procedure. (This test need not be run if the option 
in S7.10.2 is selected.) On vehicles with brake power assist units, 
render the brake power assist unit inoperative, or one of the brake 
power assist unit subsystems if two or more subsystems are provided, by 
disconnecting the relevant power supply. Exhaust any residual brake 
power reserve capability of the disconnected system. On vehicles with 
brake power units, disconnect the primary source of power. Make four 
stops, each from 60 mph by a continuous application of the service brake 
control. Restore the system to normal at completion of this test. For 
vehicles equipped with more than one brake power unit or brake power 
assist unit, conduct tests of each in turn.
    S7.10.2  Optional Procedures. On vehicles with brake power assist 
units, the unit is charged to maximum prior to start of test. (Engine 
may be run up in speed, then throttle closed quickly to attain maximum 
charge on vacuum assist units.) Brake power units shall also be charged 
to maximum accumulator pressure prior to start of test. No recharging is 
allowed after start of test.
    (a) (For vehicles with brake power assist units.) Disconnect the 
primary source of power. Make six stops each from 60 mph, to achieve the 
average deceleration for each stop as specified in table III. Apply the 
brake control as quickly as possible. Maintain control force until 
vehicle has stopped.

At the completion of the stops specified above, deplete the system of 
any residual brake power reserve capability. Make one stop from 60 mph 
at an average deceleration of not lower than 7 fpsps for passenger cars 
(equivalent stopping distance 554 feet), or 6 fpsps for vehicles other 
than passenger cars (equivalent stopping distance 646 feet) and 
determine whether the control force exceeds 150 pounds.
    (b) (For vehicles with brake power units with accumulator type 
systems.) Test as in S7.10.2(a), except make 10 stops instead of 6 and, 
at the completion of the 10 stops, deplete the failed element of the 
brake power unit of any residual brake power reserve capability before 
making the final stop.
    (c) (For vehicles with brake power assist or brake power units with 
backup systems.) If the brake power or brake power assist unit operates 
in conjunction with a backup system and the backup system is activated 
automatically in the event of a primary power failure, the backup system 
is operative during this test. Disconnect the primary source of power of 
one subsystem. Make 15 stops, each from 60 mph, with the backup system 
activated for the failed subsystem, to achieve an average deceleration 
of 12 fpsps for each stop.
    (d) Restore systems to normal at completion of these tests. For 
vehicles equipped with more than one brakepower assist or brakepower 
unit, conduct tests of each in turn.
    S7.10.3 Electric brakes.
    (a) For vehicles with electrically-actuated service brakes, the 
tests in

[[Page 198]]

S7.10.1 or S7.10.2 are conducted with any single electrical failure in 
the electric brake system instead of the brake power or brake power 
assist systems, and all other systems intact.
    (b) For EVs with RBS that is part of the service brake system, the 
tests in S7.10.1 or S7.10.2 are conducted with the RBS discontinued and 
all other systems intact.
    S7.11  Service brake system--first fade and recovery test.
    S7.11.1  Baseline check stops or snubs.
    S7.11.1.1  Vehicles with GVWR of 10,000 lb or less. Make three stops 
from 30 mph at 10 fpsps for each stop. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Average the maximum brake 
control force required for the three stops.
    S7.11.1.2  Vehicles with GVWR greater than 10,000 pounds. With 
transmission in neutral (or declutched), make three snubs from 40 to 20 
mph at 10 fpsps for each snub. Average the maximum brake control force 
required for the three snubs.
    S7.11.2  Fade stops or snubs.
    S7.11.2.1  Vehicles with GVWR of 10,000 pounds or less. Make 5 stops 
from 60 mph at 15 fpsps followed by 5 stops at the maximum attainable 
deceleration between 5 and 15 fpsps for each stop. Establish an initial 
brake temperature before the first brake application of 130 deg. to 
150 deg.F. Initial brake temperatures before brake applications for 
subsequent stops are those occurring at the distance intervals. Attain 
the required deceleration within 1 second and, as a minimum, maintain it 
for the remainder of the stopping time. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Leave an interval of 0.4 
mi between the start of brake applications. Accelerate immediately to 
the initial test speed after each stop. Drive 1 mi at 30 mph after the 
last fade stop, and immediately follow the recovery procedure specified 
in S7.11.3.1.
    S7.11.2.2  Vehicles with GVWR greater than 10,000 lb. With 
transmission in neutral (or declutched) make 10 snubs from 40 to 20 mph 
at 10 fpsps for each snub. Establish an initial brake temperature before 
the first brake application of 130 deg.F. to 150 deg.F. Initial brake 
temperatures before brake application for subsequent snubs are those 
occurring in the time intervals specified below. Attain the required 
deceleration within 1 s and maintain it for the remainder of the 
snubbing time. Leave an interval of 30 s between snubs (start of brake 
application to start of brake application). Accelerate immediately to 
the initial test speed after each snub. Drive for 1.5 mi at 40 mph after 
the last snub and immediately follow the recovery procedure specified in 
S7.11.3.2.
    S7.11.3  Recovery stops or snubs.
    S7.11.3.1  Vehicles with GVWR of 10,000 lb or less. Make five stops 
from 30 mph at 10 fpsps for each stop. Control force readings may be 
terminated when vehicle speed falls to 5 mph. Allow a braking distance 
interval of 1 mi. Immediately after each stop accelerate at maximum rate 
to 30 mph and maintain that speed until making the next stop. Record the 
maximum control force for each stop.
    S7.11.3.2  Vehicles with GVWR greater than 10,000 lb. With 
transmission in neutral (or declutched) make five snubs from 40 to 20 
mph at 10 fpsps for each snub. After each snub, accelerate at maximum 
rate to 40 mph and maintain that speed until making the next brake 
application at a point 1.5 mi from the point of the previous brake 
application. Record the maximum control force for each snub.
    S7.12  Service brake system--second reburnish. Repeat S7.6.
    S7.13  Service brake system--second fade and recovery test. Repeat 
S7.11 except in S7.11.2 run 15 fade stops or 20 snubs instead of 10.
    S7.14  Third reburnish. Repeat S7.6.
    S7.15  Service brake system--fourth effectiveness test. Repeat S7.5. 
Then (for passenger cars) make four stops from either 95 mph if the 
speed attainable in 2 mi is 99 to (but not including) 104 mph, or 100 
mph if the speed attainable in 2 mi is 104 mph or greater.
    S7.16  Service brake system--water recovery test.
    S7.16.1  Baseline check stop. Make three stops from 30 mph at 10 
fpsps for each stop. Control force readings may be terminated when 
vehicle speed falls to 5 mph. Average the maximum brake control force 
required for the three stops.

[[Page 199]]

    S7.16.2  Wet brake recovery stops. With the brakes fully released at 
all times, drive the vehicle for 2 min at a speed of 5 mph in any 
combination of forward and reverse directions, through a trough having a 
water depth of 6 in. After leaving the trough, immediately accelerate at 
a maximum rate to 30 mph without a brake application. Immediately upon 
reaching that speed make five stops, each from 30 mph at 10 fpsps for 
each stop. After each stop (except the last), accelerate the vehicle 
immediately at a maximum rate to a speed of 30 mph and begin the next 
stop.
    S7.17  Spike stops. Make 10 successive spike stops from 30 mph with 
the transmission in neutral, with no reverse stops. Make spike stops by 
applying a control force of 200 lb while recording control force versus 
time. Maintain control force until vehicle has stopped. At completion of 
10 spike stops, make six effectiveness stops from 60 mph.
    S7.18  Final inspection. Inspect--
    (a) The service brake system for detachment or fracture of any 
components, such as brake springs and brake shoes or disc pad facing.
    (b) The friction surface of the brake, the master cylinder or brake 
power unit reservoir cover and seal and filler openings, for leakage of 
brake fluid or lubricant.
    (c) The master cylinder or brake power unit reservoir for compliance 
with the volume and labeling requirements of S5.4.2 and S5.4.3. In 
determining the fully applied worn condition assume that the lining is 
worn to: (1) Rivet or bolt heads on riveted or bolted linings, or (2) 
within one thirty-seconds of an inch of shoe or pad mounting surface on 
bonded linings, or (3) the limit recommended by the manufacturer, 
whichever is larger relative to the total possible shoe or pad movement. 
Drums or rotors are assumed to be at nominal design drum diameter or 
rotor thickness. Linings are assumed adjusted for normal operating 
clearance in the released position.
    (d) The brake system indicator light(s), for compliance with 
operation in various key positions, lens color, labeling, and location, 
in accordance with S5.3.
    S7.19  Moving barrier test. (Only for vehicles that have been tested 
according to S7.7.2.) Load the vehicle to GVWR, release parking brake, 
and place the transmission selector control to engage the parking 
mechanism. With a moving barrier as described in paragraph 3.3 of SAE 
recommended practice J972 ``Moving Barrier Collision Tests,'' November 
1966, impact the vehicle from the front at 2\1/2\ mph. Keep the 
longitudinal axis of the barrier parallel with the longitudinal axis of 
the vehicle. Repeat the test, impacting the vehicle from the rear.

    Note: The vehicle used for this test need not be the same vehicle 
that has been used for the braking tests.


[[Page 200]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.004


            Figure 1--Typical Plug Thermocouple Installations

    Note: The second thermocouple shall be installed at .080 inch depth 
within 1 inch circumferentially of the thermocouple installed at .040 
inch depth.

[GRAPHIC] [TIFF OMITTED] TC01AU91.005


                             Table I--Brake Test Procedure Sequence and Requirements                            
----------------------------------------------------------------------------------------------------------------
                                                                       Test load                                
                         No.--Sequence                         ------------------------    Test     Requirements
                                                                   Light       GVWR      procedure              
----------------------------------------------------------------------------------------------------------------
 1  Instrumentation check.....................................  ..........  ..........        S7.2  ............
 2  First (preburnish) effectiveness test.....................  ..........          x         S7.3     S5.1.1.1 
 3  Burnish procedure.........................................  ..........          x         S7.4  ............
 4  Second effectiveness......................................  ..........          x         S7.5     S5.1.1.2 
 5  First reburnish...........................................  ..........          x         S7.6  ............

[[Page 201]]

                                                                                                                
 6  Parking brake.............................................          x           x         S7.7         S5.2 
 7  Third effectiveness (lightly loaded vehicle)..............          x   ..........        S7.8     S5.1.1.3 
 8  Partial failure...........................................          x           x         S7.9       S5.1.2 
 9  Inoperative brake power and power assist units............  ..........          x        S7.10       S5.1.3 
10  First fade and recovery...................................  ..........          x        S7.11       S5.1.4 
11  Second reburnish..........................................  ..........          x        S7.12  ............
12  Second fade and recovery..................................  ..........          x        S7.13       S5.1.4 
13  Third reburnish...........................................  ..........          x        S7.14  ............
14  Fourth effectiveness......................................  ..........          x        S7.15     S5.1.1.4 
15  Water recovery............................................  ..........          x        S7.16       S5.1.5 
16  Spike stops...............................................  ..........          x        S7.17       S5.1.6 
17  Final inspection..........................................  ..........  ..........       S7.18         S5.6 
18  Moving barrier test.......................................  ..........          x        S7.19     S5.2.2.3 
----------------------------------------------------------------------------------------------------------------


                                          Table II--Stopping Distances                                          
----------------------------------------------------------------------------------------------------------------
                                        Stopping distance in feet for tests indicated                           
            ----------------------------------------------------------------------------------------------------
             I--1st (preburnished) and 4th         II--2d          III--3d (lightly loaded     IV--Inoperative  
  Vehicle         effectiveness; spike         effectiveness       vehicle) effectiveness      brake power and  
 test speed       effectiveness check      -------------------------------------------------  power assist unit;
 (miles per -------------------------------                                                    partial failure  
   hour)                                            (b)                                     --------------------
                                             (a)    and    (d)    (a)    (b)    (c)    (d)           (b)        
              (a)    (b)      (c)     (d)           (c)                                       (a)    and    (d) 
                                                                                                     (c)        
----------------------------------------------------------------------------------------------------------------
30.........   1 57  1,2 6                                                                                       
                        5    1,2 69                                                                             
                              (1st)                                                                             
                             1,2 65                                                                             
                               (4th                                                                             
                                and                                                                             
                             spike)                                                                             
                               1 72   1 88   1 54   1 57   1 81     51     57     65     81    114    130    170
35.........     74     83        91    132     70     74    132     67     74     83    132    155    176    225
40.........     96    108       119    173     91     96    173     87     96    108    173    202    229    288
45.........    121    137       150    218    115    121    218    110    121    137    218    257    291    358
50.........    150    169       185    264    142    150    264    135    150    169    264    317    359    435
55.........    181    204       224    326    172    181    326    163    181    204    326    383    433    530
60.........  1 216  1 242     1 267  1 388  1 204  1 216  1 388  1 194  1 216  1 242  1 388  1 456  1 517  1 613
80.........  1 405  1 459     1 510     NA  1 383     NA     NA     NA     NA     NA     NA     NA     NA     NA
95.........  1 607     NA        NA     NA     NA     NA     NA     NA     NA     NA     NA     NA     NA     NA
100........  1 673     NA        NA     NA     NA     NA     NA     NA     NA     NA     NA     NA     NA     NA
----------------------------------------------------------------------------------------------------------------
1 Distances for specified tests.  \2\Applicable to school buses only.  NA=Not applicable.                       
                                                                                                                
Note: (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of less than 8,000 lbs; (c) vehicles 
  with GVWR of not less than 8,000 lbs and not more than 10,000 lbs; (d) vehicles with GVWR greater than 10,000 
  lbs.                                                                                                          


                         Table III--Inoperative Brake Power Assist and Brake Power Units                        
----------------------------------------------------------------------------------------------------------------
                                     Average deceleration, FPSPS           Equivalent stopping distance, feet   
                             -----------------------------------------------------------------------------------
                                Column 1--brake      Column 2--brake      Column 3--brake      Column 4--brake  
          Stop No.                power assist          power unit          power assist          power unit    
                             -----------------------------------------------------------------------------------
                                         (b) and              (b) and              (b) and              (b) and 
                                 (a)       (c)        (a)       (c)        (a)       (c)        (a)       (c)   
----------------------------------------------------------------------------------------------------------------
1...........................      16.0       14.0      16.0       13.0       242        277       242        298
2...........................      12.0       12.0      13.0       11.0       323        323       298        352
3...........................      10.0       10.0      12.0       10.0       388        388       323        388
4...........................       9.0        8.5      11.0        9.5       431        456       352        409
5...........................       8.0        7.5      10.0        9.0       484        517       388        431
6...........................       7.5        6.7       9.5        8.5       517        580       409        456
7...........................   \1\ 7.0    \1\ 6.0       9.0        8.0       554        646       431        484
8...........................        NA         NA       8.5        7.5        NA         NA       456        517
9...........................        NA         NA       8.0        7.0        NA         NA       484        554
10..........................        NA         NA       7.5        6.5        NA         NA       517        596
11..........................        NA         NA   \1\ 7.0    \1\ 6.0        NA         NA       554        646
----------------------------------------------------------------------------------------------------------------
\1\ Depleted. (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of 10,000 lbs or less; (c)   
  vehicles with GVWR greater than 10,000 lbs; NA=Not applicable.                                                

[41 FR 29696, July 19, 1976; 41 FR 32221, Aug. 2, 1976, as amended at 41 
FR 36026, 36027, Aug. 26, 1976; 43 FR 9606, Mar. 9, 1978; 46 FR 64, Jan. 
2, 1981; 46 FR 21180, Apr. 9, 1981; 47 FR 61893, Dec. 21, 1981; 48 FR 
39941, Sept. 2, 1983; 49 FR 30199, July 27, 1984; 52 FR 19874, May 28, 
1987;

[[Page 202]]

53 FR 8200, Mar. 14, 1988; 54 FR 22905, May 30, 1989; 54 FR 40082, Sept. 
29, 1989; 57 FR 47800, Oct. 20, 1992; 58 FR 45461, Aug. 30, 1993; 60 FR 
6434, Feb. 2, 1995; 60 FR 13256 and 13303, Mar. 10, 1995; 61 FR 19562, 
May 2, 1996; 62 FR 46917, Sept. 5, 1997; 62 FR 51069, Sept. 30, 1997]

    Effective Date Note 1: At 62 FR 46915, Sept. 5, 1997, Sec. 571.105 
was amended by revising the section heading, S1, S3, the definitions of 
``backup system'' and ``split service brake system'' in S4 and adding to 
S4, in alphabetical order, definitions of ``Electric vehicle or EV'', 
``Electrically-actuated service brakes'', and ``Regenerative braking 
system or RBS''; amending S5.1.1.4 to add a sentence at the end thereof 
below the undesignated table; adding S5.1.2.3, S5.1.2.4, S5.1.3.5, and 
S5.3.1 (e), (f), and (g); revising the introductory text of S5.3.1, 
S5.3.5(c)(1), S5.4.3, and S5.5 as currently in effect; adding S5.5.1, 
S5.5.2, S6.2 through S6.2.6; revising the introductory text of S7.7.1.3 
and adding S7.7.1.3(c), S7.9.5 and S7.9.6, and S7.10.3, effective Oct. 
20, 1997. For the superseded text see 49 CFR parts 400-499, revised as 
of Oct. 1, 1996.

    Effective Date Note 2: At 62 FR 51069, Sept. 30, 1997, Sec. 571.105 
was amended by revising S3., effective Dec. 1, 1997. For the convenience 
of the user the text in effect from Oct. 20, 1997 until Dec. 1, 1997 
follows:

Sec. 571.105  Standard No. 105; Hydraulic brake systems.

                                * * * * *

    S3. Application.
    (a) This standard applies to the following vehicles with hydraulic 
or electric brake systems: multipurpose passenger vehicles, trucks, and 
buses, and to passenger cars manufactured before September 1, 2000.
    (b) This standard, at the option of a manufacturer of a passenger 
car, multipurpose passenger vehicle, truck, or bus, with an electric 
brake system, does not apply before September 1, 1998.
    (c) At the option of the manufacturer, passenger cars with hydraulic 
or electric brake systems manufactured before September 1, 2000, may 
comply with the requirements of Federal Motor Vehicle Safety Standard 
No. 135, Passenger Car Brake Systems, instead of the requirements of 
this standard.

                                * * * * *

    Effective Date Note 3: At 60 FR 13256, Mar. 10, 1995, Sec. 571.105 
was amended in S4 by removing the definition of ``Antilock system'' and 
by adding the definitions of ``Antilock brake system,'' ``Directly 
controlled wheel,'' ``Indirectly controlled wheel,'' and ``Peak friction 
coefficient;'' by revising S5.1, S5.3, S5.3.1(c), S5.3.3; and S5.5; and 
adding S5.3.3(a), S5.3.3(b), S5.5.1 and S5.5.2. At 60 FR 13303, Mar. 10, 
1995, Sec. 571.105 was further amended by adding the definition of 
``wheel lockup'' in S4, revising S5.1.1, S5.1.1.2, S6, S6.9, S6.10, and 
Table II; and adding S6.9.1, S6.9.2, S6.10.1, and S6.10.2. At 60 FR 
63979, Dec. 13, 1995, Sec. 571.105 was further amended by revising the 
definition of ``Directly controlled wheel'' in S4, S5.1.1(c), S5.3.3(b), 
S5.5.1, S7, and S7.5. The above amendments to Sec. 571.105 are effective 
March 1, 1999. At 62 FR 46915, Sept. 5, 1997, the revision of S5.5 and 
additions of S5.5.1 and S5.5.2 published at 60 FR 13256, Mar. 10, 1995, 
and the revision of S5.5.1 published at 60 FR 63979, Dec. 13, 1995 that 
were to become effective March 1, 1999, were withdrawn, effective Oct. 
20, 1997. For the convenience of the user, the revised text is set forth 
as follows:

Sec. 571.105  Standard No. 105; Hydraulic brake systems.

                                * * * * *

    S4 Definitions * * *
    Antilock brake system or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which interpret those 
signals and generate responsive controlling output signals; and
    (3) Transmitting those controlling signals to one or more modulators 
which adjust brake actuating forces in response to those signals.

                                * * * * *

    Directly Controlled Wheel means a wheel for which the degree of 
rotational wheel slip is sensed, either at that wheel or on the axle 
shaft for that wheel and corresponding signals are transmitted to one or 
more modulators that adjust the brake actuating forces at that wheel. 
Each modulator may also adjust the brake actuating forces at other 
wheels that are on the same axle or in the same axle set in response to 
the same signal or signals.

                                * * * * *

    Indirectly Controlled Wheel means a wheel at which the degree of 
rotational wheel slip is not sensed, but at which the modulator of an 
antilock braking system adjusts its brake

[[Page 203]]

actuating forces in response to signals from one or more sensed wheels.

                                * * * * *

    Peak friction coefficient or PFC means the ratio of the maximum 
value of braking test wheel longitudinal force to the simultaneous 
vertical force occurring prior to wheel lockup, as the braking torque is 
progressively increased.

                                * * * * *

    Wheel lockup means 100 percent wheel slip.

                                * * * * *

    S5.1  Service brake systems. Each vehicle shall be equipped with a 
service brake system acting on all wheels. Wear of the service brake 
shall be compensated for by means of a system of automatic adjustment. 
Each passenger car and each multipurpose passenger vehicle, truck, and 
bus with a GVWR of 10,000 pounds or less shall be capable of meeting the 
requirements of S5.1.1 through S5.1.6 under the conditions prescribed in 
S6, when tested according to the procedures and in the sequence set 
forth in S7. Each school bus with a GVWR greater than 10,000 pounds 
shall be capable of meeting the requirements of S5.1.1 through S5.1.5 
under the conditions prescribed in S6, when tested according to the 
procedures and in the sequence set forth in S7. Each multipurpose 
passenger vehicle, truck, and bus (other than a school bus) with a GVWR 
greater than 10,000 pounds shall be capable of meeting the requirements 
of S5.1.1, S5.1.2, and S5.1.3 under the conditions prescribed in S6, 
when tested according to the procedures and in the sequence set forth in 
S7. Except as noted in S5.1.1.2 and S5.1.1.4, if a vehicle is incapable 
of attaining a speed specified in S5.1.1, S5.1.2, S5.1.3, or S5.1.6, its 
service brakes shall be capable of stopping the vehicle from the 
multiple of 5 mph that is 4 to 8 mph less than the speed attainable in 2 
miles, within distances that do not exceed the corresponding distances 
specified in Table II. If a vehicle is incapable of attaining a speed 
specified in S5.1.4 in the time or distance interval set forth, it shall 
be tested at the highest speed attainable in the time or distance 
interval specified.
    S5.1.1  Stopping distance. (a) The service brakes shall be capable 
of stopping each vehicle with a GVWR of less than 8,000 pounds, and each 
school bus with a GVWR between 8,000 pounds and 10,000 pounds in four 
effectiveness tests within the distances and from the speeds specified 
in S5.1.1.1, S5.1.1.2, S5.1.1.3, and S5.1.1.4.
    (b) The service brakes shall be capable of stopping each vehicle 
with a GVWR of between 8,000 pounds and 10,000 pounds, other than a 
school bus, in three effectiveness tests within the distances and from 
the speeds specified in S5.1.1.1, S5.1.1.2, and S5.1.1.4.
    (c) The service brakes shall be capable of stopping each vehicle 
with a GVWR greater than 10,000 pounds in two effectiveness tests within 
the distances and from the speeds specified in S5.1.1.2 and S5.1.1.3. 
Each school bus with a GVWR greater than 10,000 pounds manufactured 
after January 12, 1996 and before March 1, 1999 and which is equipped 
with an antilock brake system may comply with paragraph S5.1.1.2 and 
S5.5.1 rather than the first effectiveness test, as specified in 
S5.1.1.1. Each school bus with a GVWR greater than 10,000 pounds 
manufactured on or after March 1, 1999 shall be capable of meeting the 
requirements of S5.1.1 through S5.1.5, under the conditions prescribed 
in S6, when tested according to the procedures and in the sequence set 
forth in S7.
    S5.1.1.2  In the second effectiveness test, each vehicle with a GVWR 
of 10,000 pounds or less and each school bus with a GVWR greater than 
10,000 pounds shall be capable of stopping from 30 mph and 60 mph, and 
each vehicle with a GVWR greater than 10,000 pounds (other than a school 
bus) shall be capable of stopping from 60 mph, within the corresponding 
distances specified in Column II of Table II. If the speed attainable in 
2 miles is not less than 84 mph, a passenger car or other vehicle with a 
GVWR of 10,000 pounds or less shall also be capable of stopping from 80 
mph within the corresponding distances specified in Column II of Table 
II.

                                * * * * *

    S5.3  Brake system indicator lamp. Each vehicle shall have a brake 
system indicator lamp or lamps, mounted in front of and in clear view of 
the driver, which meet the requirements of S5.3.1 through S5.3.5. A 
vehicle with a GVWR of 10,000 pounds or less may have a single common 
indicator lamp. A vehicle with a GVWR of greater than 10,000 pounds may 
have an indicator lamp which is common for gross loss of pressure, drop 
in the level of brake fluid, or application of the parking brake, but 
shall have a separate indicator lamp for antilock brake system 
malfunction. However, the options provided in S5.3.1(a) shall not apply 
to a vehicle manufactured without a split service brake system; such a 
vehicle shall, to meet the requirements of S5.3.1(a), be equipped with a 
malfunction indicator that activates under the conditions specified in 
S5.3.1(a)(4). This warning indicator shall, instead of meeting the 
requirements of S5.3.2 through S5.3.5, activate (while the vehicle 
remains capable of meeting the requirements of S5.1.2.2 and the ignition 
switch is in the ``on'' position) a continuous or intermittent audible 
signal and a flashing warning light, displaying the words ``STOP-BRAKE 
FAILURE'' in block

[[Page 204]]

capital letters not less than one-quarter of an inch in height.

                                * * * * *

    S5.3.1 * * *
    (c) A malfunction that affects the generation or transmission of 
response or control signals in an antilock brake system, or a total 
functional electrical failure in a variable proportioning brake system.

                                * * * * *

    S5.3.3 (a) Each indicator lamp activated due to a condition 
specified in S5.3.1 shall remain activated as long as the malfunction 
exists, whenever the ignition (start) switch is in the ``on'' (run) 
position, whether or not the engine is running.
    (b) For vehicles with a GVWR greater than 10,000 pounds, each 
message about the existence of a malfunction, as described in S5.3.1(c), 
shall be stored in the antilock brake system after the ignition switch 
is turned to the ``off'' position and the indicator lamp shall be 
automatically reactivated when the ignition switch is again turned to 
the ``on'' position. The indicator lamp shall also be activated as a 
check of lamp function whenever the ignition is turned to the ``on'' 
(run) position. The indicator lamp shall be deactivated at the end of 
the check of lamp function unless there is a malfunction or a message 
about a malfunction that existed when the key switch was last turned to 
the ``off'' position.

                                * * * * *

    S5.5  Antilock and variable proportioning brake systems.
    S5.5.1 Each vehicle with a GVWR greater than 10,000 pounds, except 
for any vehicle that has a speed attainable in 2 miles of not more than 
33 mph, shall be equipped with an antilock brake system that directly 
controls the wheels of at least one front axle and the wheels of at 
least one rear axle of the vehicle. On each vehicle with a GVWR greater 
than 10,000 pounds but not greater than 12,000 pounds, the antilock 
brake system may also directly control the wheels of the drive axle by 
means of a single sensor in the drive line. Wheels on other axles of the 
vehicle may be indirectly controlled by the antilock brake system.
    S5.5.2  In the event of any failure (structural or functional) in an 
antilock or variable proportioning brake system, the vehicle shall be 
capable of meeting the stopping distance requirements specified in 
S5.1.2 for service brake system partial failure.

                                * * * * *

    S6  Test conditions. The performance requirements of S5 shall be met 
under the following conditions. Where a range of conditions is 
specified, the vehicle shall be capable of meeting the requirements at 
all points within the range. Compliance of vehicles manufactured in two 
or more stages may, at the option of the final-stage manufacturer, be 
demonstrated to comply with this standard by adherence to the 
instructions of the incomplete manufacturer provided with the vehicle in 
accordance with Sec. 568.4(a)(7)(ii) and Sec. 568.5 of title 49 of the 
Code of Federal Regulations.

                                * * * * *

    S6.9  Road surface.
    S6.9.1  For vehicles with a GVWR of 10,000 pounds or less, road 
tests are conducted on a 12-foot-wide, level roadway, having a skid 
number of 81. Burnish stops are conducted on any surface. The parking 
brake test surface is clean, dry, smooth, Portland cement concrete.
    S6.9.2  For vehicles with a GVWR greater than 10,000 pounds, road 
tests are conducted on a 12-foot-wide, level roadway, having a peak 
friction coefficient of 0.9 when measured using an American Society for 
Testing and Materials (ASTM) E 1136 standard reference test tire, in 
accordance with ASTM Method E 1337-90, at a speed of 40 mph, without 
water delivery. Burnish stops are conducted on any surface. The parking 
brake test surface is clean, dry, smooth, Portland cement concrete.

                                * * * * *

    S6.10  Vehicle position and wheel lockup restrictions. The vehicle 
is aligned in the center of the roadway at the start of each brake 
application. Stops, other than spike stops, are made without any part of 
the vehicle leaving the roadway.
    S6.10.1  For vehicles with a GVWR of 10,000 pounds or less, stops 
are made with wheel lockup permitted only as follows:
    (a) At vehicle speeds above 10 mph, there may be controlled wheel 
lockup on an antilock-equipped axle, and lockup of not more than one 
wheel per vehicle, uncontrolled by an antilock system. (Dual wheels on 
one side of an axle are considered a single wheel.)
    (b) At vehicle speeds of 10 mph or less, any wheel may lock up for 
any duration.
    (c) Unlimited wheel lockup is allowed during spike stops (but not 
spike check stops), partial failure stops, and inoperative brake power 
or power assist unit stops.
    S6.10.2  For vehicles with a GVWR greater than 10,000 pounds, stops 
are made with wheel lockup permitted only as follows:
    (a) At vehicle speeds above 20 mph, any wheel on a nonsteerable axle 
other than the

[[Page 205]]

two rearmost nonliftable, nonsteerable axles may lock up for any 
duration. The wheels on the two rearmost nonliftable, nonsteerable axles 
may lock up according to (b).
    (b) At vehicle speeds above 20 mph, one wheel on any axle or two 
wheels on any tandem may lock up for any duration.
    (c) At vehicle speeds above 20 mph, any wheel not permitted to lock 
in (a) or (b) may lock up repeatedly, with each lockup occurring for a 
duration of one second or less.
    (d) At vehicle speeds of 20 mph or less, any wheel may lock up for 
any duration.
    (e) Unlimited wheel lockup is allowed during partial failure stops, 
and inoperative brake power or power assist stops.

                                * * * * *

    S7. Test procedures and sequence. Each vehicle shall be capable of 
meeting all the applicable requirements of S5 when tested according to 
the procedures and in the sequence set forth below, without replacing 
any brake system part or making any adjustments to the brake system 
other than as permitted in the burnish and reburnish procedures and in 
S7.9 and S7.10. (For vehicles only having to meet the requirements of 
S5.1.1, S5.1.2 and S5.1.3 in section S5.1, the applicable test 
procedures and sequence are S7.1, S7.2, S7.4, S7.5, S7.8, S7.9, S7.10 
and S7.18. However, at the option of the manufacturer, the following 
test procedures and sequence may be conducted: S7.1, S7.2, S7.3, S7.4, 
S7.5, S7.6, S7.7 S7.8, S7.9, S7.10 and S7.18. The choice of this option 
shall not be construed as adding to the requirements specified in S5.1.2 
and S5.1.3.) Automatic adjusters must remain activated at all times. A 
vehicle shall be deemed to comply with the stopping distance 
requirements of S5.1 if at least one of the stops at each speed and load 
specified in each of S7.3, S7.5, S7.8, S7.9, S7.10, S7.15 and S7.17 
(check stops) is made within a stopping distance that does not exceed 
the corresponding distance specified in Table II. When the transmission 
selector control is required to be in neutral for a deceleration, a stop 
or snub shall be obtained by the following procedures:
    (a) Exceed the test speed by 4 to 8 mph;
    (b) close the throttle and coast in gear to approximately 2 mph 
above the test speed;
    (c) shift to neutral; and
    (d) when the test speed is reached, apply the service brakes.

                                * * * * *

    S7.5 Service brake system-second effectiveness test. Repeat S7.3, 
except for vehicles with a GVWR greater than 10,000 lbs. Then, for 
vehicles with a GVWR of 10,000 pounds or less, make four stops from 80 
mph if the speed attainable in 2 miles is not less 84 mph.

                                * * * * *

                                                              Table II--Stopping Distances                                                              
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Stopping distance in feet for tests indicated                                    
                                  ----------------------------------------------------------------------------------------------------------------------
                                     I--1st (preburnished) & 4th         II--2d effectiveness           III--3d (lightly loaded        IV--Inoperative  
                                        effectiveness; spike      ---------------------------------     vehicles) effectiveness        brake power and  
  Vehicle test speed (miles per          effectiveness check                                       ---------------------------------  power assist unit;
              hour)               --------------------------------                                                                     partial failure  
                                                                      (a)     (b) &    (d)    (e)                                   --------------------
                                     (a)     (b)     (c)     (d)               (c)                   (a)    (b)    (c)    (d)   (e)         (b) &  (d) &
                                                                                                                                      (a)    (c)    (e) 
--------------------------------------------------------------------------------------------------------------------------------------------------------
30...............................    1 57  1,2 65  1,2 69                                                                                               
                                                    (1st)                                                                                               
                                                   1,2 65                                                                                               
                                                     (4th                                                                                               
                                                      and                                                                                               
                                                   spike)                                                                                               
                                                     1 72  1,2 88      1 54    1 57  1,2 78     70     51     57     65     84   70    114    130    170
35...............................      74      83      91     132        70      74     106     96     67     74     83    114   96    155    176    225
40...............................      96     108     119     173        91      96     138    124     87     96    108    149  124    202    229    288
45...............................     121     137     150     218       115     121     175    158    110    121    137    189  158    257    291    358
50...............................     150     169     185     264       142     150     216    195    135    150    169    233  195    317    359    435
55...............................     181     204     224     326       172     181     261    236    163    181    204    281  236    383    433    530
60...............................   1 216   1 242   1 267  1,2 38                                                                                       
                                                                8     1 204   1 216   1 310    280  1 194  1 216  1 242  1 335  280  1 456  1 517  1 613
80...............................   1 405   1 459   1 510      NA     1 383      NA      NA     NA     NA     NA     NA     NA   NA     NA     NA     NA
95...............................   1 607      NA      NA      NA        NA      NA      NA     NA     NA     NA     NA     NA   NA     NA     NA     NA
100..............................   1 673      NA      NA      NA        NA      NA      NA     NA     NA     NA     NA     NA   NA     NA     NA    NA 
--------------------------------------------------------------------------------------------------------------------------------------------------------
1 Distance for specified tests. 2 Applicable to school buses only. NA=Not applicable.                                                                   
                                                                                                                                                        
Note: (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of less than 8,000 lbs; (c) vehicles with GVWR of not less than 8,000 lbs and
  not more than 10,000 lbs; (d) vehicles with GVWR greater than 10,000 lbs; (e) buses, including school buses, with GVWR greater than 10,000 lbs.       


[[Page 206]]



Sec. 571.106  Standard No. 106; Brake hoses.

    S1. Scope. This standard specifies labeling and performance 
requirements for motor vehicle brake hose, brake hose assemblies, and 
brake hose end fittings.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries occurring as a result of brake system failure from pressure or 
vacuum loss due to hose or hose assembly rupture.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, buses, trailers, and 
motorcycles, and to hydraulic, air, and vacuum brake hose, brake hose 
assemblies, and brake hose end fittings for use in those vehicles.
    S4. Definitions.
    Armor means protective material installed on a brake hose to 
increase the resistance of the hose or hose assembly to abrasion or 
impact damage.
    Brake hose means a flexible conduit, other than a vacuum tubing 
connector, manufactured for use in a brake system to transmit or contain 
the fluid pressure or vacuum used to apply force to a vehicle's brakes. 
For hose, a dimensional description such as ``\1/4\-inch hose'' refers 
to the nominal inside diameter. For tubing, a dimensional description 
such as ``\1/4\-in tubing'' refers to the nominal outside diameter.
    Brake hose assembly means a brake hose, with or without armor, 
equipped with end fittings for use in a brake system, but does not 
include an air or vacuum assembly prepared by the owner or operator of a 
used vehicle, by his employee, or by a repair facility, for installation 
in that used vehicle.
    Brake hose end fitting means a coupler, other than a clamp, designed 
for attachment to the end of a brake hose.
    Free length means the linear measurement of hose exposed between the 
end fittings of a hose assembly in a straight position.
    Permanently attached end fitting means an end fitting that is 
attached by deformation of the fitting about the hose by crimping or 
swaging, or an end fitting that is attached by use of a sacrificial 
sleeve or ferrule that requires replacement each time a hose assembly is 
rebuilt.
    Rupture means any failure that results in separation of a brake hose 
from its end fitting or in leakage.
    Vacuum tubing connector means a flexible conduit of vacuum that (i) 
connects metal tubing to metal tubing in a brake system, (ii) is 
attached without end fittings, and (iii) when installed, has an 
unsupported length less than the total length of those portions that 
cover the metal tubing.
    S5. Requirements--hydraulic brake hose, brake hose assemblies, and 
brake hose end fittings.
    S5.1 Construction. (a) Each hydraulic brake hose assembly shall have 
permanently attached brake hose end fittings which are attached by 
deformation of the fitting about the hose by crimping or swaging.
    (b) Each hydraulic brake hose assembly that is equipped with a 
permanent supplemental support integrally attached to the assembly and 
is manufactured as a replacement for use on a vehicle not equipped, as 
an integral part of the vehicle's original design, with a means of 
attaching the support to the vehicle shall be equipped with a bracket 
that is integrally attached to the supplemental support and that adapts 
the vehicle to properly accept this type of brake hose assembly.
    S5.2  Labeling.
    S5.2.1 Each hydraulic brake hose, except hose sold as part of a 
motor vehicle, shall have at least two clearly identifiable stripes of 
at least one-sixteenth of an inch in width, placed on opposite sides of 
the brake hose parallel to its longitudinal axis. One stripe may be 
interrupted by the information required by S5.2.2, and the other stripe 
may be interrupted by additional information at the manufacturer's 
option. However, hydraulic brake hose manufactured for use only in an 
assembly whose end fittings prevent its installation in a twisted 
orientation in either side of the vehicle, need not meet the 
requirements of S5.2.1.
    S5.2.2 Each hydraulic brake hose shall be labeled, or cut from bulk 
hose that is labeled, at intervals of not more than 6 inches, measured 
from the end of one legend to the beginning of the next, in block 
capital letters and numerals at least one-eighth of an inch high, with 
the information listed in

[[Page 207]]

paragraphs (a) through (e) of this section. The information need not be 
present on hose that is sold as part of a brake hose assembly or a motor 
vehicle. (a) The symbol DOT, constituting a certification by the hose 
manufacturer that the hose conforms to all applicable motor vehicle 
safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
marking may consist of a designation other than block capital letters 
required by S5.2.2.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches, or in millimeters followed by the abbreviation 
``mm.''
    (e) Either ``HR'' to indicate that the hose is regular expansion 
hydraulic hose or ``HL'' to indicate that the hose is low expansion 
hydraulic hose.
    S5.2.3 Package labeling for brake hose assemblies designed to be 
used with a supplemental support (a) Each hydraulic brake hose assembly 
that is equipped with a permanent supplemental support integrally 
attached to the assembly and is manufactured as a replacement assembly 
for a vehicle equipped, as an integral part of the vehicle's original 
design, with a means of attaching the support to the vehicle shall be 
sold in a package that is marked or labeled as follows: ``FOR USE ON 
[insert Manufacturer, Model Name] ONLY'';
    (b) Each hydraulic brake hose assembly that is equipped with a 
permanent supplemental support integrally attached to the assembly and 
is manufactured as a replacement for use on a vehicle not equipped, as 
an integral part of the vehicle's original design, with a means of 
attaching the support to the vehicle shall comply with paragraphs (a) 
(1) and (2) of this section:
    (1) Be sold in a package that is marked or labeled as follows: ``FOR 
USE ONLY WITH A SUPPLEMENTAL SUPPORT.''
    (2) Be accompanied by clear, detailed instructions explaining the 
proper installation of the brake hose and the supplemental support 
bracket to the vehicle and the consequences of not attaching the 
supplemental support bracket to the vehicle. The instructions shall be 
printed on or included in the package specified in paragraph (a)(1) of 
this section.
    S5.2.4 Each hydraulic brake hose assembly, except those sold as part 
of a motor vehicle, shall be labeled by means of a band around the brake 
hose assembly as specified in this paragraph or, at the option of the 
manufacturer, by means of labeling as specified in S5.2.4.1. The band 
may at the manufacturer's option be attached so as to move freely along 
the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT constituting certification by the hose assembler 
that the hose assembly conforms to all applicable motor vehicle safety 
standards.
    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S5.2.4.1  At least one end fitting of a hydraulic brake hose 
assembly shall be etched, stamped or embossed with a designation at 
least one-sixteenth of an inch high that identifies the manufacturer of 
the hose assembly and is filed in accordance with S5.2.4(b).
    S5.3  Test requirements. A hydraulic brake hose assembly or 
appropriate part thereof shall be capable of meeting any of the 
requirements set forth under this heading, when tested under the 
conditions of S11 and the applicable procedures of S6. However, a 
particular hose assembly or appropriate part thereof need not meet 
further requirements after having been subjected to

[[Page 208]]

and having met the constriction requirement (S5.3.1) and any one of the 
requirements specified in S5.3.2 through S5.3.11.
    S5.3.1  Constriction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of a 
hydraulic brake hose assembly shall be not less than 64 percent of the 
nominal inside diameter of the brake hose.
    S5.3.2  Expansion and burst strength. The maximum expansion of a 
hydraulic brake hose assembly at 1,000 psi and 1,500 psi shall not 
exceed the values specified in Table I (S6.1). The hydraulic brake hose 
assembly shall then withstand water pressure of 4,000 psi for 2 minutes 
without rupture, and shall not rupture at less than 5,000 psi (S6.2).

      Table 1--Maximum Expansion of Free Length Brake Hose, cc/ft.      
------------------------------------------------------------------------
                                             Test Pressure              
                             -------------------------------------------
                                    1,000 psi             1,500 psi     
Hydraulic brake hose, inside -------------------------------------------
          diameter             Regular      Low      Regular      Low   
                              expansion  expansion  expansion  expansion
                                 hose       hose       hose       hose  
------------------------------------------------------------------------
\1/8\ inch or 3 mm or less..       0.66       0.33       0.79       0.42
\3/16\ inch or 4 to 5 mm....        .86        .55       1.02        .72
\1/4\ inch or 6 mm or more..       1.04        .82       1.30       1.17
------------------------------------------------------------------------

    S5.3.3  Whip resistance. A hydraulic brake hose assembly shall not 
rupture when run continuously on a flexing machine for 35 hours (S6.3).
    S5.3.4  Tensile strength. A hydraulic brake hose assembly shall 
withstand a pull of 325 pounds without separation of the hose from its 
end fittings (S6.4).
    S5.3.5  Water absorption and burst strength. A hydraulic brake hose 
assembly, after immersion in water for 70 hours (S6.5), shall withstand 
water pressure of 4,000 psi for 2 minutes, and then shall not rupture at 
less than 5,000 psi (S6.2).
    S5.3.6  Water absorption and tensile strength. A hydraulic brake 
hose assembly, after immersion in water for 70 hours (S6.5), shall 
withstand a pull of 325 pounds without separation of the hose from its 
end fittings (S6.4).
    S5.3.7  Water absorption and whip resistance. A hydraulic brake hose 
assembly, after immersion in water for 70 hours (S6.5), shall not 
rupture when run continuously on a flexing machine for 35 hours (S6.3).
    S.5.3.8  Low-temperature resistance. A hydraulic brake hose 
conditioned at minus 40  deg.F. for 70 hours shall not show cracks 
visible without magnification when bent around a cylinder as specified 
in S6.6. (S6.6)
    S5.3.9  Brake fluid compatibility, constriction, and burst strength. 
Except for brake hose assemblies designed for use with mineral or 
petroleum-based brake fluids, a hydraulic brake hose assembly shall meet 
the constriction requirement of S5.3.1 after having been subjected to a 
temperature of 200  deg.F for 70 hours while filled with SAE RM-66-04 
Compatibility Fluid, as described in appendix B of SAE Standard J1703 
JAN 1995, ``Motor Vehicle Brake Fluid.'' It shall then withstand water 
pressure of 4,000 psi for 2 minutes and thereafter shall not rupture at 
less than 5,000 psi (S6.2). (SAE RM-66-03 Compatibility Fluid, as 
described in appendix A of SAE Standard J1703 NOV83, ``Motor Vehicle 
Brake Fluid,'' November 1983, may be used in place of SAE RM-66-04 until 
January 1, 1995.)
    S5.3.10  Ozone resistance. A hydraulic brake hose shall not show 
cracks visible under 7-power magnification after exposure to ozone for 
70 hours at 104  deg.F. (S6.8).
    S5.3.11  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, a hydraulic brake hose end fitting shall show no 
base metal corrosion on the end fitting surface except where crimping or 
the application of labeling information has caused displacement of the 
protective coating. (S6.9)
    S6. Test procedures--Hydraulic brake hose, brake hose assemblies, 
and brake hose end fittings.
    S6.1.  Expansion test.
    S6.1.1  Apparatus. Utilize a test apparatus (as shown in Figure 1) 
which consists of:
    (a) Source for required fluid pressure;
    (b) Test fluid of water without any additives and free of gases;
    (c) Reservoir for test fluid;
    (d) Pressure gauges;
    (e) Brake hose end fittings in which to mount the hose vertically; 
and

[[Page 209]]

    (f) Graduate burette with 0.05 cc increments.
    [GRAPHIC] [TIFF OMITTED] TC01AU91.006
    
                    Fig. 1. Expansion Test Apparatus

    S6.1.2  Preparation. (a) Measure the free length of the hose 
assembly.
    (b) Mount the hose so that it is in a vertical straight position 
without tension when pressure is applied.
    (c) Fill the hose with test fluid and bleed all gases from the 
system.
    (d) Close the valve to the burette and apply 1,500 psi for 10 
seconds; then release pressure.
    S6.1.3  Calculation of expansion at 1,000 and 1,500 psi. (a) Adjust 
the fluid level in the burette to zero.
    (b) Close the valve to the burette, apply pressure at the rate of 
15,000 psi per minute, and seal 1,000 psi in the hose (1,500 psi in 
second series).
    (c) After 3 seconds open the valve to the burette for 10 seconds and 
allow the fluid in the expanded hose to rise into the burette.
    (d) Repeat the procedure in steps (b) and (c) twice. Measure the 
amount of test fluid which has accumulated in the burette as a result of 
the three applications of pressure.
    (e) Calculate the volumetric expansion per foot by dividing the 
total accumulated test fluid by 3 and further dividing by the free 
length of the hose in feet.
    S6.2  Burst strength test. (a) Connect the brake hose to a pressure 
system and fill it completely with water, allowing all gases to escape.
    (b) Apply water pressure of 4,000 psi at a rate of 15,000 psi per 
minute.
    (c) After 2 minutes at 4,000 psi, increase the pressure at the rate 
of 15,000 psi per minute until the pressure exceeds 5,000 psi.
    S6.3  Whip resistance test.
    S6.3.1  Apparatus. Utilize test apparatus that is dynamically 
balanced and includes:
    (a) A movable header consisting of a horizontal bar equipped with 
capped end fittings and mounted through bearings at each end to points 4 
inches from the center of two vertically rotating disks whose edges are 
in the same vertical plane;
    (b) An adjustable stationary header parallel to the movable header 
in the same horizontal plane as the centers of the disks, and fitted 
with open end fittings;
    (c) An elapsed time indicator; and
    (d) A source of water pressure connected to the open end fittings.
    S6.3.2 Preparation. (a) Except for the supplemental support 
specified in S6.3.2(d), remove all external appendages including, but 
not limited to, hose armor, chafing collars, mounting brackets, date 
band and spring guards.
    (b) Measure the hose free length.
    (c) Mount the hose in the whip test machine, introducing slack as 
specified in Table II for the size hose tested, measuring the projected 
length parallel to the axis of the rotating disks. The manufacturer may, 
at his option, adapt the fitting attachment points to permit mounting 
hose assemblies equipped with angled or other special fittings in the 
same orientation as hose assemblies equipped with straight fittings.
    (d) In the case of a brake hose assembly equipped with a permanent 
supplemental support integrally attached to the assembly, the assembly 
may be mounted using the supplemental support and associated means of 
simulating its attachment to the vehicle. Mount the supplemental support 
in the same vertical and horizontal planes as the stationary header end 
of the whip test fixture described in S6.3.1(b).

[[Page 210]]

Mount or attach the supplemental support so that it is positioned in 
accordance with the recommendation of the assembly manufacturer for 
attaching the supplemental support on a vehicle.

                         Table II--Hose Lengths                         
------------------------------------------------------------------------
                                                       Slack, inches    
                                                 -----------------------
                                                  18 inch or   More than
    Free length between end fittings, inches       3 mm hose  18 inch or
                                                    or less    3 mm hose
                                                                        
------------------------------------------------------------------------
8 to 15\1/2\, inclusive.........................       1.750  ..........
10 to 15\1/2\, inclusive........................  ..........       1,000
Over 15\1/2\ to 19 inclusive....................       1.250  ..........
Over 19 to 24, inclusive........................       0.750  ..........
------------------------------------------------------------------------

    S6.3.3  Operation. (a) Apply 235 psi water pressure and bleed all 
gases from the system.
    (b) Drive the movable head at 800 rpm.
    S6.4  Tensile strength test. Utilize a tension testing machine 
conforming to the requirements of the methods of Verification of Testing 
Machines (1964 American Society for Testing and Materials, Designation 
E4), and provided with a recording device to give the total pull in 
pounds.
    S6.4.1  Preparation. Mount the hose assembly to ensure straight, 
evenly distributed machine pull.
    S6.4.2  Operation. Apply tension at a rate of 1 inch per minute 
travel of the moving head until separation occurs.
    S6.5  Water absorption sequence tests.
    S6.5.1  Preparation. Prepare three hose assemblies as follows:
    (a) Remove 1\1/8\ inches of hose cover, if any, from the center of 
the hose assemblies without injury to any reinforcing material or 
elongation of the hose assemblies.
    (b) Measure the free length of the hose assemblies.
    S.6.5.2  Immersion and sequence testing. (a) Immerse the hose 
assemblies in distilled water for 70 hours.
    (b) Thirty minutes after removal from water, conduct tests S6.2, 
S6.3, and S6.4, using a different hose for each sequence.
    S6.6  Low temperature resistance test.
    S6.6.1  Preparation. (a) Remove hose armor, if any, and condition a 
hose in a straight position in air at minus 40 deg. F. for 70 hours.
    (b) Condition a cylinder in air at minus 40  deg. F for 70 hours, 
using a cylinder of 2\1/2\ inches diameter for test of hose less than 
\1/8\ inch or 3 mm 3 inches for tests of \1/8\ inch or 3mm hose, 3\1/2\ 
inches for tests of \3/16\ and \1/4\ inch hose or of 4 to 6 mm hose, and 
4 inches for tests of hose greater than \1/4\ inch or 6 mm in diameter.
    S6.6.2  Flexibility testing. Bend the conditioned hose 180 degrees 
around the conditioned cylinder at a steady rate in a period of 3 to 5 
seconds. Examine without magnification for cracks.
    S6.7  Brake fluid compatibility test.
    S6.7.1  Preparation. (a) Attach a hose assembly below a 1-pint 
reservoir filled with 100 ml. of SAE RM-66-04 Compatibility Fluid as 
shown in Figure 2. (SAE RM-66-03 Compatibility Fluid, as described in 
appendix A of SAE Standard J1703 NOV83, ``Motor Vehicle Brake Fluid,'' 
November 1983, may be used in place of SAE RM-66-04 until January 1, 
1995.)
    (b) Fill the hose assembly with brake fluid, seal the lower end, and 
place the test assembly in an oven in a vertical position.
[GRAPHIC] [TIFF OMITTED] TC01AU91.007


    S6.7.2  Oven treatment. (a) Condition the hose assembly at 
200 deg.F. for 70 hours.

[[Page 211]]

    (b) Cool the hose assembly at room temperature for 30 minutes.
    (c) Drain the brake hose assembly, immediately determine that every 
inside diameter of any section of the hose assembly, except for that 
part of an end fitting which does not contain hose, is not less than 64 
percent of the nominal inside diameter of the hose, and conduct the test 
specified in S6.2.
    S6.8  Ozone resistance test. Utilize a cylinder with a diameter 
eight times the nominal outside diameter of the brake hose excluding 
armor.
    S6.8.1  Preparation. After removing any armor, bind a hydraulic 
brake hose 360 deg. around the cylinder. In the case of hose shorter 
than the circumference of the cylinder, bend the hose so that as much of 
its length as possible is in contact.
    S6.8.2  Exposure to ozone. (a) Condition the hose on the cylinder in 
air at room temperature for 24 hours.
    (b) Immediately thereafter, condition the hose on the cylinder for 
70 hours in an exposure chamber having an ambient air temperature of 
104 deg.F. during the test and containing air mixed with ozone in the 
proportion of 50 parts of ozone per 100 million parts of air by volume.
    (c) Examine the hose for cracks under 7-power magnification, 
ignoring areas immediately adjacent to or within the area covered by 
binding.
    S6.9  End fitting corrosion resistance test. Utilize the apparatus 
described in ASTM B117-64, ``Salt Spray (Fog) Testing''.
    S6.9.1  Construction. Construct the salt spray chamber so that:
    (a) The construction material does not affect the corrosiveness of 
the fog.
    (b) The hose assembly is supported or suspended 30 deg. from the 
vertical and parallel to the principal direction of the horizontal flow 
of fog through the chamber.
    (c) The hose assembly does not contact any metallic material or any 
material capable of acting as a wick.
    (d) Condensation which falls from the assembly does not return to 
the solution reservoir for respraying.
    (e) Condensation from any source does not fall on the brake hose 
assemblies or the solution collectors.
    (f) Spray from the nozzles is not directed onto the hose assembly.
    S6.9.2  Preparation. (a) Plug each end of the hose assembly.
    (b) Mix a salt solution five parts by weight of sodium chloride to 
95 parts of distilled water, using sodium chloride substantially free of 
nickel and copper, and containing on a dry basis not more than 0.1 
percent of sodium iodide and not more than 0.3 percent total impurities. 
Ensure that the solution is free of suspended solids before the solution 
is atomized.
    (c) After atomization at 95 deg. F. ensure that the collected 
solution is in the PH range of 6.5 to 7.2. Make the PH measurements at 
77 deg. F.
    (d) Maintain a compressed air supply to the nozzle or nozzles free 
of oil and dirt and between 10 and 25 psi.
    S6.9.3  Operation. Subject the brake hose assembly to the salt spray 
continuously for 24 hours. (a) Regulate the mixture so that each 
collector will collect from 1 to 2 ml. of solution per hour for each 80 
square centimeters of horizontal collecting area.
    (b) Maintain exposure zone temperature at 95 deg. F.
    (c) Upon completion, remove the salt deposit from the surface of the 
hoses by washing gently or dipping in clean running water not warmer 
than 100 deg. F. and then drying immediately.
    S7. Requirements--Air brake hose, brake hose assemblies, and brake 
hose end fittings.
    S7.1 Construction. Each air brake hose assembly shall be equipped 
with permanently attached brake hose end fittings or reusable brake hose 
end fittings. Each air brake hose constructed of synthetic or natural 
elastomeric rubber intended for use with reusable end fittings shall 
conform to the dimensional requirements specified in Table III.

[[Page 212]]



                          Table III--Air Brake Hose Dimensions for Reusable Assemblies                          
----------------------------------------------------------------------------------------------------------------
                                                              Type I outside diameter,       Type II outside    
                                            Inside diameter            inches               diameter, inches    
               Size, inches                tolerance, inches ---------------------------------------------------
                                                                Minimum      Maximum      Minimum      Maximum  
----------------------------------------------------------------------------------------------------------------
\3/16\...................................             +0.026        0.472        0.510        0.500        0.539
                                                      -0.000                                                    
\1/4\....................................             +0.031        0.535        0.573        0.562        0.602
                                                      -0.000                                                    
\5/16\...................................             +0.031        0.598        0.636        0.656        0.695
                                                      -0.000                                                    
\3/8\....................................    plus-minus0.023        0.719        0.781        0.719        0.781
\13/32\..................................             +0.031        0.714        0.760        0.742        0.789
                                                      -0.000                                                    
\1/2\....................................             +0.039        0.808        0.854        0.898        0.945
                                                      -0.000                                                    
\5/8\....................................             +0.042        0.933        0.979        1.054        1.101
                                                      -0.000                                                    
\1/2\ special............................     plus-minus.031         .844         .906         .844         .906
----------------------------------------------------------------------------------------------------------------

    S7.2  Labeling
    S7.2.1 Hose. Each air brake hose shall be labeled, or cut from bulk 
hose that is labeled, at intervals of not more than 6 inches, measured 
from the end of one legend to the beginning of the next, in block 
capital letters and numerals at least one-eighth of an inch high, with 
the information listed in paragraphs (a) through (e) of this section. 
The information need not be present on hose that is sold as part of a 
brake hose assembly or a motor vehicle. (a) The symbol DOT, constituting 
a certification by the hose manufacturer that the hose conforms to all 
applicable motor vehicle safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals, or a symbol.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches or in millimeters, or the nominal outside diameter 
of plastic tubing expressed in inches or fractions of inches or in 
millimeters followed by the letters OD. The abbreviation ``mm'' shall 
follow hose sizes that are expressed in millimeters. (Examples of inside 
diameter: \1/8\, \1/2\ (\1/2\SP in the case of \1/2\ inch special air 
brake hose), 4 mm, 6 mm. Examples of outside diameter: \1/4\ OD, 12 mm 
OD.)
    (e) The letter ``A'' shall indicate intended use in air brake 
systems. In the case of a hose constructed of synthetic or natural 
elastomeric rubber intended for use in a reusable assembly, ``AI'' or 
``AII'' shall indicate Type I or Type II dimensional characteristics of 
the hose as described in Table III.
    S7.2.2  End fittings. Except for an end fitting that is attached by 
deformation of the fitting about a hose by crimping or swaging, at least 
one component of each air brake hose fitting shall be etched, embossed, 
or stamped in block capital letters and numerals at least one-sixteenth 
of an inch high with the following information:
    (a) The symbol DOT, constituting a certification by the manufacturer 
of that component that the component conforms to all applicable motor 
vehicle safety standards.
    (b) A designation that identifies the manufacturer of that component 
of the fitting, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals, or a symbol.
    (c) The letter ``A'' shall indicate intended use in air brake 
systems. In the case of an end fitting intended for use in a reusable 
assembly with brake hose subject to Table III, ``AI'' or ``AII''

[[Page 213]]

shall indicate use with Type I or Type II hose, respectively.
    (d) The nominal inside diameter of the hose to which the fitting is 
properly attached expressed in inches or fractions of inches or in 
millimeters, or the outside diameter of the plastic tubing to which the 
fitting is properly attached expressed in inches or fractions of inches 
or in millimeters followed by the letters OD (See examples in 
S7.2.1(d)). The abbreviations ``mm'' shall follow hose sizes that are 
expressed in millimeters.
    S7.2.3 Assemblies. Each air brake hose assembly made with end 
fittings that are attached by crimping or swaging, except those sold as 
part of a motor vehicle, shall be labeled by means of a band around the 
brake hose assembly as specified in this paragraph or, at the option of 
the manufacturer, by means of labeling as specified in S7.2.3.1. The 
band may at the manufacturer's option be attached so as to move freely 
along the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT, constituting certification by the hose assembler 
that the hose assembly conforms to all applicable motor vehicle safety 
standards.
    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S7.2.3.1  At least one end fitting of an air brake hose assembly 
made with end fittings that are attached by crimping or swaging shall be 
etched, stamped or embossed with a designation at least one-sixteenth of 
an inch high that identifies the manufacturer of the hose assembly and 
is filed in accordance with S7.2.3(b).
    S7.3 Test requirements. Each air brake hose assembly or appropriate 
part thereof shall be capable of meeting any of the requirements set 
forth under this heading, when tested under the conditions of S11 and 
the applicable procedures of S8. However, a particular hose assembly or 
appropriate part thereof need not meet further requirements after having 
met the constriction requirement (S7.3.1) and then having been subjected 
to any one of the requirements specified in S7.3.2 through S7.3.13.
    S7.3.1  Construction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of an air 
brake hose assembly shall be not less than 66 percent of the nominal 
inside diameter of the brake hose.
    S7.3.2  High temperature resistance. An air brake hose shall not 
show external or internal cracks, charring, or disintegration visible 
without magnification when straightened after being bent for 70 hours at 
212 deg. F. over a cylinder having the radius specified in Table IV for 
the size of hose tested (S8.1).
    S7.3.3  Low temperature resistance. The outer cover of an air brake 
hose shall not show cracks visible without magnification as a result of 
conditioning at minus 40 deg.F. for 70 hours when bent around a cylinder 
having the radius specified in Table IV for the size of hose tested 
(S8.2).

                           Table IV--Air Brake Hose Diameters and Test Cylinder Radii                           
                                                                                                                
                                                                                                                
----------------------------------------------------------------------------------------------------------------
Nominal hose diameter, in.*....................   \1/8\  \3/16\   \1/4\  \5/16\  \3/8\, \13/                    
                                                                                         32\  \7/16\, \1/       
                                                                                                      2\   \5/8\
mm.*...........................................       3    4, 5       6       8           10          12      16
Radius of test cylinder in inches..............  1\1/2\       2  2\1/2\       3       3\1/2\           4  4\1/2\
----------------------------------------------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not         
  represent conversions.                                                                                        

    S7.3.4  Oil resistance. After immersion in ASTM No. 3 oil for 70 
hours at 212 deg. F. the volume of a specimen prepared from the inner 
tube and cover of an air brake hose shall not increase more than 100 
percent (S8.3).
    S7.3.5  Ozone resistance. The outer cover of an air brake hose shall 
not

[[Page 214]]

show cracks visible under 7-power magnification after exposure to ozone 
for 70 hours at 104 deg. F. (S8.4).
    S7.3.6  Length change. An airbrake hose (other than a coiled nylon 
tube for use in an assembly that meets the requirements of Sec. 393.45 
of this title) shall not contract in length more than 7 percent nor 
elongate more than 5 percent when subjected to air pressure of 200 psi 
(S8.5).
    S7.3.7  Adhesion. Except for hose reinforced by wire, an airbrake 
hose shall withstand a tensile force of 8 pounds per inch of length 
before separation of adjacent layers (S8.6).
    S7.3.8  Air pressure. An air brake hose assembly shall contain air 
pressure of 200 psi for 5 minutes without loss of more than 5 psi 
(S8.7).
    S7.3.9  Burst strength. An air brake hose assembly shall not rupture 
when exposed to hydrostatic pressure of 800 psi (S8.8).
    S7.3.10  Tensile strength. An air brake hose assembly (other than a 
coiled nylon tube assembly which meets the requirements of Sec. 393.45 
of this title) designed for use between frame and axle or between a 
towed and a towing vehicle shall withstand, without separation of the 
hose from its end fittings, a pull of 250 pounds if it is \1/4\ inch or 
less or 6 mm or less in nominal internal diameter, or a pull of 325 
pounds if it is larger than \1/4\ inch or 6 mm in nominal internal 
diameter. An air brake hose assembly designed for use in any other 
application shall withstand, without separation of the hose from its end 
fitting, a pull of 50 pounds if it is \1/4\ inch or 6 mm or less in 
nominal internal diameter, 150 pounds if it is \3/8\ or \1/2\ inch or 10 
mm to 12 mm in nominal internal diameter, or 325 pounds if it is larger 
than \1/2\ inch or 12 mm in nominal internal diameter (S8.9).
    S7.3.11  Water absorption and tensile strength. After immersion in 
distilled water for 70 hours (S8.10), an air brake hose assembly (other 
than a coiled tube assembly which meets the requirements of Sec. 393.45 
of this title) designed for use between frame and axle or between a 
towed and a towing vehicle shall withstand without separation of the 
hose from its end fittings a pull of 250 pounds if it is \1/4\ inch or 6 
mm or less in nominal internal diameter, or a pull of 325 pounds if it 
is larger than \1/4\ inch or 6 mm in nominal internal diameter. After 
immersion in distilled water for 70 hours (S8.10), an air brake hose 
assembly designed for use in any other application shall withstand 
without separation of the hose from its end fitting a pull of 50 pounds 
if it is \1/4\ inch or 6 mm or less in nominal internal diameter, 150 
pounds if it is \3/8\ inch or \1/2\ inch or 10 to 12 mm in nominal 
internal diameter, or 325 pounds if it is larger than \1/2\ inch or 12 
mm in nominal internal diameter (S8.9).
    S7.3.12  Zinc chloride resistance. The outer cover of an air brake 
hose shall not show cracks visible under 7-power magnification after 
immersion in a 50 percent zinc chloride aqueous solution for 200 hours 
(S8.11).
    S7.3.13  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, air brake hose end fittings shall show no base 
metal corrosion on the end fitting surface except where crimping or the 
application of labeling information causes a displacement of the 
protective coating.
    S8. Test procedures--Air brake hose, brake hose assemblies, and 
brake hose end fittings.
    S8.1  High temperature resistance test. (a) Utilize a cylinder 
having the radius indicated in Table IV for the size of hose tested.
    (b) Bind the hose around the cylinder and condition it in an air 
oven for 70 hours at 212 deg. F.
    (c) Cool the hose to room temperature, remove it from the cylinder 
and straighten it.
    (d) Without magnification, examine the hose externally and cut the 
hose lengthwise and examine the inner tube.
    S8.2  Low temperature resistance test. (a) Utilize a cylinder having 
the radius indicated in Table IV for the size of hose tested.
    (b) Condition the cylinder and the brake hose, in a straight 
position, in a cold box at minus 40 deg. F. for 70 hours.
    (c) With the hose and cylinder at minus 40 deg. F., bend the hose 
180 degrees around the cylinder at a steady rate in a period of 3 to 5 
seconds.
    S8.3  Oil resistance test. Utilize three test specimens and average 
the results.
    S8.3.1  Preparation. Fashion a test specimen by cutting a 
rectangular

[[Page 215]]

block 2 inches long and not less than one-third of an inch in width, 
having a thickness of not more than one-sixteenth inch, from the brake 
hose and buff the specimen on both faces to ensure smooth surfaces.
    S8.3.2  Measurement. (a) Weigh each specimen to the nearest 
milligram in air (W1) and in distilled water (W2) at room temperature. 
If wetting is necessary to remove air bubbles, dip the specimen in 
acetone and thoroughly rinse it with distilled water.
    (b) Immerse each specimen in ASTM No. 3 oil for 70 hours at 212 deg. 
F. and then cool in ASTM No. 3 oil at room temperature for 30 to 60 
minutes.
    (c) Dip the specimen quickly in acetone and blot it lightly with 
filter paper.
    (d) Weigh each specimen in a tared weighing bottle (W3) and in 
distilled water (W4) within five minutes of removal from the cooling 
liquid.
    (e) Calculate the percentage increase in volume follows:

    Percent of increase=

    [(W3-W4)-(W1-W2)]/
(W1-W2) x 100

    S8.4  Ozone resistance test. Conduct the test specified in S6.8 
using air brake hose.
    S8.5  Length change test. (a) Position a test hose in a straight, 
horizontal position, and apply air pressure of 10 psi thereto.
    (b) Measure the hose to determine original free length.
    (c) Without releasing the 10 psi, raise the air pressure to the test 
hose to 200 psi.
    (d) Measure the hose under 200 psi to determine final free length. 
An elongation or contraction is an increase or decrease, respectively, 
in the final free length from the original free length of the hose.
    S8.6  Adhesion test.
    S8.6.1  Apparatus. A tension testing machine that is power-driven 
and that applies a constant rate of extension is used for measuring the 
force required to separate the layers of the test specimen. The 
apparatus is constructed so that:
    (a) The recording head includes a freely rotating form with an 
outside diameter substantially the same as the inside diameter of the 
hose specimen to be placed on it.
    (b) The freely rotating form is mounted so that its axis of rotation 
is in the plane of the ply being separated from the specimen and so that 
the applied force is perpendicular to the tangent of the specimen 
circumference at the line of separation.
    (c) The rate of travel of the power-actuated grip is a uniform one 
inch per minute and the capacity of the machine is such that maximum 
applied tension during the test is not more than 85 percent nor less 
than 15 percent of the machine's rated capacity.
    (d) The machine produces a chart with separation as one coordinate 
and applied tension as the other.
    S8.6.2  Preparation. (a) Cut a test specimen of 1 inch or more in 
length from the hose to be tested and cut the layer to be tested of that 
test specimen longitudinally along its entire length to the level of 
contact with the adjacent layer.
    (b) Peel the layer to be tested from the adjacent layer to create a 
flap large enough to permit attachment of the power-actuated clamp of 
the apparatus.
    (c) Mount the test specimen on the freely rotating form with the 
separated layer attached to the power-actuated clamp.
    S8.6.3  [Reserved]
    S8.6.4  Calculations. (a) The adhesion value shall be the minimum 
force recorded on the chart excluding that portion of the chart which 
corresponds to the initial and final 20 percent portion along the 
displacement axis.
    (b) Express the force in pounds per inch of length.
    S8.7  Air pressure test. (a) Connect the air brake hose assembly to 
a source of air pressure.
    (b) Apply 200 psi air pressure to the hose and seal the hose from 
the source of air pressure.
    (c) After 5 minutes, determine the air pressure remaining in the 
test specimen.
    S8.8  Burst strength test. (a) Utilize an air brake hose assembly.
    (b) Fill the hose assembly with water, allowing all gases to escape. 
Apply water pressure at a uniform rate

[[Page 216]]

of increase of approximately 1,000 psi per minute until the hose 
ruptures.
    S8.9  Tensile strength test. Utilize a tension testing machine 
conforming to the requirements of the Methods of Verification of Testing 
Machines (1964 American Society for Testing and Materials, Designation 
E4), and provided with a recording device to register total pull in 
pounds. (a) Attach an air brake hose assembly to the testing machine to 
permit straight, even, machine-pull on the hose.
    (b) Apply tension at a rate of 1 inch per minute travel of the 
moving head until separation occurs.
    S8.10  Water Absorption and tensile strength test. Immerse an air 
brake hose assembly in distilled water at room temperature for 70 hours. 
Thirty minutes after removal from the water, conduct the test specified 
in S8.9.
    S8.11  Zinc chloride resistance test. Immerse an air brake hose in a 
50 percent zinc chloride aqueous solution at room temperature for 200 
hours. Remove it from the solution and examine it under 7-power 
magnification for cracks.
    S8.12  End fitting corrosion resistance test. Conduct the test 
specified in S6.9 using an air brake hose assembly.
    S9. Requirements--vacuum brake hose, brake hose assemblies, and 
brake hose end fittings.
    S9.1 Labeling.
    S9.1.1 Hose. Each vacuum brake hose shall be labeled, or cut from 
bulk hose that is labeled, at intervals of not more than 6 inches, 
measured from the end of one legend to the beginning of the next, in 
block capital letters and numerals at least one-eighth of an inch high, 
with the information listed in paragraphs (a) through (e) of this 
section. The information need not be present on hose that is sold as 
part of a brake hose assembly or a motor vehicle. (a) The symbol DOT, 
constituting a certification by the hose manufacturer that the hose 
conforms to all applicable motor vehicle safety standards.
    (b) A designation that identifies the manufacturer of the hose, 
which shall be filed in writing with: Office of Crash Avoidance 
Standards, Vehicle Dynamics Division, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    (c) The month, day, and year, or the month and year, of manufacture, 
expressed in numerals. For example, 10/1/96 means October 1, 1996.
    (d) The nominal inside diameter of the hose expressed in inches or 
fractions of inches or in millimeters, or the nominal outside diameter 
of plastic tubing expressed in inches or fractions of inches or in 
millimeters followed by the letters OD. The abbreviation ``mm'' shall 
follow hose sizes that are expressed in millimeters. (Example of inside 
diameter: \7/32\, \1/4\, 4 mm. Example of outside diameter: \1/4\ OD, 12 
mm OD.)
    (e) The letters ``VL'' or ``VH'' shall indicate that the component 
is a light-duty vacuum brake hose or heavy-duty vacuum brake hose, 
respectively.
    S9.1.2 End fittings. Except for an end fitting that is attached by 
heat striking or by interference fit with plastic vacuum hose or that is 
attached by deformation of the fitting about a hose by crimping or 
swaging, at least one component of each vacuum brake hose fitting shall 
be etched, embossed, or stamped in block capital letters and numerals at 
least one-sixteenth of an inch high with the following information:
    (a) The symbol DOT, constituting a certification by the manufacturer 
of that component that the component conforms to all applicable motor 
vehicle safety standards.
    (b) A designation that identifies the manufacturer of that component 
of the fitting, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. 
The designation may consist of block capital letters, numerals or a 
symbol.
    (c) The letters ``VL'' or ``VH'' shall indicate that the end fitting 
is intended for use in a light-duty or heavy-duty vacuum brake system, 
respectively.
    (d) The nominal inside diameter of the hose to which the fitting is 
properly attached expressed in inches or fractions of inches or in 
millimeters, or

[[Page 217]]

the outside diameter of the plastic tubing to which the fitting is 
properly attached expressed in inches or fraction of inches or in 
millimeters followed by the letter OD (See examples in S9.1.1(d)). The 
abbreviation ``mm'' shall follow hose sizes that are expressed in 
millimeters.
    S9.1.3 Assemblies. Each vacuum brake hose assembly made with end 
fittings that are attached by crimping or swaging and each plastic tube 
assembly made with end fittings that are attached by heat shrinking or 
dimensional interference fit, except those sold as part of a motor 
vehicle, shall be labeled by means of a band around the brake hose 
assembly as specified in this paragraph or, at the option of the 
manufacturer, by means of labeling as specified in S9.1.3.1. The band 
may at the manufacturer's option be attached so as to move freely along 
the length of the assembly, as long as it is retained by the end 
fittings. The band shall be etched, embossed, or stamped in block 
capital letters, numerals or symbols at least one-eighth of an inch 
high, with the following information:
    (a) The symbol DOT, constituting certification by the hose assembler 
that the hose assembly conforms to all applicable motor vehicle safety 
standards.
    (b) A designation that identifies the manufacturer of the hose 
assembly, which shall be filed in writing with: Office of Crash 
Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The 
designation may consist of block capital letters, numerals or a symbol.
    S9.1.3.1 At least one end fitting of a vacuum brake hose assembly 
made with end fittings that are attached by crimping or swaging, or of a 
plastic tubing assembly made with end fittings that are attached by heat 
shrinking or dimensional interference fit shall be etched, stamped or 
embossed with a designation at least one-sixteenth of an inch high that 
identifies the manufacturer of the hose assembly and is filed in 
accordance with S9.1.3(b).
    S9.2  Test requirements. Each vacuum brake hose assembly or 
appropriate part thereof shall be capable of meeting any of the 
requirements set forth under this heading, when tested under the 
conditions of S11. and the applicable procedures of S10. However, a 
particular hose assembly or appropriate part thereof need not meet 
further requirements after having met the construction requirement 
(S9.2.1) and then having been subjected to any one of the requirements 
specified in S9.2.2 through S9.2.11.
    S9.2.1  Constriction. Except for that part of an end fitting which 
does not contain hose, every inside diameter of any section of a vacuum 
brake hose assembly shall be not less than 75 percent of the nominal 
inside diameter of the hose if for heavy duty, or 70 percent of the 
nominal inside diameter of the hose if for light duty.
    S9.2.2  High temperature resistance. A vacuum brake hose shall not 
show external or internal cracks, charring, or disintegration visible 
without magnification when straightened after being bent for 70 hours at 
212 deg. F. over a cylinder having the radius specified in Table V for 
the size of hose tested (S10.1).
    S9.2.3  Low temperature resistance. A vacuum brake hose shall not 
show cracks visible without magnification after conditioning at minus 
40 deg. F. for 70 hours when bent around a cylinder having the radius 
specified in Table V for the size hose tested (S10.2).
    S9.2.4  Ozone resistance. A vacuum brake hose shall not show cracks 
visible under 7-power magnification after exposure to ozone for 70 hours 
(S10.3).
    S9.2.5  Burst strength. A vacuum brake hose shall not rupture under 
hydrostatic pressure of 350 psi (S10.4).
    S9.2.6  Vacuum. The collapse of the outside diameter of a vacuum 
brake hose under internal vacuum of 26 inches of Hg. for five minutes 
shall not exceed one-sixteenth of an inch (S10.5).
    S9.2.7  Bend. The collapse of the outside diameter of a vacuum brake 
hose at the middle point of the test length when bent until the ends 
touch shall not exceed the values given in Table V for the size of hose 
tested (S10.6).

[[Page 218]]



                                  Table V--Vacuum Brake Hose Test Requirements                                  
----------------------------------------------------------------------------------------------------------------
Hose inside diameter*    High temperature       Low temperature            Bend                                 
----------------------      resistance            resistance      ----------------------                        
                      --------------------------------------------             Maximum    Deformation--collapsed
                                                                     Hose     collapse       inside diameter    
 Inches   Millimeters    Hose     Radius of    Hose     Radius of   length,  of outside   (dimension D), inches 
                        length,   cylinder,   length,   cylinder,   inches    diameter,                         
                        inches     inches     inches     inches                inches                           
----------------------------------------------------------------------------------------------------------------
\7/32\.          5           8     1\1/2\    17\1/2\          3          7    \11/64\             \3/64\        
\1/4\..          6           9     1\1/2\    17\1/2\          3          8     \3/32\             \1/16\        
\9/32\.  ............        9     1\3/4\         19     3\1/2\          9    \12/64\             \4/64\        
\11/32\          8           9     1\3/4\         19     3\1/2\         11    \13/64\             \5/64\        
\3/8\..         10          10     1\3/4\         19     3\1/2\         12     \5/32\             \3/32\        
\7/16\.  ............       11          2    20\1/2\          4         14    \17/64\             \5/64\        
\15/32\  ............       11          2    20\1/2\          4         14    \17/64\             \5/64\        
\1/2\..         12          11          2    20\1/2\          4         16     \7/32\              \1/8\        
\5/8\..         16          12     2\1/4\         22     4\1/2\         22     \7/32\             \5/32\        
\3/4\..  ............       14     2\1/2\         24          5         28     \7/32\             \3/16\        
1......  ............       16     3\1/4\    28\1/2\     6\1/2\         36     \9/32\              \1/4\        
----------------------------------------------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not         
  represent conversions.                                                                                        

    S9.2.8  Swell. Following exposure to Reference Fuel A, every inside 
diameter of any section of a vacuum brake hose shall not be less than 75 
percent of the nominal inside of the hose if for heavy duty, or 70 
percent of the nominal inside diameter of the hose if for light duty. 
The vacuum brake hose shall show no leakage and there shall be no 
separation of the inner tube from the fabric reinforcement of the hose 
in a vacuum test of 26 inches of Hg for 10 minutes (S10.7).
    S9.2.9  Adhesion. Except for hose reinforced by wire, a vacuum brake 
hose shall withstand a force of 8 pounds per inch of length before 
separation of adjacent layers (S10.8).
    S9.2.10  Deformation. A vacuum brake hose shall return to 90 percent 
of its original outside diameter within 60 seconds after five 
applications of force as specified in S10.9, except that a wire-
reinforced hose need only return to 85 percent of its original outside 
diameter. In the case of heavy-duty hose the first application of force 
shall not exceed a peak value of 70 pounds, and the fifth application of 
force shall reach a peak value of at least 40 pounds. In the case of 
lightduty hose the first application of force shall not exceed a peak 
value of 50 pounds, and the fifth application of force shall reach a 
peak value of at least 20 pounds (S10.9).
    S9.2.11  End fitting corrosion resistance. After 24 hours of 
exposure to salt spray, vacuum brake hose end fittings shall show no 
base metal corrosion of the end fitting surface except where crimping or 
the application of labeling information has caused displacement of the 
protective coating.
    S10. Test procedures--Vacuum brake hose, brake hose assemblies, and 
brake hose end fittings.
    S10.1  High temperature resistance test. Conduct the test specified 
in S8.1 using vacuum brake hose with the cylinder radius specified in 
Table V for the size of hose tested.
    S10.2  Low temperature resistance test. Conduct the test specified 
in S8.2 using vacuum brake hose with the cylinder radius specified in 
Table V for the size of hose tested.
    S10.3  Ozone resistance test. Conduct the test specified in S6.8 
using vacuum brake hose.
    S10.4  Burst strength test. Conduct the test specified in S8.8 using 
vacuum brake hose.
    S10.5  Vacuum test. Utilize a 12-inch vacuum brake hose assembly 
sealed at one end. (a) Measure the hose outside diameter.
    (b) Attach the hose to a source of vacuum and subject it to a vacuum 
of 26 inches of Hg for 5 minutes.
    (c) Measure the hose to determine the minimum outside diameter while 
the hose is still subject to vacuum.
    S10.6  Bend test. (a) Bend a vacuum brake hose, of the length 
prescribed in Table V, in the direction of its normal curvature until 
the ends just touch as shown in Figure 3.
    (b) Measure the outside diameter of the specimen at point A before 
and after bending.

[[Page 219]]

    (c) The difference between the two measurements is the collapse of 
the hose outside diameter on bending.
[GRAPHIC] [TIFF OMITTED] TC01AU91.008

                 Fig. 3--Bend Test of Vacuum Brake Hose.

    S10.7  Swell test. (a) Fill a specimen of vacuum brake hose 12 
inches long with Reference Fuel A as described in the Method of Test for 
Change in Properties of Elastomeric Vulcanizers Resulting From Immersion 
in Liquids (1964 American Society for Testing and Materials, designation 
D471).
    (b) Maintain reference fuel in the hose under atmospheric pressure 
at room temperature for 48 hours.
    (c) Remove fuel and determine that every inside diameter of any 
section of the brake hose is not less than 75 percent of the nominal 
inside diameter of the hose for heavy-duty hose and 70 percent of the 
nominal inside diameter of the hose for light-duty hose.
    (d) Subject the hose specimen to a vacuum of 26 inches of Hg for 10 
minutes.
    S10.8  Adhesion test. Conduct the test specified in S8.6 using 
vacuum brake hose.
    S10.9  Deformation test. Table VI specifies the test specimen 
dimensions.
    S10.9.1  Apparatus. Utilize a compression device, equipped to 
measure force of at least 100 pounds, and feeler gages of sufficient 
length to be passed completely through the test specimen.
    S10.9.2  Operation. (a) Position the test specimen longitudinally in 
the compression device with the fabric laps not in the line of the 
applied pressure.

  Table VI--Dimensions of Test Specimen and Feeler Gage for Deformation 
                                  Test                                  
------------------------------------------------------------------------
Hose inside diameter*    Specimen dimensions     Feeler gage dimensions 
----------------------      (see fig. 4)      --------------------------
                      ------------------------                          
    In.        Mm.        Depth      Length       Width      Thickness  
                         (inch)      (inch)      (inch)        (inch)   
------------------------------------------------------------------------
\7/32\....        5      \3/64\           1       \1/8\       \3/64\    
\1/4\.....        6      \1/16\           1       \1/8\       \1/16\    
\9/32\....  .........    \1/16\           1       \1/8\       \1/16\    
\11/32\...        8      \5/64\           1      \3/16\       \5/64\    
\3/8\.....       10      \3/32\           1      \3/16\       \3/32\    
\7/16\....  .........    \5/64\           1       \1/4\       \5/64\    
\15/32\...  .........    \5/64\           1       \1/4\       \5/64\    
\1/2\.....       12       \1/8\           1       \1/4\        \1/8\    
\5/8\.....       16      \5/32\           1       \1/4\       \5/32\    
\3/4\.....  .........    \3/16\           1       \1/4\       \3/16\    
1.........  .........     \1/4\           1       \1/4\        \1/4\    
------------------------------------------------------------------------
*These sizes are listed to provide test values for brake hoses          
  manufactured in these sizes. They do not represent conversions.       

    (b) Apply gradually increasing force to the test specimen to 
compress its inside diameter to that specified in Table VI (dimension D 
of figure 4) for the size of hose tested.
[GRAPHIC] [TIFF OMITTED] TC01AU91.009

             Fig. 4. Deformed Specimen of Vacuum Brake Hose

    (c) After 5 seconds release the force and record the peak load 
applied.
    (d) Repeat the procedure four times permitting a 10-second recovery 
period between load applications.
    S10.10  End fitting corrosion resistance test. Conduct the test 
specified in S6.9 using a vacuum brake hose assembly.
    S11.  Test conditions. Each hose assembly or appropriate part 
thereof shall be able to meet the requirements of S5., S7., and S9. 
under the following conditions.
    S11.1  The temperature of the testing room is 75 deg. F.
    S11.2  Except for S6.6, S8.2, and S10.2, the test samples are 
stabilized at test room temperature prior to testing.
    S11.3  The brake hoses and brake hose assemblies are at least 24 
hours old, and unused.
[38 FR 31303, Nov. 13, 1973]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.106, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

[[Page 220]]



Sec. 571.107  [Reserved]



Sec. 571.108  Standard No. 108; Lamps, reflective devices, and associated equipment.

    S1.  Scope. This standard specifies requirements for original and 
replacement lamps, reflective devices, and associated equipment.
    S2.  Purpose. The purpose of this standard is to reduce traffic 
accidents and deaths and injuries resulting from traffic accidents, by 
providing adequate illumination of the roadway, and by enhancing the 
conspicuity of motor vehicles on the public roads so that their presence 
is perceived and their signals understood, both in daylight and in 
darkness or other conditions of reduced visibility.
    S3.  Application. This standard applies to:
    (a) Passenger cars, multipurpose passenger vehicles, trucks, buses, 
trailers (except pole trailers and trailer converter dollies), and 
motorcycles;
    (b) Retroreflective sheeting and reflex reflectors manufactured to 
conform to S5.7 of this standard; and
    (c) Lamps, reflective devices, and associated equipment for 
replacement of like equipment on vehicles to which this standard 
applies.
    S4.  Definitions.
    Aiming Reference Plane means a plane which is perpendicular to the 
longitudinal axis of the vehicle and tangent to the forward most aiming 
pad on the headlamp.
    Beam contributor means an indivisible optical assembly including a 
lens, reflector, and light source, that is part of an integral beam 
headlighting system and contributes only a portion of a headlamp beam.
    Cargo lamp is a lamp that is mounted on a multipurpose passenger 
vehicle, truck, or bus for the purpose of providing illumination to load 
or unload cargo.
    Cutoff means a generally horizontal, visual/optical aiming cue in 
the lower beam that marks a separation between areas of higher and lower 
luminance.
    Direct reading indicator means a device that is mounted in its 
entirety on a headlamp or headlamp aiming or headlamp mounting 
equipment, is part of a VHAD, and provides information about headlamp 
aim in an analog or digital format.
    Effective projected luminous lens area means that area of the 
projection on a plane perpendicular to the lamp axis of that portion of 
the light-emitting surface that directs light to the photometric test 
pattern, and does not include mounting hole bosses, reflex reflector 
area, beads or rims that may glow or produce small areas of increased 
intensity as a result of uncontrolled light from small areas (\1/2\ deg. 
radius around the test point).
    Filament means that part of the light source or light emitting 
element(s), such as a resistive element, the excited portion of a 
specific mixture of gases under pressure, or any part of other energy 
conversion sources, that generates radiant energy which can be seen.
    Flash means a cycle of activation and deactivation of a lamp by 
automatic means continuing until stopped either automatically or 
manually.
    Fully opened means the position of the headlamp concealment device 
in which the headlamp is in the design open operating position.
    Headlamp concealment device means a device, with its operating 
system and components, that provides concealment of the headlamp when it 
is not in use, including a movable headlamp cover and a headlamp that 
displaces for concealment purposes.
    Headlamp test fixture means a device designed to support a headlamp 
or headlamp assembly in the test position specified in the laboratory 
tests and whose mounting hardware and components are those necessary to 
operate the headlamp as installed in a motor vehicle.
    Integral beam headlamp means a headlamp (other than a standardized 
sealed beam headlamp designed to conform to paragraph S7.3 or a 
replaceable bulb headlamp designed to conform to paragraph S7.5) 
comprising an integral and indivisible optical assembly including lens, 
reflector, and light source, except that a headlamp conforming to 
paragraph S7.8.5.2 or paragraph S7.8.5.3 may have a lens designed to be 
replaceable.
    Multiple compartment lamp means a device which gives its indication 
by two or more separately lighted areas

[[Page 221]]

which are joined by one or more common parts, such as a housing or lens.
    Multiple lamp arrangement means an array of two or more separate 
lamps on each side of the vehicle which operate together to give a 
signal.
    Remote reading indicator means a device that is not mounted in its 
entirety on a headlamp or headlamp aiming or headlamp mounting 
equipment, but otherwise meets the definition of a direct reading 
indicator.
    Replaceable bulb headlamp means a headlamp comprising a bonded lens 
and reflector assembly and one or two replaceable headlamp light 
sources, except that a headlamp conforming to paragraph S7.8.5.2 or 
paragraph S7.8.5.3 may have a lens designed to be replaceable.
    Replaceable light source means an assembly of a capsule, base, and 
terminals that is designed to conform to the requirements of Appendix A 
or Appendix B of part 564 Replaceable Light Source Information of this 
Chapter.

    Vehicle headlamp aiming device or VHAD means motor vehicle 
equipment, installed either on a vehicle or headlamp, which is used for 
determining the horizontal or vertical aim, or both the vertical and 
horizontal aim of the headlamp.
    Visually/optically aimable headlamp means a headlamp which is 
designed to be visually/optically aimable in accordance with the 
requirements of paragraph S7.8.5.3 of this standard.
    S5.  Requirements.
    S5.1  Required motor vehicle lighting equipment.
    S5.1.1  Except as provided in succeeding paragraphs of this S5.1.1, 
each vehicle shall be equipped with at least the number of lamps, 
reflective devices, and associated equipment specified in Tables I and 
III and S7, as applicable. Required equipment shall be designed to 
conform to the SAE Standards or Recommended Practices referenced in 
those tables. Table I applies to multipurpose passenger vehicles, 
trucks, trailers, and buses, 80 or more inches in overall width. Table 
III applies to passenger cars and motorcycles and to multipurpose 
passenger vehicles, trucks, trailers, and buses, less than 80 inches in 
overall width.
    S5.1.1.1  A truck tractor need not be equipped with turn signal 
lamps mounted on the rear if the turn signal lamps at or near the front 
are so constructed (double-faced) and so located that they meet the 
requirements for double-faced turn signals specified in SAE Standard 
J588e, Turn Signal Lamps, September 1970.
    S5.1.1.2  A truck tractor need not be equipped with any rear side 
marker devices, rear clearance lamps, and rear identification lamps.
    S5.1.1.3  Intermediate side marker devices are not required on 
vehicles less than 30 feet in overall length.
    S5.1.1.4  Reflective material conforming to Federal Specification L-
S-300, Sheeting and Tape, Reflective; Non-exposed Lens, Adhesive 
Backing, September 7, 1965, may be used for side reflex reflectors if 
this material as used on the vehicle, meets the performance standards in 
either Table I or Table IA of SAE Standard J594f, Reflex Reflectors, 
January 1977.
    S5.1.1.5  The turn signal operating unit on each passenger car, and 
multipurpose passenger vehicle, truck, and bus less than 80 inches in 
overall width shall be self-canceling by steering wheel rotation and 
capable of cancellation by a manually operated control.
    S5.1.1.6  Instead of the photometric values specified in Table 1 of 
SAE Standards J222 December 1970, or J585e September 1977, a parking 
lamp or tail lamp, respectively, shall meet the minimum percentage 
specified in Figure 1a of the corresponding minimum allowable value 
specified in Figure 1b. The maximum candlepower output of a parking lamp 
shall not exceed that prescribed in Figure 1b, or of a tail lamp, that 
prescribed in Figure 1b at H or above. If the sum of the percentages of 
the minimum candlepower measured at the test points is not less than 
that specified for each group listed in Figure 1c, a parking lamp or 
tail lamp is not required to meet the minimum photometric value at each 
test point specified in SAE Standards J222 or J585e respectively.
    S5.1.1.7  A motorcycle turn signal lamp need meet only one-half of 
the minimum photometric values specified in Table 1 and Table 3 of SAE 
J588 NOV84 Turn Signal Lamps.

[[Page 222]]

    S5.1.1.8  For each motor vehicle less than 30 feet in overall 
length, the photometric minimum candlepower requirements for side marker 
lamps specified in SAE Standard J592e Clearance, Side Marker, and 
Identification Lamps, July 1972, may be met for all inboard test points 
at a distance of 15 feet from the vehicle and on a vertical plane that 
is perpendicular to the longitudinal axis of the vehicle and located 
midway between the front and rear side marker lamps.
    S5.1.1.9  A boat trailer whose overall width is 80 inches or more 
need not be equipped with both front and rear clearance lamps provided 
an amber (to front) and red (to rear) clearance lamp is located at or 
near the midpoint on each side so as to indicate its extreme width.
    S5.1.1.10  Multiple license plate lamps and backup lamps may be used 
to fufill the requirements of the SAE Standards applicable to such lamps 
referenced in Tables I and III.
    S5.1.1.11  A stop lamp that is not optically combined, as defined by 
SAE Information Report J387 Terminology--Motor Vehicle Lighting NOV87, 
with a turn signal lamp, shall remain activated when the turn signal 
lamp is flashing.
    S5.1.1.12  On a motor vehicle, except a passenger car, whose overall 
width is 80 inches or more, measurements of the functional lighted lens 
area, and of the photometrics, of a multiple compartment stop lamp, and 
a multiple compartment turn signal lamp, shall be made for the entire 
lamp and not for the individual compartments.
    S5.1.1.13  Each passenger car, and each multipurpose passenger 
vehicle, truck, and bus of less than 80 inches overall width, shall be 
equipped with a turn signal operating unit designed to complete a 
durability test of 100,000 cycles.
    S5.1.1.14  A trailer that is less than 30 inches in overall width 
may be equipped with only one tail lamp, stop lamp, and rear reflex 
reflector, which shall be located at or near its vertical centerline.
    S5.1.1.15  A trailer that is less than 6 feet in overall length, 
including the trailer tongue, need not be equipped with front side 
marker lamps and front side reflex reflectors.
    S5.1.1.16  A lamp designed to use a type of bulb that has not been 
assigned a mean spherical candlepower rating by its manufacturer and is 
not listed in SAE Standard J573d, Lamp Bulbs and Sealed Units, December 
1968, shall meet the applicable requirements of this standard when used 
with any bulb of the type specified by the lamp manufacturer, operated 
at the bulb's design voltage. A lamp that contains a sealed-in bulb 
shall meet these requirements with the bulb operated at the bulb's 
design voltage.
    S5.1.1.17  Except for a lamp having a sealed-in bulb, a lamp shall 
meet the applicable requirements of this standard when tested with a 
bulb whose filament is positioned within .010 inch of the 
nominal design position specified in SAE Standard J573d, Lamp Bulbs and 
Sealed Units, December 1968, or specified by the bulb manufacturer.
    S5.1.1.18  A backup lamp is not required to meet the minimum 
photometric values at each test point specified in Table I of SAE 
Standard J593c, Backup Lamps, February 1968 if the sum of the 
candlepower measured at the test points within each group listed in 
Figure 2 is not less than the group totals specified in that figure.

   Figure 2--Minimum Luminous Intensity Requirements for Backup Lamps   
------------------------------------------------------------------------
                                                               Total for
                                                                group,  
 Group                   Test point, degrees                    candela 
                                                               (see note
                                                                  1)    
------------------------------------------------------------------------
1 \1\.  45L-5U, 45L-H, 45L-5D...............................          45
2 \1\.  30L-H, 30L-5D.......................................          50
3 ....  10L-10U, 10L-5U, V-10U, V-5U, 10R-10U, 10R-5U.......         100
4 ....  10L-H, 10L-5D, V-H, V-5D, 10R-H, 10R-5D.............         360
5 \1\.  30R-H, 30R-5D.......................................          50
6 \1\.  45R-5U, 45R-H, 45R-5D...............................          45
------------------------------------------------------------------------
\1\ When 2 lamps of the same or symmetrically opposite design are used, 
  the reading along the vertical axis and the averages of the readings  
  for the same angles left and right of vertical for 1 lamp shall be    
  used to determine compliance with the requirements. If 2 lamps of     
  differing designs are used, they shall be tested individually and the 
  values added to determine that the combined units meet twice the      
  candela requirements.                                                 
When only 1 backup lamp is used on the vehicle, it shall be tested to   
  twice the candela requirements.                                       

    S5.1.1.19  Each variable load turn signal flasher shall comply with 
voltage drop and durability requirements of

[[Page 223]]

SAE Standard J590b, Turn Signal Flashers, October 1965 with the maximum 
design load connected, and shall comply with starting time, flash rate, 
and percent current ``on'' time requirements of J590b both with the 
minimum and with the maximum design load connected.
    S5.1.1.20  The lowest voltage drop for turn signal flashers and 
hazard warning signal flashers measured between the input and load 
terminals shall not exceed 0.8 volt.
    S5.1.1.21  A motor-driven cycle whose speed attainable in 1 mile is 
30 mph or less need not be equipped with turn signal lamps.
    S5.1.1.22  A motor-driven cycle whose speed attainable in 1 mile is 
30 mph or less may be equipped with a stop lamp whose effective 
projected luminous lens area is not less than 3\1/2\ square inches and 
whose photometric output for the groups of test points specified in 
Figure 1 is at least one-half of the minimum values set forth in that 
figure.
    S5.1.1.23-24   [Reserved]
    S5.1.1.25  Each turn signal lamp on a motorcycle manufactured on and 
after January 1, 1973, shall have an effective projected luminous area 
of not less than 3\1/2\ square inches.
    S5.1.1.26  On a motor vehicle whose overall width is less than 80 
inches:
    (a) The functional lighted lens area of a single compartment stop 
lamp, and a single compartment rear turn signal lamp, shall be not less 
than 50 square centimeters.
    (b) If a multiple compartment lamp or multiple lamps are used to 
meet the photometric requirements for stop lamps and rear turn signal 
lamps, the functional lighted lens area of each compartment or lamp 
shall be at least 22 square centimeters, provided the combined area is 
at least 50 square centimeters.
    S5.1.1.27 (a) Except as provided in paragraph (b) of this section, 
each passenger car manufactured on or after September 1, 1985, and each 
multipurpose passenger vehicle, truck, and bus, whose overall width is 
less than 80 inches, whose GVWR is 10,000 pounds or less, manufactured 
on or after September 1, 1993, shall be equipped with a high-mounted 
stop lamp which:
    (1) Shall have an effective projected luminous area not less than 
4\1/2\ square inches.
    (2) Shall have a signal visible to the rear through a horizontal 
angle from 45 degrees to the left to 45 degrees to the right of the 
longitudinal axis of the vehicle.
    (3) Shall have the minimum photometric values in the amount and 
location listed in Figure 10.
    (4) Need not meet the requirements of paragraphs 3.1.6 Moisture 
Test, 3.1.7 Dust Test, and 3.1.8 Corrosion Test of SAE Recommended 
Practice J186a, Supplemental High-Mounted Stop and Rear Turn Signal 
Lamps, September 1977, if it is mounted inside the vehicle.
    (5) Shall provide access for convenient replacement of the bulb 
without the use of special tools.
    (b) Each multipurpose passenger vehicle, truck and bus whose overall 
width is less than 80 inches, whose GVWR is 10,000 pounds or less, whose 
vertical centerline, when the vehicle is viewed from the rear, is not 
located on a fixed body panel but separates one or two movable body 
sections, such as doors, which lacks sufficient space to install a 
single high-mounted stop lamp on the centerline above such body 
sections, and which is manufactured on or after September 1, 1993, shall 
have two high-mounted stop lamps which:
    (1) Are identical in size and shape and have an effective projected 
luminous area not less than 2\1/4\ inches each.
    (2) Together have a signal to the rear visible as specified in 
paragraph (a)(2) of this S5.1.1.27.
    (3) Together have the minimum photometric values specified in 
paragraph (a)(3) of this S5.1.1.27.
    (4) Shall provide access for convenient replacement of the bulbs 
without special tools.
    S5.1.1.28 A multipurpose passenger vehicle, truck, or bus, whose 
overall width is less than 80 inches, and whose GVWR is 10,000 pounds or 
less, that is manufactured between September 1, 1992 and September 1, 
1993, may be equipped with a high-mounted stop lamp or, in the case of 
vehicles subject to S5.1.1.27(b), two high-mounted stop lamps, that 
conform to S5.1.1.27 and S5.3.1.8.

[[Page 224]]

    S5.1.1.29  A trailer equipped with a conspicuity treatment in 
conformance with paragraph S5.7 of this standard need not be equipped 
with the reflex reflectors required by Table I of this standard if the 
conspicuity material is placed at the locations of the reflex reflectors 
required by Table I.
    S5.1.2  Plastic materials used for optical parts such as lenses and 
reflectors shall conform to SAE Recommended Practice J576 JUL91, except 
that:
    (a) Plastic lenses (other than those incorporating reflex 
reflectors) used for inner lenses or those covered by another material 
and not exposed directly to sunlight shall meet the requirements of 
paragraphs 3.3 and 4.2 of SAE J576 JUL91 when covered by the outer lens 
or other material;
    (b) After the outdoor exposure test, the haze and loss of surface 
luster of plastic materials (other than those incorporating reflex 
reflectors) used for outer lenses shall not be greater than 30 percent 
haze as measured by ASTM D 1003-92, Haze and Luminous Transmittance of 
Transparent Plastic;
    (c) After the outdoor exposure test, plastic materials used for 
reflex reflectors and for lenses used in front of reflex reflectors 
shall not show surface deterioration, crazing, dimensional changes, 
color bleeding, delamination, loss of surface luster, or haze that 
exceeds 7 percent as measured under ASTM D 1003-92.
    (d) The thickness of the test specimens specified in paragraph 3.2.2 
of SAE J576 JUL91 may vary by as much as 0.25 mm.
    (e) After exposure to the heat test as specified in subparagraph (f) 
of this paragraph, and after cooling to room ambient temperature, a test 
specimen shall show no change in shape and general appearance 
discernable to the naked eye when compared with an unexposed specimen. 
The trichromatic coefficients of the samples shall conform to the 
requirements of SAE J578c, Color Specification for Electric Signal 
Lighting Devices, February 1977.
    (f) Two samples of each thickness of each plastic material are used 
in the heat test. Each sample is supported at the bottom, with at least 
51 mm. of the sample above the support, in the vertical position in such 
a manner that, on each side, the minimum uninterrupted area of exposed 
surface is not less than 3225 sq. mm. The samples are placed for two 
hours in a circulating air oven at 79  3 degrees C.
    (g) All outdoor exposure tests shall be 3 years in duration, whether 
the material is exposed or protected. Accelerated weathering procedures 
are not permitted.
    S5.1.3  No additional lamp, reflective device or other motor vehicle 
equipment shall be installed that impairs the effectiveness of lighting 
equipment required by this standard.
    S5.1.4  Each school bus shall be equipped with a system of either:
    (a) Four red signal lamps designed to conform to SAE Standard J887, 
School Bus Red Signal Lamps, July 1964, and installed in accordance with 
that standard; or
    (b) Four red signal lamps designed to conform to SAE Standard J887, 
School Bus Red Signal Lamps, July 1964, and four amber signal lamps 
designed to conform to that standard, except for their color, and except 
that their candlepower shall be at least 2\1/2\ times that specified for 
red signal lamps. Both red and amber lamps shall be installed in 
accordance with SAE Standard J887, except that:
    (i) Each amber signal lamp shall be located near each red signal 
lamp, at the same level, but closer to the vertical centerline of the 
bus; and
    (ii) The system shall be wired so that the amber signal lamps are 
activated only by manual or foot operation, and if activated, are 
automatically deactivated and the red signal lamps automatically 
activated when the bus entrance door is opened.
    S5.1.5  The color in all lamps, reflective devices, and associated 
equipment to which this standard applies shall comply with SAE Standard 
J578c, Color Specification for Electric Signal Lighting Devices, 
February 1977.
    S5.2  Other requirements.
    S5.2.1  The words ``it is recommended that,'' ``recommendations,'' 
or ``should be'' appearing in any SAE Standard or Recommended Practice 
referenced or subreferenced in this standard shall be read as setting 
forth mandatory requirements, except that the aiming pads on the lens 
face and

[[Page 225]]

the black area surrounding the signal lamp recommended in SAE Standard 
J887, School Bus Red Signal Lamps, July 1964, are not required.
    S5.2.2  The words ``Type 1 (5\3/4\'),'' ``Type 2 (5\3/4\'),'' ``Type 
2 (7'),'' ``Type 1A,'' ``Type 2A,'' and ``Type 2B'' appearing in any SAE 
Standard or Recommended Practice referenced or subreferenced in this 
standard shall also be read as setting forth requirements respectively 
for the following types of headlamps: 1C1, 2C1, 2D1, 1A1, 2A1, and 2B1.
    S5.3  Location of required equipment.
    S5.3.1  Except as provided in succeeding paragraphs of S5.3.1, and 
paragraphs S5.7 and S7, each lamp, reflective device, and item of 
associated equipment shall be securely mounted on a rigid part of the 
vehicle other than glazing that is not designed to be removed except for 
repair, in accordance with the requirements of Table I and Table III, as 
applicable, and in the location specified in Table II (multipurpose 
passenger vehicles, trucks, trailers, and buses 80 or more inches in 
overall width) or Table IV (all passenger cars, and motorcycles, and 
multipurpose passenger vehicles, truck, trailers and buses less than 80 
inches in overall width), as applicable.
    S5.3.1.1  Except as provided in S5.3.1.1.1, each lamp and reflective 
device shall be located so that it meets the visibility requirements 
specified in any applicable SAE Standard or Recommended Practice. In 
addition, no part of the vehicle shall prevent a parking lamp, taillamp, 
stop lamp, turn signal lamp, or backup lamp from meeting its photometric 
output at any applicable group of test points specified in Figures 1c 
and 2, or prevent any other lamp from meeting the photometric output at 
any test point specified in any applicable SAE Standard or Recommended 
Practice. However, if motor vehicle equipment (e.g., mirrors, snow 
plows, wrecker booms, backhoes, and winches) prevents compliance with 
this paragraph by any required lamp or reflective devices, an auxiliary 
lamp or device meeting the requirements of this paragraph shall be 
provided.
    S5.3.1.1.1  Clearance lamps may be located at a location other than 
on the front and rear if necessary to indicate the overall width of a 
vehicle, or for protection from damage during normal operation of the 
vehicle, and at such a location they need not meet the photometric 
output at any test point that is 45 degrees inboard.
    S5.3.1.2  On a truck tractor, the red rear reflex reflectors may be 
mounted on the back of the cab, at a minimum height not less than 4 
inches above the height of the rear tires.
    S5.3.1.3  On a trailer, the amber front side reflex reflectors and 
amber front side marker lamps may be located as far forward as 
practicable exclusive of the trailer tongue.
    S5.3.1.4  When the rear identification lamps are mounted at the 
extreme height of a vehicle, rear clearance lamps need not meet the 
requirement of Table II that they be located as close as practicable to 
the top of the vehicle.
    S5.3.1.5  The center of the lens referred to in SAE Standard J593c, 
Backup Lamps, February 1968, is the optical center.
    S5.3.1.6  On a truck tractor, clearance lamps mounted on the cab may 
be located to indicate the width of the cab, rather than the overall 
width of the vehicle.
    S5.3.1.7  On a motor vehicle on which the front turn signal lamp is 
less than 100 mm from the lighted edge of a lower beam headlamp, as 
measured from the optical center of the turn signal lamp, the multiplier 
applied to obtain the required minimum luminous intensities shall be 
2.5.
    S5.3.1.8 (a) Each high-mounted stop lamp installed in or on a 
vehicle subject to S5.1.1.27(a) shall be located as follows:
    (1) With its center at any place on the vertical centerline of the 
vehicle, including the glazing, as the vehicle is viewed from the rear.
    (2) If the lamp is mounted below the rear window, no portion of the 
lens shall be lower than 6 inches below the rear window on convertibles, 
or 3 inches on other passenger cars.
    (3) If the lamp is mounted inside the vehicle, means shall be 
provided to minimize reflections from the light of the lamp upon the 
rear window glazing that might be visible to the driver when viewed 
directly, or indirectly in the rearview mirror.

[[Page 226]]

    (b) The high-mounted stop lamps installed in or on a vehicle subject 
to S5.1.1.27(b) shall be located at the same height, with one vertical 
edge of each lamp on the vertical edge of the body section nearest the 
vertical centerline.
    S5.4  Equipment combinations. Two or more lamps, reflective devices, 
or items of associated equipment may be combined if the requirements for 
each lamp, reflective device, and item of associated equipment are met, 
with the following exceptions:
    (a) No high-mounted stop lamp shall be combined with any other lamp 
or reflective device, other than with a cargo lamp.
    (b) No high-mounted stop lamp shall be combined optically, as 
defined by SAE Information Report J387 Terminology--Motor Vehicle 
Lighting NOV87, with any cargo lamp.
    (c) No clearance lamp shall be combined optically, as defined by SAE 
Information Report J387 Terminology--Motor Vehicle Lighting NOV87, with 
any taillamp.
    S5.5  Special wiring requirements.
    S.5.5.1  Each vehicle shall have a means of switching between lower 
and upper beams that conforms to SAE Recommended Practice J564a Headlamp 
Beam Switching, April 1964 or to SAE Recommended Practice J565b, Semi-
Automatic Headlamp Beam Switching Devices, February 1969. Except as 
provided in S5.5.8, the lower and upper beams shall not be energized 
simultaneously except momentarily for temporary signalling purposes or 
during switching between beams.
    S5.5.2  Each vehicle shall have a means for indicating to the driver 
when the upper beams of the headlamps are on that conforms to SAE 
Recommended Practice J564a, April 1964, except that the signal color 
need not be red.
    S5.5.3 The taillamps on each vehicle shall be activated when the 
headlamps are activated in a steady-burning state, but need not be 
activated if the headlamps are activated at less than full intensity as 
permitted by paragraph S5.5.11(a).
    S5.5.4  The stop lamps on each vehicle shall be activated upon 
application of the service brakes. The high-mounted stop lamp on each 
vehicle shall be activated only upon application of the service brakes.
    S5.5.5  The vehicular hazard warning signal operating unit on each 
vehicle shall operate independently of the ignition or equivalent 
switch, and when activated, shall cause to flash simultaneously 
sufficient turn signal lamps to meet, as a minimum, the turn signal lamp 
photometric requirements of this standard.
    S5.5.6  Each vehicle equipped with a turn signal operating unit 
shall also have an illuminated pilot indicator. Failure of one or more 
turn signal lamps to operate shall be indicated in accordance with SAE 
Standard J588e, Turn Signal Lamps, September 1970, except when a 
variable-load turn signal flasher is used on a truck, bus, or 
multipurpose passenger vehicle 80 or more inches in overall width, on a 
truck that is capable of accommodating a slide-in camper, or on any 
vehicle equipped to tow trailers.
    S5.5.7  On each passenger car and motorcycle, and on each 
multipurpose passenger vehicle, truck, and bus of less than 80 inches 
overall width:
    (a) When the parking lamps are activated, the tail lamps, license 
plate lamps, and side marker lamps shall also be activated; and
    (b) When the headlamps are activated in a steady-burning state, the 
tail lamps, parking lamps, license plate lamps and side marker lamps 
shall also be activated.
    S5.5.8  On a motor vehicle equipped with a headlighting system 
designed to conform to the photometric requirements of Figure 15-1 or 
Figure 15-2, the lamps marked ``L'' or ``LF'' may be wired to remain 
permanently activated when the lamps marked ``U'' or ``UF'' are 
activated. On a motor vehicle equipped with an Integral Beam 
headlighting system meeting the photometric requirements of paragraph 
S7.4(a)(1)(ii), the lower beam headlamps shall be wired to remain 
permanently activated when the upper beam headlamps are activated. On a 
motor vehicle equipped with a headlighting system designed to conform to 
the requirements of Figure 17-1 or Figure 17-2, a lower beam light 
source may be wired to remain activated when an upper beam light source

[[Page 227]]

is activated if the lower beam light source contributes to compliance of 
the headlighting system with the upper beam requirements of Figure 17-1 
or Figure 17-2.
    S5.5.9 Except as provided in section S5.5.8, the wiring harness or 
connector assembly of each headlamp system shall be designed so that 
only those light sources intended for meeting lower beam photometrics 
are energized when the beam selector switch is in the lower beam 
position, and that only those light sources intended for meeting upper 
beam photometrics are energized when the beam selector switch is in the 
upper beam position.
    S5.5.10  The wiring requirements for lighting equipment in use are:
    (a) Turn signal lamps, hazard warning signal lamps, and school bus 
warning lamps shall be wired to flash;
    (b) Headlamps and side marker lamps may be wired to flash for 
signaling purposes;
    (c) A motorcycle headlamp may be wired to allow either its upper 
beam or its lower beam, but not both, to modulate from a higher 
intensity to a lower intensity in accordance with section S5.6;
    (d) All other lamps shall be wired to be steady-burning.
    S5.5.11(a) Any pair of lamps on the front of a passenger car, 
multipurpose passenger vehicle, truck, or bus, whether or not required 
by this standard, other than parking lamps or fog lamps, may be wired to 
be automatically activated, as determined by the manufacturer of the 
vehicle, in a steady burning state as daytime running lamps (DRLs) and 
to be automatically deactivated when the headlamp control is in any 
``on'' position, and as otherwise determined by the manufacturer of the 
vehicle, provided that each such lamp:
    (1) Has a luminous intensity not less than 500 candela at test point 
H-V, nor more than 3,000 candela at any location in the beam, when 
tested in accordance with Section S11 of this standard, unless it is:
    (i) A lower beam headlamp intended to operate as a DRL at full 
voltage, or at a voltage lower than used to operate it as a lower beam 
headlamp; or
    (ii) An upper beam headlamp intended to operate as a DRL, whose 
luminous intensity at test point H-V is not more than 7,000 candela, and 
which is mounted not higher than 864 mm above the road surface as 
measured from the center of the lamp with the vehicle at curb weight;
    (2) Is permanently marked ``DRL'' on its lens in letters not less 
than 3 mm high, unless it is optically combined with a headlamp;
    (3) Is designed to provide the same color as the other lamp in the 
pair, and that is one of the following colors as defined in SAE Standard 
J578 MAY88: White, white to yellow, white to selective yellow, selective 
yellow, or yellow;
    (4) If not optically combined with a turn signal lamp, is located so 
that the distance from its lighted edge to the optical center of the 
nearest turn signal lamp is not less than 100 mm, unless:
    (i) The luminous intensity of the DRL is not more than 2,600 candela 
at any location in the beam and the turn signal meets the requirements 
of S5.3.1.7; or
    (ii) (For a passenger car, multipurpose passenger vehicle, truck, or 
bus that is manufactured before October 1, 1995, and which uses an upper 
beam headlamp as a DRL as specified in paragraph S5.5.11(a)(1)(ii)) the 
luminous intensity of the DRL is greater than 2,600 candela at any 
location in the beam and the turn signal lamp meets the requirements of 
S5.3.1.7; or
    (iii) The DRL is optically combined with a lower beam headlamp and 
the turn signal lamp meets the requirements of S5.3.1.7; or
    (iv) The DRL is deactivated when the turn signal or hazard warning 
signal lamp is activated.
    (5) If optically combined with a turn signal lamp, is automatically 
deactivated as a DRL when the turn signal lamp or hazard warning lamp is 
activated, and automatically reactivated as a DRL when the turn signal 
lamp or hazard warning lamp is deactivated.
    (b) Any pair of lamps that are not required by this standard and are 
not optically combined with any lamps that are required by this 
standard, and which are used as DRLs to fulfill the specifications of 
S5.5.11(a), shall be

[[Page 228]]

mounted at the same height, which shall be not more than 1.067 m above 
the road surface measured from the center of the lamp on the vehicle at 
curb weight, and shall be symmetrically disposed about the vertical 
centerline of the vehicle.
    S5.6  [Reserved]
    S5.7  Conspicuity Systems. Each trailer of 80 or more inches overall 
width, and with a GVWR over 10,000 lbs., manufactured on or after 
December 1, 1993, except a trailer designed exclusively for living or 
office use, and each truck tractor manufactured on or after July 1, 
1997, shall be equipped with either retroreflective sheeting that meets 
the requirements of S5.7.1, reflex reflectors that meet the requirements 
of S5.7.2, or a combination of retroreflective sheeting and reflex 
reflectors that meet the requirement of S5.7.3.
    S5.7.1  Retroreflective sheeting. Each trailer or truck tractor to 
which S5.7 applies that does not conform to S5.7.2 or S5.7.3 shall be 
equipped with retroreflective sheeting that conforms to the requirements 
specified in S5.7.1.1 through S5.7.1.5.
    S5.7.1.1  Construction. Retroreflective sheeting shall consist of a 
smooth, flat, transparent exterior film with retroreflective elements 
embedded or suspended beneath the film so as to form a non-exposed 
retroreflective optical system.
    S5.7.1.2  Performance requirements. Retroreflective sheeting shall 
meet the requirements of ASTM D 4956-90, Standard Specification for 
Retroreflective Sheeting for Traffic Control, for Type V Sheeting, 
except for the photometric requirements, and shall meet the minimum 
photometric performance requirements specified in Figure 29.
    S5.7.1.3  Sheeting pattern, dimensions, and relative coefficients of 
retroreflection.
    (a) Retroreflective sheeting shall be applied in a pattern of 
alternating white and red color segments to the sides and rear of each 
trailer, and to the rear of each truck tractor, and in white to the 
upper rear corners of each trailer and truck tractor, in the locations 
specified in S5.7.1.4, and Figures 30-1 through 30-4, or Figure 31, as 
appropriate.
    (b) Except for a segment that is trimmed to clear obstructions, or 
lengthened to provide red sheeting near red lamps, each white or red 
segment shall have a length of 300 mm plus-minus 150 mm.
    (c) Neither white nor red sheeting shall represent more than two 
thirds of the aggregate of any continuous strip marking the width of a 
trailer, or any continuous or broken strip marking its length.
    (d) Retroreflective sheeting shall have a width of not less than 50 
mm (Grade DOT-C2), 75 mm (Grade DOT-C3), or 100 mm (Grade DOT-C4).
    (e) The coefficients for retroreflection of each segment of red or 
white sheeting shall be not less than the minimum values specified in 
Figure 29 of this standard for grades DOT-C2, DOT-C3, and DOT-C4.
    S5.7.1.4 Location. (a) Retroreflective sheeting shall be applied to 
each trailer and truck tractor as specified below, but need not be 
applied to discontinuous surfaces such as outside ribs, stake post 
pickets on platform trailers, and external protruding beams, or to items 
of equipment such as door hinges and lamp bodies on trailers and body 
joints, stiffening beads, drip rails and rolled surfaces on truck 
tractors.
    (b) The edge of white sheeting shall not be located closer than 75 
mm to the edge of the luminous lens area of any red or amber lamp that 
is required by this standard.
    (c) The edge of red sheeting shall not be located closer than 75 mm 
to the edge of the luminous lens area of any amber lamp that is required 
by this standard.
    S5.7.1.4.1  Rear of trailers. Retroreflective sheeting shall be 
applied to the rear of each trailer as follows, except that Element 2 is 
not required for container chassis or for platform trailers without 
bulkheads, and Element 3 is not required for trailers without underride 
protection devices:
    (a) Element 1: A strip of sheeting, as horizontal as practicable, in 
alternating colors across the full width of the trailer, as close to the 
extreme edges as practicable, and as close as practicable to not less 
than 375 mm and not more than 1525 mm above the road surface at the 
stripe centerline with the trailer at curb weight.
    (b) Element 2: Two pairs of white strips of sheeting, each pair 
consisting

[[Page 229]]

of strips 300 mm long of grade DOT-C2, DOT-C3, or DOT-C4, applied 
horizontally and vertically to the right and left upper contours of the 
body, as viewed from the rear, as close to the top of the trailer and as 
far apart as practicable. If the perimeter of the body, as viewed from 
the rear, is other than rectangular, the strips may be applied along the 
perimeter, as close as practicable to the uppermost and outermost areas 
of the rear of the body on the left and right sides.
    (c) Element 3: A strip of sheeting in alternating colors across the 
full width of the horizontal member of the rear underride protection 
device. Grade DOT-C2 material not less than 38 mm wide may be used.
    S5.7.1.4.2  Side of trailers. Retroreflective sheeting shall be 
applied to each side of a trailer as follows:
    (a) A strip of sheeting, as horizontal as practicable, in 
alternating colors, originating and terminating as close to the front 
and rear as practicable, as close as practicable to not less than 375 mm 
and not more than 1525 mm above the road surface at the stripe 
centerline with the trailer at curb weight, except that at the location 
chosen the strip shall not be obscured in whole or in part by other 
motor vehicle equipment or trailer cargo. The strip need not be 
continuous as long as not less than half of the length of the trailer is 
covered and the spaces are distributed as evenly as practicable.
    (b) If necessary to clear rivet heads or other similar obstructions, 
grade DOT-C2 retroreflective sheeting may be separated into two 25 mm 
wide strips of the same length and color, separated by a space of not 
more than 25 mm, and used in place of the retroreflective sheeting that 
would otherwise be applied.
    S5.7.1.4.3 Rear of truck tractors. Retroreflective sheeting shall be 
applied to the rear of each truck tractor as follows:
    (a) Element 1: Two strips of sheeting in alternating colors, each 
not less than 600 mm long, located as close as practicable to the edges 
of the rear fenders, mudflaps, or the mudflap support brackets, to mark 
the width of the truck tractor. The strips shall be mounted as 
horizontal as practicable, in a vertical plane facing the rear, on the 
rear fenders, on the mudflap support brackets, on plates attached to the 
mudflap support brackets, or on the mudflaps. Strips on mudflaps shall 
be mounted not lower than 300 mm below the upper horizontal edge of the 
mudflap. If the vehicle is certified with temporary mudflap support 
brackets, the strips shall be mounted on the mudflaps or on plates 
transferable to permanent mudflap support brackets. For a truck tractor 
without mudflaps, the strips may be mounted outboard of the frame on 
brackets behind the rear axle or on brackets ahead of the rear axle and 
above the top of the tires at unladen vehicle height, or they may be 
mounted directly or indirectly to the back of the cab as close to the 
outer edges as practicable, above the top of the tires, and not more 
than 1525 mm above the road surface at unladen vehicle height. If the 
strips are mounted on the back of the cab, no more than 25 percent of 
their cumulative area may be obscured by vehicle equipment as determined 
in a rear orthogonal view.
    (b) Element 2: Two pairs of white strips of sheeting, each pair 
consisting of strips 300 mm long, applied as horizontally and vertically 
as practicable, to the right and left upper contours of the cab, as 
close to the top of the cab and as far apart as practicable. No more 
than 25 percent of their cumulative area may be obscured by vehicle 
equipment as determined in a rear orthogonal view. If one pair must be 
relocated to avoid obscuration by vehicle equipment, the other pair may 
be relocated in order to be mounted symmetrically. If the rear window is 
so large as to occupy all the practicable space, the material may be 
attached to the edge of the window itself.
    S5.7.1.5  Certification. The letters DOT-C2, DOT-C3, or DOT-C4, as 
appropriate, constituting a certification that the retroreflective 
sheeting conforms to the requirements of S5.7.1.2, shall appear at least 
once on the exposed surface of each white or red segment of 
retroreflective sheeting, and at least once every 300 mm on 
retroreflective sheeting that is white only. The characters shall be not 
less than 3 mm high, and shall be permanently

[[Page 230]]

stamped, etched, molded, or printed in indelible ink.
    S5.7.2  Reflex Reflectors. Each trailer or truck tractor to which 
S5.7 applies that does not conform to S5.7.1 or S5.7.3 shall be equipped 
with reflex reflectors in accordance with this section.
    S5.7.2.1  (a) Each reflex reflector shall conform to SAE Standard 
J594f, Reflex Reflectors, January 1977.
    (b) Each red reflex reflector shall also provide, at an observation 
angle of 0.2 degree, not less than 300 millicandelas/lux at any light 
entrance angle between 30 degrees left and 30 degrees right, including 
an entrance angle of 0 degree, and not less than 75 millicandelas/lux at 
any light entrance angle between 45 degrees left and 45 degrees right.
    (c) Each white reflex reflector shall also provide at an observation 
angle of 0.2 degree, not less than 1250 millicandelas/lux at any light 
entrance angle between 30 degrees left and 30 degrees right, including 
an entrance angle of 0 degree, and not less than 300 millicandelas/lux 
at any light entrance angle between 45 degrees left and 45 degrees 
right.
    S5.7.2.2  Reflex reflectors shall be installed and located as 
specified below:
    (a) In the same locations and in the same length in which 
retroreflective sheeting is required by S5.7.1.4 to be applied in 
alternating colors, reflex reflectors shall be installed in a repetitive 
pattern of two or three white reflex reflectors alternating with two or 
three red reflex reflectors, with the center of each reflector not more 
than 100 mm from the center of each adjacent reflector.
    (b) In the same locations and in the same length in which white 
retroreflective sheeting is required by S5.7.1.4 to be installed, white 
reflex reflectors shall be installed, with the center of each white 
reflex reflector not more than 100 mm from the center of each adjacent 
reflector.
    S5.7.2.3  Certification. The exposed surface of each reflex 
reflector shall be marked with the letters DOT-C which constitutes a 
certification that the reflector conforms to all applicable requirements 
of Sec. 571.108 of this part. The certification shall be not less than 3 
mm high, and permanently stamped, etched, molded or printed in indelible 
ink.
    S5.7.3  Combination of sheeting and reflectors. Each trailer or 
truck tractor to which S5.7 applies that does not conform to S5.7.1 or 
S5.7.2, shall be equipped with retroreflective materials that meet the 
requirements of S5.7.1 except that reflex reflectors that meet the 
requirements of S5.7.2.1, and that are installed in accordance with 
S5.7.2.2, may be used instead of any corresponding element of 
retroreflective sheeting located as required by S5.7.1.4.
    S5.8  Replacement Equipment.
    S5.8.1  Except as provided below, each lamp, reflective device, or 
item of associated equipment manufactured to replace any lamp, 
reflective device, or item of associated equipment on any vehicle to 
which this standard applies, shall be designed to conform to this 
standard.
    S5.8.2  A Type C replacement headlamp designed to conform to the 
requirements of paragraph S7.3.2(a) through (d) of this standard may be 
marked ``1'' and ``2'' rather than ``1C1'' and ``2C1'' respectively. A 
Type D replacement headlamp designed to conform to S7.3.2(a) through (c) 
and S7.3.5(b) of this standard may be marked ``TOP'' or ``2'' rather 
than ``2D1''.
    S5.8.3  (a) Each stop lamp manufactured to replace a stop lamp that 
was designed to conform to SAE Standard J586b, Stop Lamps, June 1966, 
may also be designed to conform to J586b. It shall meet the photometric 
minimum candlepower requirements for Class A red turn signal lamps 
specified in SAE Standard J575d, Test for Motor Vehicle Lighting Devices 
and Components, August 1967. Each such lamp manufactured for use on a 
passenger car and on a multipurpose passenger vehicle, truck, trailer or 
bus less than 80 inches in overall width shall have an effective 
projected luminous area not less than 3\1/2\ square inches. If multiple 
compartment lamps or multiple lamps are used, the effective projected 
luminous area of each compartment or lamp shall be not less than 3\1/2\ 
square inches; however, the photometric requirements

[[Page 231]]

may be met by a combination of compartments or lamps.
    (b) Each stop lamp manufactured to replace a stop lamp that was 
designed to conform to SAE Standard J586c, Stop Lamps, August 1970, may 
also be designed to conform to J586c.
    S5.8.4  (a) Each turn signal lamp manufactured to replace a turn 
signal lamp that was designed to conform to SAE Standard J588d, Turn 
Signal Lamps, June 1966, may also be designed to conform to J588d, and 
shall meet the photometric minimum candlepower requirements for Class A 
turn signal lamps specified in SAE Standard J575d, Tests for Motor 
Vehicle Lighting Devices and Components, August 1967. Each such lamp 
manufactured for use on a passenger car and on a multipurpose passenger 
vehicle, truck, trailer or bus less than 80 inches in overall width 
shall have an effective projected luminous area not less than 3\1/2\ 
square inches. If multiple compartment lamps or multiple lamps are used, 
the effective projected luminous area of each compartment or lamp shall 
be not less than 3\1/2\ square inches; however, the photometric 
requirements may be met by a combination of compartments or lamps. Each 
such lamp manufactured for use on a multipurpose passenger vehicle, 
truck, trailer or bus 80 inches or more in overall width shall have an 
effective projected luminous area not less than 12 square inches.
    (b) Each turn signal lamp manufactured to replace a turn signal lamp 
that was designed to conform to SAE Standard J588e, Turn Signal Lamps, 
September 1970, may also be designed to conform to SAE Standard J588e.
    S5.8.5  Note 6 of Table 1 of SAE Standard J588e does not apply.
    S5.8.6. Instead of the photometric values specified in SAE Standards 
J586c and J588e, a stop lamp manufactured to replace a stop lamp 
designed to conform to SAE Standard J586c, or a turn signal lamp 
manufactured to replace a turn signal lamp designed to conform to SAE 
Standard J588e, shall meet the minimum percentage specified in Figure 1a 
of the corresponding minimum allowable value specified in Figure 1b. The 
maximum candlepower output of each such stop lamp or turn signal lamp 
shall not exceed that prescribed in Figure 1b. If the sum of the 
percentages of the minimum candlepower measured at the test points is 
not less than that specified for each group listed in Figure 1c, a stop 
lamp or turn signal lamp is not required to meet the minimum photometric 
value at each test point specified in SAE Standards J586c and J588e, 
respectively.
    S5.8.7  Note 6 of Table 1 in SAE Standard J588e, Turn Signal Lamps, 
September 1970, does not apply.
    S5.8.8  Each tail lamp manufactured to replace a tail lamp designed 
to conform to SAE Standard J585d, Tail Lamps, August 1970, may also be 
designed to conform to J585d.
    S5.8.9  Each turn signal lamp manufactured to replace a turn signal 
lamp (on a motorcycle) that was designed to conform to SAE Standard 
J588d, Turn Signal Lamps, June 1966, may also be designed to conform to 
J588d.
    S5.8.10  Unless otherwise specified in this standard, each lamp, 
reflective device, or item of associated equipment to which paragraph 
S5.8.1 applies may be labeled with the symbol DOT, which shall 
constitute a certification that it conforms to applicable Federal motor 
vehicle safety standards.
    S5.8.11  A replacement lens for a replaceable bulb headlamp or an 
integral beam headlamp that is not required to have a bonded lens shall 
be provided with a replacement seal in a package that includes 
instructions for the removal and replacement of the lens, the cleaning 
of the reflector, and the sealing of the replacement lens to the 
reflector assembly.
    S6.  Subreferenced SAE Standards and Recommended Practices
    S6.1  SAE Standards and Recommended Practices subreferenced by the 
SAE Standards and Recommended Practices included in Tables I and III and 
paragraphs S5.1.4 and S5.5.1 are those published in the 1970 edition of 
the SAE Handbook, except that the SAE standard referred to as ``J575'' 
is J575e, Tests for Motor Vehicle Lighting Devices and Components, 
August 1970, for stoplamps designed to conform to SAE Standards J586c, 
J586 FEB84, and J1398 MAY85; for tail lamps designed to conform to SAE 
Standards J585d and J585e; for turn signal lamps designed to

[[Page 232]]

conform to SAE Standards J588e, J588 NOV84, and J1395 APR85; and for 
high-mounted stoplamps designed to conform to SAE Recommended Practice 
J186a. The reference in J585e to J256 does not apply. For headlamps 
other than motorcycle headlamps, unless otherwise specified in this 
standard, the version of SAE Standard J575 is DEC88, and the version of 
SAE Standard J602 is OCT80.The definition of ``optically combined'' in 
SAE Information Report J387 Terminology--Motor Vehicle Lighting NOV 87, 
applies to that term as used in J586c and J588e.
    S6.2  Requirements of SAE Standards incorporated by reference in 
this standard, other than J576b and J576c, do not include test for 
warpage of devices with plastic lenses.
    S6.3  The term ``effective projected luminous lens area'' has the 
same meaning as the term ``functional lighted lens area'' in any SAE 
Standard or Recommended Practice incorporated by reference or by 
subreference in this standard.
    S7  Headlighting requirements.
    S7.1  Each passenger car, multipurpose passenger vehicle, truck, and 
bus manufactured on or after September 1, 1994, shall be equipped with a 
headlighting system designed to conform to the requirements of S7.3, 
S7.4, S7.5, or S7.6.
    S7.2(a)  The lens of each original and replacement equipment 
headlamp, and of each original equipment and replacement equipment beam 
contributor shall be marked with the symbol ``DOT'' either horizontally 
or vertically which shall constitute the certification required by 49 
U.S.C. 30115.
    (b) The lens of each headlamp and of each beam contributor 
manufactured on or after December 1, 1989, to which paragraph (a) of 
this section applies shall be marked with the name and/or trademark 
registered with the U.S. Patent and Trademark Office of the manufacturer 
of such headlamp or beam contributor, or its importer, or any 
manufacturer of a vehicle equipped with such headlamp or beam 
contributor. Nothing in this paragraph shall be construed to authorize 
the marking of any such name and/or trademark by one who is not the 
owner, unless the owner has consented to it.
    (c) Each headlamp and beam contributor to which paragraph (a) of 
this section applies shall be marked with its voltage and with its part 
or trade number.
    (d) Unless stated otherwise, a tolerance of +/- \1/4\ degree is 
permitted during photometric performance tests for any headlamp or beam 
contributor, and the test points 10U-90U shall be measured from the 
normally exposed surface of the lens face. The term `aiming plane' means 
`aiming reference plane' or an appropriate vertical plane defined by the 
manufacturer as required in S7.7.1.
    (e) Each replacement headlamp lens with seal, provided in accordance 
with S5.8.11, when installed according to the lens manufacturer's 
instructions on an integral beam or replaceable bulb headlamp, shall not 
cause the headlamp to fail to comply with any of the requirements of 
this standard. Each replacement headlamp lens shall be marked with the 
symbol ``DOT'', either horizontally or vertically, to constitute 
certification. Each replacement headlamp lens shall also be marked with 
the manufacturer and the part or trade number of the headlamp for which 
it is intended, and with thename and/or trademark of the lens 
manufacturer or importer that is registered with the U.S. Patent and 
Trademark Office. Nothing in this paragraph

[[Page 233]]

shall be construed to authorize the marking of any such name and/or 
trademark by one who is not the owner, unless the owner has consented to 
it.
    S7.3  Sealed beam headlighting system. A sealed beam headlighting 
system shall be designed to meet the requirements of one of the 
following subparagraphs of S7.3.2 through S7.3.9. In references to 
Figures in SAE J1383 APR85 for headlamp dimensional requirements, only 
those dimensions marked ``I'' for interchangeability are applicable.
    S7.3.1  The lens of each sealed beam headlamp designed to conform to 
S7.3.2 through S7.3.6 shall be marked according to paragraph 5.4.3 
through 5.4.5 of SAE Standard J1383 APR85 Performance Requirements for 
Motor Vehicle Headlamps.
    S7.3.2  Type A headlighting system. A Type A headlighting system 
consists of two Type 1A1 and two Type 2A1 headlamps and associated 
hardware, which are designed to conform to the following requirements:
    (a) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps, with the following exceptions:
    (1) Paragraphs 1, 2.1.2, 2.8.2, 3, 4.1.1, 4.1.2, 4.1.3, 4.4, 4.6, 
4.8 through 4.18, 5.1.1, 5.1.3, 5.1.5, 5.1.7 through 5.1.16, 5.2.2, 
5.3.5, 5.4.1, 5.4.2, and 6 through 6.4 do not apply.
    (2) In paragraph 5.3.2, the words ``and retaining rings'' are 
omitted.
    (3) In paragraphs 4.5.2 and 5.1.6, the words ``Figure 28-1 or 28-2 
of Motor Vehicle Safety Standard No. 108'' are substituted for ``Table 
3.''
    (b) SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly (except 
paragraphs 3, 4.1.1, 5.1.1.1, 5.1.2.3, and the second sentence of 
5.1.6); in 5.2.1, delete the words ``and retaining rings;'' the correct 
reference is SAE J1383 Figures 6, 9, 12 and 14.
    (c) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (d) The maximum wattage at 12.8 volts (design voltage): Single 
filament headlamp, 55 watts on the upper beam; dual filament headlamp, 
43 watts on the upper beam and 65 watts on the lower beam.
    S7.3.3  Type B headlighting system. A Type B headlighting system 
consists of two Type 2B1 headlamps and associated hardware, which are 
designed to conform to the following requirements:
    (a) The requirements of paragraph S7.3.2 (a) through (c), except 
that the words ``Figure 27-1 or Figure 27-2'' are substituted for 
``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.
    S7.3.4  Type C headlighting system. A Type C headlighting system 
consists of two Type 1C1 and two Type 2C1 headlamps and associated 
hardware, which are designed to conform to the requirements of paragraph 
S7.3.2 (a) through (d), except that the words ``Figure 28-1 or Figure 
28-2'' are substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    S7.3.5  Type D headlighting system. (a) A Type D headlighting system 
consists of two Type 2D1 headlamps and associated hardware, which are 
designed to conform to the requirements of paragraph S7.3.2 (a) through 
(c), except that the words ``Figure 27-1 or Figure 27-1'' are 
substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 65 watts on 
upper beam, and 55 watts on lower beam.
    S7.3.6  Type E headlighting system. (a) A Type E headlighting system 
consists of two Type 2E1 headlamps and associated hardware, which are 
designed to conform to the requirements of paragraph S7.3.2 (a) through 
(c), except that the words ``Figure 27-1 or Figure 27-1'' are 
substituted for ``Table 3'' in paragraph S7.3.2(a)(3).
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
upper beam, and 60 watts on lower beam.
    S7.3.7  Type F headlighting system. A Type F headlighting system 
consists of two Type UF and two Type LF headlamps and associated 
hardware, which are designed to conform to the following requirements:

[[Page 234]]

    (a) Figures 11, 12, 13, and 14 as appropriate.
    (b) The photometric requirements of Figure 15-1 or Figure 15-2 of 
this standard. A reaim tolerance of +/- \1/4\ degree is allowed for any 
test point on the Type LF lamp when tested alone, but is not allowed on 
the Type UF lamp when tested alone. For the test point 10U-90U, 
measurement shall be from the normally exposed surface of the lens face.
    (c) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps, Sections 2.4, 2.5, 2.6, 4.1, 4.1.4, and 5.1.4.
    (d) When tested in accordance with section (c), the mounted assembly 
(either Type UF or Type LF headlamps, respective mounting ring, aiming 
ring, and aim adjustment mechanism) shall be designed to conform to the 
requirements of Figure 15-1 or Figure 15-2 for upper or lower beams 
respectively without reaim when any conforming Type UF or LF headlamp is 
tested and replaced by another conforming headlamp of the same Type.
    (e) SAE J580 DEC86 Sealed Beam Headlamp Assembly with the following 
exceptions:
    (1) Section 2.2 Mounting Ring reads: ``the adjustable ring upon 
which the sealed beam unit is mounted and which forces the sealed beam 
unit to seat against the aiming ring when assembled into a sealed beam 
assembly.''
    (2) The definition ``2.3 Aiming Ring'' reads: ``The clamping ring 
that retains the sealed beam unit against the mounting ring, and that 
provides an interface between the unit's aiming/seating pads and the 
headlamp aimer adapter (locating plate).''
    (3) Section 4.1.1 Vibration Test does not apply.
    (4) Sections 5.1.1.1 and 5.1.2.3 do not apply.
    (5) Section 5.1.2.1 reads: ``When the headlamp assembly is tested in 
the laboratory, a minimum aiming adjustment of +/- 2.5 degrees shall be 
provided in the horizontal plane and +/- 4 degrees in the vertical 
plane.''
    (6) Section 5.1.2.2 concludes: ``* * * through an angle of +/- 2.5 
degrees and +/- 4 degrees respectively.''
    (7) Section 5.1.6 is retitled ``Retaining Ring/Aiming Ring Tests''. 
The phrase ``92 x 150 mm * * * 0.340 in (8.6 mm)'' is added at the end 
of the table for flange thickness. The sentence beginning ``The 
fastening means'' is deleted.
    (8) Figures 2, 3, and 4 do not apply, and the reference to them in 
section 4.5 is replaced by ``Figure 16, Deflectometer, of Federal Motor 
Vehicle Safety Standard No. 108.''
    (f) A lens for a Type F headlamp incorporating an upper beam shall 
be labeled ``UF''. A lens for a Type F headlamp incorporating a lower 
beam shall be labeled ``LF''. The face of letters, numbers, or other 
symbols molded on the surface of the lens shall not be raised more than 
0.020 in (0.5 mm), and shall be placed no closer to the geometric center 
of the lens than 1.375 in. (35 mm). The marking shall be molded in the 
lens and shall be not less than \1/4\ in. (6.35 mm) in size.
    (g) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.
    (h) Type F headlamps may be mounted on common or parallel seating 
and aiming planes to permit simultaneous aiming of both headlamps 
provided that when tested with any conforming Type UF and LF headlamps 
according to Section S10:
    (1) The assembly (consisting of the Type UF and LF headlamps, 
mounting rings, the aiming/seating rings, and aim adjustment mechanism) 
shall be designed to conform to the test points of Figure 15-1 or Figure 
15-2.
    (2) There shall be no provision for adjustment between the common or 
parallel aiming and seating planes of the two lamps.
    (i) After a vibration test conducted in accordance with paragraph 
S8.8, the Type F system shall show no evidence of loose or broken parts, 
other than filaments, visible without magnification.
    S7.3.8  Type G headlighting system. A Type G headlamp system 
consists of two Type 1G1 headlamps and two Type 2G1 headlamps each of 
which is designed to conform to the following requirements:
    (a) Figures 18 and 21.
    (b) SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps (except paragraphs 1, 2.1.2,

[[Page 235]]

2.8.2,3, 4.1.1, 4.1.2, 4.1.3, 4.4, 4.6, 4.8 through 4.18, 5.1.1, 5.1.3, 
5.1.5 through 5.1.16, 5.2.2, 5.3.5 through 6.4). In paragraph 5.3.2 the 
words ``and retaining rings'' are omitted. In paragraph 4.5.2, the words 
``either Figure 28-1, or Figure 28-2'' are substituted for ``Table 3''.
    (c) SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly, with the 
following exceptions:
    (1) Sections 2.2, 2.3, 4.1.1, 5.1.1.1, 5.1.2.3, 5.1.6, and 5.2.1.
    (2) Section 4.5 reads: ``Torque Deflection Test. The headlamp 
assembly to be tested shall be mounted in the designed vehicle position 
and set at nominal aim (0.0). A special adapter (Figure 22) for the 
deflectometer (Figure 16) shall be clamped onto the headlamp assembly. A 
torque of 20 in.-lbs (2.25 N-m) shall be applied to the headlamp 
assembly through the deflectometer, and a reading on the thumb wheel 
shall be taken. The torque shall be removed and a second reading on the 
thumb wheel shall be taken.''
    (d) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (e) The maximum wattage at 12.8 volts (design voltage) for the 1G1 
and 2G1 upper beam is 55 watts and 43 watts respectively; for the 2G1 
lower beam, 65 watts.
    (f) A lens for a Type G headlamp incorporating only part of an upper 
beam shall be labeled 1G1. A lens for a Type G headlamp incorporating 
both part of an upper beam and a lower beam shall be labeled 2G1. The 
face of letters, numbers, or other symbols molded on the surface of the 
lens shall not be raised more than 0.020 in. (0.5 mm.), and shall be 
placed no closer to the geometric center of the lens than 1.375 in. (35 
mm). The marking shall be molded in the lens and shall be not less than 
\1/4\ in. (6.35 mm) in size.
    S7.3.9  Type H headlighting System. A Type H headlamp system 
consisting of two Type 2H1 headlamps and associated hardware, which are 
designed to conform to the following requirements:
    (a) Paragraphs S7.3.8 (a) through (d) except that in paragraph 
S7.3.8(b), the words ``Figure 27-1 or Figure 27-2'' are substituted for 
``Table 3.''
    (b) The maximum wattage at 12.8 volts (design voltage): 70 watts on 
the upper beam and 60 watts on the lower beam.
    (c) A lens for a Type H headlamp incorporating both an upper beam 
and a lower beam shall be labeled 2H1. The face of letters, numbers, or 
other symbols molded on the surface of the lens shall not be raised more 
than 0.020 in. (0.5 mm), and shall be placed no closer to the geometric 
center of the lens than 1.375 in. (35 mm). The marking shall be molded 
in the lens and shall be not less than \1/4\ in. (6.35 mm) in size.
    S7.4  Integral Beam Headlighting System. An integral beam 
headlighting system shall be designed to conform to the following 
requirements:
    (a) The system shall provide in total not more than two upper beams 
and two lower beams of the performance described in one of the 
following:
    (1) In a four-headlamp system, each upper beam headlamp and each 
lower beam headlamp shall be designed to conform to the photometrics of 
one of the following:
    (i) Figure 15-1 or Figure 15-2; or
    (ii) Figure 15-1 or Figure 15-2, except that the upper beam test 
value at 2.5 D-V and 2.5D-12R and 12L, shall apply to the lower beam 
headlamp and not to the upper beam headlamp, and the upper beam test 
point value at 1.5D-9R and 9L shall be 1000; or
    (iii) Figure 28-1 or Figure 28-2.
    (2) In a two-headlamp system, each headlamp shall be designed to 
conform to the photometrics of one of the following:
    (i) Figure 17-1 or Figure 17-2; or
    (ii) Figure 27-1 or Figure 27-2.
    (3) In a system in which there is more than one beam contributor 
providing a lower beam, and/or more than one beam contributor providing 
an upper beam, each beam contributor in the system shall be designed to 
meet only the photometric performance requirements of Figure 15-1 or 
Figure 15-2 based upon the following mathematical expression: conforming 
test point value = 2 (Figure 15-1 or Figure15-2 test point value)/total 
number of lower or upper beam contributors for the vehicle, as 
appropriate. The system shall be designed to use the Vehicle Headlamp

[[Page 236]]

Aiming Device (VHAD) as specified in paragraph S7.8.5.2.
    (b) The lower and upper beams shall be provided only as follows 
where each headlamp contains two light sources:
    (1) The lower beam shall be provided either by the most outboard 
light source (or the uppermost if arranged vertically), or by all light 
sources.
    (2) The upper beam shall be provided either by the most inboard 
light source (or the lowermost if arranged vertically), or by all light 
sources.
    (c) The lower and upper beams shall be provided only as follows 
where each headlamp contains a single light source:
    (1) The lower beam shall be provided by the most outboard headlamps 
(or the uppermost if arranged vertically), and the lens of each such 
headlamp shall be permanently marked with the letter ``L.''
    (2) The upper beam shall be provided by the most inboard headlamps 
(or lowermost if arranged vertically), and the lens of each such 
headlamp shall be permanently marked with the letter ``U.''
    (d) A headlamp or beam contributor designed to meet paragraphs 
(a)(1) or (a)(3) of this section and S7.8.5.1 may be mounted in an 
assembly to permit simultaneous aiming of the beam(s) contributors, 
provided that with any complying contributor the assembly complete with 
all lamps meets the appropriate photometric requirements when tested in 
accordance with S10.
    (e) Each integral beam headlamp system shall be designed to conform 
to the applicable photometric performance requirements in paragraph (a) 
of this section when tested in accordance with sections 4.1 and 4.1.4 of 
SAE Standard J1383 APR85 with any headlamps intended for use in such 
system. The term ``aiming plane'' means ``aiming reference plane,'' or 
an appropriate vertical plane defined by the manufacturer as required in 
paragraph S7.8.1.
    (f) The system shall be aimable in accordance with the requirements 
of paragraph S7.8. A system that incorporates any headlamp or beam 
contributor that does not have a VHAD as an integral and indivisible 
part of the headlamp or beam contributor shall be designed so that the 
appropriate photometrics are met when any correctly aimed and 
photometrically conforming headlamp or beam contributor is removed from 
its mounting and aiming mechanism, and is replaced without reaim by any 
conforming headlamp or beam contributor of the same type.
    (g) A headlamp with a glass lens need not meet the abrasion 
resistance test (S8.2). A headlamp with a nonreplaceable glass lens need 
not meet the chemical resistance test (S8.3). A headlamp with a glass 
lens and a non-plastic reflector need not meet the internal heat test of 
paragraph S8.6.2. A headlamp of sealed design as verified in paragraph 
S8.9 (sealing) need not meet the corrosion (S8.4), dust (S8.5), or 
humidity (S8.7) tests; however, the headlamp shall meet the requirements 
of paragraphs 4.1, 4.1.2, 4.4 and 5.1.4 for corrosion and connector of 
SAE Standard J580 DEC86 Sealed Beam Headlamp Assembly. An integral beam 
headlamp may incorporate light sources that are replaceable and are used 
for purposes other than headlighting.
    (h) When tested according to any of the procedures indicated in 
subparagraphs (1) through (7) each headlamp or beam contributor shall 
meet the appropriate requirement:
    (1) After an abrasion test conducted in accordance with paragraph 
S8.2, the headlamp shall meet the photometric requirements applicable to 
the headlamp system under test.
    (2) After the chemical resistance tests of paragraphs S8.3 and 
S8.10.1, the headlamp shall have no surface deterioration, coating 
delamination, fractures, deterioration of bonding or sealing materials, 
color bleeding or color pickup visible without magnification, and the 
headlamp shall meet the photometric requirements applicable to the 
headlamp system under test.
    (3) After a corrosion test conducted in accordance with paragraph 
S8.4, there shall be no evidence of external or internal corrosion or 
rust visible without magnification. After a corrosion test conducted in 
accordance with paragraph S8.10.2, there shall be no evidence of 
corrosion or rust visible without magnification on any part of the 
headlamp reflector that receives light from a headlamp light source, on 
any metal light or heat shield assembly, or

[[Page 237]]

on a metal reflector of any other lamp not sealed from the headlamp 
reflector. Loss of adhesion of any applied coating shall not occur more 
than 0.l25 in. (3.2 mm) from any sharp edge on the inside or outside. 
Corrosion may occur on terminals only if the current produced during the 
test of paragraph S8.4(c) is not less than 9.7 amperes.
    (4) After a dust test conducted in accordance with paragraph S8.5, 
the headlamp shall meet the photometric requirements applicable to the 
headlamp system under test.
    (5) The headlamp shall first meet the requirements of subparagraph 
(i) and then those of subparagraph (ii).
    (i) After a temperature cycle test conducted in accordance with 
paragraph S8.6.1, the headlamp shall show no evidence of delamination, 
fractures, entry of moisture or deterioration of bonding material, color 
bleeding, warpage or deformation visible without magnification or lens 
warpage greater than .118 in. (3 mm) when measured parallel to the 
optical axis at the point of intersection of the axis of each light 
source with the exterior surface of the lens, and it shall meet the 
photometric requirements applicable to the headlamp system under test.
    (ii) After an internal heat test conducted in accordance with 
paragraph S8.6.2, there shall be no lens warpage greater than .118 in. 
(3 mm) when measured parallel to the optical axis at the point of 
intersection of the axis of each light source with the exterior surface 
of the lens, and it shall meet the photometric requirements applicable 
to the headlamp system under test.
    (6) After a humidity test conducted in accordance with paragraph 
S8.7, the inside of the headlamp shall show no evidence of delamination 
or moisture, fogging or condensation visible without magnification.
    (7) After a vibration test conducted in accordance with paragraph 
S8.8, there shall be no evidence of loose or broken parts, other than 
filaments, visible without magnification.
    (i) An integral beam headlamp may incorporate replaceable light 
sources that are used for purposes other than headlighting.
    S7.5  Replaceable bulb headlamp system. Each replaceable bulb 
headlamp system shall be designed to conform to the following 
requirements:
    (a) The system shall provide only two lower beams and two upper 
beams and shall incorporate not more than two replaceable light sources 
in each headlamp.
    (b) The photometrics as specified in subparagraphs (c) through (e) 
of this paragraph (depicted in Figure 26), using any light source of the 
Type intended for use in such system.
    (c) The test requirements of sections 4.1, 4.1.4, and performance 
requirements of section 5.1.4 of SAE J1383 APR85, using the photometric 
requirements specified in subparagraphs (d) and (e) of this paragraph.
    (d) For a headlamp equipped with dual filament replaceable light 
sources, the following requirements apply:
    (1) Headlamps designed to conform to the external aiming 
requirements of S7.8.5.1 shall have no mechanism that allows adjustment 
of an individual light source, or, if there are two light sources, 
independent adjustments of each reflector.
    (2) The lower and upper beams of a headlamp system consisting of two 
lamps, each containing either one or two replaceable light sources, 
shall be provided as follows:
    (i) The lower beam shall be provided in one of the following ways:
    (A) By the outboard light source (or upper one if arranged 
vertically) designed to conform to:
    (1) The lower beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 17-1 or Figure 17-2, if the light sources in the headlamp system 
are any combination of dual filament replaceable light sources other 
than Type HB2; or
    (2) The lower beam requirements of Figure 17-1 or Figure17-2 if the 
light sources are Type HB2, or any dual filament replaceable light 
sources that include Type HB2; or
    (B) By both light sources in the headlamp, designed to conform to 
the lower beam requirements specified above.
    (ii) The upper beam shall be provided in one of the following ways:
    (A) By the inboard light source (or the lower one if arranged 
vertically) designed to conform to:

[[Page 238]]

    (1) The upper beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 17-1 or Figure 17-2 if the light sources in the headlamp system 
are any combination of dual filament replaceable light sources that 
include Type HB2, or
    (2) The upper beam requirements of figure 17-1 or Figure 17-2 if the 
light sources are type HB2, or any combination of replaceable light 
sources that include Type HB2; or
    (B) By both light sources in the headlamp, designed to conform to 
the upper beam requirements specified above.
    (3) The lower and upper beams of a headlamp system consisting of 
four lamps, each containing a single replaceable light source, shall be 
provided as follows:
    (i) The lower beam shall be provided by the outboard lamp (or the 
upper one if arranged vertically), designed to conform to:
    (A) The lower beam requirements of Figure 27-1 or Figure 27-2, or 
Figure 15-1 or Figure 15-2 if the light sources in the headlamp system 
are any combination of dual filament light sources other than Type HB2; 
or
    (B) The lower beam requirements of Figure 15-1 or Figure 15-2 if the 
light sources are Type HB2, or dual filament light sources other than 
Type HB1 and HB5. The lens of each such headlamp shall be marked with 
the letter ``L''.
    (ii) The upper beam shall be provided by the inboard lamp (or the 
lower one if arranged vertically), designed to conform to:
    (A) The upper beam requirements of Figure 27-1 or Figure 27-2, of 
Figure 15-1 or Figure 15-2 if the light sources in the headlamp system 
are any combination of dual filament light sources other than Type HB2; 
or
    (B) The upper beam requirements of Figure 15-1 or Figure 15-2 if the 
light sources are Type HB2, or dual filament light sources other tha 
Type HB1 and Type HB5. The lens of each such headlamp shall be marked 
with the letter ``u''.
    (e) The following requirements apply to a headlamp system equipped 
with any combination of replaceable light sources except those specified 
in paragraph (d) of this section:
    (1) Headlamps designed to conform to the external aim requirements 
of S7.8.5.1 shall have no mechanism that allows adjustment of an 
individual light source, or, if there are two replaceable light sources, 
independent adjustment of each reflector.
    (2) The lower and upper beams of a headlamp system consisting of two 
lamps, each containing a combination of two replaceable light sources 
(other than those combinations specified in subparagraph (d) of this 
paragraph) shall be provided only as follows:
    (i) The lower beam shall be provided in one of the following ways:
    (A) By the outboard light source (or the uppermost if arranged 
vertically) designed to conform to the lower beam requirements of Figure 
17-1 or Figure 17-2; or
    (B) By both light sources, designed to conform to the lower beam 
requirements of Figure 17-1 or Figure 17-2.
    (ii) The upper beam shall be provided in one of the following ways:
    (A) By the inboard light source (or the lower one if arranged 
vertically) designed to conform to the upper beam requirements of Figure 
17-1 or Figure 17-2; or
    (B) By both light sources, designed to conform to the upper beam 
requirements of Figure 17-1 or Figure 17-2.
    (3) The lower and upper beams of a headlamp system consisting of 
four lamps, using any combination of replaceable light sources except 
those specified in subparagraph (d) of this paragraph, each lamp 
containing only a single replaceable light source, shall be provided 
only as follows:
    (i) The lower beam shall be produced by the outboard lamp (or upper 
one if arranged vertically), designed to conform to the lower beam 
requirements of Figure 15-1 or Figure 15-2. The lens of each headlamp 
shall be permanently marked with the letter ``L''.
    (ii) The upper beam shall be produced by the inboard lamp (or lower 
one of arranged vertically), designed to conform to the upper beam 
requirements of Figure 15-1 or Figure 15-2. The lens of each headlamp 
shall be permanently marked with the letter ``U''.
    (f) Each lens reflector unit manufactured as replacement equipment 
shall

[[Page 239]]

be designed to conform to the requirements of subparagraphs (d) and (e) 
of this paragraph when any replaceable light source appropriate for such 
unit is inserted in it.
    (g) The lens of each replaceable bulb headlamp shall bear permanent 
marking in front of each replaceable light source with which it is 
equipped that states the HB Type, if the light source is designed to 
conform to subparagraphs (a) through (e) of paragraph S7.7, or the bulb 
marking/ designation provided in compliance with Section VIII of 
appendix A of part 564, if the light source is designed to conform to 
subparagraph (g) of paragraph S.7.7 No marking need be provided if the 
only replaceable light source in the headlamp is Type HB1.
    (h) The system shall be aimable in accordance with paragraph S7.8.
    (i) Each headlamp shall meet the requirements of paragraphs S7.4(g) 
and (h), except that the sentence in paragraph (g) to verify sealing 
according to section S8.9 Sealing does not apply.
    (j) A replaceable bulb headlighting system may incorporate 
replaceable light sources that are used for purposes other than 
headlighting.
    S7.6  Combination Headlighting System. A combination headlighting 
system shall be comprised of either two headlamps designed to conform to 
the requirements of S7.6.2, or any combination of four headlamps 
designed to conform to the requirements of S7.3.7, S7.4, or S7.5 of this 
standard.
    S7.6.1  A combination headlighting system shall provide in total not 
more than two upper beams and two lower beams. When installed on a motor 
vehicle, the headlamps (or parts thereof) that provide the lower beam 
shall be of the same type, and provide a symmetrical effective projected 
luminous lens area when illuminated.
    S7.6.2  In a combination headlighting system consisting of two 
headlamps, each headlamp shall be designed to conform to Figure 17-1 or 
Figure 17-2 and shall be a combination of two different headlamps chosen 
from the following types: a Type F headlamp, an integral beam headlamp, 
and a replaceable bulb headlamp.
    S7.6.2.1  That part of the headlamp which contains an integral beam 
headlamp, or beam contributors used in place of a single headlamp, shall 
be designed to conform to the requirements of S7.4 (c) through (h) of 
this standard.
    S7.6.2.2  That part of the headlamp which contains a replaceable 
bulb headlamp shall be designed to conform to the requirements of S7.5 
of this standard.
    S7.6.3  In a combination headlighting system consisting of four 
headlamps, each headlamp shall be designed to conform to Figure 15-1 or 
Figure 15-2, or if an integral beam headlamp in which there is more than 
one beam contributor, designed to conform to Figure 15-1 or Figure 15-2 
in the manner required by S7.4(a)(3) of this standard.
    S7.7  Replaceable light sources. Each replaceable light source shall 
be designed to conform to the dimensions and electrical specifications 
furnished with respect to it pursuant to part 564 of this chapter, and 
shall conform to the following requirements:
    (a) If other than an HB Type, the light source shall be marked with 
the bulb marking designation specified for it in compliance with 
Appendix A or Appendix B of part 564 of this chapter. The base of each 
HB Type shall be marked with its HB Type designation. Each replaceable 
light source shall also be marked with the symbol DOT and with a name or 
trademark in accordance with paragraph S7.2.
    (b) The measurement of maximum power and luminous flux that is 
submitted in compliance with Appendix A or Appendix B of part 564 of 
this chapter shall be made in accordance with this paragraph. The 
filament or discharge arc shall be seasoned before measurement of 
either. Measurement shall be made with the direct current test voltage 
regulated within one quarter of one percent. The test voltage shall be 
12.8v. The measurement of luminous flux shall be in accordance with the 
Illuminating Engineering Society of North America, LM-45, IES Approved 
Method for Electrical and Photometric Measurements of General Service 
Incandescent Filament Lamps (April 1980); shall be made with the black 
cap installed on Type HB1, Type HB2, Type HB4, and Type HB5, and on any 
other

[[Page 240]]

replaceable light source so designed; and shall be made with the 
electrical conductor and light source base shrouded with an opaque white 
cover, except for the portion normally located within the interior of 
the lamp housing. The measurement of luminous flux for the Types HB3 and 
HB4 shall be made with the base covered with a white cover as shown in 
the drawings for Types HB3 and HB4 filed in Docket No. 93-11. (The white 
cover is used to eliminate the likelihood of incorrect lumen measurement 
that will occur should the reflectance of the light source base and 
electrical connector be low).
    (c) The capsule, lead wires and/or terminals, and seal on each Type 
HB1, Type HB3, Type HB4, and Type HB5 light source, and on any other 
replaceable light source which uses a seal, shall be installed in a 
pressure chamber as shown in Figure 25 so as to provide an airtight 
seal. The diameter of the aperture in Figure 25 on a replaceable light 
source (other than an HB Type) shall be that dimension furnished for 
such light source in compliance with Appendix A or Appendix B of part 
564 of this chapter. An airtight seal exists when no air bubbles appear 
on the low pressure (connector) side after the light source has been 
immersed in water for one minute while inserted in a cylindrical 
aperture specified for the light source, and subjected to an air 
pressure of 70kPa (10 P.S.I.G.) on the glass capsule side.
    (d) The measurement of maximum power and luminous flux that is 
submitted in compliance with section VII of Appendix A of part 564 of 
this chapter, or section IV of Appendix B of part 564 of this chapter, 
shall be made with the direct current test voltage regulated within one 
quarter of one percent. The test voltage shall be 12.8v. The measurement 
of luminous flux shall be in accordance with the Illuminating 
Engineering Society of North America, LM 45; IES Approved Method for 
Electrical and Photometric Measurements of General Service Incandescent 
Filament Lamps (April 1980). The filament of a replaceable light source 
shall be seasoned before such measurement. The white covers are used to 
eliminate the likelihood of incorrect lumens measurement that will occur 
should the reflectance of the light source base and electrical connector 
be low.
    (1) For a light source with a resistive element type filament, 
seasoning of the light source shall be made in accordance with section 
2.9 of SAE Standard J1383 APR85 Performance Requirements for Motor 
Vehicle Headlamps. The measurement of luminous flux shall be made with 
the black cap installed on Type HB1, Type HB2, Type HB4, and Type HB5 
light sources, and on any other replaceable light source so designed, 
and shall be made with the electrical conductor and light source base 
shrouded with an opaque white colored cover, except for the portion 
normally located within the interior of the lamp housing. The 
measurement of luminous flux for Type HB3 and Type HB4 shall be made 
with the base covered with the white cover shown in the drawings for 
Types HB3 and HB4 filed in Docket No. 93-11.
    (2) For a light source using excited gas mixtures as a filament or 
discharge arc, seasoning of the light source system, including any 
ballast required for its operation, shall be made in accordance with 
section 4.0 of SAE Recommended Practice J2009 FEB93 Discharge Forward 
Lighting Systems. With the test voltage applied to the ballast input 
terminals, the measurement of luminous flux shall be made with the black 
cap installed, if so designed, and shall be made with an opaque white 
colored cover, except for the portion normally located within the 
interior of the lamp housing.
    (e) If a ballast is required for operation, each ballast shall bear 
the following permanent markings:
    (1) Name or logo of ballast manufacturer;
    (2) Ballast part number or unique identification;
    (3) Part number or other unique identification of the light source 
for which the ballast is designed;
    (4) Rated laboratory life of the light source/ballast combination, 
if the information for the light source has been filed in Appendix B of 
part 564 of this chapter;

[[Page 241]]

    (5) A warning that ballast output voltage presents the potential for 
severe electrical shock that could lead to permanent injury or death;
    (6) Ballast output power in watts and output voltage in rms volts AC 
or DC; and
    (7) The symbol `DOT'.''
    (f) For light sources that use excited gas mixtures as a filament or 
discharge arc, the ``rated laboratory life'' shall be determined in 
accordance with sections 4.3 and 4.9 of SAE Recommended Practice J2009 
FEB93 Forward Discharge Lighting Systems.
    (g) After the force deflection test conducted in accordance with S9, 
the permanent deflection of the glass envelope shall not exceed 0.13 mm 
in the direction of the applied force.
    S7.8  Aimability Performance Requirements.
    S7.8.1  (a) Each headlamp or beam contributor that is not visually/
optically aimable in accordance with S7.8.5.3 of this standard shall be 
equipped with fiducial marks, aiming pads, or similar references of 
sufficient detail and accuracy, for determination of an appropriate 
vehicle plane to be used with the photometric procedures of SAE J1383 
APR85 for correct alignment with the photometer axis when being tested 
for photometric compliance, and to serve for the aiming reference when 
the headlamp or beam contributor is installed on a motor vehicle. The 
fiducial marks, aiming pads, or similar references are protrusions, 
bubble vials, holes, indentations, ridges, scribed lines, or other 
readily identifiable marks established and described by the vehicle or 
headlamp manufacturer.
    (b) Each motor vehicle manufactured on and after September 1, 1998, 
shall be equipped with headlamps or beam contributors which have a mark 
or markings that are visible from the front of the headlamp when 
installed on the vehicle to identify the optical axis of the headlamp to 
assure proper horizontal and vertical alignment of the aiming screen or 
optical aiming equipment. The manufacturer is free to choose the design 
of the mark or markings. The mark or markings may be on the interior or 
exterior of the lens or indicated by a mark or central structure on the 
interior or exterior of the headlamp.
    (c) Each headlamp that is visually/optically aimable in accordance 
with S7.8.5.3 of this standard shall be marked in accordance with 
S7.8.5.3(f).
    S7.8.2  Except as provided in this paragraph, each headlamp shall be 
installed on a motor vehicle with a mounting and aiming mechanism that 
allows aim inspection and adjustment of both vertical and horizontal 
aim, and is accessible for those purposes without removal of any vehicle 
parts, except for protective covers removable without the use of tools.
    S7.8.2.1  (a) When installed on the vehicle, adjustment of one aim 
axis through its full on-vehicle range shall not cause the aim of the 
other axis to deviate more than +/- 0.76 degree.
    (b) If the performance specified in paragraph (a) of this section is 
not achievable, the requirements of S7.8.5.2(b)(3) apply, except that if 
the aiming mechanism is not a VHAD, the requirements specific to VHADs 
are not applicable, and the instruction shall be specific to the aiming 
mechanism installed.
    (c) A visually/optically aimable headlamp that has a lower beam 
shall not have a horizontal adjustment mechanism unless such mechanism 
meets the requirements of paragraph S7.8.5.2 of this standard.
    S7.8.2.2 If the headlamp is aimed by moving the reflector relative 
to the lens and headlamp housing, or vice versa, it shall:
    (a) allow movement of the headlamp system, when tested in the 
laboratory, to be not less than the full range of pitch on the vehicle 
on which the headlamp system is installed and for the horizontal aim 
range limits of S7.8.4,
    (b) Conform with the photometrics applicable to it with the lens at 
any position relative to the reflector within the range limits as 
specified in S7.8.2.2(a),
    (c) Be exempted from the aim range limits for testing in a 
laboratory in S7.8.3, and
    (d) Be exempted from S7.8.4 if it is visually/optically aimable and 
has fixed horizontal aim.

[[Page 242]]

    S7.8.2.3  If a headlamp is aimed by moving the reflector relative to 
the lens and headlamp housing, or vice versa, it shall conform with the 
photometrics applicable to it with the lens at any position relative to 
the reflector within the aim range limits of paragraph S7.8.3 and S7.8.4 
or any combination.
    S7.8.3  When a headlamp system is tested in a laboratory, the range 
of its vertical aim shall not be less than +/- 4 degrees from the 
nominal correct aim position for the intended vehicle application. When 
installed on a motor vehicle, the range of vertical aim shall be not 
less than the full range of pitch of the vehicle on which the headlamp 
system is installed. The installed range of static pitch angle shall as 
a minimum be determined from unloaded vehicle weight to gross vehicle 
weight rating, and incorporate pitch angle effects from maximum trailer 
or trunk loadings, the full range of tire intermix sizes and suspensions 
recommended and/or installed by the vehicle manufacturer, and the 
anticipated effects of variable passenger loading. The vertical aim 
adjustment mechanism shall be continuously adjustable over the full 
range.
    S7.8.4  When a headlamp system is tested in a laboratory, the range 
of its horizontal aim shall be not less that +/-2.5 degrees from the 
nominal correct aim position for the intended vehicle application.
    S7.8.5  When activated in a steady-burning state, headlamps shall 
not have any styling ornament or other feature, such as a translucent 
cover or grill, in front of the lens. Headlamp wipers may be used in 
front of the lens provided that the headlamp system is designed to 
conform with all applicable photometric requirements with the wiper 
stopped in any position in front of the lens. When a headlamp system is 
installed on a motor vehicle, it shall be aimable with at least one of 
the following: An externally applied aiming device, as specified in 
S7.8.5.1; an on-vehicle headlamp aiming device installed by the vehicle 
or lamp manufacturer, as specified in S7.8.5.2; or by visual/optical 
means, as specified in S7.8.5.3.
    S7.8.5.1  External aiming. Each headlamp system that is capable of 
being mechanically aimed by externally applied headlamp aiming devices 
shall be mechanically aimable using the equipment specified in SAE 
Standard J602 OCT80 Headlamp Aiming Device for Mechanically Aimable 
Sealed Beam Headlamp Units without the removal of any ornamental trim 
rings, covers, wipers or other vehicle parts.
    (a) The aim of the headlamps in each headlamp system, other than a 
headlamp system designed to conform to section S7.3, that is designed to 
use such external aiming devices, shall not deviate more than 0.30 
degree when a downward torque of 20 lb.-in. (2.25 N-m) is removed from 
the headlamp in its design operating position. The downward force used 
to create the torque shall be applied parallel to the aiming reference 
plane, through the aiming pads, and displaced forward using a lever arm 
such that the force is applied on an axis that is perpendicular to the 
aiming reference plane and originates at the center of the aiming pad 
pattern (see Figures 4-1 and 4-3). For headlamps using the aiming pad 
locations of Group 1, the distance between the point of application of 
force and the aiming reference plane shall be not less than 6.625 in. 
(168.3 mm) plus the distance from the aiming reference plane to the 
secondary plane, if used (see section S7.8.5.1(d)(1)). For headlamps 
using the aiming pad locations of Group II, the distance between the 
point of application of force and the aiming reference plane shall be 
not less than 6.609 in. (167.9 mm) plus the distance from the aiming 
reference plane to the secondary plane, if used. For headlamps using the 
nonadjustable Headlamp Aiming Device Locating Plates for the 146 mm 
diameter, the 176 mm diameter, and the 92 x 150 mm sealed beam units, 
the distance between the point of application of force and the aiming 
plane shall, respectively, be not less than 6.984 in. (177.4 mm), 6.937 
in. (176.2 mm), and 7.625 in (193.7 mm). Each headlamp system that is 
designed to conform to paragraph S7.5 and that is designed to use such 
external aiming devices, and which is manufactured on or after September 
1, 1990, shall comply with this paragraph.
    (b) When a headlamp is installed on a motor vehicle, its aim in any 
direction

[[Page 243]]

shall not change by more than 0.30 degree nor shall the lamp recede more 
than 0.1 in. (2.5 mm.) after being subjected to an inward force of 50 
pounds (222 newtons) applied evenly to the lens parallel to the 
mechanical axis.
    (c) Each headlamp system mounting and aiming mechanism shall be 
subjected to a salt spray (fog) test in accordance with ASTM B117-73 
Method of Salt Spray (Fog) Testing for a period of 50 hours, consisting 
of two successive 25 hour periods of 24 hours exposure followed by 1 
hour of drying. At the end of 50 hours, the headlamp system shall be 
capable of meeting any of the applicable requirements of paragraph S7.8.
    (d) Each headlamp system which is designed to use the Headlamp 
Aiming Device Locating Plates with adjustable legs for the 100  x  165 
mm unit and the 142  x  200 mm unit, and which has adjustable length 
legs, shall meet the requirements of subparagraphs (1) and (2) below.
    (1) The lens shall have three aiming pads which meet the 
requirements of Figure 4, Dimensional Specifications for Location of 
Aiming Pads on Replaceable Bulb Headlamp Units. The aiming pads need not 
be centered at the geometric center of the lens, or on the optical axis. 
Except as provided in subparagraph (2), a whole number, which represents 
the distance in tenths of an inch (i.e. 0.3 inch=3) from the aiming 
reference plane to the respective aiming pads which are not in contact 
with that plane, shall be inscribed adjacent to each respective aiming 
pad on the lens. The height of these numbers shall be not less than .157 
inch (4 mm). If there is interference between the plane and the area of 
the lens between the aiming pads, the whole number represents the 
distance to a secondary plane. The secondary plane shall be located 
parallel to the aiming reference plane and as close to the lens as 
possible without causing interference.
    (2) If the most forward aiming pad is the lower inboard aiming pad, 
then the dimensions may be placed anywhere on the lens. The dimension 
for the outboard aiming pad (Dimension F in Figure 4) shall be followed 
by the letter ``H'' and the dimension for the center aiming pad shall be 
followed by the letter ``V.'' The dimensions shall be expressed in 
tenths of an inch.
    (e) Each headlamp may be designed to use the nonadjustable Headlamp 
Aiming Device Locating Plate for the 100 x 165 mm unit, the 142 x 200 mm 
unit, the 146 mm diameter unit, or the 178 mm diameter unit of SAE J602, 
or the 92 x 150 mm Type F unit, and incorporate lens mounted aiming pads 
as specified for those units in Figures 10, 13, 5, or 7 respectively in 
SAE J1383 APR85, or Figure 11 of this standard for the Type F unit. If 
so designed, no additional lens marking is necessary to designate the 
type of plate or dimensions.
    S7.8.5.2  On-vehicle aiming. Each headlamp system that is capable of 
being aimed by equipment installed on the vehicle shall include a 
Vehicle Headlamp Aiming Device (VHAD) that conforms to the following 
requirements:
    (a) Aim. The VHAD shall provide for headlamp aim inspection and 
adjustment in both the vertical and horizontal axes.
    (1) Vertical aim. The VHAD shall include the necessary references 
and scales relative to the horizontal plane to assure correct vertical 
aim for photometry and aiming purposes. An off-vehicle measurement of 
the angle of the plane of the ground is permitted. In addition, an equal 
number of graduations from the ``O'' position representing angular 
changes in the axis in the upward and downward directions shall be 
provided.
    (i) Each graduation shall represent a change in the vertical 
position of the mechanical axis not larger than 0.19 degree (1 in. at 25 
ft.) to provide for variations in aim at least 1.2 degrees above and 
below the horizontal, and have an accuracy relative to the zero mark of 
less than 0.1 degree.
    (ii) The VHAD shall be marked to indicate headlamp aim movement in 
the upward and downward directions.
    (iii) Each graduation shall indicate a linear movement of the scale 
indicator of not less than 0.05 in. (1.27 mm) if a direct reading analog 
indicator is used. If a remote reading indicator is provided, it shall 
represent the actual aim movement in a clear, understandable format.

[[Page 244]]

    (iv) The vertical indicator shall perform through a minimum range of 
+/-1.2 degrees.
    (v) Means shall be provided in the VHAD for compensating for 
deviations in floor slope less than 1.2 degrees from the horizontal that 
would affect the correct positioning of the headlamp for vertical aim.
    (vi) The graduations shall be legible under an illumination level 
not greater than 30 foot candles, measured at the top of the graduation, 
by an observer having 20/20 vision (Snellen), and shall permit aim 
adjustment to within 0.19 degree (1 in. at 25 ft.).
    (2) Horizontal aim. The VHAD shall include references and scales 
relative to the longitudinal axis of the vehicle necessary to assure 
correct horizontal aim for photometry and aiming purposes. An ``O'' mark 
shall be used to indicate alignment of the headlamps relative to the 
longitudinal axis of the vehicle. In addition, an equal number of 
graduations from the ``O'' position representing equal angular changes 
in the axis relative to the vehicle axis shall be provided.
    (i) Each graduation shall represent a change in the horizontal 
position of the mechanical axis not greater than 0.38 degree (2 in. at 
25 ft.) to provide for variations in aim at least 0.76 degree (4 in. at 
25 ft.) to the left and right of the longitudinal axis of the vehicle, 
and shall have an accuracy relative to the zero mark of less than 0.1 
degree.
    (ii) The VHAD shall be marked to indicate headlamp aim movement in 
the left and right directions.
    (iii) The graduations shall be legible under an illumination level 
not greater than 30 foot candles, measured at the top of the graduation, 
by an observer having 20/20 vision (Snellen), and shall permit aim 
adjustment to within 0.38 degree (2 in. at 25 ft.).
    (iv) The horizontal indicator shall perform through a minimum range 
of +/-0.76 degree (4 in. at 25 ft.); however, the indicator itself shall 
be capable of recalibration over a movement of +/-2.5 degrees relative 
to the longitudinal axis of the vehicle to accommodate any adjustment 
necessary for recalibrating the indicator after vehicle repair from 
accident damage.
    (b) Aiming instructions. (1) The instructions for properly aiming 
the headlighting system using the VHAD shall be provided on a label 
permanently affixed to the vehicle adjacent to the VHAD, or in the 
vehicle operator's manual. The instructions shall advise that the 
headlighting system is properly aimed if the appropriate vertical plane 
(as defined by the vehicle manufacturer) is perpendicular to both the 
longitudinal axis of the vehicle, and a horizontal plane when the 
vehicle is on a horizontal surface, and the VHAD is set at ``O'' 
vertical and ``O'' horizontal.
    (2) Should a remote indicator or a remote indicator and adjuster be 
provided, the instructions shall be placed in the operator's manual, and 
may also be placed on a label adjacent to the VHAD.
    (3) Should the mechanism not meet the requirements of S7.8.2.1, on 
each motor vehicle manufactured on or after September 1, 1990, a 
cautionary label shall be placed adjacent to the mechanism stating the 
caution and including either the reason for the caution or the 
corrective action necessary. Each such label shall also refer the reader 
to the vehicle operator's manual for complete instructions. Each such 
vehicle shall be equipped with an operator's manual containing the 
complete instructions appropriate for the mechanism installed.
    (c) Each headlamp equipped with a VHAD that is manufactured for use 
on motor vehicles manufactured on or after September 1,1998, shall be 
manufactured with its calibration permanently fixed by its manufacturer. 
Calibration in this case means the process of accurately aligning the 
geometry of the VHAD devices with the beam pattern for the purposes of 
compliance with the standard.
    (d) Testing the VHAD.
    (1) The headlamp assembly (the headlamp(s), and the VHAD(s)) shall 
be mounted on a level goniometer, aligned to a photometer located not 
less than 60 ft. (18.3 m) from the VHAD assembly. The assembly shall be 
mechanically aimed using the VHAD in accordance with the manufacturer's 
instructions as provided with the vehicle on which the VHAD is intended 
to be used. A \1/4\

[[Page 245]]

degree reaim is permitted in any direction at any test point to allow 
for variations in readings between laboratories. The test shall be 
conducted in accordance with the procedures of paragraphs 4.1 and 4.1.4 
of SAE J1383 APR85. Under these conditions the mounted headlamp assembly 
shall be designed to conform to the photometric requirements appropriate 
for the headlamp system under test.
    (2) When tested in accordance with subsection (1) of this section, 
with any replacement headlamp unit(s) or light sources intended for use 
in the system under test, the VHAD and headlamp system shall be designed 
to conform to the photometric performance requirements appropriate for 
the system under test.
    (3) The same VHAD and associated headlamp(s) (or headlamp assembly) 
shall be rigidly mounted in a headlamp test fixture and comply with the 
following laboratory test procedures:
    (i) Each graduation on the horizontal and vertical aim scales shall 
be checked and any variation from the correct aim shall not exceed +/- 
0.2 degree, and +/- 0.1 degree respectively.
    (ii) With the aiming plane horizontal and vertical and with the 
scale on the device set at 0, the aimer shall be adjusted before each of 
the following tests to assure that the indicators are centered at 0. (A) 
The VHAD and an unlighted headlamp assembly shall be stabilized at 20 +/
- 5 degrees F (-7 +/- 3 degrees C) in a circulating air environmental 
test chamber. After a period of 30 minutes, when measured at that soak 
temperature, the variation from correct horizontal of vertical aim shall 
not exceed +/- 0.2 degree, and +/- 0.1 degree, respectively.
    (B) The VHAD, and the headlamp assembly with its highest wattage 
filament (or combination of filaments intended to be used 
simultaneously) energized at its design voltage, shall then be 
stabilized at 100 +/- 5 degrees F (38 +/- 3 degrees C) in a circulating 
air environmental test chamber. After a period of 30 minutes, when 
measured at that soak temperature, the variation from correct horizontal 
and vertical aim shall not exceed +/- 0.2 degree, and +/- 0.1 degree, 
respectively.
    (C) The VHAD and an unlighted headlamp assembly shall then be placed 
in a circulating air environmental test chamber and exposed to a 
temperature of 140 +/- 5 degrees F (60 +/- 3 degrees C) for 24 hours, 
followed by a temperature of -40 +/- 5 degrees F (-40 +/- 3 degrees C) 
for 24 hours and then permitted to return to room temperature, after 
which the VHAD and headlamp assembly shall show no damage which would 
impair its ability to perform as specified herein. The variation from 
correct horizontal or vertical aim shall not exceed +/- 0.2 degree, and 
+/- 0.1 degree, respectively.
    (D) The VHAD and headlamp assembly shall then be tested according to 
the corrosion test procedure of paragraph S7.8.5.1(c).
    (E) The VHAD and headlamp assembly shall then be tested for 
photometric compliance as specified in paragraphs S7.8.5.2(c)(1) and 
(2).
    S7.8.5.3  Visual/optical aiming. Each visually/optically aimable 
headlamp shall be designed to conform to the following requirements:
    (a) Vertical aim, lower beam. Each lower beam headlamp shall have a 
cutoff in the beam pattern. It may be either on the left side or the 
right side of the optical axis, but once chosen for a particular 
headlamp system's design, the side chosen for the cutoff shall not be 
changed for any headlamps intended to be used as replacements for those 
system's headlamps.
    (1) Vertical position of cutoff. The headlamp shall be aimed 
vertically so that the cutoff is on the left side, at 0.4 degree down 
from the H-H line, or on the right side, at the H-H line.
    (2) Vertical gradient. The gradient of the cutoff measured at either 
2.5 degrees L or 2.0 degrees R shall be not less than 0.13 based on the 
procedure of S7.8.5.3, paragraph (a)(5).
    (3) Horizontal position of the cutoff. The width shall be not less 
than two degrees, with not less than two degrees of its actual width 
centered at either 2.5 degrees L, or 2.0 degrees R.
    (4) Maximum inclination of cutoff. The vertical location of the 
highest gradient at the ends of the minimum width shall be within +/-0.2 
degree of the vertical location of the maximum gradient measured at the 
appropriate

[[Page 246]]

vertical line (at either 2.5 degrees L for a left side cutoff, or 2.0 
degrees R for a right side cutoff.)
    (5) Measuring the cutoff parameter. (i) The headlamp shall be 
mounted on a fixture which simulates its actual design location on any 
vehicle for which the headlamp is intended. The fixture, with the 
headlamp installed shall be attached to the goniometer table in such a 
way that the fixture alignment axes are coincident with the goniometer 
axes. The headlamp shall be energized at the specified test voltage.
    (ii) The headlamp beam pattern shall be aimed with the cutoff at the 
H-H axis. There shall be no adjustment, shimming, or modification of the 
horizontal axis of the headlamp or test fixture, unless the headlamp is 
equipped with a VHAD. In this case the VHAD shall be adjusted to zero.
    (iii) A vertical scan of the beam pattern shall be conducted for a 
headlamp with a left side gradient by aligning the goniometer on a 
vertical line at 2.5 degrees L and scanning from 1.5 degrees U to 1.5 
degrees D. For a headlamp with a right side gradient, a vertical scan of 
the beam pattern shall be conducted by aligning the goniometer on a 
vertical line at 2.0 degrees R and scanning from 1.5 degrees U to 1.5 
degrees D.
    (iv) Determine the maximum gradient within the range of the scan by 
using the formula: G = log E(a)-log E(a+0.1), where ``G'' is the 
gradient, ``E'' is illumination and ``a'' is vertical angular position. 
The maximum value of the gradient ``G'' determines the vertical angular 
location of the cutoff. Perform vertical scans at 1.0 degree L and R of 
the measurement point of the maximum gradient to determine the 
inclination.
    (b) Horizontal aim, lower beam. There shall be no adjustment of 
horizontal aim unless the headlamp is equipped with a horizontal VHAD. 
If the headlamp has a VHAD, it shall be set to zero.
    (c) Vertical aim, upper beam. (1) If the upper beam is combined in a 
headlamp with a lower beam, the vertical aim of the upper beam shall not 
be changed from the aim set using the procedures of paragraphs 
S7.8.5.3(a) and (b) used for the lower beam.
    (2) If the upper beam is not combined in a headlamp with a lower 
beam, the vertical aim of the upper beam shall be adjusted so that the 
maximum beam intensity is located on the H-H axis.
    (d) Horizontal aim, upper beam. (1) If the upper beam is combined in 
a headlamp with a lower beam, the horizontal aim of the upper beam shall 
not be changed from the aim set using the procedures of paragraphs 
S7.8.5.3 (a) and (b) used for the lower beam.
    (2) If the upper beam is not combined in a headlamp with the lower 
beam and has fixed horizontal aim or has a horizontal VHAD, then the 
headlamp shall be mounted on a fixture which simulates its actual design 
location on any vehicle for which the headlamp is intended. The fixture, 
with the headlamp installed shall be attached to the goniometer table in 
such a way that the fixture alignment axes are coincident with the 
goniometer axes. The headlamp shall be energized at 12.8 plus-minus 
0.20 mV. There shall be no adjustment, shimming, or modification of the 
horizontal axis of the headlamp or test fixture, unless the headlamp is 
equipped with a VHAD. In this case the VHAD shall be adjusted to zero.
    (3) If the upper beam is not combined in a headlamp with a lower 
beam, and it does not have a VHAD, the horizontal aim of the upper beam 
shall be adjusted so that the maximium beam intensity is located on the 
V-V axis.
    (e) Photometric Requirements and Measurement. (1) Instead of being 
designed to conform to the photometric requirements of Figures 15-1, 17-
1, 27-1 or 28-1, a visually/optically aimable headlamp shall be designed 
to conform to the requirements of Figures 15-2, 17-2, 27-2 or 28-2 when 
tested in accordance with paragraph (2) and SAE J575 DEC88, with the 
distance from the photometer to the headlamp no less than 18.3 m.
    (2) If the lower beam has a left side cutoff, reaim the headlamp 
vertically to place the maximum gradient found in paragraph S7.8.5.3 at 
0.4 degree below the H-H line. For a headlamp with a lower beam right 
side cutoff, place the maximum gradient found in paragraph S7.8.5.3 at 
the H-H line. For

[[Page 247]]

an upper beam, the headlamp would already be aimed at the end of the 
procedure found in paragraph S7.8.5.3. A 0.25 degree reaim is permitted 
in any direction at any test point.
    (f) Marking--(1) Headlamp optical axis mark. There shall be a mark 
or markings identifying the optical axis of the headlamp visible from 
the front of the headlamp when installed on the vehicle, to assure 
proper horizontal and vertical alignment of the aiming screen or optical 
aiming equipment with the headlamp being aimed. The manufacturer is free 
to choose the design of the mark or markings. The mark or markings may 
be on the interior or exterior of the lens or indicated by a mark or 
central structure on the interior or exterior of the headlamp.
    (2) Visual/optical aimability identification marks. (i) The lens of 
a lower beam headlamp shall be marked ``VOL'' if the headlamp is 
intended to be visually/optically aimed using the left side of the lower 
beam pattern.
    (ii) The lens of a lower beam headlamp shall be marked ``VOR'' if 
the headlamp is intended to be visually/optically aimed using the right 
side of the lower beam pattern.
    (iii) The lens of each sealed beam or integral beam headlamp shall 
be marked ``VOR'' if the headlamp is of a type that was manufactured 
before May 1, 1997, and if such headlamp type has been redesigned since 
then to be visually/optically aimable.
    (iv) The lens of a headlamp that is solely an upper beam headlamp 
and intended to be visually/optically aimed using the upper beam shall 
be marked ``VO''.
    (v) Each letter used in marking according to this paragraph shall be 
not less than 3 mm. high.
    S7.9  Motorcycles. Each motorcycle shall be equipped with a 
headlighting system designed to conform to the following requirements.
    S7.9.1  A motorcycle manufactured before September 1, 2000, may be 
equipped with--
    (a) A headlighting system designed to conform to SAE Standard J584 
Motorcycle Headlamps April 1964, or to SAE Standard J584 April 1964 with 
the photometric specifications of Figure 32 and the upper beam 
aimability specifications of paragraph S7.9.3; or
    (b) One half of any headlighting system specified in S7.1 through 
S7.6 which provides both a full upper beam and full lower beam. Where 
more than one lamp must be used, the lamps shall be mounted vertically, 
with the lower beam as high as practicable.
    S7.9.2  A motorcycle manufactured on or after September 1, 2000, 
shall be equipped with--
    (a) A headlighting system designed to conform to SAE Standard J584 
Motorcycle Headlamps April 1964 with the photometric specifications of 
Figure 32 and the upper beam aimability specifications of paragraph 
S7.9.3; or
    (b) A headlighting system that conforms to S7.9.1(b).
    S7.9.3  The upper beam of a multiple beam headlamp designed to 
conform to the photometric requirements of Figure 32 shall be aimed 
photoelectrically during the photometric test in the manner prescribed 
in SAE Standard J584 OCT93 Motorcycle Headlamps.
    S7.9.4  Motorcycle headlamp modulation system.
    S7.9.4.1  A headlamp on a motorcycle may be wired to modulate either 
the upper beam or the lower beam from its maximum intensity to a lesser 
intensity, provided that:
    (a) The rate of modulation shall be 240  40 cycles per 
minute.
    (b) The headlamp shall be operated at maximum power for 50 to 70 
percent of each cycle.
    (c) The lowest intensity at any test point shall be not less than 17 
percent of the maximum intensity measured at the same point.
    (d) The modulator switch shall be wired in the power lead of the 
beam filament being modulated and not in the ground side of the circuit.
    (e) Means shall be provided so that both the lower beam and upper 
beam remain operable in the event of a modulator failure.
    (f) The system shall include a sensor mounted with the axis of its 
sensing element perpendicular to a horizontal plane. Headlamp modulation 
shall cease whenever the level of light emitted by a tungsten filament 
light operating at 3000 deg. Kelvin is either less than 270 lux (25 
foot-candles) of direct light

[[Page 248]]

for upward pointing sensors or less than 60 lux (5.6 foot-candles) of 
reflected light for downward pointing sensors. The light is measured by 
a silicon cell type light meter that is located at the sensor and 
pointing in the same direction as the sensor. A Kodak Gray Card (Kodak 
R-27) is placed at ground level to simulate the road surface in testing 
downward pointing sensors.
    (g) When tested in accordance with the test profile shown in Figure 
9, the voltage drop across the modulator when the lamp is on at all test 
conditions for 12 volt systems and 6 volt systems shall not be greater 
than .45 volt. The modulator shall meet all the provisions of the 
standard after completion of the test profile shown in Figure 9.
    (h) Means shall be provided so that both the lower and upper beam 
function at design voltage when the headlamp control switch is in either 
the lower or upper beam position when the modulator is off.
    S7.9.4.2(a)  Each motorcycle headlamp modulator not intended as 
original equipment, or its container, shall be labeled with the maximum 
wattage, and the minimum wattage appropriate for its use. Additionally, 
each such modulator shall comply with S7.9.4.1 (a) through (g) when 
connected to a headlamp of the maximum rated power and a headlamp of the 
minimum rated power, and shall provide means so that the modulated beam 
functions at design voltage when the modulator is off.
    (b) Instructions, with a diagram, shall be provided for mounting the 
light sensor including location on the motorcycle, distance above the 
road surface, and orientation with respect to the light.
    S7.9.5  Each replaceable bulb headlamp that is designed to meet the 
photometric requirements of paragraph S7.9.1(a) or paragraph S7.9.2(a) 
and that is equipped with a light source other than a replaceable light 
source meeting the requirements of paragraph S7.7, shall have the word 
``motorcycle'' permanently marked on the lens in characters not less 
than 0.114 in. (3 mm) in height.
    S8  Tests and Procedures for Integral Beam and Replaceable Bulb 
Headlighting Systems. When tested in accordance with the following 
procedures, each integral beam headlamp shall meet the requirements of 
paragraph S7.4, and each replaceable bulb headlamp shall meet the 
requirements of paragraph S7.5. Ballasts required to operate specific 
gas mixture light sources shall be included in the tests specified in 
paragraphs S8.1 and S8.4 though S8.7.
    S8.1  Photometry. Each headlamp to which paragraph S8 applies shall 
be tested according to paragraphs 4.1 and 4.1.4 of SAE Standard J1383 
APR85 for meeting the applicable photometric requirements, after each 
test specified in paragraphs S8.2, S8.3, S8.5, S8.6.1, S8.6.2, S8.7, and 
S8.10.1 and S8.10.2, if applicable. A \1/4\ degree reaim is permitted in 
any direction at any test point.
    S8.2  Abrasion. (a) A headlamp shall be mounted in the abrasion test 
fixture in the manner indicated in Figure 5 with the lens facing upward.
    (b) An abrading pad meeting the requirements in paragraphs (c)(1) 
through (c)(4) of this section shall be cycled back and forth (1 cycle) 
for 11 cycles at 4 0.8 in. (10 cm 2 cm) per 
second over at least 80 percent of the lens surface, including all the 
area between the upper and lower aiming pads, but not including lens 
trim rings and edges.
    (c)(1) The abrading pad shall be not less than 1.0 .04 
in. (2.5 cm .1 cm) wide, constructed of 0000 steel wool, and 
rubber cemented to a rigid base shaped to the same vertical contour of 
the lens. The ``grain'' of the pad shall be perpendicular to the 
direction of motion.
    (2) The abrading pad support shall be equal in size to the pad and 
the center of the support surface shall be within .08 in. 
(2 mm) of parallel to the lens surface.
    (3) The density of the abrading pad shall be such that when the pad 
is mounted to its support and is resting unweighted on the lens, the 
base of the pad shall be no closer than .125 in. (3.2 mm) to the lens at 
its closest point.
    (4) When mounted on its support and resting on the lens of the test 
headlamp, the abrading pad shall then be weighted such that a pad 
pressure of

[[Page 249]]

2.0 .15 psi (14 1 KPa) exists at the center and 
perpendicular to the face of the lens.
    (d) A pivot shall be used if it is required to follow the contour of 
the lens.
    (e) Unused steel wool shall be used for each test.
    S8.3  Chemical resistance. (a) The entire exterior lens surface of 
the headlamp in the headlamp test fixture and top surface of the lens-
reflector joint shall be wiped once to the left and once to the right 
with a 6-inch square soft cotton cloth (with pressure equally applied) 
which has been saturated once in a container with 2 ounces of a test 
fluid as listed in paragraph (b). The lamp shall be wiped within 5 
seconds after removal of the cloth from the test fluid.
    (b) The test fluids are:
    (1) ASTM Reference Fuel C, which is composed of Isooctane 50% volume 
and Toluene 50% volume. Isooctane must conform to A2.7 in Annex 2 of the 
Motor Fuels Section of the 1985 Annual Book of ASTM Standards, Vol. 
05.04, and Toluene must conform to ASTM specification D362-84, Standard 
Specification for Industrial Grade Toluene. ASTM Reference Fuel C must 
be used as specified in:
    (i) Paragraph A2.3.2 and A2.3.3 of Annex 2 to Motor Fuels, Section 1 
in the 1985 Annual Book of ASTM Standards; and
    (ii) OSHA Standard 29 CFR 1910.106--Handling Storage and Use of 
Flammable Combustible Liquids.
    (2) Tar remover (consisting by volume of 45% xylene and 55% 
petroleum base mineral spirits).
    (3) Power steering fluid (as specified by the vehicle manufacturer 
for use in the motor vehicle on which the headlamp is intended to be 
installed).
    (4) Windshield washer fluid consisting of 0.5% monoethanolamine with 
the remainder 50% concentration of methanol/distilled water by volume.
    (5) Antifreeze (50% concentration of ethylene glycol/distilled water 
by volume).
    (c) After the headlamp has been wiped with the test fluid, it shall 
be stored in its designed operating attitude for 48 hours at a 
temperature of 73 deg. F 7 deg. (23 deg. C 
4 deg.) and a relative humidity of 30 10 
percent. At the end of the 48-hour period, the headlamp shall be wiped 
clean with a soft dry cotton cloth and visually inspected.
    S8.4  Corrosion. (a) A connector test shall be performed on each 
filament circuit prior to the test in subparagraph (b) according to 
Figure 1 and SAE Standard J580 DEC86. The power source shall be set to 
provide 12. 8 volts and the resistance shall be set to produce 10 
amperes.
    (b) The headlamp with connector attached to the terminals, 
unfixtured and in its designed operating attitude with all drain holes, 
breathing devices or other designed openings in their normal operating 
positions, shall be subjected to a salt spray (fog) test in accordance 
with ASTM B117-73, Method of Salt Spray (Fog) Testing, for 240 hours, 
consisting of ten successive 24-hour periods. During each period, the 
headlamp shall be mounted in the middle of the chamber and exposed for 
23 hours to the salt spray. The spray shall not be activated during the 
24th hour. The bulb shall be removed from the headlamp and from the test 
chamber during the one hour of salt spray deactivation and reinserted 
for the start of the next test period, at the end of the first and last 
three 23-hour periods of salt spray exposure, and at the end of any two 
of the fourth through seventh 23-hour periods of salt-spray exposure. 
The test chamber shall be closed at all times except for a maximum of 2 
minutes which is allowed for removal or replacement of a bulb during 
each period. After the ten periods, the lens reflector unit without the 
bulb shall be immersed in deionized water for 5 minutes, then secured 
and allowed to dry by natural convection only.
    (c) Using the voltage, resistance and pretest set up of paragraph 
(a) the current in each filament circuit shall be measured after the 
test conducted in paragraph (b).
    S8.5  Dust. The headlamp, mounted on a headlamp test fixture, with 
all drain holes, breathing devices or other designed openings in their 
normal operating positions, shall be positioned within a cubical box, 
with inside measurements of 35.4 in. (900 mm) on each side or larger if 
required for adequate wall clearance, i.e., a distance of at

[[Page 250]]

least 5.9 in. (150 mm) between the headlamp and any wall of the box. The 
box shall contain 9.9 lb. (4.5 kg) of fine powdered cement which 
conforms to the ASTM C150-77 specification for Portland Cement. Every 15 
minutes, the cement shall be agitated by compressed air or fan blower(s) 
by projecting blasts of air for a two-second period in a downward 
direction so that the cement is diffused as uniformly as possible 
throughout the entire box. This test shall be continued for five hours 
after which the exterior surfaces of the headlamp shall be wiped clean.
    S8.6  Temperature and internal heat test. A headlamp with one or 
more replaceable light sources shall be tested according to paragraphs 
S8.6.1 and S8.6.2. Tests shall be made with all filaments lighted at 
design voltage that are intended to be used simultaneously in the 
headlamp and which in combination draw the highest total wattage. These 
include but are not limited to filaments used for turn signal lamps, fog 
lamps, parking lamps, and headlamp lower beams lighted with upper beams 
when the wiring harness is so connected on the vehicle. If a turn signal 
is included in the headlamp assembly, it shall be operated at 90 flashes 
a minute with a 75  2% current ``on time.'' If the lamp 
produces both the upper and lower beam, it shall be tested in both the 
upper beam mode and the lower beam mode under the conditions above 
described, except for a headlamp with a single Types HB1 or HB2 light 
source.
    S8.6.1  Temperature cycle. A headlamp, mounted on a headlamp test 
fixture, shall be subjected to 10 complete consecutive cycles having the 
thermal cycle profile shown in Figure 6. During the hot cycle, the lamp, 
shall be energized commencing at point ``A'' of Figure 6 and de-
energized at point ``B.'' Separate or single test chambers may be used 
to generate the environment of Figure 6. All drain holes, breathing 
devices or other openings or vents of the headlamps shall be in their 
normal operating positions.
    S8.6.2  Internal Heat Test. (a) The headlamp lens surface that would 
normally be exposed to road dirt shall be uniformly sprayed with any 
appropriate mixture of dust and water or other materials to reduce the 
photometric output at the H-V test point of the upper beam (or the \1/
2\D-1\1/2\R test point of the lower beam as appropriate) to 25 
 2% of the output originally measured in the photometric 
test conducted pursuant to paragraphs S7.4(i), or S7.5 (a) through (e), 
as applicable. A headlamp with a single Types HB1 or HB2 light source 
shall be tested on the upper beam only. Such reduction shall be 
determined under the same conditions as that of the original photometric 
measurement.
    (b) After the photometric output of the lamp has been reduced as 
specified in paragraph (a), the lamp and its mounting hardware shall be 
mounted in an environmental chamber in a manner similar to that 
indicated in Figure 7 ``Dirt/Ambient Test Setup.'' The headlamp shall be 
soaked for one hour at a temperature of 95 + 7 -0 degrees F (35 + 4 -0 
degrees C) and then the lamp shall be energized according to paragraph 
S8.6 for one hour in a still air condition, allowing the temperature to 
rise from the soak temperature.
    (c) The lamp shall be returned to a room ambient temperature of 73 + 
7 -0 degrees F (23 + 4 -0 degrees C) and a relative humidity of 30 
 10% and allowed to stabilize to the room ambient 
temperature. The lens shall then be cleaned.
    S8.7 Humidity. (a) The test fixture consists of a horizontal steel 
plate to which three threaded steel or aluminum rods of \1/2\ inch 
diameter are screwed vertically behind the headlamp. The headlamp 
assembly is clamped to the vertical rods, which are behind the headlamp. 
All attachments to the headlamp assembly are made behind the lens and 
vents or openings, and are not within 2 inches laterally of a vent inlet 
or outlet.
    (b) The mounted headlamp assembly is oriented in its design 
operating position, and is placed in a controlled environment at a 
temperature of 100+7-0 degrees F (38+4-0 degrees C) with a relative 
humidity of not less than 90 percent. All drain holes, breathing 
devices, and other openings are in their normal operation positions for 
all phases of the humidity test. The headlamp shall be subjected to 24 
consecutive 3-hour test cycles. In each

[[Page 251]]

cycle, it shall be energized for 1 hour at design voltage with the 
highest combination of filament wattages that are intended to be used, 
and then de-energized for 2 hours. If the headlamp incorporates a turn 
signal, it shall flash at 90 flashes per minute with a 75+/-2 percent 
current ``on-time.''
    (c) Within 3 minutes after the completion of the 24th cycle, the air 
flow test will begin. The following shall occur: the mounted assembly 
shall be removed, placed in an insulating box and covered with foam 
material so that there is no visible air space around the assembly; the 
box shall be closed, taken to the air flow test chamber, and placed 
within it. Inside the chamber, the assembly with respect to the air 
flow, shall be oriented in its design operating position. The assembly 
is positioned in the chamber so that the center of the lens is in the 
center of the opening of the air flow entry duct during the test. The 
headlamp has at least 3 inches clearance on all sides, and at least 4 
inches to the entry and exit ducts at the closest points. If vent tubes 
are used which extend below the lamp body, the 3 inches are measured 
from the bottom of the vent tube or its protection. The temperature of 
the chamber is 73+7-0 degrees F (23+4-0 degrees C) with a relative 
humidity of 30+10-0 percent. The headlamp is not energized.
    (d) Before the test specified in paragraph (e) of this section, the 
uniformity of the air flow in the empty test chamber at a plane 4 inches 
downstream of the air entry duct shall have been measured over a 4-inch 
square grid. The uniformity of air flow at each grid point is +/-10 
percent of the average air flow specified in paragraph (e) of this 
section.
    (e) The mounted assembly in the chamber shall be exposed, for one 
hour, to an average air flow of 330+0-30 ft/min. as measured with an air 
velocity measuring probe having an accuracy of +/-3 percent in the 330 
ft/min range. The average air flow is the average of the velocity 
recorded at six points around the perimeter of the lens. The six points 
are determined as follows: At the center of the lens, construct a 
horizontal plane. The first two points are located in the plane, 1 inch 
outward from the intersection of the plane and each edge of the lens. 
Then, trisect the distance between these two points and construct 
longitudinal vertical planes at the two intermediate locations formed by 
the trisection. The four remaining points are located in the vertical 
planes, one inch above the top edge of the lens, and one inch below the 
bottom edge of the lens.
    (f) After one hour, the headlamp is removed and inspected for 
moisture.
    S8.8 Vibration. A vibration test shall be conducted in accordance 
with the procedures of SAE Standard J575e Tests for Motor Vehicle 
Lighting Devices and Components August 1970, and the following: the 
table on the adapter plate shall be of sufficient size to completely 
contain the test fixture base with no overhang. The vibration shall be 
applied in the vertical axis of the headlamp system as mounted on the 
vehicle. The filament shall not be energized.
    S8.9 Sealing. An unfixtured headlamp in its design mounting position 
shall be placed in water at a temperature of 176 +/- 5 degrees F (60 +/- 
3 degrees C) for one hour. The headlamp shall be energized in its 
highest wattage mode, with the test voltage at 12.8 +/- 0.1 V. during 
immersion. The lamp shall then be de-energized and immediately submerged 
in its design mounting position into water at 32 +5 -0 degrees F (0 +3 
-0 degrees C). The water shall be in a pressurized vessel, and the 
pressure shall be increased to 10 psi (70 kPa), upon placing the lamp in 
the water. The lamp shall remain in the pressurized vessel for a period 
of thirty minutes. This entire procedure shall be repeated for four 
cycles. Then the lamp shall be inspected for any signs of water on its 
interior. During the high temperature portion of the cycles, the lamp 
shall be observed for signs of air escaping from its interior. If any 
water occurs on the interior or air escapes, the lamp is not a sealed 
lamp.
    S8.10  Chemical and corrosion resistance of reflectors of 
replaceable lens headlamps.
    S8.10.1  Chemical resistance. (a) With the headlamp in the headlamp 
test fixture and the lens removed, the entire surface of the reflector 
that receives light from a headlamp light source

[[Page 252]]

shall be wiped once to the left and once to the right with a 6-inch 
square soft cotton cloth (with pressure equally applied) which has been 
saturated once in a container with 2 ounces of one of the test fluids 
listed in paragraph (b). The lamp shall be wiped within 5 seconds after 
removal of the cloth from the test fluid.
    (b) The test fluids are:
    (1) Tar remover (consisting by volume of 45% xylene and 55% 
petroleum base mineral spirits);
    (2) Mineral spirits; or
    (3) Fluids other than water contained in the manufacturer's 
instructions for cleaning the reflector.
    (c) After the headlamp has been wiped with the test fluid, it shall 
be stored in its designed operating attitude for 48 hours at a 
temperature of 73 deg.F  7 deg. (23 deg.C  
4 deg.) and a relative humidity of 30  10 percent. At the 
end of the 48-hour period, the headlamp shall be wiped clean with a soft 
dry cotton cloth and visually inspected.
    S8.10.2  Corrosion. (a) The headlamp with the lens removed, 
unfixtured and in its designed operating attitude with all drain holes, 
breathing devices or other designed openings in their normal operating 
positions, shall be subjected to a salt spray (fog) test in accordance 
with ASTM B117-73, Method of Salt Spray (Fog) Testing, for 24 hours, 
while mounted in the middle of the chamber.
    (b) Afterwards, the headlamp shall be stored in its designed 
operating attitude for 48 hours at a temperature of 73 deg.F 
 7 deg. (23 deg.C  4 deg.) and a relative 
humidity of 30  10 percent and allowed to dry by natural 
convection only. At the end of the 48-hour period, the reflector shall 
be cleaned according to the instructions supplied with the headlamp 
manufacturer's replacement lens, and inspected. The lens and seal shall 
then be attached according to these instructions and the headlamp tested 
for photometric performance.
    S9. Deflection test for replaceable light sources. With the light 
source rigidly mounted in a fixture in a manner indicated in Figure 8, a 
force 4.0  0.1 pounds (17.8  0.4N) is applied at 
a distance ``A'' from the reference plane perpendicular to the 
longitudinal axis of the glass capsule and parallel to the smallest 
dimension of the pressed glass capsule seal. The force shall be applied 
(using a rod with a hard rubber tip with a minimum spherical radius of 
.039 in (1 mm)) radially to the surface of the glass capsule in four 
locations in a plane parallel to the reference plane and spaced at a 
distance ``A'' from that plane. These force applications shall be spaced 
90 degrees apart starting at the point perpendicular to the smallest 
dimension of the pressed seal of the glass capsule. The bulb deflection 
shall be measured at the glass capsule surface at 180 degrees opposite 
to the force application. Distance ``A'' for a replaceable light source 
other than an HB Type shall be the dimension provided in accordance with 
Appendix A of part 564 of this chapter, section I.A.1 if the light 
source has a lower beam filament, or as specified in section I.B.1 if 
the light source has only an upper beam filament.
    S10 Simultaneous Aim Photometry Tests--(a) Type F Headlamp Systems. 
The assembly shall be located on a goniometer placed not less than 60 
feet (18.3m) from the photometer. The LF unit shall be aimed 
mechanically by centering the unit on the photometer axis and by 
aligning the aiming plane of the lens perpendicular to the photometer 
axis. Then the assembly shall be moved in a plane parallel to the 
established aiming plane of the LF headlamp until the UF headlamp is 
centered on the photometer axis. Photometry measurements of the UF 
photometry unit shall be completed using the aiming plane so 
established, and the procedures of section 4.1 and 4.1.4 Standard J1383 
APR85, and Figure 15-1 or Figure 15-2. A reaim tolerance of 
\1/4\ degree is permitted in any direction at any test 
point.
    (b) Integral Beam Headlamp Systems. The assembly used for 
simultaneously aiming more than one integral beam headlamp shall be 
placed on a test fixture on a goniometer located not less than 60 feet 
(18.3 m.) from the photometer. The assembly shall be aimed by centering 
the geometric center of the lower beam lens(es) on the photometer axis 
and by aligning the photometer axis to be perpendicular to the aiming 
reference plane or appropriate vertical plane defined by the 
manufacturer of

[[Page 253]]

any lower beam contributor. Photometric compliance of the lower beam 
shall be determined with all lower beam contributors illuminated and in 
accordance with sections 4.1 and 4.1.6 of SAE Standard J1383 APR85, and 
Figure 15-1 or Figure 15-2. The assembly shall then be moved in a plane 
parallel to the established aiming plane of the lower beam until the 
assembly is located with the geometric center of the upper lens(es) on 
the photometer axis. Photometric compliance for upper beam shall now be 
determined using the figure and procedure specified for the lower beam. 
During photometric testing, a \1/4\ degree reaim is permitted in any 
direction at any test point.
    S11. Photometric Test. A lamp that is wired in accordance with 
paragraph S5.5.11 of this standard, shall be tested for compliance with 
S5.5.11(a)(1) in accordance with the test method specified for 
photometric testing in SAE Standard J575 DEC88 when a test voltage of 
12.8V +/-20 mV is applied to the input terminals of the lamp switch 
module or voltage-reducing equipment, whichever is closer to the 
electrical source on the vehicle. The test distance from the lamp to the 
photometer shall be not less than 18.3 m, if the lamp is optically 
combined with a headlamp, or is a separate lamp, and not less than 3 m, 
if the lamp is optically combined with a lamp, other than a headlamp, 
that is required by this standard.
    S12. Headlamp Concealment Devices.
    S12.1  While the headlamp is illuminated, its fully opened headlamp 
concealment device shall remain fully opened should any loss of power to 
or within the headlamp concealment device occur.
    S12.2  Whenever any malfunction occurs in a component that controls 
or conducts power for the actuation of the concealment device, each 
closed headlamp concealment device shall be capable of being fully 
opened by a means not requiring the use of any tools. Thereafter, the 
headlamp concealment device must remain fully opened until intentionally 
closed.
    S12.3  Except for malfunctions covered by S12.2, each headlamp 
concealment device shall be capable of being fully opened and the 
headlamps illuminated by actuation of a single switch, lever, or similar 
mechanism, including a mechanism that is automatically actuated by a 
change in ambient light conditions.
    S12.4  Each headlamp concealment device shall be installed so that 
the headlamp may be mounted, aimed, and adjusted without removing any 
component of the device, other than components of the headlamp assembly.
    S12.5  Except for cases of malfunction covered by S12.2, each 
headlamp concealment device shall, within an ambient temperature range 
of -20 deg. F. to +120 deg. F., be capable of being fully opened in not 
more than 3 seconds after the actuation of a driver-operated control.

                   Figures and Tables to Sec. 571.108

                       Figure 1a--Required Percentages of Minimum Candlepower of Figure 1b                      
----------------------------------------------------------------------------------------------------------------
                                                                            Turn                                
            Test points (deg)                                              signal     Stop     Parking    Tail  
----------------------------------------------------------------------------------------------------------------
10U, 10D.................................  5L, 5R.......................        20        20        20        20
5U, 5D...................................  20L, 20R.....................      12.5      12.5        10        15
                                           10L, 10R.....................      37.5      37.5        20        40
                                           V............................      87.5      87.5        70        90
H........................................  10L, 10R.....................        50        50        35        40
                                           5L, 5R.......................       100       100        90       100
                                           V............................       100       100       100       100
----------------------------------------------------------------------------------------------------------------
Note--Minimum design candlepower requirements are determined by multiplying the percentages given in this Figure
  by the minimum allowable candlepower values in Figure 1b. The resulting values shall be truncated after one   
  digit to the right of the decimal point.                                                                      


       Figure 1b--Minimum and Maximum Allowable Candlepower Values      
------------------------------------------------------------------------
                                                Lighted sections        
                 Lamp                 ----------------------------------
                                            1          2           3    
------------------------------------------------------------------------
Stop.................................     80/300      95/360    110/420 
Tail \1\.............................      2/18       3.5/20    5.0/25  

[[Page 254]]

                                                                        
Parking \2\..........................    4.0/125                        
Red turn signal......................     80/300      95/360    110/420 
Yellow turn signal rear..............    130/750     150/900    175/1050
Yellow turn signal front.............    200/-        240-      275/-   
Yellow turn signal front \3\.........    500/-       600/-      685/-   
------------------------------------------------------------------------
\1\ Maximum at H or above.                                              
\2\ The maximum candlepower value of 125 applies to all test points at H
  or above. The maximum allowable candlepower value below H is 250.     
\3\ Values apply when the optical axis (filament center) of the front   
  turn signal is at a spacing less than 4 in. (10 cm.) from the lighted 
  edge of the headlamp unit providing the lower beam, or from the       
  lighted edge of any additional lamp installed as original equipment   
  and which supplements the lower beam.                                 


    Figure 1c--Sum of the Percentages of Grouped Minimum Candlepower    
------------------------------------------------------------------------
                                 Turn                                   
    Group and test points       signal      Stop     Parking      Tail  
------------------------------------------------------------------------
1  10U-5L, 5U-20L, 5D-20L,                                              
 10D-5L.....................         65         65         60         70
2  5U-10L, H-10L, 5D-10L....        125        125         75        120
3  H-5L, 5U-V, H-V, 5D-V, H-                                            
 5R.........................        475        475        420        480
4  5U-10R, H-10R, 5D-10R....        125        125         75        120
5  10U-5R, 5U-20R, 5D-20R,                                              
 10D-5R.....................         65         65         60         70
------------------------------------------------------------------------


   Figure 2--Minimum Luminous Intensity Requirements for Backup Lamps   
------------------------------------------------------------------------
                                                               Total for
                                                                group,  
 Group                   Test point, degrees                    candela 
                                                               (see note
                                                                  1)    
------------------------------------------------------------------------
1 \1\.  45L-5U, 45L-H, 45L-5D...............................          45
2 \1\.  30L-H, 30L-5D.......................................          50
3 ....  10L-10U, 10L-5U, V-10U, V-5U, 10R-10U, 10R-5U.......         100
4 ....  10L-H, 10L-5D, V-H, V-5D, 10R-H, 10R-5D.............         360
5 \1\.  30R-H, 30R-5D.......................................          50
6 \1\.  45R-5U, 45R-H, 45R-5D...............................          45
------------------------------------------------------------------------
\1\ When 2 lamps of the same or symmetrically opposite design are used, 
  the reading along the vertical axis and the averages of the readings  
  for the same angles left and right of vertical for 1 lamp shall be    
  used to determine compliance with the requirements. If 2 lamps of     
  differing designs are used, they shall be tested individually and the 
  values added to determine that the combined units meet twice the      
  candela requirements.                                                 
When only 1 backup lamp is used on the vehicle, it shall be tested to   
  twice the candela requirements.                                       

      

[[Page 255]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.010



[[Page 256]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.011



[[Page 257]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.012



[[Page 258]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.013



[[Page 259]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.014



[[Page 260]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.015



[[Page 261]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.016



[[Page 262]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.017



[[Page 263]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.018



[[Page 264]]



                     Figure 10--Photometric Requirements for Center High-Mounted Stop Lamps                     
----------------------------------------------------------------------------------------------------------------
                                                                                                       Minimum  
                                                  Minimum     Zones (test points within zones, see    total for 
            Individual test points               intensity                   note 2)                     zone   
                                                 (candela)                                            (canadela)
----------------------------------------------------------------------------------------------------------------
10U-10L.......................................            8  Zone I (5U-V, H-5L, H-V, H-5R, 5D-V)..          125
-V............................................           16                                                     
-10R..........................................            8                                                     
5U-10L........................................           16  Zone II (5U-5R, 5U-10R, H-10R, 5D-10R,           98
                                                              5D-5R).                                           
-5L...........................................           25                                                     
-V............................................           25                                                     
-5R...........................................           25                                                     
-10R..........................................           16                                                     
5D-10L........................................           16  Zone III (5U-5L, 5U-10L, H-10L, 5D-              98
                                                              10L, 5D-5L).                                      
-5L...........................................           25                                                     
-V............................................           25                                                     
-5R...........................................           25                                                     
-10R..........................................           16                                                     
H-10L.........................................           16  Zone IV (10U-10L, 10U-V, 10U-10R).....           32
-5L...........................................           25                                                     
-V............................................           25                                                     
-5R...........................................           25                                                     
-10R..........................................           16                                                     
See Note 1....................................      \1\ 160                                                     
----------------------------------------------------------------------------------------------------------------
Note 1: The listed maximum shall not occur over any area larger than that generated by a \1/4\ degree radius    
  within an solid cone angle within the rectangle bounded by test points 10U-10L, 10U-10R, 5D-10L, and 5D-10R.  
Note 2: The measured values at each test point shall not be less than 60% of the value listed.                  
\1\ Maximum intensity (Candela).                                                                                
                                                                                                                


[[Page 265]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.019


[[Page 266]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.020


[[Page 267]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.021


[[Page 268]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.022


[[Page 269]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.024


[[Page 270]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.025


[[Page 271]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.024


[[Page 272]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.026


[[Page 273]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.027


[[Page 274]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.025


[[Page 275]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.026


[[Page 276]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.027


[[Page 277]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.028


[[Page 278]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.028


[[Page 279]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.029


[[Page 280]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.030


[[Page 281]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.031


[[Page 282]]

[GRAPHIC] [TIFF OMITTED] TR10MR97.032


[[Page 283]]


        Figure 29--Minimum Photometric Performance of Retroflective Sheeting in Candela/Lux/Square Meter        
----------------------------------------------------------------------------------------------------------------
                                                                        Observation angle                       
                                                          --------------------------------------------          
                      Entrance angle                            0.2 Degree            0.5 Degree         Grade  
                                                          --------------------------------------------          
                                                             White       Red       White       Red              
----------------------------------------------------------------------------------------------------------------
-4 degree................................................        250         60         65         15     DOT-C2
30 degree................................................        250         60         65         15     DOT-C2
45 degree................................................         60         15         15          4     DOT-C2
-4 degree................................................        165         40         43         10     DOT-C3
30 degree................................................        165         40         43         10     DOT-C3
45 degree................................................         40         10         10          3     DOT-C3
-4 degree................................................        125         30         33          8     DOT-C4
30 degree................................................        125         30         33          8     DOT-C4
45 degree................................................         30          8          8          2     DOT-C4
----------------------------------------------------------------------------------------------------------------


[[Page 284]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.031


[[Page 285]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.032


[[Page 286]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.033


[[Page 287]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.034


[[Page 288]]

[GRAPHIC] [TIFF OMITTED] TR08AP97.019


[[Page 289]]


                 Figure 32--Motorcycle and Motor-Driven Cycle Headlamp Photometric Requirements                 
----------------------------------------------------------------------------------------------------------------
                 Test Points (deg.)                                                           Motor-Driven Cycle
----------------------------------------------------     Motorcycle      Motor-Driven Cycle    with Single Lamp 
           Up or Down               Left or Right         (candela)           (candela)       System  (candela) 
----------------------------------------------------------------------------------------------------------------
                                                   Lower Beam                                                   
----------------------------------------------------------------------------------------------------------------
1.5U...........................  1R to R...........  1400-MAX..........  1400-MAX                               
1.5U...........................  1R to 3R..........  ..................  ..................  1400-MAX.          
1U.............................  1.5L to L.........  700-MAX...........  700-MAX...........  700-MAX.           
0.5U...........................  1.5L to L.........  1000-MAX..........  1000-MAX..........  1000-MAX.          
0.5U...........................  1R to 3R..........  2700-MAX..........  2700-MAX..........  2700-MAX.          
1.5D...........................  9L and 9R.........  700-MIN                                                    
2D.............................  0.0R..............  7000-MIN..........  5000-MIN..........  4000-MIN.          
2D.............................  3L and 3R.........  4000-MIN..........  3000-MIN..........  3000-MIN.          
2D.............................  6L and 6R.........  1500-MIN..........  1500-MIN..........  1500-MIN.          
2D.............................  12L and 12R.......  700-MIN                                                    
3D.............................  6L and 6R.........  800-MIN...........  800-MIN                                
4D.............................  0.0R..............  2000-MIN..........  2000-MIN..........  1000-MIN.          
4D.............................  4R................  12500-MAX.........  12500-MAX.........  12500-MAX.         
----------------------------------------------------------------------------------------------------------------
                                                   Upper Beam                                                   
----------------------------------------------------------------------------------------------------------------
2U.............................  0.0R..............  1000-MIN                                                   
1U.............................  3L and 3R.........  2000-MIN..........  2000-MIN.                              
0.0U...........................  0.0R..............  12500-MIN.........  10000-MIN.                             
0.5D...........................  0.0R..............  20000-MIN.........  20000-MIN.                             
0.5D...........................  3L and 3R.........  10000-MIN.........  5000-MIN.                              
0.5D...........................  6L and 6R.........  3300-MIN..........  2000-MIN.                              
0.5D...........................  9L and 9R.........  1500-MIN                                                   
0.5D...........................  12L and 12R.......  800-MIN                                                    
1D.............................  0.0R..............  17500-MIN.........  15000-MIN.                             
2D.............................  0.0R..............  5000-MIN..........  5000-MIN.                              
3D.............................  0.0R..............  2500-MIN..........  2500-MIN.                              
3D.............................  6L and 6R.........  ..................  800-MIN.                               
3D.............................  9L and 9R.........  1500-MIN                                                   
3D.............................  12L and 12R.......  300-MIN                                                    
4D.............................  0.0R..............  1500-MIN                                                   
4D.............................  0.0R..............  7500-MAX..........  7500-MAX.                              
ANYWHERE.......................  ANYWHERE..........  75000-MAX.........  75000-MAX.                             
----------------------------------------------------------------------------------------------------------------


                     Table I--Required Motor Vehicle Lighting Equipment Other Than Headlamps                    
        Multipurpose Passenger Vehicles, Trucks, Trailers, and Buses, of 80 or More Inches Overall Width        
----------------------------------------------------------------------------------------------------------------
                                                                                              Applicable SAE    
                                                                                                standard or     
                                        Multipurpose passenger                             recommended practice 
                Item                 vehicles, trucks, and buses         Trailers               (See S5 for     
                                                                                             subreferenced SAE  
                                                                                                materials)      
----------------------------------------------------------------------------------------------------------------
Taillamps .........................  2 red......................  2 red.................  J585e, September 1977.
Stoplamps..........................  2 red......................  2 red.................  SAE J1398, May 1985.  
License plate lamp ................  1 white....................  1 white...............  J587 October 1981.    
Reflex reflectors..................  4 red; 2 amber.............  4 red; 2 amber........  J594f, January 1977.  
Side marker lamps..................  2 red; 2 amber.............  2 red; 2 amber........  J592e, July 1972.     
Backup lamp .......................  1 white....................  None..................  J593c, February 1968. 
Turn signal lamps..................  2 red or amber; 2 amber....  2 red or amber........  SAE J1395, April 1985.
Turn signal operating unit ........  1..........................  None..................  J589, April 1964.     
Turn signal flasher................  1..........................  None..................  J590b, October 1965.  
Vehicular hazard warning signal      1..........................  None..................  J910, January 1966.   
 operating unit.                                                                                                
Vehicular hazard warning signal      1..........................  None..................  J945, February 1966.  
 flasher..                                                                                                      
Identification lamps...............  3 amber; 3 red.............  3 red.................  J592e, July 1972.     
Clearance lamps....................  2 amber; 2 red.............  2 amber, 2 red........  J592e, July 1972.     
Intermediate side marker lamps.      2 amber....................  2 amber...............  J592e, July 1972.     
Intermediate side reflex             2 amber....................  2 amber...............  J594f, January 1977.  
 reflectors.                                                                                                    
Conspicuity........................  See S5.7...................  See S5.7..............  See S5.7              

[[Page 290]]

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


                                    Table II--Location of Required Equipment                                    
        Multipurpose Passenger Vehicles, Trucks, Trailers, and Buses, of 80 or More Inches Overall Width        
----------------------------------------------------------------------------------------------------------------
                                                         Location on--                        Height above road 
                                   --------------------------------------------------------   surface measured  
               Item                   Multipurpose passenger                                 from center of item
                                       vehicles, trucks, and             Trailers            on vehicle at curb 
                                               buses                                               weight       
----------------------------------------------------------------------------------------------------------------
Headlamps.........................  On the front, each          Not required..............  Not less than 22    
                                     headlamp providing the                                  inches (55.9 cm)   
                                     upper beam, at the same                                 nor more than 54   
                                     height, 1 on each side of                               inches (137.2 cm). 
                                     the vertical centerline,                                                   
                                     each headlamp providing                                                    
                                     the lower beam, at the                                                     
                                     same height, 1 on each                                                     
                                     side of the vertical                                                       
                                     centerline, as far apart                                                   
                                     as practicable. See also                                                   
                                     S7.                                                                        
Taillamps.........................  On the rear, 1 on each      On the rear, 1 on each      Not less than 15    
                                     side of the vertical        side of the vertical        inches, nor more   
                                     centerline, at the same     centerline, at the same     than 72 inches.    
                                     height, and as far apart    height, and as far apart                       
                                     as practicable.             as practicable.                                
Stop lamps........................  ......do..................  ......do..................      Do.             
License plate lamp................  At rear license plate, to   At rear license plate, to   No requirement.     
                                     illuminate the plate from   illuminate the plate from                      
                                     the top or sides.           the top or sides.                              
Backup lamp.......................  On the rear...............  Not required..............      Do.             
Turn signal lamps.................  At or near the front--1     On the rear--1 red or       Not less than 15    
                                     amber on each side of the   amber on each side of the   inches, nor more   
                                     vertical centerline, at     vertical centerline, at     than 83 inches.    
                                     the same height, and as     the same height, and as                        
                                     far apart as practicable.   far apart as practicable.                      
                                    On the rear--1 red or                                                       
                                     amber on each side of the                                                  
                                     vertical centerline, at                                                    
                                     the same height, and as                                                    
                                     far apart as practicable.                                                  
Identification lamps..............  On the front and rear--3    On the rear--3 lamps as     No requirement.     
                                     lamps, amber in front,      close as practicable to                        
                                     red in rear, as close as    the top of the vehicle at                      
                                     practicable to the top of   the same height, as close                      
                                     the vehicle, at the same    as practicable to the                          
                                     height, as close as         vertical centerline, with                      
                                     practicable to the          lamp centers spaced not                        
                                     vertical centerline, with   less than 6 inches or                          
                                     lamp centers spaced not     more than 12 inches apart.                     
                                     less than 6 inches or                                                      
                                     more than 12 inches                                                        
                                     apart. Alternatively, the                                                  
                                     front lamps may be                                                         
                                     located as close as                                                        
                                     practicable to the top of                                                  
                                     the cab.                                                                   
Clearance lamps...................  On the front and rear--2    On the front and rear--2        Do.             
                                     amber lamps on front, 2     amber lamps on front, 2                        
                                     red lamps on rear, to       red lamps on rear, to                          
                                     indicate the overall        indicate the overall                           
                                     width of the vehicle, one   width of the vehicle, one                      
                                     on each side of the         on each side of the                            
                                     vertical centerline, at     vertical centerline, at                        
                                     the same height, and as     the same height, and as                        
                                     near the top as             near the top thereof as                        
                                     practicable  .              practicable  2, 3 4.                           
Intermediate side marker lamps....  On each side--1 amber lamp  On each side--1 amber lamp  Not less than 15    
                                     located at or near the      located at or near the      inches.            
                                     midpoint between the        midpoint between the                           
                                     front and rear side         front and rear side                            
                                     marker lamps.               marker lamps.                                  
Intermediate side reflex            On each side--1 amber       On each side--1 amber       Not less than 15    
 reflectors.                         located at or near the      located at or near the      inches nor more    
                                     midpoint between the        midpoint between the        than 60 inches.    
                                     front and rear side         front and rear side                            
                                     reflex reflectors.          reflex reflectors.                             
Conspicuity.......................  See S5.7..................  See S5.7..................  See S5.7            
Reflex reflectors.................  On the rear--1 red on each  On the rear--1 red on each      Do.             
                                     side of the vertical        side of the vertical                           
                                     centerline, as far apart    centerline, as far apart                       
                                     as practicable, and at      as practicable, and at                         
                                     the same height  .          the same height.                               
                                    On each side--1 red as far  On each side--1 red as far                      
                                     to the rear as              to the rear as                                 
                                     practicable, and 1 amber    practicable, and 1 amber                       
                                     as far to the front as      as far to the front as                         
                                     practicable.                practicable.                                   
Side marker lamps.................  ......do..................  ......do..................  Not less than 15    
                                                                                             inches, and on the 
                                                                                             rear of trailers   
                                                                                             not more than 60   
                                                                                             inches.            

[[Page 291]]

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


                              Table III--Required Motor Vehicle Lighting Equipment                              
  [All Passenger Cars and Motorcycles, and Multipurpose Passenger Vehicles, Trucks, Buses and Trailers of Less  
                                    Than 80 (2032) Inches (mm) Overall Width]                                   
----------------------------------------------------------------------------------------------------------------
                                                                                               Applicable SAE   
                                   Passenger cars,                                              standard or     
                                    multipurpose                                            recommended practice
             Item                passenger vehicles,       Trailers         Motorcycles         (See S5 for     
                                  trucks, and buses                                          subreferenced SAE  
                                                                                                 materials)     
----------------------------------------------------------------------------------------------------------------
Headlamps.....................  See S7..............  None.............  See S7.9........  J566 January 1960.   
Taillamps ....................  2 red...............  2 red............  1 red...........  J585e, September     
                                                                                            1977.               
Stoplamps.....................  2 red...............  2 red............  1 red...........  SAE J586, February   
                                                                                            1984.               
High-mounted stoplamp.........  1 red...............  Not required.....  Not required....  J186a, September     
                                                                                            1977.               
License plate lamp ...........  1 white.............  1 white..........  1 white.........  J587, October 1981.  
Parking lamps ................  2 amber or white....  None.............  None............  J222, December 1970. 
Reflex reflectors.............  4 red; 2 amber......  4 red; 2 amber...  3 red; 2 amber..  J594f, January 1977. 
Intermediate side reflex        2 amber.............  2 amber..........  None............  J594f, January 1977. 
 reflectors .                                                                                                   
Intermediate side marker lamps  2 amber.............  2 amber..........  None............  J592e, July 1972.    
 .                                                                                                              
Side marker lamps.............  2 red; 2 amber......  2 red; 2 amber...  None............  J592e, July 1972.    
Backup lamp...................  1 white.............  None.............  None............  J593c, February 1968.
Turn signal lamps.............  2 red or amber; 2     2 red or amber...  2 amber; 2 red    SAE J588, November   
                                 amber.                                   or amber.         1984.               
Turn signal operating unit.3,   1...................  None.............  1...............  J589, April 1964.    
 4.                                                                                                             
Turn signal flasher...........  1...................  None.............  1...............  J590b, October 1965. 
Vehicular hazard warning        1...................  None.............  None............  J910, January 1966.  
 signal operating unit.                                                                                         
Vehicular hazard warning        1...................  None.............  None............  J945, February 1966. 
 signal flasher.                                                                                                
----------------------------------------------------------------------------------------------------------------


                                    Table IV--Location of Required Equipment                                    
  All Passenger Cars and Motorcycles, and Multipurpose Passenger Vehicles, Trucks, Trailers, and Buses of Less  
                                          Than 80 Inches Overall Width                                          
----------------------------------------------------------------------------------------------------------------
                                                         Location on--                                          
                                    ------------------------------------------------------   Height above road  
                                         Passenger cars,                                   surface measured from
                Item                  multipurpose passenger                                 center of item on  
                                        vehicles, trucks,             Motorcycles             vehicle at curb   
                                       trailers, and buses                                         weight       
----------------------------------------------------------------------------------------------------------------
Headlamps..........................  On the front, each       On the front, on the         Not less than 22     
                                      headlamp providing the   vertical centerline,         inches (55.9 cm) nor
                                      upper beam, at the       except that if two are       more than 54 inches 
                                      same height, 1 on each   used they shall be           (137.2 cm).         
                                      side of the vertical     symmetrically disposed                           
                                      centerline, each         about the vertical                               
                                      headlamp providing the   centerline.                                      
                                      lower beam, at the                                                        
                                      same height, 1 on each                                                    
                                      side of the vertical                                                      
                                      centerline, as far                                                        
                                      apart as practicable.                                                     
                                      See also S7..                                                             
Taillamps..........................  On the rear--1 on each   On the rear--on the          Not less than 15     
                                      side of the vertical     vertical centerline except   inches, nor more    
                                      centerline, at the       that if two are used, they   than 72 inches.     
                                      same height, and as      shall be symmetrically                           
                                      far apart as             disposed about the                               
                                      practicable  .           vertical centerline.                             
Stoplamps..........................  On the rear--1 on each   On the rear--on the          Not less than 15     
                                      side of the vertical     vertical centerline except   inches, nor more    
                                      centerline, at the       that if two are used, they   than 72 inches.     
                                      same height, and as      shall be symmetrically                           
                                      far apart as             disposed about the                               
                                      practicable  .           vertical centerline.                             
High-mounted stoplamp..............  On the rear, on the      Not required...............  See S5.3.1.8 for     
                                      vertical centerline                                   passenger cars. Not 
                                      [See S5.1.1.27,                                       less than 34 inches 
                                      S5.3.1.8, and Table                                   for multipurpose    
                                      III], effective                                       passenger vehicles, 
                                      September 1, 1985, for                                trucks, and buses.  
                                      passenger cars only.                                                      

[[Page 292]]

                                                                                                                
License plate lamp.................  At rear license plate,   At rear license plate......  No requirement.      
                                      to illuminate the                                                         
                                      plate from the top or                                                     
                                      sides.                                                                    
Parking lamps......................  On the front--1 on each  Not required...............  Not less than 15     
                                      side of the vertical                                  inches, nor more    
                                      centerline, at the                                    than 72 inches.     
                                      same height, and as                                                       
                                      far apart as                                                              
                                      practicable.                                                              
Reflex reflectors..................  On the rear--1 red on    On the rear--1 red on the    Not less than 15     
                                      each side of the         vertical centerline except   inches, nor more    
                                      vertical centerline,     that, if two are used on     than 60 inches.     
                                      at the same height,      the rear, they shall be                          
                                      and as far apart as      symmetrically disposed                           
                                      practicable  .           about the vertical                               
                                                               centerline.                                      
                                     On each side--1 red as   On each side--1 red as far                        
                                      far to the rear as       to the rear as                                   
                                      practicable, and 1       practicable, and 1 amber                         
                                      amber as far to the      as far to the front as                           
                                      front as practicable  .  practicable.                                     
Backup lamp........................  On the rear............  Not required...............  No requirement.      
Turn signal lamps  ................  At or near the front--1  At or near the front--1      No requirement.      
                                      amber on each side of    amber on each side of the   Not less than 15     
                                      the vertical             vertical centerline at the   inches, nor more    
                                      centerline, at the       same height, and having a    than 83 inches.     
                                      same height, and as      minimum horizontal                               
                                      far apart as             separation distance                              
                                      practicable.             (centerline of lamps) of                         
                                     On the rear--1 red or     16 inches. Minimum edge to                       
                                      amber on each side of    edge separation distance                         
                                      the vertical             between lamp and headlamp                        
                                      centerline, at the       is 4 inches.                                     
                                      same height, and as     At or near the rear--1 red                        
                                      far apart as             or amber on each side of                         
                                      practicable.             the vertical centerline,                         
                                                               at the same height and                           
                                                               having a minimum                                 
                                                               horizontal separation                            
                                                               distance (centerline to                          
                                                               centerline of lamps) of 9                        
                                                               inches. Minimum edge to                          
                                                               edge separation distance                         
                                                               between lamp and tail or                         
                                                               stop lamp is 4-inches,                           
                                                               when a single stop and                           
                                                               taillamp is installed on                         
                                                               the vertical centerline                          
                                                               and the turn signal lamps                        
                                                               are red..                                        
Side marker lamps..................  On each side--1 red as   Not required...............  Not less than 15     
                                      far to the rear as                                    inches.             
                                      practicable, and 1                                                        
                                      amber as far to the                                                       
                                      front as practicable.                                                     
Intermediate side marker lamps.....  On each side--1 amber    Not required...............  Not less than 15     
                                      located at or near the                                inches.             
                                      midpoint between the                                                      
                                      front and rear side                                                       
                                      marker lamps.                                                             
Intermediate side marker reflectors  On each side--1 amber    Not required...............  Not less than 15     
                                      located at or near the                                inches, nor more    
                                      midpoint between the                                  than 60 inches.     
                                      front and rear side                                                       
                                      marker reflectors.                                                        
----------------------------------------------------------------------------------------------------------------
Note: (1) The term overall width refers to the nominal design dimension of the widest part of the    
  vehicle, exclusive of signal lamps, marker lamps, outside rearview mirrors, flexible fender extensions, and   
  mud flaps, determine with doors and windows closed, and the wheels in the straight-ahead position.            
This supersedes the interpretation of the term ``overall width'' appearing in the Federal Register of March 1,  
  1967 (32 FR 3390).                                                                                            
(2) Paragraph S3.1 and Tables I and III of Sec.  571.108 as amended (32 FR 18033, Dec. 16, 1967), specify that  
  certain lamp assemblies shall conform to applicable SAE Standards. Each of these basically referenced         
  standards subreferences both SAE Standard J575 (tests for motor vehicle lighting devices and components) which
  in turn references SAE Standard J573 on bulbs, and SAE Standard J567 on bulb sockets.                         
(3) Paragraph C of SAE Standard J575 states in part: ``Where special bulbs are specified, they should be        
  submitted with the devices and the same or similar bulbs used in the tests and operated at their rated mean   
  spherical candlepower.'' The Administrator has determined that this provision of SAE Standard J575 permits the
  use of special bulbs, including tubular-type bulbs, which do not conform to the detailed requirements of Table
  I of SAE Standard J573. It follows that the sockets for special bulbs need not conform to the detailed        
  requirements of SAE Standard J567. These provisions for special bulbs in no way except the lamp assemblies    
  from meeting all performance requirements specified in Federal Standard No. 108, including those specified in 
  the basically referenced SAE Standards, and in the subreferenced SAE Standard J575.                           

[41 FR 35522, Aug. 23, 1976]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.108, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.

[[Page 293]]



Sec. 571.109  Standard No. 109; New pneumatic tires.

    S1. Scope. This standard specifies tire dimensions and laboratory 
test requirements for bead unseating resistance, strength, endurance, 
and high speed performance; defines tire load ratings; and specifies 
labeling requirements for passenger car tires.
    S2. Application. This standard applies to new pneumatic tires for 
use on passenger cars manufactured after 1948. However, it does not 
apply to any tire which has been altered so as to render impossible its 
use, or its repair for use, as motor vehicle equipment.
    S3. Definitions.
    Bead means that part of the tire made of steel wires, wrapped or 
reinforced by ply cords, that is shaped to fit the rim.
    Bead separation means a breakdown of bond between components in the 
bead area.
    Bias ply tire means a pneumatic tire in which the ply cords that 
extend to the beads are laid at alternate angles substantially less than 
90 deg. to the centerline of the tread.
    Carcass means the tire structure, except tread and sidewall rubber.
    Chunking means the breaking away of pieces of the tread or sidewall.
    Cord means the strands forming the plies in the tire.
    Cord separation means cords parting away from adjacent rubber 
compounds.
    Cracking means any parting within the tread, sidewall, or innerliner 
of the tire extending to cord material.
    CT means a pneumatic tire with an inverted flange tire and rim 
system in which the rim is designed with rim flanges pointed radially 
inward and the tire is designed to fit on the underside of the rim in a 
manner that encloses the rim flanges inside the air cavity of the tire.
    Groove means the space between two adjacent tread ribs.
    Innerliner means the layer(s) forming the inside surface of a 
tubeless tire that contains the inflating medium within the tire.
    Innerliner separation means the parting of the innerliner from cord 
material in the carcass.
    Load rating means the maximum load a tire is rated to carry for a 
given inflation pressure.
    Maximum permissible inflation pressure means the maximum cold 
inflation pressure to which a tire may be inflated.
    Maximum load rating means the load rating at the maximum permissible 
inflation pressure for that tire.
    Open splice means any parting at any junction of tread, sidewall, or 
innerliner that extends to cord material.
    Overall width means the linear distance between the exteriors of the 
sidewalls of an inflated tire, including elevations due to labeling, 
decorations, or protective bands or ribs.
    Ply means a layer of rubber-coated parallel cords.
    Ply separation means a parting of rubber compound between adjacent 
plies.
    Pneumatic tire means a mechanical device made of rubber, chemicals, 
fabric and steel or other materials, which, when mounted on an 
automotive wheel, provides the traction and contains the gas or fluid 
that sustains the load.
    Radial ply tire means a pneumatic tire in which the ply cords which 
extend to the beads are laid at substantially 90 deg. to the centerline 
of the tread.
    Rim means a metal support for a tire or a tire and tube assembly 
upon which the tire beads are seated.
    Section width means the linear distance between the exteriors of the 
sidewalls of an inflated tire, excluding elevations due to labeling, 
decoration, or protective bands.
    Sidewall means that portion of a tire between the tread and the 
bead.
    Sidewall separation means the parting of the rubber compound from 
the cord material in the sidewall.
    Test rim means, with reference to a tire to be tested, any rim that 
is listed as appropriate for use with that tire in accordance with S4.4. 
For purposes of this section and Sec. 571.110, each rim listing shall 
include dimensional specifications and a diagram of the rim.
    Tread means that portion of a tire that comes into contact with the 
road.
    Tread rib means a tread section running circumferentially around a 
tire.

[[Page 294]]

    Tread separation means pulling away of the tread from the tire 
carcass.
    S4. Requirements.
    S4.1  Size and construction. Each tire shall be designed to fit each 
rim specified for its size designation in each reference cited in the 
definition of test rim in S3.
    S4.2  Performance requirements.
    S4.2.1  General. Each tire shall conform to each of the following:
    (a) It shall meet the requirements specified in S4.2.2 for its tire 
size designation, type, and maximum permissible inflation pressure.
    (b) Its maximum permissible inflation pressure shall be either 32, 
36, 40, or 60 psi, or 240, 280, 300, 340, or 350 kPa. For a CT tire, the 
maximum permissible inflation pressure shall be either 290, 330, 350, or 
390 kPa.
    (c) Its load rating shall be that specified in a submission made by 
an individual manufacturer, pursuant to S4.4.1(a), or in one of the 
publications described in S4.4.1(b) for its size designation, type and 
each appropriate inflation pressure. If the maximum load rating for a 
particular tire size is shown in more than one of the publications 
described in S4.4.1(b), each tire of that size designation shall have a 
maximum load rating that is not less than the published maximum load 
rating, or if there are differing maximum load ratings for the same tire 
size designation, not less than the lowest published maximum load 
rating.
    (d) It shall incorporate a tread wear indicator that will provide a 
visual indication that the tire has worn to a tread depth of \1/16\ 
inch.
    (e) It shall, before being subjected to either the endurance test 
procedure specified in S5.4 or the high speed performance procedure 
specified in S5.5, exhibit no visual evidence of tread, sidewall, ply, 
cord, innerliner, or bead separation, chunking, broken cords, cracking, 
or open splices.
    (f) It shall meet the requirements of S4.2.2.5 and S4.2.2.6 when 
tested on a test wheel described in S5.4.2.1 either alone or 
simultaneously with up to 5 other tires.
    S4.2.2  Test requirements.
    S4.2.2.1  Test sample. For each test sample use:
    (a) One tire for physical dimensions, resistance to bead unseating, 
and strength, in sequence;
    (b) Another tire for tire endurance; and
    (c) A third tire for high speed performance.
    S4.2.2.2  Physical dimensions. The actual section width and overall 
width for each tire measured in accordance with S5.1, shall not exceed 
the section width specified in a submission made by an individual 
manufacturer, pursuant to S4.4.1(a) or in one of the publications 
described in S4.4.1(b) for its size designation and type by more than:
    (a) (For tires with a maximum permissible inflation pressure of 32, 
36, or 40 psi) 7 percent, or
    (b) (For tires with a maximum permissible inflation pressure of 240, 
280, 290, 300, 330, 350 or 390 kPa, or 60 psi) 7 percent or 10 mm (0.4 
inches), whichever is larger.
    S4.2.2.3  Tubeless tire resistance to bead unseating.
    S4.2.2.3.1  When a tubeless tire that has a maximum inflation 
pressure other than 60 psi is tested in accordance with S5.2, the 
applied force required to unseat the tire bead at the point of contact 
shall be not less than:
    (a) 1,500 pounds for tires with a designated section width of less 
than six (6) inches;
    (b) 2,000 pounds for tires with a designated section width of six 
(6) inches or more but less than eight (8) inches;
    (c) 2,500 pounds for tires with a designated section width of eight 
(8) inches or more, using the section width specified in a submission 
made by an individual manufacturer, pursuant to S4.4.1(a), or in one of 
the publications described in S4.4.1(b) for the applicable tire size 
designation and type.
    S4.2.2.3.2  When a tire that has a maximum inflation pressure of 60 
psi is tested in accordance with S5.2, the applied force required to 
unseat the bead at the point of contact shall be not less than:
    (a) 1,500 pounds for tires with a maximum load rating of less than 
880 pounds;
    (b) 2,000 pounds for tires with a maximum load rating of 880 pounds 
or more but less than 1,400 pounds;

[[Page 295]]

    (c) 2,500 pounds for tires with a maximum load rating of 1,400 
pounds or more, using the maximum load rating marked on the sidewall of 
the tire.
    S4.2.2.4  Tire strength. Each tire shall meet the requirements for 
minimum breaking energy specified in Table 1 when tested in accordance 
with S5.3.
    S4.2.2.5  Tire endurance. When the tire has been subjected to the 
laboratory endurance test specified in S5.4, using a test rim that 
undergoes no permanent deformation and allows no loss of air through the 
portion that it comprises of the tire-rim pressure chamber:
    (a) There shall be no visual evidence of tread, sidewall, ply, cord, 
innerliner, or bead separation, chunking, broken cords, cracking, or 
open splices.
    (b) The tire pressure at the end of the test shall be not less than 
the initial pressures specified in S5.4.1.1.
    S4.2.2.6  High speed performance. When the tire has been subjected 
to the laboratory high speed performance test specified in S5.5, using a 
test rim that undergoes no permanent deformation and allows no loss of 
air through the portion that it comprises of the tire-rim pressure 
chamber, the tire shall meet the requirements set forth in S4.2.2.5 (a) 
and (b).
    S4.3  Labeling Requirements. Except as provided in S4.3.1 and 
S4.3.2, each tire shall have permanently molded into or onto both 
sidewalls, in letters and numerals not less than 0.078 inches high, the 
information shown in paragraphs S4.3 (a) through (g). On at least one 
sidewall, the information shall be positioned in an area between the 
maximum section width and bead of the tire, unless the maximum section 
width of the tire falls between the bead and one-fourth of the distance 
from the bead to the shoulder of the tire. For tires where the maximum 
section width falls in that area, locate all required labeling between 
the bead and a point one-half the distance from the bead to the shoulder 
of the tire. However, in no case shall the information be positioned on 
the tire so that it is obstructed by the flange or any rim designated 
for use with that tire in Standards Nos. 109 and 110 (Sec. 571.109 and 
Sec. 571.110 of this part). (a) One size designation, except that 
equivalent inch and metric size designations may be used;
    (b Maximum permissible inflation pressure;
    (c) Maximum load rating;
    (d) The generic name of each cord material used in the plies (both 
sidewall and tread area) of the tire;
    (e) Actual number of plies in the sidewall, and the actual number of 
plies in the tread area if different;
    (f) The words ``tubeless'' or ``tube type'' as applicable; and
    (g) The word ``radial'' if the tire is a radial ply tire.
    S4.3.1  Each tire shall be labeled with the symbol DOT in the manner 
specified in part 574 of this chapter, which shall constitute a 
certification that the tire conforms to applicable Federal motor vehicle 
safety standards.
    S4.3.2  Each tire shall be labeled with the name of the 
manufacturer, or brand name and number assigned to the manufacturer in 
the manner specified in part 574.
    S4.3.3  [Reserved]
    S4.3.4  If the maximum inflation pressure of a tire is 240, 280, 
290, 300, 330, 340, 350, or 390 kPa, then:
    (a) Each marking of that inflation pressure pursuant to S4.3(b) 
shall be followed in parenthesis by the equivalent inflation pressure in 
psi, rounded to the next higher whole number; and
    (b) Each marking of the tire's maximum load rating pursuant to 
S4.3(c) in kilograms shall be followed in parenthesis by the equivalent 
load rating in pounds, rounded to the nearest whole number.
    S4.3.5 If the maximum inflation pressure of a tire is 420 kPa (60 
psi), the tire shall have permanently molded into or onto both 
sidewalls, in letters and numerals not less than 1/2 inch high, the 
words ``Inflate to 60 psi'' or ``Inflate to 420 kPa (60 psi).'' On both 
sidewalls, the words shall be positioned in an area between the tire 
shoulder and the bead of the tire. However, in no case shall the words 
be positioned on the tire so that they are obstructed by the flange of 
any rim designated for use with that tire in this standard or in 
Standard No. 110 (Sec. 571.110 of this part).
    S4.4  Tire and rim matching information.

[[Page 296]]

    S4.4.1  Each manufacturer of tires shall ensure that a listing of 
the rims that may be used with each tire that he produces is provided to 
the public. A listing compiled in accordance with paragraph (a) of this 
section need not include dimensional specifications or diagram of a rim 
if the rim's dimensional specifications and diagram are contained in 
each listing published in accordance with paragraph (b) of this 
standard. The listing shall be in one of the following forms:
    (a) Listed by manufacturer name or brand name in a document 
furnished to dealers of the manufacturer's tires, to any person upon 
request, and in duplicate to the Docket Section, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590; or
    (b) Contained in publications, current at the date of manufacture of 
the tire or any later date, of at least one of the following 
organizations:

The Tire and Rim Association
The European Tyre and Rim Technical Organisation
Japan Automobile Tire Manufacturers' Association, Inc.
Deutsche Industrie Norm
British Standards Institution
Scandinavian Tire and Rim Organization
The Tyre and Rim Association of Australia

    S4.4.2  Information contained in any publication specified in 
S4.4.1(b) which lists general categories of tires and rims by size 
designation, type of construction and/or intended use, shall be 
considered to be manufacturer's information pursuant to S4.4.1 for the 
listed tires and rims, unless the publication itself or specific 
information provided according to S4.4.1(a) indicates otherwise.
    S5. Test procedures.
    S5.1  Physical Dimensions. Determine tire physical dimensions under 
uniform ambient conditions as follows:
    (a) Mount the tire on a test rim having the test rim width specified 
in a submission made by an individual manufacturer, pursuant to 
S4.4.1(a), or in one of the publications described in S4.4.1(b) for that 
tire size designation and inflate it to the applicable pressure 
specified in Table II.
    (b) Condition it at ambient room temperature for at least 24 hours.
    (c) Readjust pressure to that specified in (a).
    (d) Caliper the section width and overall width at six points 
approximately equally spaced around the tire circumference.
    (e) Record the average of these measurements as the section width 
and overall width, respectively.
    (f) Determine tire outer diameter by measuring the maximum 
circumference of the tire and dividing this dimension by pi (3.14).
    S5.2  Tubeless tire bead unseating resistance.
    S5.2.1  Preparation of tire-wheel assembly.
    S5.2.1.1  Wash the tire, dry it at the beads, and mount it without 
lubrication or adhesives on a clean, painted test rim.
    S5.2.1.2  Inflate it to the applicable pressure specified in Table 
II at ambient room temperature.
    S5.2.1.3  Mount the wheel and tire in a fixture shown in Figure 1, 
and force the bead unseating block shown in Figure 2 or Figure 2A 
against the tire sidewall as required by the geometry of the fixture. 
However, in testing a tire that has an inflation pressure of 60 psi, 
only use the bead unseating block described in Figure 2A.
    S5.2.2  Test procedure.
    S5.2.2.1  Apply a load through the block to the tire outer sidewall 
at the distance specified in Figure 1 for the applicable wheel size at a 
rate of 2 inches per minute, with the load arm substantially parallel to 
the tire and rim assembly at the time of engagement.
    S5.2.2.2  Increase the load until the bead unseats or the applicable 
value specified in S4.2.2.3 is reached.
    S5.2.2.3  Repeat the test at least four places equally spaced around 
the tire circumference.
    S5.3  Tire strength.
    S5.3.1  Preparation of tire.
    S5.3.1.1  Mount the tire on a test rim and inflate it to the 
applicable pressure specified in Table II.
    S5.3.1.2  Condition it at room temperature for at least 3 hours; and
    S5.3.1.3  Readjust its pressure to that specified in S5.3.1.1.
    S5.3.2  Test procedure.

[[Page 297]]

    S5.3.2.1  Force a \3/4\-inch diameter cylindrical steel plunger with 
a hemispherical end perpendicularly into the tread rib as near to the 
centerline as possible, avoiding penetration into the tread groove, at 
the rate of 2 inches per minute.
    S5.3.2.2  Record the force and penetration at five test points 
equally spaced around the circumference of the tire. If the tire fails 
to break before the plunger is stopped by reaching the rim, record the 
force and penetration as the rim is reached and use these values in 
S5.3.2.3.
    S5.3.2.3  Compute the breaking energy for each test point by means 
of the following formula:

                              W=[(F x P)/2]

where

W=Energy, inch-pounds;
F=Force, pounds; and
P=Penetration, inches.

    S5.3.2.4  Determine the breaking energy value for the tire by 
computing the average of the five values obtained in accordance with 
S5.3.2.3.
    S5.4  Tire endurance.
    S5.4.1  Preparation of tire.
    S5.4.1.1  Mount a new tire on a test rim and inflate it to the 
applicable pressure specified in Table II.
    S5.4.1.2  Condition the tire assembly to 
100plus-minus5 deg. F. for at least three hours.
    S5.4.1.3  Readjust tire pressure to that specified in S5.4.1.1 
immediately before testing.
    S5.4.2  Test procedure.
    S5.4.2.1  Mount the tire and wheel assembly on a test axle and press 
it against a flat-faced steel test wheel 67.23 inches in diameter and at 
least as wide as the section width of the tire to be tested or an 
approved equivalent test wheel, with the applicable test load specified 
in the table in S5.4.2.3 for the tire's size designation, type, and 
maximum permissible inflation pressure.
    S5.4.2.2  During the test, the air surrounding the test area shall 
be 100plus-minus5 deg. F.
    S5.4.2.3  Conduct the test at 50 miles per hour in accordance with 
the following schedule without pressure adjustment or other 
interruptions:

The loads for the following periods are the specified percentage of the 
maximum load rating marked on the tire sidewall:

                                                                        
                                                                Percent 
                                                                        
4 hours......................................................         85
6 hours......................................................         90
24 hours.....................................................        100
                                                                        

    S5.4.2.4  Immediately after running the tire the required time, 
measure its inflation pressure. Allow the tire to cool for one hour. 
Then deflate the tire, remove it from the test rim, and inspect it for 
the conditions specified in S4.2.2.5(a).
    S5.5  High speed performance.
    S5.5.1  After preparing the tire in accordance with S5.4.1, mount 
the tire and wheel assembly in accordance with S5.4.2.1, and press it 
against the test wheel with a load of 88 percent of the tire's maximum 
load rating as marked on the tire sidewall.
    S5.5.2  Break in the tire by running it for 2 hours at 50 m.p.h.
    S5.5.3  Allow to cool to 100plus-minus5 deg.F and 
readjust the inflation pressure to the applicable pressure specified in 
Table II.
    S5.5.4  Without readjusting inflation pressure, test at 75 m.p.h. 
for 30 minutes, 80 m.p.h. for 30 minutes, and 85 m.p.h. for 30 minutes.
    S5.5.5  Immediately after running the tire the required time, 
measure its inflation pressure. Allow the tire to cool for one hour. 
Then deflate the tire, remove it from the test rim, and inspect it for 
the conditions specified in S4.2.2.5(a).
    S6. Nonconforming tires. No tire that is designed for use on 
passenger cars and manufactured on or after October 1, 1972, but does 
not conform to all the requirements of this standard, shall be sold, 
offered for sale, introduced or delivered for introduction into 
interstate commerce, or imported into the United States, for any 
purpose.

[[Page 298]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.036



                         Figures to Standard 109                        
------------------------------------------------------------------------
                                                   Dimension ``A'' for  
                                                   tires with maximum   
                                                   inflation pressure   
                  Wheel sizes                  -------------------------
                                                 Other than             
                                                 60 lbs/in    60 lbs/in 
                                                    \2\          \2\    
------------------------------------------------------------------------
19............................................        13.00        12.00
18............................................        12.50        11.40
17............................................        12.00        10.60
16............................................        11.50         9.90
15............................................        11.00         9.40
14............................................        10.50         8.90
13............................................        10.00         8.40
12............................................         9.50  ...........
11............................................         9.00  ...........
10............................................         8.50  ...........
320mm.........................................         8.50  ...........
340mm.........................................         9.00  ...........
345mm.........................................         9.25  ...........
365mm.........................................         9.75  ...........
370mm.........................................        10.00  ...........
390mm.........................................        11.00  ...........
415mm.........................................        11.50  ...........
400mm(1)......................................        10.25  ...........
425mm(1)......................................        10.75  ...........
450mm(1)......................................        11.25  ...........
475mm(1)......................................        11.75  ...........
500mm(1)......................................        12.25  ...........
------------------------------------------------------------------------
(1) for CT tires only.                                                  


[[Page 299]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.037


[[Page 300]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.038


[[Page 301]]

        Appendix A--Federal Motor Vehicle Safety Standard No. 109

    The following tables list tire sizes and tire constructions with 
proper load and inflation values. The tables group tires of related 
constructions and load/inflation values. Persons requesting the addition 
of new tire sizes to the tables or the addition of tables for new tire 
constructions may, when the additions requested are compatible with 
existent groupings, or when adequate justification for new tables 
exists, submit five (5) copies of information and data supporting the 
request to the Vehicle Dynamics Division, Office of Crash Avoidance 
Standards, National Highway Traffic Safety Administration, 400 Seventh 
Street SW., Washington, DC 20590.
    The information should contain the following:
    1. The tire size designation, and a statement either that the tire 
is an addition to a category of tires listed in the tables or that it is 
in a new category for which a table has not been developed.
    2. The tire dimensions, including aspect ratio, size factor, section 
width, overall width, and test rim size.
    3. The load-inflation schedule of the tire.
    4. A statement as to whether the tire size designation and load 
inflation schedule has been coordinated with the Tire and Rim 
Association, the European Tyre and Rim Technical Organisation, the Japan 
Automobile Tire Manufacturers' Association, Inc., the Deutsche Industrie 
Norm, the British Standards Institution, the Scandinavian Tire and Rim 
Organization, and the Tyre and Rim Association of Australia.
    5. Copies of test data sheets showing test conditions, results and 
conclusions obtained for individual tests specified in Sec. 571.109.
    6. Justification for the additional tire sizes.

                                    Table I-A--For Bias Ply Tires With Designated Section Width of 6 Inches and Above                                   
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Maximum permissible inflation                              
                                                              ------------------------------------------------------------------------------------------
                        Cord Material                            32 lb/in     36 lb/in     40 lb/in                                                     
                                                                   \2\          \2\          \2\        240 kPa      280 kPa      300 kPa      340 kPa  
--------------------------------------------------------------------------------------------------------------------------------------------------------
Rayon (in-lbs)...............................................        1,650        2,574        3,300        1,650        3,300        1,650        3,300
Nylon or polyester (in-lbs)..................................        2,600        3,900        5,200        2,600        5,200        2,600        5,200
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                       Table I-B--For Bias Ply Tires With Designated Section Width Below 6 Inches                                       
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                             Maximum permissible inflation                              
                                                              ------------------------------------------------------------------------------------------
                        Cord Material                            32 lb/in     36 lb/in     40 lb/in                                                     
                                                                   \2\          \2\          \2\        240 kPa      280 kPa      300 kPa      340 kPa  
--------------------------------------------------------------------------------------------------------------------------------------------------------
Rayon (in-lbs)...............................................        1,000        1,875        2,500        1,000        2,500        1,000        2,500
Nylon or polyester (in-lbs)..................................        1,950        2,925        3,900        1,950        3,900        1,950        3,900
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                                             Table I-C--For Radial Ply Tires                                                            
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                     Maximum Permissible Inflation                                      
                                             -----------------------------------------------------------------------------------------------------------
                                                                     Tires other than CT tires                                     CT Tires             
              Size Designation               -----------------------------------------------------------------------------------------------------------
                                                         psi                                 kPa                                      kPa               
                                             -----------------------------------------------------------------------------------------------------------
                                                 32       36       40      240      280      300      340      350      290      330      350      390  
--------------------------------------------------------------------------------------------------------------------------------------------------------
Below 160mm (in-lbs)........................    1,950    2,925    3,900    1,950    3,900    1,950    3,900    1,950    1,950    3,900    1,950    3,900
160mm or above (in-lbs).....................    2,600    3,900    5,200    2,600    5,200    2,600    5,200    2,600    2,600    5,200    2,600    5,200
--------------------------------------------------------------------------------------------------------------------------------------------------------


   Table I-D--For Tires With 60 lb/in\2\ Maximum Permissible Inflation  
        Pressure and Maximum Load Rating Below 880 Lb. and above        
------------------------------------------------------------------------
                                                                 Inch-  
                        Cord material                           pounds  
------------------------------------------------------------------------
Rayon.......................................................       1,650
Nylon or polyester..........................................       2,600

[[Page 302]]

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


   Table I-E--For Tires With 60 lb/in\2\ Maximum Permissible Inflation  
             Pressure and Maximum Load Rating Below 880 Lb.             
------------------------------------------------------------------------
                                                                 Inch-  
                        Cord material                           pounds  
------------------------------------------------------------------------
Rayon.......................................................       1,000
Nylon or polyester..........................................       1,950
------------------------------------------------------------------------


                                                           Table II--Test Inflation Pressures                                                           
                                       [Maximum permissible inflation pressure to be used 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    300    350    390 
--------------------------------------------------------------------------------------------------------------------------------------------------------
Physical dimensions, bead unseating, tire strength, and tire                                                                                            
 endurance...................................................     24     28     32     52    180    220    180    220    180    230    270    230    270
High speed performance.......................................     30     34     38     58    220    260    220    260    220    270    310    270    310
--------------------------------------------------------------------------------------------------------------------------------------------------------

[38 FR 30235, Nov. 1, 1973]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.109, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 571.110  Standard No. 110; Tire selection and rims.

    S1. Purpose and scope. This standard specifies requirements for tire 
selection to prevent tire overloading.
    S2. Application. This standard applies to passenger cars and to non-
pneumatic spare tire assemblies for use on passenger cars.
    S3. Definitions.
    Accessory weight means the combined weight (in excess of those 
standard items which may be replaced) of automatic transmission, power 
steering, power brakes, power windows, power seats, radio, and heater, 
to the extent that these items are available as factory-installed 
equipment (whether installed or not).
    Curb weight means the weight of a motor vehicle with standard 
equipment including the maximum capacity of fuel, oil, and coolant, and, 
if so equipped, air conditioning and additional weight optional engine.
    Maximum loaded vehicle weight means the sum of--
    (a) Curb weight;
    (b) Accessory weight;
    (c) Vehicle capacity weight; and
    (d) Production options weight.
    Non-pneumatic rim is used as defined in Sec. 571.129.
    Non-pneumatic spare tire assembly means a non-pneumatic tire 
assembly intended for temporary use in place of one of the pneumatic 
tires and rims that are fitted to a passenger car in compliance with the 
requirements of this standard.
    Non-pneumatic tire and non-pneumatic tire assembly are used as 
defined in Sec. 571.129.
    Normal occupant weight means 68 kilograms times the number of 
occupants specified in the second column of Table I.
    Occupant distribution means distribution of occupants in a vehicle 
as specified in the third column of Table I.
    Production options weight means the combined weight of those 
installed regular production options weighing over 2.3 kilograms in 
excess of those standard items which they replace, not previously 
considered in curb weight or accessory weight, including heavy duty 
brakes, ride levelers, roof rack, heavy duty battery, and special trim.
    Rim is used as defined in Sec. 571.109.
    Vehicle capacity weight means the rated cargo and luggage load plus 
68 kilograms times the vehicle's designated seating capacity.
    Vehicle maximum load on the tire means that load on an individual 
tire that is determined by distributing to each axle its share of the 
maximum loaded vehicle weight and dividing by two.
    Vehicle normal load on the tire means that load on an individual 
tire that is

[[Page 303]]

determined by distributing to each axle its share of the curb weight, 
accessory weight, and normal occupant weight (distributed in accordance 
with Table I) and dividing by 2.
    Wheel center member is used as defined in Sec. 571.129.
    S4. Requirements.
    S4.1  General. Passenger cars shall be equipped with tires that meet 
the requirements of Sec. 571.109, New Pneumatic Tires--Passenger Cars, 
except that passenger cars may be equipped with a non-pneumatic spare 
tire assembly that meets the requirements of Sec. 571.129, New Non-
Pneumatic Tires for Passenger Cars and S6 and S8 of this standard. 
Passenger cars equipped with such an assembly shall meet the 
requirements of S4.3(e), S5, and S7 of this standard.
    S4.2  Tire load limits.
    S4.2.1  The vehicle maximum load on the tire shall not be greater 
than the applicable maximum load rating as marked on the sidewall of the 
tire.
    S4.2.2  The vehicle normal load on the tire shall not be greater 
than the test load used in the high speed performance test specified in 
S5.5 of Sec. 571.109 for that tire.
    S4.3  Placard. A placard, permanently affixed to the glove 
compartment door or an equally accessible location, shall display the--
    (a) Vehicle capacity weight;
    (b) Designated seating capacity (expressed in terms of total number 
of occupants and in terms of occupants for each seat location);
    (c) Vehicle manufacturer's recommended cold tire inflation pressure 
for maximum loaded vehicle weight and, subject to the limitations of 
S4.3.1, for any other manufacturer-specified vehicle loading condition;
    (d) Vehicle manufacturer's recommended tire size designation; and
    (e) For a vehicle equipped with a non-pneumatic spare tire assembly, 
the non-penumatic tire identification code with which that assembly is 
labeled pursuant to the requirements of S4.3(a) of Sec. 571.129, New 
Non-Pneumatic Tires for Passenger Cars.
    S4.3.1  No inflation pressure other than the maximum permissible 
inflation pressure may be specified unless--
    (a) It is less than the maximum permissible inflation pressure;
    (b) The vehicle loading condition for that pressure is specified; 
and
    (c) The tire load rating specified in a submission by an individual 
manfacturer, pursuant to S4.4.1(a) of Motor Vehicle Safety Standard No. 
109, or contained in one of the publications described in S4.4.1(b) of 
Motor Vehicle Safety Standard No. 109 for the tire size at that 
inflation pressure is not less than the vehicle load on the tire for 
that vehicle loading condition.
    S4.4  Rims.
    S4.4.1  Requirements. Each rim shall:
    (a) Be constructed to the dimensions of a rim that is listed 
pursuant to the definition of test rim in paragraph S3. of Sec. 571.109 
(Standard No. 109) for use with the tire size designation with which the 
vehicle is equipped.
    (b) In the event of rapid loss of inflation pressure with the 
vehicle traveling in a straight line at a speed of 97 kilometers per 
hour, retain the deflated tire until the vehicle can be stopped with a 
controlled braking application.

 Table I--Occupant Loading and Distribution for Vehicle Normal Load for 
                  Various Designated Seating Capacities                 
------------------------------------------------------------------------
                                 Vehicle                                
                                  normal                                
 Designated seating capacity,     load,      Occupant distribution in a 
      number of occupants       number of     normally loaded vehicle   
                                occupants                               
------------------------------------------------------------------------
2 through 4                             2  2 in front.                  
5 through 10                            3  2 in front, 1 in second seat.
------------------------------------------------------------------------

    S5. Load Limits for Non-Pneumatic Spare Tires. The highest vehicle 
maximum load on the tire for the vehicle shall not be greater than the 
load rating for the non-pneumatic spare tire.
    S6 Labeling Requirements for Non-Pneumatic Spare Tires or Tire 
Assemblies. Each non-pneumatic tire or, in the case of a non-pneumatic 
tire assembly in which the non-pneumatic tire is an integral part of the 
assembly, each non-pneumatic tire assembly shall include, in letters or 
numerals not less than 4 millimeters high, the information specified in 
paragraphs S6 (a) and (b). The information shall be permanently molded, 
stamped, or otherwise permanently marked into or onto the non-pneumatic 
tire or non-pneumatic tire

[[Page 304]]

assembly, or shall appear on a label that is permanently attached to the 
tire or tire assembly. If a label is used, it shall be subsurface 
printed, made of material that is resistant to fade, heat, moisture and 
abrasion, and attached in such a manner that it cannot be removed 
without destroying or defacing the label on the non-pneumatic tire or 
tire assembly. The information specified in paragraphs S6 (a) and (b) 
shall appear on both sides of the non-pneumatic tire or tire assembly, 
except, in the case of a non-pneumatic tire assembly which has a 
particular side that must always face outward when mounted on a vehicle, 
in which case the information specified in paragraphs S6 (a) and (b) 
shall only be required on the outward facing side. The information shall 
be positioned on the tire or tire assembly such that it is not placed on 
the tread or the outermost edge of the tire and is not obstructed by any 
portion of any non-pneumatic rim or wheel center member designated for 
use with that tire in this standard or in Standard No. 129. (a) FOR 
TEMPORARY USE ONLY; and
    (b) MAXIMUM 80 KM/H (50 M.P.H.).
    S7. Requirements for Passenger Cars Equipped with Non-Pneumatic 
Spare Tire Assemblies
    S7.1  Vehicle Placarding Requirements. A placard, permanently 
affixed to the inside of the vehicle trunk or an equally accessible 
location adjacent to the non-pneumatic spare tire assembly, shall 
display the information set forth in S6 in block capitals and numerals 
not less than 6 millimeters high preceded by the words ``IMPORTANT--USE 
OF SPARE TIRE'' in letters not less than 9 millimeters high.
    S7.2  Supplementary Information. The owner's manual of the passenger 
car shall contain, in writing in the English language and in not less 
than 10 point type, the following information under the heading 
``IMPORTANT--USE OF SPARE TIRE'':
    (a) A statement indicating the information related to appropriate 
use for the non-pneumatic spare tire including at a minimum the 
information set forth in S6 (a) and (b) and either the information set 
forth in S4.3(e) or a statement that the information set forth in 
S4.3(e) is located on the vehicle placard and on the non-pneumatic tire;
    (b) An instruction to drive carefully when the non-pneumatic spare 
tire is in use, and to install the proper pneumatic tire and rim at the 
first reasonable opportunity; and
    (c) A statement that operation of the passenger car is not 
recommended with more than one non-pneumatic spare tire in use at the 
same time.
    S8. Non-Pneumatic Rims and Wheel Center Members
    S8.1  Non-Pneumatic Rim Requirements. Each non-pneumatic rim that is 
part of a separable non-pneumatic spare tire assembly shall be 
constructed to the dimensions of a non-pneumatic rim that is listed 
pursuant to S4.4 of Sec. 571.129 for use with the non-pneumatic tire, 
designated by its non-pneumatic tire identification code, with which the 
vehicle is equipped.
    S8.2  Wheel Center Member Requirements. Each wheel center member 
that is part of a separable non-pneumatic spare tire assembly shall be 
constructed to the dimensions of a wheel center member that is listed 
pursuant to S4.4 of Sec. 571.129 for use with the non-pneumatic tire, 
designated by its non-pneumatic tire identification code, with which the 
vehicle is equipped.
[36 FR 22902, Dec. 2, 1971, as amended at 37 FR 23727, Nov. 8, 1972; 40 
FR 5530, Feb. 6, 1975; 47 FR 36183, Aug. 19, 1982; 49 FR 38612, Oct. 1, 
1984; 55 FR 29589, July 20, 1990; 56 FR 19311, Apr. 26, 1991; 60 FR 
13643, Mar. 14, 1995]



Sec. 571.111  Standard No. 111; Rearview mirrors.

    S1. Scope. This standard specifies requirements for the performance 
and location of rearview mirrors.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths and injuries that occur when the driver of a motor vehicle does 
not have a clear and reasonably unobstructed view to the rear.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, buses, schoolbuses and 
motorcycles.
    S4. Definitions.
    Convex mirror means a mirror having a curved reflective surface 
whose shape is the same as that of the exterior surface of a section of 
a sphere.

[[Page 305]]

    Effective mirror surface means the portions of a mirror that reflect 
images, excluding the mirror rim or mounting brackets.
    Unit magnification mirror means a plane or flat mirror with a 
reflective surface through which the angular height and width of the 
image of an object is equal to the angular height and width of the 
object when viewed directly at the same distance except for flaws that 
do not exceed normal manufacturing tolerances. For the purposes of this 
regulation a prismatic day-night adjustment rearview mirror one of whose 
positions provides unit magnification is considered a unit magnification 
mirror.
    S5. Requirements for passenger cars.
    S5.1  Inside rearview mirror. Each passenger car shall have an 
inside rearview mirror of unit magnification.
    S5.1.1  Field of view. Except as provided in S5.3, the mirror shall 
provide a field of view with an included horizontal angle measured from 
the projected eye point of at least 20 degrees, and sufficient vertical 
angle to provide a view of a level road surface extending to the horizon 
beginning at a point not greater than 200 feet to the rear of the 
vehicle when the vehicle is occupied by the driver and four passengers 
or the designed occupant capacity, if less, based on an average occupant 
weight of 150 pounds. The line of sight may be partially obscured by 
seated occupants or by head restraints. The location of the driver's eye 
reference points shall be those established in Motor Vehicle Safety 
Standard No. 104 (Sec. 571.104) or a nominal location appropriate for 
any 95th percentile male driver.
    S5.1.2  Mounting. The mirror mounting shall provide a stable support 
for the mirror, and shall provide for mirror adjustment by tilting in 
both the horizontal and vertical directions. If the mirror is in the 
head impact area, the mounting shall deflect, collapse or break away 
without leaving sharp edges when the reflective surface of the mirror is 
subjected to a force of 90 pounds in any forward direction that is not 
more than 45 deg. from the forward longitudinal direction.
    S5.2  Outside rearview mirror--driver's side.
    S5.2.1  Field of view. Each passenger car shall have an outside 
mirror of unit magnification. The mirror shall provide the driver a view 
of a level road surface extending to the horizon from a line, 
perpendicular to a longitudinal plane tangent to the driver's side of 
the vehicle at the widest point, extending 8 feet out from the tangent 
plane 35 feet behind the driver's eyes, with the seat in the rearmost 
position. The line of sight may be partially obscured by rear body or 
fender contours. The location of the driver's eye reference points shall 
be those established in Motor Vehicle Safety Standard No. 104 
(Sec. 571.104) or a nominal location appropriate for any 95th percentile 
male driver.
    S5.2.2  Mounting. The mirror mounting shall provide a stable support 
for the mirror, and neither the mirror nor the mounting shall protrude 
farther than the widest part of the vehicle body except to the extent 
necessary to produce a field of view meeting or exceeding the 
requirements of S5.2.1. The mirror shall not be obscured by the unwiped 
portion of the windshield, and shall be adjustable by tilting in both 
horizontal and vertical directions from the driver's seated position. 
The mirror and mounting shall be free of sharp points or edges that 
could contribute to pedestrian injury.
    S5.3  Outside rearview mirror passenger's side. Each passenger car 
whose inside rearview mirror does not meet the field of view 
requirements of S5.1.1 shall have an outside mirror of unit 
magnification or a convex mirror installed on the passenger's side. The 
mirror mounting shall provide a stable support and be free of sharp 
points or edges that could contribute to pedestrian injury. The mirror 
need not be adjustable from the driver's seat but shall be capable of 
adjustment by tilting in both horizontal and vertical directions.
    S5.4  Convex mirror requirements. Each motor vehicle using a convex 
mirror to meet the requirements of S5.3 shall comply with the following 
requirements:
    S5.4.1  When each convex mirror is tested in accordance with the 
procedures specified in S12. of this standard, none of the radii of 
curvature readings shall deviate from the average radius

[[Page 306]]

of curvature by more than plus or minus 12.5 percent.
    S5.4.2 Each convex mirror shall have permanently and indelibly 
marked at the lower edge of the mirror's reflective surface, in letters 
not less than 3/16 of an inch nor more than 1/4 inch high the words 
``Objects in Mirror Are Closer Than They Appear.''
    S5.4.3  The average radius of curvature of each such mirror, as 
determined by using the procedure in S12., shall be not less than 35 
inches and not more than 65 inches.
    S6. Requirements for multipurpose passenger vehicles, trucks, and 
buses, other than schoolbuses, with GVWR of 10,000 pounds or less.
    S6.1  Each multipurpose passenger vehicle, truck and bus, other than 
a school bus, with a GVWR of 10,000 pounds or less shall have either--
    (a) Mirrors that conform to the requirements of S5.; or
    (b) Outside mirrors of unit magnification, each with not less than 
19.5 in 2 of reflective surface, installed with stable 
supports on both sides of the vehicle, located so as to provide the 
driver a view to the rear along both sides of the vehicle, and 
adjustable in both the horizontal and vertical directions to view the 
rearward scene.
    S7. Requirements for multipurpose passenger vehicles and trucks with 
a GVWR of more than 10,000 and less than 25,000 pounds and buses, other 
than school buses, with a GVWR of more than 10,000 pounds.
    S7.1  Each multipurpose passenger vehicle and truck with a GVWR of 
more than 10,000 pounds and less than 25,000 pounds and each bus, other 
than a school bus, with a GVWR of more than 10,000 pounds shall have 
outside mirrors of unit magnification, each with not less than 50 in 
2 of reflective surface, installed with stable supports on 
both sides of the vehicle. The mirrors shall be located so as to provide 
the driver a view to the rear along both sides of the vehicle and shall 
be adjustable both in the horizontal and vertical directions to view the 
rearward scene.
    S8. Requirements for multipurpose passenger vehicles and trucks with 
a GVWR of 25,000 pounds or more.
    S8.1  Each multipurpose passenger vehicle and truck with a GVWR of 
25,000 pounds or more shall have outside mirrors of unit magnification, 
each with not less than 50 in 2 of reflective surface, 
installed with stable supports on both sides of the vehicle. The mirrors 
shall be located so as to provide the driver a view to the rear along 
both sides of the vehicle and shall be adjustable both in the horizontal 
and vertical directions to view the rearward scene.
    S9. Requirements for School Buses. When a school bus is tested in 
accordance with the procedures of S13, it shall meet the requirements of 
S9.1 through S9.4.
    S9.1  Outside Rearview Mirrors. Each school bus shall have two 
outside rearview mirror systems: System A and System B.
    S9.2  System A shall be located with stable supports so that the 
portion of the system on the bus's left side, and the portion on its 
right side, each:
    (a) Includes at least one mirror of unit magnification with not less 
than 322.60 square centimeters (50 square inches) of reflective surface; 
and
    (b) Includes one or more mirrors which together provide, at the 
driver's eye location, a view of:
    (1) For the mirror system on the right side of the bus, the entire 
top surface of cylinder N in Figure 2, and that area of the ground which 
extends rearward from cylinder N to a point not less than 60.93 meters 
(200 feet) from the mirror surface.
    (2) For the mirror system on the left side of the bus, the entire 
top surface of cylinder M in Figure 2, and that area of the ground which 
extends rearward from cylinder M to a point not less than 60.93 meters 
(200 feet) from the mirror surface.
    S9.3(a) For each of the cylinders A through P whose entire top 
surface is not directly visible from the driver's eye location, System B 
shall provide, at that location:
    (1) A view of the entire top surface of that cylinder.
    (2) A view of the ground that overlaps with the view of the ground 
provided by system A.
    (b) Each mirror installed in compliance with S9.3(a) shall meet the 
following requirements:

[[Page 307]]

    (1) Each mirror shall have a projected area of at least 258.08 
square centimeters (40 square inches), as measured on a plane at a right 
angle to the mirror's axis.
    (2) Each mirror shall be located such that the distance from the 
center point of the eye location of a 25th percentile adult female 
seated in the driver's seat to the center of the mirror shall be at 
least 95.25 centimeters (37.5 inches).
    (3) Each mirror shall have no discontinuities in the slope of the 
surface of the mirror.
    (4) Each mirror shall be installed with a stable support.
    (c) Each school bus which has a mirror installed in compliance with 
S9.3(a) that has an average radius of curvature of less than 88.90 
centimeters (35 inches), as determined under S12, shall have a label 
visible to the seated driver. The label shall be printed in a type face 
and color that are clear and conspicuous. The label shall state the 
following:

    ``USE CROSS VIEW MIRRORS TO VIEW PEDESTRIANS WHILE BUS IS STOPPED. 
DO NOT USE THESE MIRRORS TO VIEW TRAFFIC WHILE BUS IS MOVING. IMAGES IN 
SUCH MIRRORS DO NOT ACCURATELY SHOW ANOTHER VEHICLE'S LOCATION.''

    S9.4(a) Each image required by S9.3(a)(1) to be visible at the 
driver's eye location shall be separated from the edge of the effective 
mirror surface of the mirror providing that image by a distance of not 
less than 3 minutes of arc.
    (b) The image required by S9.3(a)(1) of cylinder P shall meet the 
following requirements:
    (1) The angular size of the shortest dimension of that cylinder's 
image shall be not less than 3 minutes of arc; and
    (2) The angular size of the longest dimension of that cylinder's 
image shall be not less than 9 minutes of arc.

    S10. Requirements for motorcycles.
    S10.1  Each motorcycle shall have either a mirror of unit 
magnification with not less than 12.5 in 2 of reflective 
surface, or a convex mirror with not less than 10 in 2 of 
reflective surface and an average radius of curvature not less than 20 
inches and not greater than 60 inches, installed with a stable support, 
and mounted so that the horizontal center of the reflective surface is 
at least 11 inches outward of the longitudinal centerline of the 
motorcycle. The mirror shall be adjustable by tilting in both the 
horizontal and vertical directions.
    S11. Mirror Construction. The average reflectance of any mirror 
required by this standard shall be determined in accordance with SAE 
Recommended Practice J964, OCT84. All single reflectance mirrors shall 
have an average reflectance of at least 35 percent. If a mirror is 
capable of multiple reflectance levels, the minimum reflectance level in 
the day mode shall be at least 35 percent and the minimum reflectance 
level in the night mode shall be at least 4 percent. A multiple 
reflectance mirror shall either be equipped with a means for the driver 
to adjust the mirror to a reflectance level of at least 35 percent in 
the event of electrical failure, or achieve such reflectance level 
automatically in the event of electrical failure.
    S12.  Determination of radius of curvature.
    S12.1  To determine the average radius of curvature of a convex 
mirror, use a 3-point linear spherometer, which meets the requirements 
of S12.2, at the 10 test positions shown in Figure 1 and record the 
readings for each position.
    S12.2  The 3-point linear spherometer has two outer fixed legs 1.5 
inches apart and one inner movable leg at the mid-point. The spherometer 
has a dial indicator with a scale that can be read accurately to 0.0001 
inches, with the zero reading being a flat surface.
    S12.3  The 10 test positions on the image display consist of two 
positions at right angles to each other at each of five locations as 
shown in Figure 1. The locations are at the center of the mirror, at the 
left and right ends of a horizontal line that bisects the mirror and at 
the top and bottom ends of a vertical line that bisects the mirror. None 
of the readings are within a 0.25-inch border on the edge of the image 
display.
    S12.4  At each position, the spherometer is held perpendicular to 
the convex mirror-surface and a record is made of the reading on the 
dial indicator to the nearest 0.0001 inch.

[[Page 308]]

    S12.5  Convert the dial reading data for each of the 10 test 
positions to radius of curvature calculations using Table I. Consider 
the change as linear for dial readings that fall between two numbers in 
Table I.
    S12.6  Calculate the average radius of curvature by adding all 10 
radius of curvature calculations and dividing by ten.
    S12.7  Determine the numerical difference between the average radius 
of curvature and each of the 10 individual radius of curvature 
calculations determined in S12.5.
    S12.8  Calculate the greatest percentage deviation by dividing the 
greatest numerical difference determined in S12.7 by the average radius 
of curvature and multiply by 100.

[[Page 309]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.039



[[Page 310]]



  Table I--Conversion Table From Spherometer Dial Reading To Radius of  
                                Curvature                               
------------------------------------------------------------------------
                                               Radius of curvature (in  
               Dial reading                            inches)          
------------------------------------------------------------------------
.00330....................................  85.2                        
.00350....................................  80.4                        
.00374....................................  75.2                        
.00402....................................  70.0                        
.00416....................................  67.6                        
.00432....................................  65.1                        
.00450....................................  62.5                        
.00468....................................  60.1                        
.00476....................................  59.1                        
.00484....................................  58.1                        
.00492....................................  57.2                        
.00502....................................  56.0                        
.00512....................................  54.9                        
.00522....................................  53.9                        
.00536....................................  52.5                        
.00544....................................  51.7                        
.00554....................................  50.8                        
.00566....................................  49.7                        
.00580....................................  48.5                        
.00592....................................  47.5                        
.00606....................................  46.4                        
.00622....................................  45.2                        
.00636....................................  44.2                        
.00654....................................  43.0                        
.00668....................................  42.1                        
.00686....................................  41.0                        
.00694....................................  40.5                        
.00720....................................  39.1                        
.00740....................................  38.0                        
.00760....................................  37.0                        
.00780....................................  36.1                        
.00802....................................  35.1                        
.00822....................................  34.2                        
.00850....................................  33.1                        
.00878....................................  32.0                        
.00906....................................  31.0                        
.00922....................................  30.5                        
.00938....................................  30.0                        
.00960....................................  29.3                        
.00980....................................  28.7                        
.01004....................................  28.0                        
.01022....................................  27.5                        
.01042....................................  27.0                        
.01060....................................  26.5                        
.01080....................................  26.0                        
.01110....................................  25.3                        
.01130....................................  24.9                        
.01170....................................  24.0                        
.01200....................................  23.4                        
.01240....................................  22.7                        
.01280....................................  22.0                        
.01310....................................  21.5                        
.01360....................................  20.7                        
.01400....................................  20.1                        
.01430....................................  19.7                        
.01480....................................  19.0                        
.01540....................................  18.3                        
.01570....................................  17.9                        
.01610....................................  17.5                        
.01650....................................  17.1                        
.01700....................................  16.6                        
.01750....................................  16.1                        
.01800....................................  15.6                        
.01860....................................  15.1                        
.01910....................................  14.7                        
.01980....................................  14.2                        
.02040....................................  13.8                        
.02100....................................  13.4                        
.02160....................................  13.0                        
.02250....................................  12.5                        
.02340....................................  12.0                        
.02450....................................  11.5                        
.02560....................................  11.0                        
.02680....................................  10.5                        
.02810....................................  10.0                        
.02960....................................   9.5                        
.03130....................................   9.0                        
.03310....................................   8.5                        
------------------------------------------------------------------------

    S13. School bus mirror test procedures. The requirements of S9.1 
through S9.4 shall be met when the vehicle is tested in accordance with 
the following conditions.
    S13.1  The cylinders shall be a color which provides a high contrast 
with the surface on which the bus is parked.
    S13.2  The cylinders are 0.3048 meters (1 foot) high and 0.3048 
meters (1 foot) in diameter, except for cylinder P which is 0.9114 
meters (3 feet) high and 0.3048 meters (1 foot) in diameter.
    S13.3  Place cylinders at locations as specified in S13.3(a) through 
S13.3(g) and illustrated in Figure 2. Measure the distances shown in 
Figure 2 from a cylinder to another object from the center of the 
cylinder as viewed from above.
    (a) Place cylinders G, H, and I so that they are tangent to a 
transverse vertical plane tangent to the forward-most surface of the 
bus's front bumper. Place cylinders D, E, F so that their centers are 
located in a transverse vertical plane that is 1.8288 meters (6 feet) 
forward of a transverse vertical plane passing through the centers of 
cylinders G, H, and I. Place cylinders A, B, and C so that their centers 
are located in a transverse vertical plane that is 3.6576 meters (12 
feet) forward of the transverse vertical plane passing through the 
centers of cylinders G, H, and I.
    (b) Place cylinders B, E, and H so that their centers are in a 
longitudinal vertical plane that passes through the bus's longitudinal 
centerline.
    (c) Place cylinders A, D, and G so that their centers are in a 
longitudinal vertical plane that is tangent to the most outboard edge of 
the left side of the bus's front bumper.

[[Page 311]]

    (d) Place cylinders C, F, and I so that their centers are in a 
longitudinal vertical plane that is tangent to the most outboard edge of 
the right side of the bus's front bumper.
    (e) Place cylinder J so that its center is in a longitudinal 
vertical plane 0.3048 meters (1 foot) to the left of the longitudinal 
vertical plane passing through the centers of cylinders A, D, and G, and 
is in the transverse vertical plane that passes through the centerline 
of the bus's front axle.
    (f) Place cylinder K so that its center is in a longitudinal 
vertical plane 0.3048 meters (1 foot) to the right of the longitudinal 
vertical plane passing through the centers of cylinders C, F, and I, and 
is in the transverse vertical plane that passes through the centerline 
of the bus's front axle.
    (g) Place cylinders L, M, N, O, and P so that their centers are in 
the transverse vertical plane that passes through the centerline of the 
bus's rear axle. Place cylinder L so that its center is in a 
longitudinal vertical plane that is 1.8288 meters (6 feet) to the left 
of the longitudinal vertical plane tangent to the bus's most outboard 
left surface (excluding the mirror system). Place cylinder M so that its 
center is in a longitudinal vertical plane that is 0.3048 meters (1 
foot) to the left of the longitudinal vertical plane tangent to the left 
side of the bus. Place cylinder N so that its center is in a 
longitudinal vertical plane that is 0.3048 meters (1 foot) to the right 
of the longitudinal vertical plane tangent to the right side of the bus. 
Place cylinder O so that its center is in a longitudinal vertical plane 
that is 1.8288 meters (6 feet) to the right of the longitudinal vertical 
plane tangent to the right side of the bus. Place cylinder P so that its 
center is in a longitudinal vertical plane that is 3.6576 meters (12 
feet) to the right of the longitudinal vertical plane tangent to the 
right side of the bus.

[[Page 312]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.040



[[Page 313]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.041



[[Page 314]]

    S13.4  The driver's eye location is the eye location of a 25th 
percentile adult female, when seated in the driver's seat as follows:
    (a) The center point of the driver's eye location is the point 
located 68.58 centimeters (27 inches) vertically above the intersection 
of the seat cushion and the seat back at the longitudinal centerline of 
the seat.
    (b) Adjust the driver's seat to the midway point between the 
forward-most and rear-most positions, and if separately adjustable in 
the vertical direction, adjust to the lowest position. If an adjustment 
position does not exist at the midway point, use the closest adjustment 
position to the rear of the midpoint. If a seat back is adjustable, 
adjust the seat back angle to the manufacturer's nominal design riding 
position in accordance with the manufacturer's recommendations.
    S13.5  Adjustable mirrors are adjusted before the test in accordance 
with the manufacturer's recommendations. Such mirrors are not moved or 
readjusted at any time during the test.
    13.6  Place a 35 mm or larger format camera, or video camera, so 
that its image plane is located at the center point of the driver's eye 
location or at any single point within a semicircular area established 
by a 15.24 centimeter (6 inch) radius parallel to and forward of the 
center point (see figure 3). With the camera at any single location on 
or within that semicircle look through the camera and the windows of the 
bus and determine whether the entire top surface of each cylinder is 
directly visible.
    S13.7  For each cylinder whose entire top surface is determined 
under paragraph 13.4 of this section not to be directly visible at the 
driver's eye location,
    (a) Place a comparison chart (see figure 4) above the mirror that 
provides the fullest view of the cylinder in situations where a cylinder 
is partially visible through more than one mirror.

[[Page 315]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.042


    The width of the bars in Figure 4 indicating three minutes of arc 
and nine minutes of arc are derived from the following formula:

    For 3 minutes of arc:

X=D x 0.000873,

    Where:

X=the width of a line, in the unit of measurement D, representing 3 
          minutes of arc;
D=distance from center point of driver's eye location to the center of 
          the mirror's surface; and

0.000873=tangent of 3 minutes of arc.

    For 9 minutes of arc:

X=D x 0.002618,

Where:

X=the width of a line, in the unit of measurement D, representing 9 
minutes of arc;
D=distance from center point of driver's eye location to the center of 
the mirror's surface; and

0.002618=tangent of 9 minutes of arc.

    (b) Photograph each cylinder through the mirror(s) that provides a 
view of the cylinder. Photograph each cylinder with the camera located 
so that the view through its film or image plane is located at any 
single location within the semicircle established under 13.4, [POINT 
A,B,C, OR D] ensuring that the image of the mirror and comparison chart 
fill the camera's view finder to the extent possible.
    13.8  Make all observations and take all photographs with the 
service/entry door in the closed position and the stop

[[Page 316]]

signal arm(s) in the fully retracted position.
[41 FR 36025, Aug. 26, 1976, as amended at 41 FR 56813, Dec. 30, 1976; 
47 FR 38700, Sept. 2, 1982; 48 FR 38844, Aug. 26, 1983; 48 FR 40262, 
Sept. 6, 1983; 56 FR 58516, Nov. 20, 1991; 57 FR 57015, Dec. 2, 1992; 58 
FR 60402, Nov. 16, 1993; 60 FR 15692, Mar. 27, 1995]



Sec. 571.112  [Reserved]



Sec. 571.113  Standard No. 113; Hood latch system.

    S1. Purpose and scope. This standard establishes the requirement for 
providing a hood latch system or hood latch systems.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definitions. Hood means any exterior movable body panel forward 
of the windshield that is used to cover an engine, luggage, storage, or 
battery compartment.
    S4. Requirements.
    S4.1  Each hood must be provided with a hood latch system.
    S4.2  A front opening hood which, in any open position, partially or 
completely obstructs a driver's forward view through the windshield must 
be provided with a second latch position on the hood latch system or 
with a second hood latch system.



Sec. 571.114  Standard No. 114; Theft protection.

    S1.  Purpose and Scope. This standard specifies requirements 
primarily for theft protection to reduce the incidence of crashes 
resulting from unauthorized operation of a motor vehicle. It also 
specifies requirements to reduce the incidence of crashes resulting from 
the rollaway of parked vehicles with automatic transmissions as a result 
of children moving the shift mechanism out of the ``park'' position.
    S2. Application. This standard applies to passenger cars, and to 
trucks and multipurpose passenger vehicles having a GVWR of 4536 
kilograms or less. However, it does not apply to walk-in van-type 
vehicles.
    S3. Definitions.
    Combination means one of the specifically planned and constructed 
variations of a locking system which, when properly actuated, permits 
operation of the locking system.
    Key includes any other device designed and constructed to provide a 
method for operating a locking system which is designed and constructed 
to be operated by that device.
    Vehicle type refers to passenger car, truck, or multipurpose 
passenger vehicle, as those terms are defined in 49 CFR 571.3.
    S4. Requirements.
    S4.1  Each truck and multipurpose passenger vehicle having a GVWR of 
4536 kilograms or less and each passenger car shall meet the 
requirements of S4.2, S4.3, S4.4, and S4.5. However, open-body type 
vehicles that are manufactured for operation without doors and that 
either have no doors or have doors that are designed to be easily 
attached to and removed from the vehicle by the vehicle owner are not 
required to comply with S4.5.
    S4.2  Each vehicle shall have a key-locking system which, whenever 
the key is removed, prevents:
    (a) The normal activation of the vehicle's engine or motor; and
    (b) Either steering or forward self-mobility of the vehicle or both.
    S4.2.1  (a) Except as provided in S4.2.2 (a) and (b), the key-
locking system required by S4.2 in each vehicle which has an automatic 
transmission with a ``park'' position shall, when tested under the 
procedures in S5.2, prevent removal of the key unless the transmission 
or transmission shift lever is locked in ``park'' or becomes locked in 
``park'' as the direct result of removing the key.
    (b) Each vehicle shall not move more than 150 mm on a 10 percent 
grade when the transmission or transmission shift lever is locked in 
``park.''
    S4.2.2 (a)  Notwithstanding S4.2.1, provided that steering is 
prevented upon the key's removal, each vehicle specified therein may 
permit key removal when electrical failure of this system (including 
battery discharge) occurs or may have a device which, when activated, 
permits key removal. The means for activating any such device shall be 
covered by a non-transparent surface which, when installed, prevents 
sight of and activation of the device. The covering surface shall be

[[Page 317]]

removable only by use of a screwdriver or other tool.
    (b) Notwithstanding S4.2.1, each vehicle specified therein may have 
a device which, when activated, permits moving the transmission shift 
lever from ``park'' after the removal of the key. The device shall 
either be operable:
    (1) By the key, as defined in S3; or
    (2) By another means, provided that steering is prevented when the 
key is removed from the ignition, and provided that the means for 
activating the device is covered by a non-transparent surface which, 
when installed, prevents sight of and activation of the device. The 
covering surface shall be removable only by use of a screwdriver or 
other tool.
    S4.3  Except when an automatic transmission vehicle is in ``park,'' 
the means for deactivating the vehicle's engine or motor shall not 
activate any device installed pursuant to S4.2(b) to prevent the 
vehicle's steering or forward self-mobility or both.
    S4.4. For each vehicle type manufactured by a manufacturer, the 
number of different combinations of the key-locking systems required by 
S4.2 shall be at least 1,000, or a number equal to the number of 
vehicles of that type manufactured by such manufacturer, whichever is 
less. The same combinations may be used for more than one vehicle type.
    S4.5. A warning to the driver shall be activated whenever the key 
required by S4.2 has been left in the locking system and the driver's 
door is opened. The warning to the driver need not operate--
    (a) After the key has been manually withdrawn to a position from 
which it may not be turned;
    (b) When the key-locking system is in the ``on'' or ``start'' 
position; or
    (c) After the key has been inserted in the locking system and before 
it has been turned.
    S5. Compliance Test Procedure for vehicles with automatic 
transmissions.
    S5.1  Test Conditions. (a) The vehicle shall be tested at curb 
weight plus 91 kg (including the driver).
    (b) Except where specified otherwise, the test surface shall be 
level.
    S5.2  Test procedure. (a) Move the transmission shift lever to any 
position where it will remain without assistance, including a position 
between the detent positions, except for the ``park'' position. Try to 
remove the key from each possible key position in each such shift 
position.
    (b) Drive the vehicle forward up a 10 percent grade and stop it with 
the service brakes. Apply the parking brake (if present). Move the shift 
mechanism to the ``park'' position. Note the vehicle position. Release 
the parking brake. Release the service brakes. Remove the key. Verify 
that the transmission shift lever or transmission is locked in ``park.'' 
Verify that the vehicle, at rest, has moved no more than 150 mm from the 
position noted prior to release of the brakes.
[46 FR 32253, June 22, 1981, as amended at 56 FR 12468, Mar. 26, 1991; 
57 FR 2043, Jan. 17, 1992; 60 FR 13644, Mar. 14, 1995; 60 FR 30011, June 
7, 1995; 60 FR 41028, Aug. 11, 1995; 62 FR 2978, Jan. 21, 1997]



Sec. 571.115  [Reserved]



Sec. 571.116  Standard No. 116; Motor vehicle brake fluids.

    S1. Scope. This standard specifies requirements for fluids for use 
in hydraulic brake systems of motor vehicles, containers for these 
fluids, and labeling of the containers.
    S2. Purpose. The purpose of this standard is to reduce failures in 
the hydraulic braking systems of motor vehicles which may occur because 
of the

[[Page 318]]

manufacture or use of improper or contaminated fluid.
    S3. Application. This standard applies to all fluid for use in 
hydraulic brake systems of motor vehicles. In addition, S5.3 applies to 
passenger cars, multipurpose passenger vehicles, trucks, buses, 
trailers, and motorcycles.
    S4. Definitions.
    Blister means a cavity or sac on the surface of a brake cup.
    Brake fluid means a liquid designed for use in a motor vehicle 
hydraulic brake system in which it will contact elastomeric components 
made of styrene and butadiene rubber (SBR), ethylene and propylene 
rubber (EPR), polychloroprene (CR) brake hose inner tube stock or 
natural rubber (NR).
    Chipping means a condition in which small pieces are missing from 
the outer surface of a brake cup.
    Duplicate samples means two samples of brake fluid taken from a 
single packaged lot and tested simultaneously.
    Hydraulic system mineral oil means a mineral-oil-based fluid 
designed for use in motor vehicle hydraulic brake systems in which the 
fluid is not in contact with components made of SBR, EPR or NR.
    Packager means any person who fills containers with brake fluid that 
are subsequently distributed for retail sale.
    Packaged lot is that quantity of brake fluid shipped by the 
manufacturer to the packager in a single container, or that quantity of 
brake fluid manufactured by a single plant run of 24 hours or less, 
through the same processing equipment and with no change in ingredients.
    Scuffing means a visible erosion of a portion of the outer surface 
of a brake cup.
    A silicone base brake fluid (SBBF) is a brake fluid which consists 
of not less than 70 percent by weight of a diorgano polysiloxane.
    Sloughing means degradation of a brake cup as evidenced by the 
presence of carbon black loosely held on the brake cup surface, such 
that a visible black streak is produced when the cup, with a 
500plus-minus10 gram deadweight on it, is drawn base down 
over a sheet of white bond paper placed on a firm flat surface.
    Stickiness means a condition on the surface of a brake cup such that 
fibers will be pulled from a wad of U.S.P. absorbent cotton when it is 
drawn across the surface.
    S5. Requirements. This section specifies performance requirements 
for DOT 3, DOT 4 and DOT 5 brake fluids; requirements for brake fluid 
certification; and requirements for container sealing, labeling and 
color coding for brake fluids and hydraulic system mineral oils. Where a 
range of tolerances is specified, the brake fluid shall meet the 
requirements at all points within the range.
    S5.1  Brake fluid. When tested in accordance with S6, brake fluids 
shall meet the following requirements:
    S5.1.1  Equilibrium reflux boiling point (ERBP). When brake fluid is 
tested according to S6.1, the ERBP shall not be less than the following 
value for the grade indicated:
    (a) DOT 3: 205 deg. C. (401 deg. F.).
    (b) DOT 4: 230 deg. C. (446 deg. F.).
    (c) DOT 5: 260 deg. C. (500 deg. F.).
    S5.1.2  Wet ERBP. When brake fluid is tested according to S6.2, the 
wet ERBP shall not be less than the following value for the grade 
indicated:
    (a) DOT 3: 140 deg. C. (284 deg. F.).
    (b) DOT 4: 155 deg. C. (311 deg. F.).
    (c) DOT 5: 1 180 deg. C. (356 deg. F.).
    S5.1.3  Kinematic viscosities. When brake fluid is tested according 
to S6.3, the kinematic viscosities in centistokes (cSt.) at stated 
temperatures shall be neither less than 1.5 cSt. at 100 deg. C. 
(212 deg. F.) nor more than the following maximum value for the grade 
indicated:
    (a) DOT 3: 1,500 cSt. at minus 40 deg. C. (minus 40 deg. F.).
    (b) DOT 4: 1,800 cSt. at minus 40 deg. C. (minus 40 deg. F.).
    (c) DOT 5: 900 cSt. at minus 40 deg. C. (minus 40 deg. F.).
    S5.1.4  pH value. When brake fluid, except DOT 5 SBBF, is tested 
according to S6.4, the pH value shall not be less than 7.0 nor more than 
11.5.
    S5.1.5  Brake fluid stability.
    S5.1.5.1  High-temperature stability. When brake fluid is tested 
according to S6.5.3 the ERBP shall not change by more than 3 deg. C. 
(5.4 deg. F.) plus 0.05 deg. for each degree that the ERBP of the fluid 
exceeds 225 deg. C. (437 deg. F.).

[[Page 319]]

    S5.1.5.2  Chemical stability. When brake fluid, except DOT 5 SBBF, 
is tested according to S6.5.4, the change in temperature of the 
refluxing fluid mixture shall not exceed 3.0 deg. C (5.4 deg. F.) plus 
0.05 deg. for each degree that the ERBP of the fluid exceeds 225 deg. C 
(437 deg. F.).
    S5.1.6  Corrosion. When brake fluid is tested according to S6.6--
    (a) The metal test strips shall not show weight changes exceeding 
the limits stated in Table I.

                                 Table I                                
------------------------------------------------------------------------
                                                               Maximum  
                                                             permissible
                                                                weight  
                    Test strip material                      change, mg./
                                                              sq. cm. of
                                                               surface  
------------------------------------------------------------------------
Steel, tinned iron, cast iron..............................          0.2
Aluminum...................................................           .1
Brass, copper..............................................           .4
------------------------------------------------------------------------

    (b) Excluding the area of contact (13plus-minus1 mm. (\1/
2\plus-minus\1/32\ inch) measured from the bolt hole end of 
the test strip), the metal test strips shall not show pitting or etching 
to an extent discernible without magnification;
    (c) The water-wet brake fluid at the end of the test shall show no 
jelling at 23plus-minus5 deg. C 
(73.4plus-minus9 deg.F.);
    (d) No crystalline deposit shall form and adhere to either the glass 
jar walls or the surface of the metal strips;
    (e) At the end of the test, sedimentation of the water-wet brake 
fluid shall not exceed 0.10 percent by volume;
    (f) The pH value of water-wet brake fluid, except DOT 5 SBBF, at the 
end of the test shall not be less than 7.0 nor more than 11.5;
    (g) The cups at the end of the test shall show no disintegration, as 
evidenced by blisters or sloughing;
    (h) The hardness of the cup shall not decrease by more than 15 
International Rubber Hardness Degrees (IRHD); and
    (i) The base diameter of the cups shall not increase by more than 
1.4 mm. (0.055 inch).
    S5.1.7  Fluidity and appearance at low temperature. When brake fluid 
is tested according to S6.7, at the storage temperature and for the 
storage times given in Table II--
    (a) The fluid shall show no sludging, sedimentation, 
crystallization, or stratification;
    (b) Upon inversion of the sample bottle, the time required for the 
air bubble to travel to the top of the fluid shall not exceed the bubble 
flow times shown in Table II; and
    (c) On warming to room temperature, the fluid shall resume the 
appearance and fluidity that it had before chilling.

          Table II--Fluidity and Appearance at Low Temperatures         
------------------------------------------------------------------------
                                                                Maximum 
                                                    Storage     bubble  
               Storage temperature                   time      flow time
                                                    (hours)    (seconds)
------------------------------------------------------------------------
Minus 40plus-minus2 deg. C. (minus 40plus-                              
 minus3.6 deg. F.)..............................  144plus-mi            
                                                        n4.0          10
Minus 50plus-minus2 deg. C. (minus 58plus-                              
 minus3.6 deg. F.)..............................  6plus-minu            
                                                        s0.2          35
------------------------------------------------------------------------

    S5.1.8  Evaporation. When brake fluid is tested according to S6.8--
    (a) The loss by evaporation shall not exceed 80 percent by weight;
    (b) The residue from the brake fluid after evaporation shall contain 
no precipitate that remains gritty or abrasive when rubbed with the 
fingertip; and
    (c) The residue shall have a pour point below minus 5 deg. C. 
(+23 deg. F.).
    S5.1.9  Water tolerance. (a) At low temperature. When brake fluid is 
tested according to S6.9.3(a)--
    (1) The fluid shall show no sludging, sedimentation, 
crystallization, or stratification;
    (2) Upon inversion of the centrifuge tube, the air bubble shall 
travel to the top of the fluid in not more than 10 seconds;
    (3) If cloudiness has developed, the wet fluid shall regain its 
original clarity and fluidity when warmed to room temperature; and
    (b) At 60  deg.C. (140  deg.F.). When brake 
fluid is tested according to S6.9.3(b)--
    (1) The fluid shall show no stratification; and
    (2) Sedimentation shall not exceed 0.15 percent by volume after 
centrifuging.
    S5.1.10  Compatibility.
    (a) At low temperature. When brake fluid is tested according to 
S6.10.3(a), the test specimen shall show no sludging, sedimentation, or 
crystallization. In addition, fluids, except DOT 5 SBBF, shall show no 
stratification.

[[Page 320]]

    (b) At 60 deg. C. (140 deg. F.). When brake fluid is tested 
according to S6.10.3(b)--
    (1) Sedimentation shall not exceed 0.05 percent by volume after 
centrifuging; and
    (2) Fluids, except DOT 5 SBBF, shall show no stratification.
    S5.1.11  Resistance to oxidation. When brake fluid is tested 
according to S6.11--
    (a) The metal test strips outside the areas in contact with the 
tinfoil shall not show pitting or etching to an extent discernible 
without magnification;
    (b) No more than a trace of gum shall be deposited on the test 
strips outside the areas in contact with the tinfoil;
    (c) The aluminum strips shall not change in weight by more than 0.05 
mg./sq. cm.; and
    (d) The cast iron strips shall not change in weight by more than 0.3 
mg./sq. cm.
    S5.1.12  Effects on cups. When brake cups are subjected to brake 
fluid in accordance with S6.12--
    (a) The increase in the diameter of the base of the cups shall be 
not less than 0.15 mm. (0.006 inch) or more than 1.40 mm. (0.055 inch);
    (b) The decrease in hardness of the cups shall be not more than 10 
IRHD at 70 deg. C. (158 deg. F.) or more than 15 IRHD at 120 deg. C. 
(248 deg. F.), and there shall be no increase in hardness of the cups; 
and
    (c) The cups shall show no disintegration as evidenced by 
stickiness, blisters, or sloughing.
    S5.1.13  Stroking properties. When brake fluid is tested according 
to S6.13--
    (a) Metal parts of the test system shall show no pitting or etching 
to an extent discernible without magnification;
    (b) The change in diameter of any cylinder or piston shall not 
exceed 0.13 mm. (0.005 inch);
    (c) The average decrease in hardness of seven of the eight cups 
tested (six wheel cylinder and one master cylinder primary) shall not 
exceed 15 IRHD. Not more than one of the seven cups shall have a 
decrease in hardness greater than 17 IRHD;
    (d) None of the eight cups shall be in an unsatisfactory operating 
condition as evidenced by stickiness, scuffing, blisters, cracking, 
chipping, or other change in shape from its original appearance;
    (e) None of the eight cups shall show an increase in base diameter 
greater than 0.90 mm (0.035 inch);
    (f) The average lip diameter set of the eight cups shall not be 
greater than 65 percent.
    (g) During any period of 24,000 strokes, the volume loss of fluid 
shall not exceed 36 milliliters;
    (h) The cylinder pistons shall not freeze or function improperly 
throughout the test;
    (i) The total loss of fluid during the 100 strokes at the end of the 
test shall not exceed 36 milliliters;
    (j) The fluid at the end of the test shall show no formation of 
gels;
    (k) At the end of the test the amount of sediment shall not exceed 
1.5 percent by volume; and
    (l) Brake cylinders shall be free of deposits that are abrasive or 
that cannot be removed when rubbed moderately with a nonabrasive cloth 
wetted with ethanol.
    S5.1.14 Fluid color. Brake fluid and hydraulic system mineral oil 
shall be of the color indicated:

DOT 3, DOT 4, and DOT 5.1 non-SBBF--colorless to amber.
DOT 5 SBBF--purple.
Hydraulic system mineral oil--green.

    S5.2  Packaging and labeling requirements for motor vehicle brake 
fluids.
    S5.2.1  Container sealing. Each brake fluid or hydraulic system 
mineral oil container with a capacity of 6 fluid ounces or more shall be 
provided with a resealable closure that has an inner seal impervious to 
the packaged brake fluid. The container closure shall include a tamper-
proof feature that will either be destroyed or substantially altered 
when the container closure is initially opened.
    S5.2.2  Certification, marking, and labeling.
    S5.2.2.1  Each manufacturer of a DOT grade brake fluid shall furnish 
to each packager, distributor, or dealer to whom he delivers brake 
fluid, the following information:
    (a) A serial number identifying the production lot and the date of 
manufacture of the brake fluid.
    (b) The grade (DOT 3, DOT 4, DOT 5) of the brake fluid. If DOT 5 
grade brake

[[Page 321]]

fluid , it shall be further distinguished as ``DOT 5 SILICONE BASE'' or 
``DOT 5.1 NON-SILICONE BASE.''
    (c) The minimum wet boiling point in Fahrenheit of the brake fluid.
    (d) Certification that the brake fluid conforms to Sec. 571.116.
    S5.2.2.2  Each packager of brake fluid shall furnish the information 
specified in paragraphs (a) through (g) of this S5.2.2.2 by clearly 
marking it on each brake fluid container or on a label (labels) 
permanently affixed to the container, in any location except a removable 
part such as a lid. After being subjected to the operations and 
conditions specified in S6.14, the information required by this section 
shall be legible to an observer having corrected visual acuity of 20/40 
(Snellen ratio) at a distance of one foot, and any label affixed to the 
container in compliance with this section shall not be removable without 
its being destroyed or defaced.
    (a) Certification that the brake fluid conforms to Sec. 571.116.
    (b) The name of the packager of the brake fluid, which may be in 
code form.
    (c) The name and complete mailing address of the distributor.
    (d) A serial number identifying the packaged lot and date of 
packaging.
    (e) Designation of the contents as ``DOT--MOTOR VEHICLE BRAKE 
FLUID'' (Fill in DOT 3, DOT 4, DOT 5 SILICONE BASE, or DOT 5.1 NON-
SILICONE BASE as applicable).
    (f) The minimum wet boiling point in Fahrenheit of the DOT brake 
fluid in the container.
    (g) The following safety warnings in capital and lower case letters 
as indicated:
    (1) FOLLOW VEHICLE MANUFACTURER'S RECOMMENDATIONS WHEN ADDING BRAKE 
FLUID.
    (2) KEEP BRAKE FLUID CLEAN AND DRY. Contamination with dirt, water, 
petroleum products or other materials may result in brake failure or 
costly repairs.
    (3) STORE BRAKE FLUID ONLY IN ITS ORIGINAL CONTAINER. KEEP CONTAINER 
CLEAN AND TIGHTLY CLOSED TO PREVENT ABSORPTION OF MOISTURE.
    (4) CAUTION: DO NOT REFILL CONTAINER, AND DO NOT USE FOR OTHER 
LIQUIDS. (Not required for containers with a capacity in excess of 5 
gallons.)
    S5.2.2.3  Each packager of hydraulic system mineral oil shall 
furnish the information specified in paragraphs (a) through (e) of this 
S5.2.2.3 by clearly marking it on each brake fluid container or on a 
label (labels) permanently affixed to the container, in any location 
except a removable part such as a lid. After being subjected to the 
operations and conditions specified in S6.14, the information required 
by this section shall be legible to an observer having corrected visual 
acuity of 20/40 (Snellen ratio) at a distance of one foot, and any label 
affixed to the container in compliance with this section shall not be 
removable without its being destroyed or defaced.
    (a) The name of the packager of the hydraulic system mineral oil, 
which may be in code form.
    (b) The name and complete mailing address of the distributor.
    (c) A serial number identifying the packaged lot and date of 
packaging.
    (d) Designation of the contents as ``HYDRAULIC SYSTEM MINERAL OIL'' 
in capital letters at least \1/8\ of an inch high.
    (e) The following safety warnings in capital and lower case letters 
as indicated:
    (1) FOLLOW VEHICLE MANUFACTURER'S RECOMMENDATIONS WHEN ADDING 
HYDRAULIC SYSTEM MINERAL OIL.
    (2) Hydraulic System Mineral Oil is NOT COMPATIBLE with the rubber 
components of brake systems designed for use with DOT brake fluids.
    (3) KEEP HYDRAULIC SYSTEM MINERAL OIL CLEAN. Contamination with dust 
or other materials may result in brake failure or costly repair.
    (4) CAUTION: STORE HYDRAULIC SYSTEM MINERAL OIL ONLY IN ITS ORIGINAL 
CONTAINER. KEEP CONTAINER CLEAN AND TIGHTLY CLOSED. DO NOT REFILL 
CONTAINER OR USE OTHER LIQUIDS. (The last sentence is not required for 
containers with a capacity in excess of 5 gallons.)
    S5.2.2.4 If a container for brake fluid or hydraulic system mineral 
oil is not normally visible but designed to be

[[Page 322]]

protected by an outer container or carton during use, the outer 
container or carton rather than the inner container shall meet the 
labeling requirements of S5.2.2.2 or S5.2.2.3, as appropriate.
    S5.3  Motor vehicle requirement. Each passenger car, multipurpose 
passenger vehicle, truck, bus, trailer, and motorcycle that has a 
hydraulic brake system shall be equipped with fluid that has been 
manufactured and packaged in conformity with the requirements of this 
standard.
    S6. Test procedures.
    S6.1  Equilibrium reflux boiling point. Determine the ERBP of a 
brake fluid by running duplicate samples according to the following 
procedure and averaging the results.
    S6.1.1  Summary of procedure. Sixty milliliters (ml.) of brake fluid 
are boiled under specified equilibrium conditions (reflux) at 
atmospheric pressure in a 100-ml. flask. The average temperature of the 
boiling fluid at the end of the reflux period, corrected for variations 
in barometric pressure if necessary, is the ERBP.
    S6.1.2  Apparatus. (See Figure 1) The test apparatus shall consist 
of--
    (a) Flask. (See Figure 2) A 100-ml. round-bottom, short-neck heat-
resistant glass flask having a neck with a \19/38\ standard taper, 
female ground-glass joint and a side-entering tube, with an outside 
diameter of 10 millimeters (mm.), which centers the thermometer bulb in 
the flask 6.5 mm. from the bottom;
    (b) Condenser. A water-cooled, reflux, glass-tube type, condenser 
having a jacket 200 mm. in length, the bottom end of which has a \19/38\ 
standard-taper, drip-tip, male ground-glass joint;
    (c) Boiling stones. Three clean, unused silicon carbide grains 
(approximately 2 mm. (0.08 inch) in diameter, grit No. 8);
    (d) Thermometer. Standardized calibrated partial immersion (76 mm.), 
solid stem, thermometers conforming to the requirements for an ASTM 2C 
or 2F, and an ASTM 3C or 3F thermometer; and
    (e) Heat source. Variable autotransformer-controlled heating mantle 
designed to fit the flask, or an electric heater with rheostat heat 
control.
[GRAPHIC] [TIFF OMITTED] TC01AU91.043

                    Fig. 1. Boiling Point Test Apparatus

[GRAPHIC] [TIFF OMITTED] TC01AU91.044

                 Fig. 2. Detail of 100 ml Short-Neck Flask

    S6.1.3  Preparation of apparatus. (a) Thoroughly clean and dry all 
glassware.

[[Page 323]]

    (b) Insert thermometer through the side tube until the tip of the 
bulb is 6.5 mm. (\1/4\ inch) from the bottom center of the flask. Seal 
with a short piece of natural rubber, EPDM, SBR, or butyl tubing.
    (c) Place 60plus-minus1 ml. of brake fluid and the 
silicon carbide grains into the flask.
    (d) Attach the flask to the condenser. When using a heating mantle, 
place the mantle under the flask and support it with a ring-clamp and 
laboratory-type stand, holding the entire assembly in place by a clamp. 
When using a rheostat-controlled heater, center a standard porcelain or 
hard asbestos refractory, having a diameter opening 32 to 38 mm., over 
the heating element and mount the flask so that direct heat is applied 
only through the opening in the refractory. Place the assembly in an 
area free from drafts or other types of sudden temperature changes. 
Connect the cooling water inlet and outlet tubes to the condenser. Turn 
on the cooling water. The water supply temperature shall not exceed 
28 deg. C. (82.4 deg. F.) and the temperature rise through the condenser 
shall not exceed 2 deg. C. (3.6 deg. F.).
    S6.1.4  Procedure. Apply heat to the flask so that within 
10plus-minus2 minutes the fluid is refluxing in excess of 1 
drop per second. The reflux rate shall not exceed 5 drops per second at 
any time. Immediately adjust the heating rate to obtain an equilibrium 
reflux rate of 1 to 2 drops per second over the next 
5plus-minus2 minutes. Maintain this rate for an additional 2 
minutes, taking four temperature readings at 30-second intervals. Record 
the average of these as the observed ERBP. If no reflux is evident when 
the fluid temperature reaches 260 deg. C (500 deg. F), discontinue 
heating and report ERBP as in excess of 260 deg. C (500 deg. F).
    S6.1.5  Calculation. (a) Thermometer inaccuracy. Correct the 
observed ERBP by applying any correction factor obtained in 
standardizing the thermometer.
    (b) Variation from standard barometric pressure. Apply the factor 
shown in Table III to calculate the barometric pressure correction to 
the ERBP.

              Table III--Correction for Barometric Pressure             
------------------------------------------------------------------------
                                                    Correction per 1 mm 
                                                       difference in    
     Observed ERBP corrected for thermometer             pressurea      
                   inaccuracy                    -----------------------
                                                     deg.C.    ( deg.F.)
------------------------------------------------------------------------
100 deg. C. (212 deg. F.) to 190 deg. C. (374                           
 deg. F.).......................................       0.039      (0.07)
Over 190 deg. C. (374 deg. F.)..................        0.04      (0.08)
------------------------------------------------------------------------
a To be added in case barometric pressure is below 760 mm.; to be       
  subtracted in case barometric pressure is above 670 mm.               

    (c) If the two corrected observed ERBP's agree within 2 deg. C. 
(4 deg. C. for brake fluids having an ERBP over 230 deg. C./446 deg. F.) 
average the duplicate runs as the ERBP; otherwise, repeat the entire 
test, averaging the four corrected observed values to determine the 
original ERBP.
    S6.2  Wet ERBP. Determine the wet ERBP of a brake fluid by running 
duplicate samples according to the following procedure.
    S6.2.1.  Summary of procedure. A 350 ml. sample of the brake fluid 
is humidified under controlled conditions; 350 ml. of SAE triethylene 
glycol monomethyl ether, brake fluid grade, referee material (TEGME) as 
described in appendix E of SAE Standard J1703 Nov. 83, ``Motor Vehicle 
Brake Fluid,'' November 1983, is used to establish the end point for 
humidification. After humidification, the water content and ERBP of the 
brake fluid are determined.
    S6.2.2  Apparatus for humidification. (See Figure 3).
    Test apparatus shall consist of--
    (a) Glass jars. Four SAE RM-49 corrosion test jars or equivalent 
screwtop, straight-sided, round glass jars each having a capacity of 
about 475 ml. and approximate inner dimensions of 100 mm. in height by 
75 mm. in diameter, with matching lids having new, clean inserts 
providing water-vapor-proof seals;
    (b) Desiccator and cover. Two bowl-form glass desiccators, 250-mm. 
inside diameter, having matching tubulated covers fitted with No. 8 
rubber stoppers; and
    (c) Desiccator plate. Two 230-mm. diameter, perforated porcelain 
desiccator plates, without feet, glazed on one side.
    S6.2.3  Reagents and materials. (a) Distilled water, see S7.1.
    (b) SAE TEGME referee material.

[[Page 324]]

    Sec. 6.2.4  Preparation of apparatus. Lubricate the ground-glass 
joint of the desiccator. Pour 45010 ml. of distilled water 
into each desiccator and insert perforated porcelain desiccator plates. 
Place the desiccators in an oven with temperature controlled at 
501  deg.C. (1221.8  deg.F.) throughout the 
humidification procedure.
    S6.2.5  Procedure. Pour 3505 ml. of brake fluid into an 
open corrosion test jar. Prepare in the same manner a duplicate test 
fluid sample and two duplicate specimens of the SAE TEGME referee 
material (3505 ml. of TEGME in each jar). The water content 
of the SAE TEGME fluid is adjusted to 0.500.05 percent by 
weight at the start of the test in accordance with S7.2. Place one 
sample each of the test brake fluid and the prepared TEGME sample into 
the same desiccator. Repeat for the second sample of test brake fluid 
and TEGME in a second desiccator. Place the desiccators in the 50 
deg.C. (122  deg.F.) controlled oven and replace desiccator covers. At 
intervals, during oven humidification, remove the rubber stoppers in the 
tops of desiccators. Using a long needled hypodermic syringe, take a 
sample of not more than 2 ml. from each TEGME sample and determine its 
water content. Remove no more than 10 ml. of fluid from each SAE TEGME 
sample during the humidification procedure. When the water content of 
the SAE fluid reaches 3.700.05 percent by weight (average of 
the duplicates). remove the two test fluid specimens from their 
desiccators and promptly cap each jar tightly. Allow the sealed jars to 
cool for 60 to 90 minutes at 23 deg.5  deg.C. 
(73.4 deg.9  deg.F.). Measure the water contents of the test 
fluid specimens in accordance with S7.2 and determine their ERBP's in 
accordance with S6.1. If the two ERBPs agree within 4  deg.C. (8 
deg.F.), average them to determine the wet ERBP; otherwise repeat and 
average the four individual ERBPs as the wet ERBP of the brake fluid.

[[Page 325]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.045


    S6.3  Kinematic viscosity. Determine the kinematic viscosity of a 
brake fluid in centistokes (cSt.) by the following procedure. Run 
duplicate samples at each of the specified temperatures, making two 
timed runs on each sample.
    S6.3.1  Summary of the procedure. The time is measured for a fixed 
volume of the brake fluid to flow through a calibrated glass capillary 
viscometer under an accurately reproducible head and at a closely 
controlled temperature. The kinematic viscosity is then calculated from 
the measured flow time and the calibration constant of the viscometer.
    S6.3.2  Apparatus.
    (a) Viscometers. Calibrated glass capillary-type viscometers, ASTM 
D2515-66, ``Standard Specification for Kinematic Glass Viscometers,'' 
measuring viscosity within the precision limits of S6.4.7. Use suspended 
level viscometers for viscosity measurements at low temperatures. Use 
Cannon-Fenske Routine or other modified Ostwald viscometers at ambient 
temperatures and above.
    (b) Viscometer holders and frames. Mount a viscometer in the 
constant-temperature bath so that the mounting tube is held within 
1 deg. of the vertical.

[[Page 326]]

    (c) Viscometer bath. A transparent liquid bath of sufficient depth 
such that at no time during the measurement will any portion of the 
sample in the viscometer be less than 2 cm. below the surface or less 
than 2 cm. above the bottom. The bath shall be cylindrical in shape, 
with turbulent agitation sufficient to meet the temperature control 
requirements. For measurements within 15 deg. to 100 deg. C. (60 deg. to 
212 deg. F.) the temperature of the bath medium shall not vary by more 
than 0.01 deg. C. (0.02 deg. F.) over the length of the viscometers, or 
between the positions of the viscometers, or at the locations of the 
thermometers. Outside this range, the variation shall not exceed 
0.03 deg. C. (0.05 deg. F.).
    (d) Thermometers. Liquid-in-Glass Kinematic Viscosity Test 
Thermometers, covering the range of test temperatures indicated in Table 
IV and conforming to ASTM E1-68, ``Specifications for ASTM 
Thermometers,'' and in the IP requirements for IP Standard Thermometers. 
Standardize before use (see S6.3.3(b)). Use two standardized 
thermometers in the bath.

                                                       Table IV--Kinematic Viscosity Thermometers                                                       
--------------------------------------------------------------------------------------------------------------------------------------------------------
                     Temperature range                                        For tests at                   Subdivisions        Thermometer number     
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                              deg.   deg.                               
               deg. C.                       deg. F.                 deg. C.                 deg. F.           C.     F.    ASTM            IP          
--------------------------------------------------------------------------------------------------------------------------------------------------------
Minus 55.3 to minus 52.5...........  Minus 67.5 to minus     Minus 55..............  Minus 67..............   0.05    0.1   74 F  69 F. or C.           
                                      62.5.                                                                                                             
Minus 41.4 to minus 38.6...........  Minus 42.5 to minus     Minus 40..............  Minus 40..............   0.05    0.1   73 F  68 F. or C.           
                                      37.5.                                                                                                             
98.6 to 101.4......................  207.5 to 212.5........  100...................  212...................   0.05    0.1   30 F  32 F. or C.           
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (e) Timing device. Stop watch or other timing device graduated in 
divisions representing not more than 0.2 second, with an accuracy of at 
least plus-minus0.05 percent when tested over intervals of 15 
minutes. Electrical timing devices may be used when the current 
frequency is controlled to an accuracy of 0.01 percent or better.
    S6.3.3  Standardization.
    (a) Viscometers. Use viscometers calibrated in accordance with 
appendix 1 of ASTM D445-65, ``Viscosity of Transparent and Opaque 
Liquids (Kinematic and Dynamic Viscosities).'' The calibration constant, 
C, is dependent upon the gravitational acceleration at the place of 
calibration. This must, therefore, be supplied by the standardization 
laboratory together with the instrument constant. Where the acceleration 
of gravity, g, in the two locations differs by more than 0.1 percent, 
correct the calibration constant as follows:

          C2=(g2/g1) x C1

where the subscripts 1 and 2 indicate respectively the 
standardization laboratory and the testing laboratory.

    (b) Thermometers. Check liquid-in-glass thermometers to the nearest 
0.01 deg. C. (0.02 deg. F.) by direct comparison with a standardized 
thermometer. Kinematic Viscosity Test Thermometers shall be standardized 
at ``total immersion.'' The ice point of standardized thermometers shall 
be determined before use and the official corrections shall be adjusted 
to conform to the changes in ice points. (See ASTM E77-66, 
``Verification and Calibration of Liquid-in-Glass Thermometers.'')
    (c) Timers. Time signals are broadcast by the National Bureau of 
Standards, Station WWV, Washington, DC at 2.5, 5, 10, 15, 20, 25, 30, 
and 35 Mc/sec (MHz). Time signals are also broadcast by Station CHU from 
Ottawa, Canada, at 3.330, 7.335, and 14.670 Mc/sec, and Station MSF at 
Rugby, United Kingdom, at 2.5, 5, and 10 Mc/sec.
    S6.3.4  Procedure. (a) Set and maintain the bath at the appropriate 
test temperature (see S5.1.3) within the limits specified in S6.3.2(c). 
Apply the necessary corrections, if any, to all thermometer readings.
    (b) Select a clean, dry, calibrated viscometer giving a flow time 
not less than its specified minimum, or 200 seconds, whichever is the 
greater.
    (c) Charge the viscometer in the manner used when the instrument was 
calibrated. Do not filter or dry the

[[Page 327]]

brake fluid, but protect it from contamination by dirt and moisture 
during filling and measurements.
    (1) Charge the suspended level viscometers by tilting about 30 deg. 
from the vertical and pouring sufficient brake fluid through the fill 
tube into the lower reservoir so that when the viscometer is returned to 
vertical position the meniscus is between the fill marks. For 
measurements below 0 deg. C. (32 deg. F.), before placing the filled 
viscometer into the constant temperature bath, draw the sample into the 
working capillary and timing bulb and insert small rubber stoppers to 
suspend the fluid in this position, to prevent accumulation of water 
condensate on the walls of the critical portions of the viscometer. 
Alternatively, fit loosely packed drying tubes into the open ends of the 
viscometer to prevent water condensation, but do not restrict the flow 
of the sample under test by the pressures created in the instrument.
    (2) If a Cannon-Fenske Routine viscometer is used, charge by 
inverting and immersing the smaller arm into the brake fluid and 
applying vacuum to the larger arm. Fill the tube to the upper timing 
mark, and return the viscometer to an upright position.
    (d) Mount the viscometer in the bath in a true vertical position 
(see S6.3.2(b)).
    (e) The viscometer shall remain in the bath until it reaches the 
test temperature.
    (f) At temperatures below 0 deg. C. (32 deg. F.) conduct an untimed 
preliminary run by allowing the brake fluid to drain through the 
capillary into the lower reservoir after the test temperature has been 
established.
    (g) Adjust the head level of the brake fluid to a position in the 
capillary arm about 5 mm. above the first timing mark.
    (h) With brake fluid flowing freely measure to within 0.2 second the 
time required for the meniscus to pass from the first timing mark to the 
second. If this flow time is less than the minimum specified for the 
viscometer, or 200 seconds, whichever is greater, repeat using a 
viscometer with a capillary of smaller diameter.
    (i) Repeat S6.3.4 (g) and (h). If the two timed runs do not agree 
within 0.2 percent, reject and repeat using a fresh sample of brake 
fluid.
    S6.3.5  Cleaning the viscometers. (a) Periodically clean the 
instrument with chromic acid to remove organic deposits. Rinse 
thoroughly with distilled water and acetone, and dry with clean dry air.
    (b) Between successive samples rinse the viscometer with ethanol 
(isopropanol when testing DOT 5 fluids) followed by an acetone or ether 
rinse. Pass a slow stream of filtered dry air through the viscometer 
until the last trace of solvent is removed.
    S6.3.6  Calculation. (a) The following viscometers have a fixed 
volume charged at ambient temperature, and as a consequence C varies 
with test temperature: Cannon-Fenske Routine, Pinkevitch, Cannon-Manning 
Semi-Micro, and Cannon Fenske Opaque. To calculate C at test 
temperatures other than the calibration temperature for these 
viscometers, see ASTM D2515-66, ``Kinematic Glass Viscometers'' or 
follow instructions given on the manufacturer's certificate of 
calibration.
    (b) Average the four timed runs on the duplicate samples to 
determine the kinematic viscosities.
    S6.3.7  Precision (at 95 percent confidence level).
    (a) Repeatability. If results on duplicate samples by the same 
operator differ by more than 1 percent of their mean, repeat the tests.
    S6.4  pH value. Determine the pH value of a brake fluid by running 
one sample according to the following procedure.
    S6.4.1  Summary of the procedure. Brake fluid is diluted with an 
equal volume of an ethanol-water solution. The pH of the resultant 
mixture is measured with a prescribed pH meter assembly at 23 deg. C. 
(73.4 deg. F.).
    S6.4.2  Apparatus. The pH assembly consists of the pH meter, glass 
electrode, and calomel electrode, as specified in Appendices A1.1, A1.2, 
and A1.3 of ASTM D 1121-67, ``Standard Method of Test for Reserve 
Alkalinity of Engine Antifreezes and Antirusts.'' The glass electrode is 
a full range type (pH 0-14), with low sodium error.
    S6.4.3  Reagents. Reagent grade chemicals conforming to the 
specifications of the Committee on Analytical

[[Page 328]]

Reagents of the American Chemical Society.
    (a) Distilled water. Distilled water (S7.1) shall be boiled for 
about 15 minutes to remove carbon dioxide, and protected with a soda-
lime tube or its equivalent while cooling and in storage. (Take 
precautions to prevent contamination by the materials used for 
protection against carbon dioxide.) The pH of the boiled distilled water 
shall be between 6.2 and 7.2 at 25 deg. C. (77 deg. F.).
    (b) Standard buffer solutions. Prepare buffer solutions for 
calibrating the pH meter and electrode pair from salts sold specifically 
for use, either singly or in combination, as pH standards. Dry salts for 
1 hour at 110 deg. C. (230 deg. F.) before use except for borax which 
shall be used as the decahydrate. Store solutions with pH less than 9.5 
in bottles of chemically resistant glass or polyethylene. Store the 
alkaline phosphate solution in a glass bottle coated inside with 
paraffin. Do not use a standard with an age exceeding three months.
    (1) Potassium hydrogen phthalate buffer solution (0.05 M, pH=4.01 at 
25 deg. C. (77 deg. F.)). Dissolve 10.21 g. of potassium hydrogen 
phthalate (KHC8 H4 O4) in distilled 
water. Dilute to 1 liter.
    (2) Neutral phosphate buffer solution (0.025 M with respect to each 
phosphate salt, pH=6.86 at 25 deg. C. (77 deg. F.)). Dissolve 3.40 g. of 
potassium dihydrogen phosphate (KH2 PO4) and 3.55 
g. of anhydrous disodium hydrogen phosphate (Na2 
HPO4) in distilled water.
    (3) Borax buffer solution (0.01 M, pH=9.18 at 25 deg. C. (77 deg. 
F.)). Dissolve 3.81 g. of disodium tetraborate decahydrate (Na2 
B4 O7 deg.10H2 O) in distilled water, and dilute 
to 1 liter. Stopper the bottle except when actually in use.
    (4) Alkaline phosphate buffer solution (0.01 M trisodium phosphate, 
pH=11.72 at 25 deg. C. (77 deg. F.)). Dissolve 1.42 g. of anhydrous 
disodium hydrogen phosphate (Na2 HPO4) in 100 ml. 
of a 0.1 M carbonate-free solution of sodium hydroxide. Dilute to 1 
liter with distilled water.
    (5) Potassium chloride electrolyte. Prepare a saturated solution of 
potassium chloride (KCl) in distilled water.
    (c) Ethanol-water mixture. To 80 parts by volume of ethanol (S7.3) 
add 20 parts by volume of distilled water. Adjust the pH of the mixture 
to 7plus-minus0.1 using 0.1 N sodium hydroxide (NaOH) 
solution. If more than 4 ml. of NaOH solution per liter of mixture is 
required for neutralization, discard the mixture.
    S6.4.4  Preparation of electrode system.
    (a) Maintenance of electrodes. Clean the glass electrode before 
using by immersing in cold chromic-acid cleaning solution. Drain the 
calomel electrode and fill with KCl electrolyte, keeping level above 
that of the mixture at all times. When not in use, immerse the lower 
halves of the electrodes in distilled water, and do not immerse in the 
mixture for any appreciable period of time between determinations.
    (b) Preparation of electrodes. Condition new glass electrodes and 
those that have been stored dry as recommended by the manufacturer. 
Before and after using, wipe the glass electrode thoroughly with a clean 
cloth, or a soft absorbent tissue, and rinse with distilled water. 
Before each pH determination, soak the prepared electrode in distilled 
water for at least 2 minutes. Immediately before use, remove any excess 
water from the tips of the electrode.
    S6.4.5  Standardization of the pH assembly and testing of the 
electrodes. (a) Immediately before use, standardize the pH assembly with 
a standard buffer solution. Then use a second standard buffer solution 
to check the linearity of the response of the electrodes at different pH 
values, and to detect a faulty glass electrode or incorrect temperature 
compensation. The two buffer solutions bracket the anticipated pH value 
of the test brake fluid.
    (b) Allow instrument to warm up, and adjust according to the 
manufacturer's instructions. Immerse the tips of the electrodes in a 
standard buffer solution and allow the temperature of the buffer 
solution and the electrodes to equalize. Set the temperature knob at the 
temperature of the buffer solution. Adjust the standardization or 
asymmetry potential control until the meter registers a scale reading, 
in pH units, equal to the known pH of the standardizing buffer solution.
    (c) Rinse the electrodes with distilled water and remove excess 
water from the tips. Immerse the electrodes in a second standard buffer 
solution. The reading of the meter shall agree with the known pH of the 
second standard

[[Page 329]]

buffer solution within plus-minus0.05 unit without changing 
the setting of the standardization of asymmetry potential control.
    (d) A faulty electrode is indicated by failure to obtain a correct 
value for the pH of the second standard buffer solution after the meter 
has been standardized with the first.
    S6.4.6  Procedure. To 50plus-minus1 ml. of the test brake 
fluid add 50plus-minus1 ml. of the ethanol-water (S6.4.3(c)) 
and mix thoroughly. Immerse the electrodes in the mixture. Allow the 
system to come to equilibrium, readjust the temperature compensation if 
necessary, and take the pH reading.
    S6.5  Fluid stability. Evaluate the heat and chemical stability of a 
brake fluid by the following procedure, running duplicate samples for 
each test and averaging the results.
    S6.5.1  Summary of the procedure. The degradation of the brake fluid 
at elevated temperature, alone or in a mixture with a reference fluid, 
is evaluated by determining the change in boiling point after a period 
of heating under reflux conditions.
    S6.5.2  Apparatus. Use the apparatus and preparation specified in 
S6.1.2 and S6.1.3.
    S6.5.3  High temperature stability.
    S6.5.3.1  Procedure. (a) Heat a new 60plus-minus1 ml. 
sample of the brake fluid to 185 deg.plus-minus2 deg. C. 
(365 deg.plus-minus3.6 deg. F.). Hold at this temperature for 
120plus-minus5 minutes. Bring to a reflux rate in excess of 1 
drop per second within 5 minutes. The reflux rate should not exceed 5 
drops per second at any time. Over the next 5plus-minus2 
minutes adjust the heating rate to obtain an equilibrium reflux rate of 
1 to 2 drops per second. Maintain this rate for an additional 2 minutes, 
taking four temperature readings at 30-second intervals. Average these 
as the observed ERBP. If no reflux is evident when the fluid temperature 
reaches 260 deg. C. (500 deg. F), discontinue heating and report ERBP as 
in excess of 260 deg. C. (500 deg. F.).
    S6.5.3.2  Calculation. Correct the observed ERBP for thermometer and 
barometric pressure factors according to S6.1.5 (a) and (b). Average the 
corrected ERBP's of the duplicate samples. The difference between this 
average and the original ERBP obtained in S6.1 is the change in ERBP of 
the fluid.
    S6.5.4  Chemical stability.
    S6.5.4.1  Materials. SAE RM-66-04 Compatibility Fluid as described 
in appendix B of SAE Standard J1703 JAN 1995, ``Motor Vehicle Brake 
Fluid.'' (SAE RM-66-03 Compatibility Fluid as described in appendix A of 
SAE Standard J1703 Nov83, ``Motor Vehicle Brake Fluid,'' November 1983, 
may be used in place of SAE RM-66-04 until January 1, 1995.)
    S6.5.4.2  Procedure. (a) Mix 30  1 ml. of the brake 
fluid with 30  1 ml. of SAE RM-66-04 Compatibility Fluid in 
a boiling point flask (S6.1.2(a)). Determine the initial ERBP of the 
mixture by applying heat to the flask so that the fluid is refluxing in 
10  2 minutes at a rate in excess of 1 drop per second, but 
not more than 5 drops per second. Note the maximum fluid temperature 
observed during the first minute after the fluid begins refluxing at a 
rate in excess of 1 drop per second. Over the next 15  1 
minutes, adjust and maintain the reflux rate at 1 to 2 drops per second. 
Maintain this rate for an additional 2 minutes, recording the average 
value of four temperature readings taken at 30 second intervals as the 
final ERBP.
    (b) Thermometer and barometric corrections are not required.
    S6.5.4.3  Calculation. The difference between the initial ERBP and 
the final average temperature is the change in temperature of the 
refluxing mixture. Average the results of the duplicates to the nearest 
0.5  deg.C (1.0  deg.F).
    S6.6  Corrosion. Evaluate the corrosiveness of a brake fluid by 
running duplicate samples according to the following procedure.
    S6.6.1  Summary of the procedure. Six specified metal corrosion test 
strips are polished, cleaned, and weighed, then assembled as described. 
Assembly is placed on a standard wheel cylinder cup in a corrosion test 
jar, immersed in the water-wet brake fluid, capped and placed in an oven 
at 100 deg. C. (212 deg. F.) for 120 hours. Upon removal and cooling, 
the strips, fluid, and cups are examined and tested.
    S6.6.2  Equipment. (a) Balance. An analytical balance having a 
minimum capacity of 50 grams and capable of weighing to the nearest 0.1 
mg.

[[Page 330]]

    (b) Desiccators. Desiccators containing silica gel or other suitable 
desiccant.
    (c) Oven. Gravity convection oven capable of maintaining the desired 
set point within 2 deg. C. (3.6 deg. F.).
    (d) Micrometer. A machinist's micrometer 25 to 50 mm. (1 to 2 
inches) capacity, or an optical comparator, capable of measuring the 
diameter of the SBR wheel cylinder (WC) cups to the nearest 0.02 mm. 
(0.001 inch).
    S6.6.3  Materials. (a) Corrosion test strips. Two sets of strips 
from each of the metals listed in appendix C of SAE Standard J1703b. 
Each strip shall be approximately 8 cm. long, 1.3 cm. wide, not more 
than 0.6 cm. thick, and have a surface area of 25plus-minus5 
sq. cm. and a hole 4 to 5 mm. (0.16 to 0.20 inch) in diameter on the 
centerline about 6 mm. from one end. The hole shall be clean and free 
from burrs. Tinned iron strips shall be unused. Other strips, if used, 
shall not be employed if they cannot be polished to a high finish.
    (b) SBR cups. Two unused standard SAE SBR wheel cylinder (WC) cups, 
as specified in S7.6.
    (c) Corrosion test jars and lids. Two screw-top straight-sided round 
glass jars, each having a capacity of approximately 475 ml. and inner 
dimensions of approximately 100 mm. in height and 75 mm. in diameter, 
and a tinned steel lid (no insert or organic coating) vented with a hole 
0.8plus-minus0.1 mm. (0.031plus-minus0.004 inch) 
in diameter (No. 68 drill).
    (d) Machine screws and nuts. Clean, rust and oil-free, uncoated mild 
steel round or fillister head machine screws, size 6 or 8-32 UNC-Class 
2A, five-eighths or three-fourths inch long (or equivalent metric 
sizes), and matching uncoated nuts.
    (e) Supplies for polishing strips. Waterproof silicon carbide paper, 
grit No. 320 A; grade 00 steel wool, lint-free polishing cloth.
    (f) Distilled water as specified in S7.1.
    (g) Ethanol as specified in S7.3.
    (h) Isopropanol as specified in S7.7.
    S6.6.4  Preparation.
    (a) Corrosion test strips. Except for the tinned iron strips, abrade 
corrosion test strips on all surface areas with silicon carbide paper 
wet with ethanol (isopropanol when testing DOT 5 SBBF fluids) until all 
surface scratches, cuts and pits are removed. Use a new piece of paper 
for each different type of metal. Polish the strips with the 00 grade 
steel wool. Wash all strips, including the tinned iron and the assembly 
hardware, with ethanol (isopropanol when testing DOT 5 SBBF fluids); dry 
the strips and assembly hardware with a clean lint free cloth or use 
filtered compressed air and place the strips and hardware in a 
desiccator containing silica gel or other suitable desiccant and 
maintained at 23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.), for at least 1 hour. Handle 
the strips with forceps after polishing. Weigh and record the weight of 
each strip to the nearest 0.1 mg. Assemble the strips on a clean dry 
machine screw, with matching plain nut, in the order of tinned iron, 
steel, aluminum, cast iron, brass, and copper. Bend the strips, other 
than the cast iron, so that there is a separation of 
3plus-minus\1/2\ mm. (\1/8\plus-minus\1/64\ inch) 
between adjacent strips for a distance of about 5 cm. (2 inches) from 
the free end of the strips. (See Figure 4.) Tighten the screw on each 
test strip assembly so that the strips are in electrolytic contact, and 
can be lifted by either of the outer strips (tinned iron or copper) 
without any of the strips moving relative to the others when held 
horizontally. Immerse the strip assemblies in 90 percent ethyl alcohol. 
Dry with dried filtered compressed air, then desiccate at least 1 hour 
before use.
[GRAPHIC] [TIFF OMITTED] TC01AU91.046

                       Fig. 4. Corrosion Strip Assembly


[[Page 331]]


    (b) SBR WC cups. Measure the base diameters of the two standard SBR 
cups, using an optical comparator or micrometer, to the nearest 0.02 mm. 
(0.001 inch) along the centerline of the SAE and rubber-type 
identifications and at right angles to this centerline. Take the 
measurements at least 0.4 mm. (0.015 inch) above the bottom edge and 
parallel to the base of the cup. Discard any cup if the two measured 
diameters differ by more than 0.08 mm. (0.003 inch). Average the two 
readings on each cup. Determine the hardness of the cups according to 
S7.4.
    S6.6.5  Procedure. Rinse the cups in ethanol (isopropanol when 
testing DOT 5 SBBF fluids) for not more than 30 seconds and wipe dry 
with a clean lint-free cloth. Place one cup with lip edge facing up, in 
each jar. Insert a metal strip assembly inside each cup with the 
fastened end down and the free end extending upward. (See Figure 5.) 
When testing brake fluids, except DOT 5 SBBF, mix 760 ml. of brake fluid 
with 40 ml. of distilled water. When testing DOT 5 SBBF's, humidify 800 
ml. of brake fluid in accordance with S6.2, eliminating determination of 
the ERBP. Using this water-wet mixture, cover each strip assembly to a 
minimum depth of 10 mm. above the tops of the strips. Tighten the lids 
and place the jars for 120plus-minus2 hours in an oven 
maintained at 100 deg.plus-minus2 deg. C. 
(212 deg.plus-minus3.6 deg. F.). Allow the jars to cool at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg.F.) for 60 to 90 minutes. 
Immediately remove the strips from the jars using forceps, agitating the 
strip assembly in the fluid to remove loose adhering sediment. Examine 
the test strips and jars for adhering crystalline deposits. Disassemble 
the metal strips, and remove adhering fluid by flushing with water; 
clean each strip by wiping with a clean cloth wetted with ethanol 
(isopropanol when testing DOT 5 fluids). Examine the strips for evidence 
of corrosion and pitting. Disregard staining or discoloration. Place the 
strips in a desiccator containing silica gel or other suitable 
desiccant, maintained at 23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.), for at least 1 hour. Weigh 
each strip to the nearest 0.1 mg. Determine the change in weight of each 
metal strip. Average the results for the two strips of each type of 
metal. Immediately following the cooling period, remove the cups from 
the jars with forceps. Remove loose adhering sediment by agitation of 
the cups in the mixture. Rinse the cups in ethanol (isopropanol when 
testing DOT 5 fluids) and air-dry. Examine the cups for evidence of 
sloughing, blisters, and other forms of disintegration. Measure the base 
diameter and hardness of each cup within 15 minutes after removal from 
the mixture. Examine the mixture for gelling. Agitate the mixture to 
suspend and uniformly disperse sediment. From each jar, transfer a 100 
ml. portion of the mixture to an ASTM cone-shaped centrifuge tube. 
Determine the percent sediment after centrifuging as described in S7.5. 
Measure the pH value of the corrosion text fluid according to S6.4.6. 
Measure the pH value of the test mixture according to S6.4.6.
[GRAPHIC] [TIFF OMITTED] TC01AU91.047

                       Fig. 5. Corrosion Test Apparatus

    S6.6.6  Calculation. (a) Measure the area of each type of test strip 
to the nearest square centimeter. Divide the average change in weight 
for each type by the area of that type.
    (b) Note other data and evaluations indicating compliance with 
S5.1.6. In the event of a marginal pass on inspection by attributes, or 
of a failure in one of the duplicates, run another set of duplicate 
samples. Both repeat samples shall meet all requirements of S5.1.6.
    S6.7  Fluidity and appearance at low temperatures. Determine the 
fluidity and appearance of a sample of brake

[[Page 332]]

fluid at each of two selected temperatures by the following procedure.
    S6.7.1  Summary of procedure. Brake fluid is chilled to expected 
minimum exposure temperatures and observed for clarity, gellation, 
sediment, separation of components, excessive viscosity or thixotropy.
    S6.7.2  Apparatus. (a) Oil sample bottle. Two clear flint glass 4-
ounce bottles made especially for sampling oil and other liquids, with a 
capacity of approximately 125 ml., an outside diameter of 
37plus-minus0.05 mm. and an overall height of 
165plus-minus2.5 mm.
    (b) Cold chamber. An air bath cold chamber capable of maintaining 
storage temperatures down to minus 55 deg. C. (minus 67 deg. F.) with an 
accuracy of plus-minus2 deg. C. (3.6 deg. F.).
    (c) Timing device. A timing device in accordance with S6.3.2(e).
    S6.7.3  Procedure. (a) Place 100plus-minus1 ml. of brake 
fluid at room temperature in an oil sample bottle. Stopper the bottle 
with an unused cork and place in the cold chamber at the higher storage 
temperature specified in Table II (S5.1.7(c)). After 
144plus-minus4 hours remove the bottle from the chamber, 
quickly wipe it with a clean, lint-free cloth, saturated with ethanol 
(isopropanol when testing DOT 5 fluids) or acetone. Examine the fluid 
for evidence of sludging, sedimentation, crystallization, or 
stratification. Invert the bottle and determine the number of seconds 
required for the air bubble to travel to the top of the fluid. Let 
sample warm to room temperature and examine.
    (b) Repeat S6.7.3(a), substituting the lower cold chamber 
temperature specified in Table II, and a storage period of 6 hours 
plus-minus12 minutes.

    Note: Test specimens from either storage temperature may be used for 
the other only after warming up to room temperature.


    S6.8  Evaporation. The evaporation residue, and pour point of the 
evaporation residue of brake fluid, are determined by the following 
procedure. Four replicate samples are run.
    S6.8.1  Summary of the procedure. The volatile diluent portion of a 
brake fluid is evaporated in an oven at 100 deg. C. (212 deg. F.). The 
nonvolatile lubricant portion (evaporation residue) is measured and 
examined for grittiness; the residues are then combined and checked to 
assure fluidity at minus 5 deg. C. (23 deg. F.).
    S6.8.2  Apparatus.
    (a) Petri dishes. Four covered glass petri dishes approximately 100 
mm. in diameter and 15 mm. in height.
    (b) Oven. A top-vented gravity-convection oven capable of 
maintaining a temperature of 100 deg.plus-minus2 deg. C. 
(212 deg.plus-minus3.6 deg. F.).
    (c) Balance. A balance having a capacity of at least 100 grams, 
capable of weighing to the nearest 0.01 gram, and suitable for weighing 
the petri dishes.
    (d) Oil sample bottle. A glass sample bottle as described in 
S6.7.2(a).
    (e) Cold chamber. Air bath cold chamber capable of maintaining an 
oil sample bottle at minus 5 deg.plus-minus1 deg. C. 
(23 deg.plus-minus2 deg. F.).
    (f) Timing device. A timing device as described in S6.3.2(e).
    S6.8.3  Procedure. Obtain the tare weight of each of the four 
covered petri dishes to the nearest 0.01 gram. Place 
25plus-minus1 ml. of brake fluid in each dish, replace proper 
covers and reweigh. Determine the weight of each brake fluid test 
specimen by the difference. Place the four dishes, each inside its 
inverted cover, in the oven at 100 deg.plus-minus2 deg. C. 
(212 deg.plus-minus3.6 deg. F.) for 46plus-minus2 
hours. (Note: Do not simultaneously heat more than one fluid in the same 
oven.) Remove the dishes from the oven, allow to cool to 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.), and weigh. Return to the oven 
for an additional 24plus-minus2 hours. If at the end of 
72plus-minus4 hours the average loss by evaporation is less 
than 60 percent, discontinue the evaporation procedure and proceed with 
examination of the residue. Otherwise, continue this procedure either 
until equilibrium is reached as evidenced by an incremental weight loss 
of less than 0.25 gram in 24 hours on all individual dishes or for a 
maximum of 7 days. During the heating and weighing operation, if it is 
necessary to remove the dishes from the oven for a period of longer than 
1 hour, the dishes shall be stored in a desiccator as soon as cooled to 
room temperature. Calculate the percentage of fluid evaporated from each 
dish. Examine the residue in the dishes at the end of 1 hour at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.). Rub any sediment with the 
fingertip to determine grittiness or abrasiveness. Combine the residues 
from all four dishes in a 4-ounce oil sample bottle and store vertically 
in a cold chamber at minus

[[Page 333]]

5 deg.plus-minus1 deg. C. 
(23 deg.plus-minus2 deg.F.) for 60plus-minus10 
minutes. Quickly remove the bottle and place in the horizontal position. 
The residue must flow at least 5 mm. (0.2 inch) along the tube within 5 
seconds.
    S6.8.4  Calculation. The average of the percentage evaporated from 
all four dishes is the loss by evaporation.
    S6.9  Water tolerance. Evaluate the water tolerance characteristics 
of a brake fluid by running one test specimen according to the following 
procedure.
    S6.9.1  Summary of the procedure.
    Brake fluid, except DOT 5 SBBF, is diluted with 3.5 percent water 
(DOT 5 SBBF is humidified), then stored at minus 40  deg.C. (minus 40 
deg.F.) for 120 hours. The cold, water-wet fluid is first examined for 
clarity, stratification, and sedimentation, then placed in an oven at 60 
 deg.C. (140  deg.F.) for 24 hours. On removal, it is again examined for 
stratification, and the volume percent of sediment determined by 
centrifuging.
    S6.9.2  Apparatus.
    (a) Centrifuge tube. See S7.5.1(a).
    (b) Centrifuge. See S7.5.1(b).
    (c) Cold chamber. See S6.7.2(b).
    (d) Oven. Gravity or forced convection oven.
    (e) Timing device. See S6.3.2(e).
    S6.9.3  Procedure.
    (a) At low temperature. Humidify 100plus-minus1 ml. of 
DOT 5 SBBF brake fluid in accordance with S6.2 eliminating determination 
of the ERBP. When testing brake fluids except DOT 5 SBBF, mix 
3.5plus-minus0.1 ml. of distilled water with 
100plus-minus1 ml. of the brake fluid; pour into a centrifuge 
tube. Stopper the tube with a clean cork and place in the cold chamber 
maintained at minus 40plus-minus2 deg. C. (minus 
40plus-minus3.6 deg. F.). After 120 
hoursplus-minus2 hours remove the tube, quickly wipe with 
clean lint-free cloth saturated with ethanol or acetone and examine the 
fluid for evidence of sludging, sedimentation, crystallization, or 
stratification. Invert the tube and determine the number of seconds 
required for the air bubble to travel to the top of the fluid. (The air 
bubble is considered to have reached the top of the fluid when the top 
of the bubble reaches the 2 ml. graduation of the centrifuge tube.) If 
the wet fluid has become cloudy, warm to 23plus-minus5 deg. 
C. (73.4plus-minus9 deg. F.) and note appearance and 
fluidity.
    (b) At 60 deg. C. (140 deg. F.). Place tube and brake fluid from 
S6.9.3(a) in an oven maintained at 60 deg.plus-minus2 deg. C. 
(140 deg.plus-minus3.6 deg. F.) for 24plus-minus2 
hours. Remove the tube and immediately examine the contents for evidence 
of stratification. Determine the percent sediment by centrifuging as 
described in S7.5.
    S6.10  Compatibility. The compatibility of a brake fluid with other 
brake fluids shall be evaluated by running one test sample according to 
the following procedure.
    S6.10.1  Summary of the procedure.
    Brake fluid is mixed with an equal volume of SAE RM-66-04 
Compatibility Fluid, then tested in the same way as for water tolerance 
(S6.9) except that the bubble flow time is not measured. This test is an 
indication of the compatibility of the test fluid with other motor 
vehicle brake fluids at both high and low temperatures.
    S6.10.2  Apparatus and materials.
    (a) Centrifuge tube. See S7.5.1(a).
    (b) Centrifuge. See S7.5.1(b).
    (c) Cold Chamber. See S6.7.2(b)
    (d) Oven. See S6.9.2(d)
    (e) SAE RM-66-04 Compatibility Fluid. As described in appendix B of 
SAE Standard J1703 JAN 1995 ``Motor Vehicle Brake Fluid.'' (SAE RM-66-03 
Compatibility Fluid as described in appendix A of SAE Standard J1703 
NOV83, ``Motor Vehicle Brake Fluid,'' November 1983, may be used in 
place of SAE RM-66-04 until January 1, 1995.)
    S6.10.3  Procedure.
    (a) At low temperature. Mix 50  0.5 ml. of the brake 
fluid with 50  0.5 ml. of SAE RM-66-04 Compatibility Fluid. 
Pour this mixture into a centrifuge tube and stopper with a clean dry 
cork. Place tube in the cold chamber maintained at minus 40 deg. 
 2  deg.C (minus 40 deg.  3.6  deg.F) After 24 
 2 hours, remove tube, quickly wipe with a clean lint-free 
cloth saturated with ethanol (isopropanol when testing DOT 5 fluids) or 
acetone. Examine the test specimen for evidence of sludging, 
sedimentation, or crystallization. Test fluids, except DOT 5 SBBF, shall 
be examined for stratification.
    S6.11  Resistance to oxidation. The stability of a brake fluid under 
oxidative conditions shall be evaluated by running duplicate samples 
according to the following procedure.

[[Page 334]]

    S6.11.1  Summary of procedure.
    Brake fluids, except DOT 5 SBBF, are activated with a mixture of 
approximately 0.2 percent benzoyl peroxide and 5 percent water. DOT 5 
SBBF is humidified in accordance with S6.2 eliminating determination of 
the ERBP, and then approximately 0.2 percent benzoyl peroxide is added. 
A corrosion test strip assembly consisting of cast iron and an aluminum 
strip separated by tinfoil squares at each end is then rested on a piece 
of SBR WC cup positioned so that the test strip is half immersed in the 
fluid and oven aged at 70  deg.C. (158  deg.F.) for 168 hours. At the 
end of this period, the metal strips are examined for pitting. etching, 
and weight loss.
    S6.11.2  Equipment.
    (a) Balance. See S6.6.2(a).
    (b) Desiccators. See S6.6.2(b).
    (c) Oven. See S6.6.2(c).
    (d) Three glass test tubes approximately 22 mm. outside diameter by 
175 mm. in length.
    S6.11.3  Reagents and materials.
    (a) Benzoyl peroxide, reagent grade, 96 percent. (Benzoyl peroxide 
that is brownish, or dusty, or has less than 90 percent purity, must be 
discarded.) Reagent strength may be evaluated by ASTM E298-68, 
``Standard Methods for Assay of Organic Peroxides.''
    (b) Corrosion test strips. Two sets of cast iron and aluminum metal 
test strips as described in appendix C of SAE Standard J1703b.
    (c) Tinfoil. Four unused pieces of tinfoil approximately 12 mm. (\1/
2\ inch) square and between 0.02 and 0.06 mm. (0.0008 and 0.0024 inch) 
in thickness. The foil shall be at least 99.9 percent tin and contain 
not more than 0.025 percent lead.
    (d) SBR cups. Two unused, approximately one-eighth sections of a 
standard SAE SBR WC cup (as described in S7.6).
    (e) Machine screw and nut. Two clean oil-free, No. 6 or 8-32 x \3/
8\- or \1/2\-inch long (or equivalent metric size), round or fillister 
head, uncoated mild steel machine screws, with matching plain nuts.
    S6.11.4  Preparation.
    (a) Corrosion test strips. Prepare two sets of aluminum and cast 
iron test strips according to S6.6.4(a) except for assembly. Weigh each 
strip to the nearest 0.1 mg. and assemble a strip of each metal on a 
machine screw, separating the strips at each end with a piece of 
tinfoil. Tighten the nut enough to hold both pieces of foil firmly in 
place.
    (b) Test mixture.
    Place 301 ml. of the brake fluid under test in a 22 by 
175 mm. test tube. For all fluids except DOT 5 SBBF, add 
0.060.002 grams of benzoyl peroxide, and 
1.500.05 ml. of distilled water. For DOT 5 SBBF, use test 
fluid humidified in accordance with S6.2, and add only the benzoyl 
peroxide. Stopper the tube loosely with a clean dry cork, shake, and 
place in an oven for 2 hours at 70 deg.2  deg.C. 
(158 deg.3.6  deg.F.). Shake every 15 minutes to effect 
solution of the peroxide, but do not wet cork. Remove the tube from the 
oven and allow to cool to 23 deg.5  deg.C. 
(73.4 deg.9  deg.F.) Begin testing according to paragraph 
S6.11.5 not later than 24 hours after removal of tube from oven.
    S6.11.5  Procedure. Place a one-eighth SBR cup section in the bottom 
of each tube. Add 10 ml. of prepared test mixture to each test tube. 
Place a metal-strip assembly in each, the end of the strip without the 
screw resting on the rubber, and the solution covering about one-half 
the length of the strips. Stopper the tubes with clean dry corks and 
store upright for 70plus-minus2 hours at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.). Loosen the corks and place 
the tubes for 168plus-minus2 hours in an oven maintained at 
70 deg.plus-minus2 deg. C. 
(158 deg.plus-minus3.6 deg. F.). Afterwards remove and 
disassemble strips. Examine the strips and note any gum deposits. Wipe 
the strips with a clean cloth wet with ethanol (isopropanol when testing 
DOT 5 fluids) and note any pitting, etching or roughening of surface 
disregarding stain or discoloration. Place the strips in a desiccator 
over silica gel or other suitable desiccant, at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.) for at least 1 hour. Again 
weigh each strip to the nearest 0.1 mg.
    S6.11.6  Calculation. Determine corrosion loss by dividing the 
change in weight of each metal strip by the total surface area of each 
strip measured in square centimeters, to the nearest square centimeter. 
Average the results for the two strips of each type of metal, rounding 
to the nearest 0.05 mg. per square centimeter. If only one of the 
duplicates fails for any reason, run a second set of duplicate samples. 
Both

[[Page 335]]

repeat samples shall meet all requirements of S5.1.11.
    S6.12  Effect on SBR cups. The effects of a brake fluid in swelling, 
softening, and otherwise affecting standard SBR WC cups shall be 
evaluated by the following procedure.
    S6.12.1  Summary of the procedure. Four standard SAE SBR WC cups are 
measured and their hardnesses determined. The cups, two to a jar, are 
immersed in the test brake fluid. One jar is heated for 70 hours at 
70 deg. C. (158 deg. F), and the other for 70 hours at 120 deg. C 
(248 deg. F). Afterwards, the cups are washed, examined for 
disintegration, remeasured and their hardnesses redetermined.
    S6.12.2  Equipment and supplies.
    (a) Oven. See S6.6.2(c).
    (b) Glass jars and lids. Two screw-top, straight-sided round glass 
jars, each having a capacity of approximately 250 ml. and inner 
dimensions of approximately 125 mm. in height and 50 mm. in diameter, 
and a tinned steel lid (no insert or organic coating).
    (c) SBR cups. See S7.6.
    S6.12.3  Preparation. Measure the base diameters of the SBR cups as 
described in S6.6.4(b), and the hardness of each as described in S7.4.
    S6.12.4  Procedure. Wash the cups in 90 percent ethanol (isopropanol 
when testing DOT 5 fluids) (see S7.3), for not longer than 30 seconds 
and quickly dry with a clean, lint-free cloth. Using forceps, place two 
cups into each of the two jars; add 75 ml. of brake fluid to each jar 
and cap tightly. Place one jar in an oven held at 
70 deg.plus-minus2 deg. C. (158plus-minus3.6 deg. 
F.) for 70plus-minus2 hours. Place the other jar in an oven 
held at 120 deg.plus-minus2 deg. C. 
(248 deg.plus-minus3.6 deg. F.) for 70plus-minus2 
hours. Allow each jar to cool for 60 to 90 minutes at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.). Remove cups, wash with 
ethanol (isopropanol when testing DOT 5 fluids) for not longer than 30 
seconds, and quickly dry. Examine the cups for disintegration as 
evidenced by stickiness, blisters, or sloughing. Measure the base 
diameter and hardness of each cup within 15 minutes after removal from 
the fluid.
    S6.12.5  Calculation. (a) Calculate the change in base diameter for 
each cup. If the two values, at each temperature, do not differ by more 
than 0.10 mm. (0.004 inch) average them to the nearest 0.02 mm. (0.001 
inch). If the two values differ by more than 0.10 mm., repeat the test 
at the appropriate temperature and average the four values as the change 
in base diameter.
    (b) Calculate the change in hardness for each cup. The average of 
the two values for each pair is the change in hardness.
    (c) Note disintegration as evidenced by stickiness, blisters, or 
sloughing.
    S6.13  Stroking properties. Evaluate the lubricating properties, 
component compatibility, resistance to leakage, and related qualities of 
a brake fluid by running one sample according to the following 
procedures.
    S6.13.1  Summary of the procedure. Brake fluid is stroked under 
controlled conditions at an elevated temperature in a simulated motor 
vehicle hydraulic braking system consisting of three slave wheel 
cylinders and an actuating master cylinder connected by steel tubing. 
Referee standard parts are used. All parts are carefully cleaned, 
examined, and certain measurements made immediately prior to assembly 
for test. During the test, temperature, rate of pressure rise, maximum 
pressure, and rate of stroking are specified and controlled. The system 
is examined periodically during stroking to assure that excessive 
leakage of fluid is not occurring. Afterwards, the system is torn down. 
Metal parts and SBR cups are examined and remeasured. The brake fluid 
and any resultant sludge and debris are collected, examined, and tested.
    S6.13.2  Apparatus and equipment.
    Either the drum and shoe type of stroking apparatus (see Figure 1 of 
SAE Standard J1703b) except using only three sets of drum and shoe 
assemblies, or the stroking fixture type apparatus as shown in Figure 2 
of SAE J1703Nov83, with the components arranged as shown in Figure 1 of 
SAE J1703Nov83. The following components are required.
    (a) Brake assemblies. With the drum and shoe apparatus: three drum 
and shoe assembly units (SAE RM-29a) consisting of three forward brake 
shoes and three reverse brake shoes with linings and three front wheel 
brake drum assemblies with assembly component

[[Page 336]]

parts. With stroking fixture type apparatus: three fixture units 
including appropriate adapter mounting plates to hold brake wheel 
cylinder assemblies.
    (b) Braking pressure actuation mechanism. An actuating mechanism for 
applying a force to the master cylinder pushrod without side thrust. The 
amount of force applied by the actuating mechanism shall be adjustable 
and capable of applying sufficient thrust to the master cylinder to 
create a pressure of at least 70 kg./sq. cm. (1,000 p.s.i.) in the 
simulated brake system. A hydraulic gage or pressure recorder, having a 
range of at least 0 to 70 kg./sq. cm. (0 to 1,000 p.s.i.), shall be 
installed between the master cylinder and the brake assemblies and shall 
be provided with a shutoff valve and with a bleeding valve for removing 
air from the connecting tubing. The actuating mechanism shall be 
designed to permit adjustable stroking rates of approximately 1,000 
strokes per hour. Use a mechanical or electrical counter to record the 
total number of strokes.
    (c) Heated air bath cabinet. An insulated cabinet or oven having 
sufficient capacity to house the three mounted brake assemblies or 
stroking fixture assemblies, master cylinder, and necessary connections. 
A thermostatically controlled heating system is required to maintain a 
temperature of 70 deg.5  deg. C (158 deg.9  deg. 
F) or 120 deg.5  deg. C (248 deg.9  deg. F). 
Heaters shall be shielded to prevent direct radiation to wheel or master 
cylinder.
    (d) Master cylinder (MC) assembly (SAE RM-15a). One cast iron 
housing hydraulic brake system cylinder having a diameter of 
approximately 28 mm. (1\1/8\ inch) and fitted for a filler cap and 
standpipe (see S6.13.2(e)). The MC piston shall be made from SAE CA360 
copperbase alloy (half hard). A new MC assembly is required for each 
test.
    (e) Filler cap and standpipe. MC filler cap provided with a glass or 
uncoated steel standpipe. Standpipe must provide adequate volume for 
thermal expansion, yet permit measurement and adjustment of the fluid 
level in the system to plus-minus3 ml. Cap and standpipe may 
be cleaned and reused.
    (f) Wheel cylinder (WC) assemblies (SAE RM-14a). Three unused cast 
iron housing straight bore hydraulic brake WC assemblies having 
diameters of approximately 28 mm (1\1/8\ inch) for each test. Pistons 
shall be made from unanodized SAE AA 2024 aluminum alloy.
    (g) Micrometer. Same as S6.6.2(d).
    S6.13.3  Materials.
    (a) Standard SBR brake cups. Six standard SAE SBR wheel cylinder 
test cups, one primary MC test cup, and one secondary MC test cup, all 
as described in S7.6, for each test.
    (b) Steel tubing. Double wall steel tubing meeting SAE specification 
J527. A complete replacement of tubing is essential when visual 
inspection indicates any corrosion or deposits on inner surface of 
tubing. Tubing from master cylinder to one wheel cylinder shall be 
replaced for each test (minimum length 3 feet). Uniformity in tubing 
size is required between master cylinder and wheel cylinder. The 
standard master cylinder has two outlets for tubing, both of which must 
be used.
    S6.13.4  Preparation of test apparatus.
    (a) Wheel cylinder assemblies. Use unused wheel cylinder assemblies. 
Disassemble cylinders and discard cups. Clean all metal parts with 
ethanol (isopropanol when testing DOT 5 fluids). Inspect the working 
surfaces of all metal parts for scoring, galling, or pitting and 
cylinder bore roughness, and discard all defective parts. Remove any 
stains on cylinder walls with crocus cloth and ethanol (isopropanol when 
testing DOT 5 fluids). If stains cannot be removed, discard the 
cylinder. Measure the internal diameter of each cylinder at a location 
approximately 19 mm. (0.75 inch) from each end of the cylinder bore, 
taking measurements in line with the hydraulic inlet opening and at 
right angles to this centerline. Discard the cylinder if any of these 
four readings exceeds the maximum or minimum limits of 28.66 to 28.60 
mm. (1.128 to 1.126 inch). Measure the outside diameter of each piston 
at two points approximately 90 deg. apart. Discard any piston if either 
reading exceeds the maximum or minimum limits of 28.55 to 28.52 mm. 
(1.124 to 1.123 inch). Select parts to insure that the clearance between 
each piston and mating cylinder is within 0.08 to 0.13 mm. (0.003 to 
0.005 inch). Use unused SBR cups. To remove dirt and debris, rinse the 
cups

[[Page 337]]

in 90 percent ethyl alcohol for not more than 30 seconds and wipe dry 
with a clean lint-free cloth. Discard any cups showing defects such as 
cuts, molding flaws, or blisters. Measure the lip and base diameters of 
all cups with an optical comparator or micrometer to the nearest 0.02 
mm. (0.001 inch) along the centerline of the SAE and rubber-type 
identifications and at right angles to this centerline. Determine base 
diameter measurements at least 0.4 mm. (0.015 inch) above the bottom 
edge and parallel to the base of the cup. Discard any cup if the two 
measured lip or base diameters differ by more than 0.08 mm. (0.003 
inch). Average the lip and base diameters of each cup. Determine the 
hardness of all cups according to S7.4. Dip the rubber and metal parts 
of wheel cylinders, except housing and rubber boots, in the fluid to be 
tested and install them in accordance with the manufacturer's 
instructions. Manually stroke the cylinders to insure that they operate 
easily. Install cylinders in the simulated brake system.
    (b) Master cylinder assembly. Use an unused master cylinder and 
unused standard SBR primary and secondary MC cups which have been 
inspected, measured and cleaned in the manner specified in S6.13.4(a), 
omitting hardness of the secondary MC cup. However, prior to determining 
the lip and base diameters of the secondary cup, dip the cup in test 
brake fluid, assemble on the MC piston, and maintain the assembly in a 
vertical position at 23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg.F.) for at least 12 hours. Inspect 
the relief and supply ports of the master cylinder; discard the cylinder 
if ports have burrs or wire edges. Measure the internal diameter of the 
cylinder at two locations (approximately midway between the relief and 
supply ports and approximately 19 mm. (0.75 inch) beyond the relief port 
toward the bottom or discharge end of the bore), taking measurements at 
each location on the vertical and horizontal centerline of the bore. 
Discard the cylinder if any reading exceeds the maximum or minimum 
limits of 28.65 to 28.57 mm. (1.128 to 1.125 inch). Measure the outside 
diameter of each end of the master cylinder piston at two points 
approximately 90 deg. apart. Discard the piston if any of these four 
readings exceed the maximum or minimum limits of 28.55 to 28.52 mm. 
(1.124 to 1.123 inch). Dip the rubber and metal parts of the master 
cylinder, except the housing and push rod-boot assembly, in the brake 
fluid and install in accordance with manufacturer's instructions. 
Manually stroke the master cylinder to insure that it operates easily. 
Install the master cylinder in the simulated brake system.
    (c) Assembly and adjustment of test apparatus.
    (1) When using a shoe and drum type apparatus, adjust the brake shoe 
toe clearances to 1.00.1 mm. (0.0400.004 inch). 
Fill the system with brake fluid, bleeding all wheel cylinders and the 
pressure gage to remove entrapped air. Operate the actuator manually to 
apply a pressure greater than the required operating pressure and 
inspect the system for leaks. Adjust the actuator and/or pressure relief 
valve to obtain a pressure of 703.5 kg./sq. cm. 
(1,00050 p.s.i.). A smooth pressure-stroke pattern is 
required when using a shoe and drum type apparatus. The pressure is 
relatively low during the first part of the stroke and then builds up 
smoothly to the maximum stroking pressure at the end of the stroke, to 
permit the primary cup to pass the compensating hole at a relatively low 
pressure. Using stroking fixtures, adjust the actuator and/or pressure 
relief valve to obtain a pressure of 703.5 kg./sq. cm. 
(1,00050 p.s.i.).
    (2) Adjust the stroking rate to 1,000100 strokes per 
hour. Record the fluid level in the master cylinder standpipe.
    S6.13.5  Procedure. Operate the system for 
16,000plus-minus1,000 cycles at 
23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.). Repair any leakage, readjust 
the brake shoe clearances, and add fluid to the master cylinder 
standpipe to bring to the level originally recorded, if necessary. Start 
the test again and raise the temperature of the cabinet within 
6plus-minus2 hours to 120 deg.plus-minus5 deg. C. 
(248 deg.plus-minus9 deg. F.). During the test observe 
operation of wheel cylinders for improper functioning and record the 
amount of fluid required to replenish any loss, at intervals of 24,000 
strokes. Stop the test at the end of 85,000 total recorded strokes. 
These totals shall include the number of strokes during operation at

[[Page 338]]

23 deg.plus-minus5 deg. C. 
(73.4 deg.plus-minus9 deg. F.) and the number of strokes 
required to bring the system to the operating temperature. Allow 
equipment to cool to room temperature. Examine the wheel cylinders for 
leakage. Stroke the assembly an additional 100 strokes, examine wheel 
cylinders for leakage and record volume loss of fluid. Within 16 hours 
after stopping the test, remove the master and wheel cylinders from the 
system, retaining the fluid in the cylinders by immediately capping or 
plugging the ports. Disassemble the cylinders, collecting the fluid from 
the master cylinder and wheel cylinders in a glass jar. When collecting 
the stroked fluid, remove all residue which has deposited on rubber and 
metal internal parts by rinsing and agitating such parts in the stroked 
fluid and using a soft brush to assure that all loose adhering sediment 
is collected. Clean SBR cups in ethanol (isopropanol when testing DOT 5 
fluids) and dry. Inspect the cups for stickiness, scuffing, blistering, 
cracking, chipping, and change in shape from original appearance. Within 
1 hour after disassembly, measure the lip and base diameters of each 
cylinder cup by the procedures specified in S6.13.4 (a) and (b) with the 
exception that lip or base diameters of cups may now differ by more than 
0.08 mm. (0.003 inch). Determine the hardness of each cup according to 
S7.4. Note any sludge or gel present in the test fluid. Within 1 hour 
after draining the cylinders, agitate the fluid in a glass jar to 
suspend and uniformly disperse sediment and transfer a 100 ml. portion 
of this fluid to a centrifuge tube and determine percent sediment as 
described in S7.5. Allow the tube and fluid to stand for 24 hours, 
recentrifuge and record any additional sediment recovered. Inspect 
cylinder parts, note any gumming or any pitting on pistons and cylinder 
walls. Disregard staining or discoloration. Rub any deposits adhering to 
cylinder walls with a clean soft cloth wetted with ethanol (isopropanol 
when testing DOT 5 fluids) to determine abrasiveness and removability. 
Clean cylinder parts in ethanol (isopropanol when testing DOT 5 fluids) 
and dry. Measure and record diameters of pistons and cylinders according 
to S6.13.4(a) and (b). Repeat the test if mechanical failure occurs that 
may affect the evaluation of the brake fluid.
    S6.13.6  Calculation. (a) Calculate the changes in diameters of 
cylinders and pistons (see S5.1.13(b)).
    (b) Calculate the average decrease in hardness of the seven cups 
tested, as well as the individual values (see S5.1.13(c)).
    (c) Calculate the increases in base diameters of the eight cups (see 
S5.1.13(e)).
    (d) Calculate the lip diameter interference set for each of the 
eight cups by the following formula and average the eight values (see 
S5.1.13(f)).

                     [(D1-D2)/
      (D1-D3)] x 100=percentage Lip Diameter 
                            Interference Set

where:


D1=Original lip diameter.
D2=Final lip diameter.
D3=Original cylinder bore diameter.

    S6.14 Container information. Each container with information marked 
directly on the container surface or on a label (labels) affixed to the 
container pursuant to S5.2.2.2 or S5.2.2.3 is subjected to the following 
procedure:
    (a) If the container has a label affixed to it, make a single 
vertical cut all the way through the label with the container in the 
vertical position.
    (b) Immerse the container in the same brake fluid or hydraulic 
system mineral oil contained therein for 15 minutes at room temperature 
(235  deg.C; 73.49  deg.F).
    (c) Within 5 minutes after removing the container from the fluid or 
oil, remove excess liquid from the surface of the container by wiping 
with a clean dry cloth.
    S7. Auxiliary test methods and reagent standards.
    S7.1  Distilled water. Nonreferee reagent water as specified in ASTM 
D1193-70, ``Standard Specifications for Reagent Water,'' or water of 
equal purity.
    S7.2  Water content of motor vehicle brake fluids. Use analytical 
methods based on ASTM D1123-59, ``Standard Method of Test for Water in 
Concentrated Engine Antifreezes by the Iodine Reagent Method,'' for 
determining the water content of brake fluids, or other methods of 
analysis yielding comparable results. To be acceptable

[[Page 339]]

for use, such other method must measure the weight of water added to 
samples of the SAE RM-66-04 and TEGME Compatibility Fluids within 
 15 percent of the water added for additions up to 0.8 
percent by weight, and within  5 percent of the water added 
for additions greater than 0.8 percent by weight. The SAE RM-66-04 
Compatibility Fluid used to prepare the samples must have an original 
ERBP of not less than 205  deg.C (401  deg.F) when tested in accordance 
with S6.1. The SAE TEGME fluid used to prepare the samples must have an 
original ERBP of not less than 240  deg.C (464  deg.F) when tested in 
accordance with S6.1.
    S7.3  Ethanol. 95 percent (190 proof) ethyl alcohol, USP or ACS, or 
Formula 3-A Specially Denatured Alcohol of the same concentration (as 
specified at 27 CFR 21.35). For pretest washings of equipment, use 
approximately 90 percent ethyl alcohol, obtained by adding 5 parts of 
distilled water to 95 parts of ethanol.
    S7.4  Measuring the hardness of SBR brake cups. Hardness 
measurements on SBR wheel cylinder cups and master cylinder primary cups 
shall be made by using the following apparatus and the following 
procedure.
    S7.4.1  Apparatus.
    (a) Anvil. A rubber anvil having a flat circular top 
20plus-minus1 mm. (\13/16\plus-minus\1/16\ inch) 
in diameter, a thickness of at least 9 mm. (\3/8\ inch) and a hardness 
within 5 IRHDs of the SBR test cup.
    (b) Hardness tester. A hardness tester meeting the requirements for 
the standard instrument as described in ASTM D1415-68, ``Standard Method 
of Test for International Hardness of Vulcanized Natural and Synthetic 
Rubbers,'' and graduated directly in IRHD units.
    S7.4.2  Procedure. Make hardness measurements at 
23 deg.plus-minus2 deg. C. 
(73.4 deg.plus-minus3.6 deg. F.). Equilibrate the tester and 
anvils at this temperature prior to use. Center brake cups lip side down 
on an anvil of appropriate hardness. Following the manufacturer's 
operating instructions for the hardness tester, make one measurement at 
each of four points one-fourth inch from the center of the cup and 
spaced 90 deg. apart. Average the four values, and round off to the 
nearest IRHD.
    S7.5  Sediment by centrifuging. The amount of sediment in the test 
fluid shall be determined by the following procedure.
    S7.5.1  Apparatus.
    (a) Centrifuge tube. Cone-shaped centrifuge tubes conforming to the 
dimensions given in Figure 6, and made of thoroughly annealed glass. The 
graduations shall be numbered as shown in Figure 6, and shall be clear 
and distinct. Scale-error tolerances and smallest graduations between 
various calibration marks are given in Table V and apply to calibrations 
made with air-free water at 20 deg. C. (68 deg. F.).
[GRAPHIC] [TIFF OMITTED] TC01AU91.048

                   Fig. 6. ASTM 8-in. Centrifuge Tube

       Table V--Calibration Tolerances for 8-Inch Centrifuge Tube       
------------------------------------------------------------------------
                                                                Volume  
                   Range, ml                    Subdivision,  tolerance,
                                                     ml           ml    
------------------------------------------------------------------------
0 to 0.1......................................         0.05   plus-minus
                                                                    0.02
Above 0.1 to 0.3..............................         0.05   plus-minus
                                                                    0.03
Above 0.3 to 0.5..............................         0.05   plus-minus
                                                                    0.05
Above 0.5 to 1................................         0.10   plus-minus
                                                                    0.05
Above 1 to 2..................................         0.10   plus-minus
                                                                    0.10
Above 2 to 3..................................         0.20   plus-minus
                                                                    0.10
Above 3 to 5..................................          0.5   plus-minus
                                                                    0.20
Above 5 to 10.................................           1.   plus-minus
                                                                    0.50
Above 10 to 25................................           5.   plus-minus
                                                                    1.00

[[Page 340]]

                                                                        
Above 25 to 100...............................          25.   plus-minus
                                                                    1.00
------------------------------------------------------------------------

    (b) Centrifuge. A centrifuge capable of whirling two or more filled 
centrifuge tubes at a speed which can be controlled to give a relative 
centrifugal force (r.c.f.) between 600 and 700 at the tip of the tubes. 
The revolving head, trunnion rings, and trunnion cups, including the 
rubber cushion, shall withstand the maximum centrifugal force capable of 
being delivered by the power source. The trunnion cups and cushions 
shall firmly support the tubes when the centrifuge is in motion. 
Calculate the speed of the rotating head using this equation:
[GRAPHIC] [TIFF OMITTED] TC01AU91.049


where:

r.c.f.=Relative centrifugal force, and
d=Diameter of swing, in inches, measured between tips of opposite tubes 
          when in rotating position.

Table VI shows the relationship between diameter, swing, relative 
centrifugal force (r.c.f.), and revolutions per minute.

     Table VI--Rotation Speeds for Centrifuges of Various Diameters     
------------------------------------------------------------------------
                                                   R.p.m. at   R.p.m. at
           Diameter of swing, inches a            600 r.c.f.  700 r.c.f.
------------------------------------------------------------------------
19..............................................        1490        1610
20..............................................        1450        1570
21..............................................        1420        1530
22..............................................        1390        1500
------------------------------------------------------------------------
a  Measured in inches between tips of opposite tubes when in rotating   
  position.                                                             

    S7.5.2  Procedure. Balance the corked centrifuge tubes with their 
respective trunnion cups in pairs by weight on a scale, according to the 
centrifuge manufacturer's instructions, and place them on opposite sides 
of the centrifuge head. Use a dummy assembly when one sample is tested. 
Then whirl them for 10 minutes, at a rate sufficient to produce a r.c.f. 
between 600 and 700 at the tips of the whirling tubes. Repeat until the 
volume of sediment in each tube remains constant for three consecutive 
readings.
    S7.5.3  Calculation. Read the volume of the solid sediment at the 
bottom of the centrifuge tube and report the percent sediment by volume. 
Where replicate determinations are specified, report the average value.
    S7.6  Standard styrene-butadiene rubber (SBR) brake cups. SBR brake 
cups for testing motor vehicle brake fluids shall be manufactured using 
the following formulation:

                     Formulation of Rubber Compound                     
------------------------------------------------------------------------
                                                               Parts by 
                         Ingredient                             weight  
------------------------------------------------------------------------
SBR type 1503a..............................................         100
Oil furnace black (NBS 378).................................          40
Zinc oxide (NBS 370)........................................           5
Sulfur (NBS 371)............................................        0.25
Stearic Acid (NBS 372)......................................           1
n-tertiary butyl-2-benzothiazole sulfenamide (NBS 384)......           1
Symmetrical dibetanaphthyl-p-phenylenediamine...............         1.5
Dicumyl peroxide (40 percent on precipitated CaCO3)b........         4.5
                                                             -----------
      Total.................................................      153.25
------------------------------------------------------------------------
a  Philprene 1503 has been found suitable.                              
b  Use only within 90 days of manufacture and store at temperature below
  27 deg. C. (80 deg. F.).                                              
                                                                        
Note: The ingredients labeled (NBS) must have properties identical with 
  those supplied by the National Bureau of Standards.                   


Compounding, vulcanization, physical properties, size of the finished 
cups, and other details shall be as specified in appendix B of SAE 
J1703b. The cups shall be used in testing brake fluids either within 6 
months from date of manufacture when stored at room temperature below 
30 deg. C. (86 deg. F.) or within 36 months from date of manufacture 
when stored at temperatures below minus 15 deg. C. (+5 deg. F.). After 
removal of cups from refrigeration they shall be conditioned base down 
on a flat surface for at least 12 hours at room temperature in order to 
allow cups to reach their true configuration before measurement.
    S7.7  Isopropanol. ACS or reagent grade.
[36 FR 22902, Dec. 2, 1971]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.116, see the List of Sections Affected in the Finding Aids 
section of this volume.

[[Page 341]]



Sec. 571.117  Standard No. 117; Retreaded pneumatic tires.

    S1. Scope. This standard specifies performance, labeling, and 
certification requirements for retreaded pneumatic passenger car tires.
    S2. Purpose. The purpose of this standard is to require retreaded 
pneumatic passenger car tires to meet safety criteria similar to those 
for new pneumatic passenger car tires.
    S3. Application. This standard applies to retreaded pneumatic tires 
for use on passenger cars manufactured after 1948.
    S4. Definitions.
    S4.1  Casing means a used tire to which additional tread may be 
attached for the purpose of retreading.
    Retreaded means manufactured by a process in which a tread is 
attached to a casing.
    S4.2  All terms defined in Secs. 571.109 and 571.110 are used as 
defined therein.
    S5. Requirements.
    S5.1  Retreaded tires.
    S5.1.1  Except as specified in S5.1.3, each retreaded tire, when 
mounted on a test rim of the width specified for the tire's size 
designation in appendix A of Sec. 571.109 shall comply with the 
following requirements of Sec. 571.109:
    (a) S4.1  (Size and construction).
    (b) S4.2.1  (General).
    (c) S4.2.2.3  (Tubeless tire resistance to bead unseating).
    (d) S4.2.2.4  (Tire strength).
    S5.1.2  Except as specified in S5.1.3, each retreaded tire, when 
mounted on a test rim of the width specified for the tire's size 
designation in appendix A of Sec. 571.109, shall comply with the 
requirements of S4.2.2.2 of Sec. 571.109, except that the tire's section 
width shall not be more than 110 percent of the section width specified, 
and the tire's size factor shall be at least 97 percent of the size 
factor specified, in appendix A of Sec. 571.109 for the tire's size 
designation.
    S5.1.3  Each retreaded tire shall be capable of meeting the 
requirements of S5.1.1 and S5.1.2 when mounted on any rim in accordance 
with those sections.
    S5.1.4  No retreaded tire shall have a size designation, recommended 
maximum load rating, or maximum permissible inflation pressure that is 
greater than that originally specified on the casing pursuant to S4.3 of 
Sec. 571.109, or specified for the casing in Table I.
    S5.2  Casings.
    S5.2.1  No retreaded tire shall be manufactured with a casing--
    (a) On which bead wire or cord fabric is exposed before processing.
    (b) On which any cord fabric is exposed during processing, except 
that cord fabric that is located at a splice, i.e., where two or more 
segments of the same ply overlap, or cord fabric that is part of the 
belt material, may be exposed but shall not be penetrated or removed to 
any extent whatsoever.
    S5.2.2  No retreaded tire shall be manufactured with a casing--
    (a) From which a belt or ply, or part thereof, is removed during 
processing; or
    (b) On which a belt or ply, or part thereof, is added or replaced 
during processing.
    S5.2.3  Each retreaded tire shall be manufactured with a casing that 
bears, permanently molded at the time of its original manufacture into 
or onto the tire sidewall, each of the following:
    (a) The symbol DOT;
    (b) The size of the tire; and
    (c) The actual number of plies or ply rating.
    S5.2.4  [Reserved]
    S6. Certification and labeling.
    S6.1  Each manufacturer of a retreaded tire shall certify that its 
product complies with this standard pursuant to Section 30115 of Title 
49, United States Code, by labeling the tire with the symbol DOT in the 
location specified in section 574.5 of this chapter.
    S6.2  [Reserved]
    S6.3  Labeling. Each retreaded tire shall bear permanent labeling 
through molding, branding, or other method that will produce a permanent 
label, or through the retention of the original casing labeling, in at 
least one location on the tire sidewall, in letters and numbers not less 
than 0.078 inch high, consisting of the following information:
    (a) The tire's size designation;
    (b) The tire's maximum permissible inflation pressure, either as it 
appears on the casing or as set forth in Table 1;
    (c) The tire's maximum load, either as it appears on the casing or 
as set forth in Table 1;

[[Page 342]]

    (d) The actual number of plies in or the ply rating of the tire 
sidewall and, if different, the actual number of plies in or the ply 
rating of the tread area;
    (e) The generic name of each cord material used in the plies of both 
sidewall and the tread area of the tire;
    (f) The word ``tubeless'' if the tire is a tubeless tire, or the 
words ``tube-type'' if the tire is a tube-type tire;
    (g) If the tire is of bias/belted construction, the words ``bias/
belted;''
    (h) If the tire is of radial construction, the word ``radial.''
    The information shall either be retained from the casing used in the 
manufacture of the tire, or may be labeled onto the tire during the 
retreading process.

                                                 Table I--Plies                                                 
----------------------------------------------------------------------------------------------------------------
                                            2 ply-4 ply (4 ply     4 ply (6 ply rating)    4 ply (8 ply rating) 
                                                  rating)        -----------------------------------------------
                                         ------------------------                                               
                Tire size                               Maximum     Maximum     Maximum     Maximum     Maximum 
                                            Maximum    inflation     load      inflation     load      inflation
                                             load      pressure                pressure                pressure 
----------------------------------------------------------------------------------------------------------------
6.00-13.................................        1010          32        1080          36        1140          40
6.50-13.................................        1150          32        1230          36        1300          40
7.00-13.................................        1270          32        1360          36        1440          40
6.45-14.................................        1120          32        1200          36        1270          40
6.95-14.................................        1230          32        1310          36        1390          40
7.35-14.................................        1360          32        1450          36        1540          40
7.75-14.................................        1500          32        1600          36        1690          40
8.25-14.................................        1620          32        1730          36        1830          40
8.55-14.................................        1770          32        1890          36        2000          40
8.85-14.................................        1860          32        1990          36        2100          40
5.60-15.................................         970          32        1040          36        1105          40
5.90-15.................................        1050          32        1130          36        1200          40
6.85-15.................................        1230          32        1320          36        1390          40
7.35-15.................................        1390          32        1480          36        1570          40
7.75-15.................................        1490          32        1590          36        1690          40
8.15-15.................................        1610          32        1720          36        1820          40
8.25-15.................................        1620          32        1730          36        1830          40
8.45-15.................................        1740          32        1860          36        1970          40
8.55-15.................................        1770          32        1890          36        2000          40
8.85-15.................................        1860          32        1980          36        2100          40
9.00-15.................................        1900          32        2030          36        2150          40
9.15-15.................................        1970          32        2100          36        2230          40
8.90-15.................................        2210          32        2360          36        2500          40
A70-13..................................        1060          32        1130          36        1200          40
D70-13..................................        1320          32        1410          36        1490          40
D70-14..................................        1320          32        1410          36        1490          40
E70-14..................................        1400          32        1490          36        1580          40
F70-14..................................        1500          32        1610          36        1700          40
G70-14..................................        1620          32        1730          36        1830          40
H70-14..................................        1770          32        1890          36        2010          40
J70-14..................................        1860          32        1980          36        2100          40
L70-14..................................        1970          32        2100          36        2230          40
C70-15..................................        1230          32        1320          36        1390          40
D70-15..................................        1320          32        1410          36        1490          40
E70-15..................................        1400          32        1490          36        1580          40
F70-15..................................        1500          32        1610          36        1700          40
G70-15..................................        1620          32        1730          36        1830          40
H70-15..................................        1770          32        1890          36        2010          40
J70-15..................................        1860          32        1980          36        2100          40
K70-15..................................        1900          32        2030          36        2150          40
L70-15..................................        1970          32        2100          36        2230          40
165-13..................................        1050          32        1130          36        1200          40
175-13..................................        1150          32        1240          36        1350          40
185-13..................................        1270          32        1390          36        1510          40
155R13..................................         950          32        1015          36        1075          40
155R14..................................        1010          32        1080          36        1140          40
155R15..................................        1015          32        1085          36        1150          40
165R13..................................        1010          32        1080          36        1140          40
165R14..................................        1120          32        1200          36        1270          40
165R15..................................        1130          32        1200          36        1270          40
175R14..................................        1230          32        1310          36        1390          40
185R14..................................        1360          32        1450          36        1540          40
185/70R13...............................        1090          32        1140          36        1190          40
145-14  \1\.............................         865          32         905          36         935          40
145-15..................................         895          32         940          36         975          40

[[Page 343]]

                                                                                                                
195-15..................................        1550          32        1680          36        1820          40
205-15..................................        1700          32        1840          36        2000          40
----------------------------------------------------------------------------------------------------------------
\1\ Dash Radial--Not an ``R'' Radial.                                                                           

[37 FR 5952, Mar. 23, 1972, as amended at 37 FR 11775, June 14, 1972; 38 
FR 2982, Jan. 31, 1973; 38 FR 6999, Mar. 15, 1973; 38 FR 9688, Apr. 19, 
1973; 39 FR 1443, Jan. 9, 1974; 39 FR 3553, Jan. 28, 1974; 39 FR 36016, 
Oct. 7, 1974; 39 FR 39884, Nov. 12, 1974; 61 FR 29494, June 11, 1996]

    Editorial Note:  For an interpretation of Sec. 571.117, see 38 FR 
10940, May 3, 1973.



Sec. 571.118  Standard No. 118; Power-operated window, partition, and roof panel systems.

    S1. Purpose and scope. This standard specifies requirements for 
power operated window, partition, and roof panel systems to minimize the 
likelihood of death or injury from their accidental operation.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, and trucks with a gross vehicle weight 
rating of 4536 kilograms or less. The standard's requirements for power-
operated roof panel systems need not be met for vehicles manufactured 
before September 1, 1993.
    S3. Definition. ``Power operated roof panel systems'' mean moveable 
panels in the vehicle roof which close by vehicle supplied power either 
by a sliding or hinged motion, and do not include convertible top 
systems.
    S4. Operating requirements. Except as provided in S5, power operated 
window, partition, or roof panel systems may be closed only in the 
following circumstances:
    (a) When the key that controls activation of the vehicle's engine is 
in the ``ON'', ``START'', or ``ACCESSORY'' position;
    (b) By muscular force unassisted by vehicle supplied power;
    (c) Upon continuous activation by a locking system on the exterior 
of the vehicle;
    (d) Upon continuous activation of a remote actuation device, 
provided that the remote actuation device shall be incapable of closing 
the power window, partition or roof panel from a distance of more than 6 
meters from the vehicle;
    (e) During the interval between the time the locking device which 
controls the activation of the vehicle's engine is turned off and the 
opening of either of a two-door vehicle's doors or, in the case of a 
vehicle with more than two doors, the opening of either of its front 
doors;
    (f) If the window, partition, or roof panel is in a static position 
before starting to close and in that position creates an opening so 
small that a 4 mm diameter semi-rigid cylindrical rod cannot be placed 
through the opening at any location around its edge in the manner 
described in S5(b); or
    (g) Upon continuous activation of a remote actuation device, 
provided that the remote actuation device shall be incapable of closing 
the power window, partition or roof panel if the device and the vehicle 
are separated by an opaque surface and provided that the remote 
actuation device shall be incapable of closing the power window, 
partition or roof panel from a distance of more than 11 meters from the 
vehicle.
    S5. (a) Notwithstanding S4, a power operated window, partition or 
roof panel system may close if it meets the following requirements--
    (1) While closing, the window, partition or roof panel system must 
reverse direction before contacting, or before exerting a squeezing 
force of 100 newtons or more on, a semi-rigid cylindrical rod from 4 mm 
to 200 mm in diameter that has the force-deflection ratio described in 
S5(c), and that is placed through the window, partition or roof panel 
system opening at any location, in the manner described in S5(b); and

[[Page 344]]

    (2) Upon such reversal, the window, partition or roof panel system 
must open to one of the following positions, at the manufacturer's 
option:
    (i) A position that is at least as open as the position at the time 
closing was initiated;
    (ii) A position that is not less than 125 millimeters more open than 
the position at the time the window reversed direction; or
    (iii) A position that permits a semi-rigid cylindrical rod that is 
200 mm in diameter to be placed through the opening at the same contact 
point(s) as the rod described in S5(a)(1).
    (b) The test rod is placed through the window, partition or roof 
panel opening from the inside of the vehicle such that the cylindrical 
surface of the rod contacts any part of the structure with which the 
window, partition or roof panel mates. Typical placements of test rods 
are illustrated in Figure 1.
    (c) The force-deflection ratio of the test rod is at least 65 N/mm 
for a rod 25 mm or smaller in diameter, and at least 20 N/mm for a rod 
larger than 25 mm in diameter.

[[Page 345]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.050


[56 FR 15294, Apr. 16, 1991, as amended at 57 FR 23963, June 5, 1992; 57 
FR 28012, June 23, 1992; 58 FR 16785, Mar. 31, 1993; 60 FR 13644, Mar. 
14, 1995]

[[Page 346]]



Sec. 571.119  Standard No. 119; New pneumatic tires for vehicles other than passenger cars.

    S1. Scope. This standard establishes performance and marking 
requirements for tires for use on multipurpose passenger vehicles, 
trucks, buses, trailers, and motorcycles.
    S2. Purpose. The purpose of this standard is to provide safe 
operational performance levels for tires used on motor vehicles other 
than passenger cars, and to place sufficient information on the tires to 
permit their proper selection and use.
    S3. Application. This standard applies to new pneumatic tires 
designed for highway use on multipurpose passenger vehicles, trucks, 
buses, trailers, and motorcycles manufactured after 1948.
    S4. Definitions. All terms defined in the Act and the rules and 
standards issued under its authority are used as defined therein.
    Light truck tire means a tire designated by its manuafacturer as 
primarily intended for use on lightweight trucks or multipurpose 
passenger vehicles.
    Model rim assembly means a test device that (a) includes a rim which 
conforms to the published dimensions of a commercially available rim, 
(b) includes an air valve assembly when used for testing tubeless tires 
or an innertube and flap (as required) when used for testing tubetype 
tires, and (c) undergoes no permanent rim deformation and allows no loss 
of air through the portion that it comprises of the tire-rim pressure 
chamber when a tire is properly mounted on the assembly and subjected to 
the requirements of this standard.
    S5. Tire and rim matching information.
    S5.1  Each manufacturer of tires shall ensure that a listing of the 
rims that may be used with each tire that he produces is provided to the 
public. For purposes of this section each rim listing shall include 
dimensional specifications and a diagram of the rim. However a listing 
compiled in accordance with paragraph (a) of this section need not 
include dimensional specifications or a diagram of a rim if the rim's 
dimensional specifications and diagram are contained in each listing 
published in accordance with paragraph (b) of this standard. The listing 
shall be in one of the following forms:
    (a) Listed by manufacturer name or brand name in a document 
furnished to dealers of the manufacturer's tires, to any person upon 
request, and in duplicate to: Docket Section, National Highway Traffic 
Safety Administration, 400 Seventh Street SW., Washington, DC 20590; or
    (b) Contained in publications, current at the date of manufacture of 
the tire or any later date, of at least one of the following 
organizations:

The Tire and Rim Association
The European Tyre and Rim Technical Organisation
Japan Automobile Tire Manufacturers' Association, Inc.
Deutsche Industrie Norm
British Standards Institution
Scandinavian Tire and Rim Organization
The Tyre and Rim Association of Australia

    S5.2  Information contained in a publication specified in S5.1(b) 
which lists general categories of tires and rims by size designation, 
type of construction, and/or intended use, shall be considered to be 
manufacturer's information pursuant to S5.1 for the listed tires, unless 
the publication itself or specific information provided according to 
S5.1(a) indicates otherwise.
    S6. Requirements. Each tire shall be capable of meeting any of the 
applicable requirements set forth below, when mounted on a model rim 
assembly corresponding to any rim designated by the tire manufacturer 
for use with the tire in accordance with S5. However, a particular tire 
need not meet further requirements after having been subjected to and 
met the endurance test (S6.1), strength test (S6.2), or high speed 
performance test (S6.3).
    S6.1  Endurance.
    S6.1.1  Prior to testing in accordance with the procedures of S7.2, 
a tire shall exhibit no visual evidence of tread, sidewall, ply, cord, 
innerliner, or bead separation, chunking, broken cords, cracking, or 
open splices.
    S6.1.2  When tested in accordance with the procedures of S7.2:
    (a) There shall be no visual evidence of tread, sidewall, ply, cord, 
innerliner, or bead separation, chunking, broken cords, cracking, or 
open splices.

[[Page 347]]

    (b) The tire pressure at the end of the test shall be not less than 
the initial pressure specified in S7.2(a).
    S6.2  Strength. When tested in accordance with the procedures of 
S7.3 a tire's average breaking energy value shall be not less than the 
value specified in Table II for that tire's size and load range.
    S6.3  High speed performance. When tested in accordance with the 
procedures of S7.4, a tire shall meet the requirements set forth in 
S6.1.1 and S6.1.2 (a) and (b). However, this requirement applies only to 
motorcycle tires and to non-speed-restricted tires of 14.5-in nominal 
rim diameter or less marked load range A, B, C, or D.
    S6.4  Treadwear indicators. Except as specified below, each tire 
shall have at least six treadwear indicators spaced approximately 
equally around the circumference of the tire that enable a person 
inspecting the tire to determine visually whether the tire has worn to a 
tread depth of one-sixteenth of an inch. Tires with 12-inch or smaller 
rim diameter shall have at least three such treadwear indicators. 
Motorcycle tires shall have at least three such indicators which permit 
visual determination that the tire has worn to a tread depth of one-
thirty-second of an inch.
    S6.5  Tire markings. Except as specified below, each tire shall be 
marked on each sidewall with the information specified in paragraphs (a) 
through (j) of this section. The markings shall be placed between the 
maximum section width (exclusive of sidewall decorations or curb ribs) 
and the bead on at least one sidewall, unless the maximum section width 
of the tire is located in an area which is not more than one-fourth of 
the distance from the bead to the shoulder of the tire. If the maximum 
section width falls within that area, the markings shall appear between 
the bead and a point one-half the distance from the bead to the shoulder 
of the tire, on at least one sidewall. The markings shall be in letters 
and numerals not less than 0.078 inch high and raised above or sunk 
below the tire surface not less than 0.015 inch, except that the marking 
depth shall be not less than 0.010 inch in the case of motorcycle tires. 
The tire identification and the DOT symbol labeling shall comply with 
part 574 of this chapter. Markings may appear on only one sidewall and 
the entire sidewall area may be used in the case of motorcycle tires and 
recreational, boat, baggage, and special trailer tires.
    (a) The symbol DOT, which shall constitute a certification that the 
tire conforms to applicable Federal motor vehicle safety standards. This 
symbol may be marked on only one sidewall.
    (b) The tire identification number required by part 574 of this 
chapter. This number may be marked on only one sidewall.
    (c) The tire size designation as listed in the documents and 
publications designated in S5.1.
    (d) The maximum load rating and corresponding inflation pressure of 
the tire, shown as follows:

    (Mark on tires rated for single and dual load):
Max load single ______ lbs at ______ psi cold.
Max load dual ______ lbs at ______ psi cold.
    (Mark on tires rated only for single load:)
Max load ______ lbs at ______ psi cold.

    (e) The speed restriction of the tire, if 55 mi/h or less, shown as 
follows:

Max speed ______ mph.

    (f) The actual number of plies and the composition of the ply cord 
material in the sidewall and, if different, in the tread area;
    (g) The words ``tubeless'' or ``tube type'' as applicable.
    (h) The word ``regroovable'' if the tire is designed for regrooving.
    (i) The word ``radial'' if a radial tire.
    (j) The letter designating the tire load range.
    S6.6  Maximum load rating. If the maximum load rating for a 
particular tire size is shown in one or more of the publications 
described in S5.1(b), each tire of that size designation shall have a 
maximum load rating that is not less than the published maximum load 
rating, or if there are differing published ratings for the same tire 
size designation, not less than the lowest published maximum load rating 
for the size designation.
    S7. Test procedures.
    S7.1  General conditions.
    S7.1.1  The tests are performed using an appropriate new tube, tube 
valve

[[Page 348]]

and flap assembly (as required) that allows no loss of air for testing 
of tube-type tires under S7.2, S7.3, and S7.4, and tubeless tires under 
S7.3.
    S7.1.2  The tire must be capable of meeting the requirements of S7.2 
and S7.4 when conditioned to a temperature of 95 deg. F for 3 hours 
before the test is conducted, and with an ambient temperature maintained 
at 95 deg. F during all phases of testing. The tire must be capable of 
meeting the requirements of S7.3 when conditioned at a temperature of 
70 deg. F for 3 hours before the test is conducted.
    S7.2  Endurance. (a) Mount the tire on a model rim assembly and 
inflate it to the inflation pressure corresponding to the maximum load 
rating marked on the tire. Use a single maximum load value when the tire 
is marked with both single and dual maximum load.
    (b) After conditioning the tire-rim assembly in accordance with 
S7.1.2, adjust the tire pressure to that specified in (a) immediately 
before mounting the tire rim assembly.
    (c) Mount the tire-rim assembly on an axle and press it against a 
flat-faced steel test wheel that is 67.23 inches in diameter and at 
least as wide as the tread of the tire.
    (d) Apply the test load and rotate the test wheel as indicated in 
Table III for the type of tire tested conducting each successive phase 
of the test without interruption.
    (e) Immediately after running the tire the required time, measure 
the tire inflation pressure. Remove the tire from the model rim 
assembly, and inspect the tire.
    S7.3  Strength. (a) Mount the tire on a model rim assembly and 
inflate it to the pressure corresponding to the maximum load, or maximum 
dual load where there is both a single and dual load marked on the tire. 
If the tire is tubeless, a tube may be inserted to prevent loss of air 
during the test in the event of puncture.
    (b) After conditioning the tire-rim assembly in accordance with 
S7.1.2, adjust the tire pressure to that specified in (a).
    (c) Force a cylindrical steel plunger, with a hemispherical end and 
of the diameter specified in Table I for the tire size, perpendicularly 
into a raised tread element as near as possible to the centerline of the 
tread, at a rate of 2 inches per minute, until the tire breaks or the 
plunger is stopped by the rim.
    (d) Record the force and the distance of penetration just before the 
tire breaks, or if it fails to break, just before the plunger is stopped 
by the rim.
    (e) Repeat the plunger application at 72 deg. intervals around the 
circumference of the tire, until five measurements are made. However, in 
the case of tires of 12-in rim diameter or less, repeat the plunger 
application at 120 deg. intervals around the circumference of the tire, 
until three measurements are made.
    (f) Compute the breaking energy for each test point by the following 
formula:

                                W=(FP/2)

where:

W=Breaking energy,
F=Force in pounds, and
P=Penetration in inches.

    (g) Determine the average breaking energy value for the tire by 
computing the average of the values obtained in accordance with 
paragraph (f).
    S7.4  High speed performance. (a) Perform steps (a) through (c) of 
S7.2.
    (b) Apply a force of 88 percent of the maximum load rating marked on 
the tire (use single maximum load value when the tire is marked with 
both single and dual maximum loads), and rotate the test wheel at 250 
rpm for 2 hours.
    (c) Remove the load, allow the tire to cool to 95 deg. F., and then 
adjust the pressure to that marked on the tire for single tire use.
    (d) Reapply the same load, and without interruption or readjustment 
of inflation pressure, rotate the test wheel at 375 rpm for 30 minutes, 
then at 400 rpm for 30 minutes, and then at 425 rpm for 30 minutes.
    (e) Immediately after running the tire the required time, measure 
the tire inflation pressure. Remove the tire from the model rim 
assembly, and inspect the tire.

[[Page 349]]



                 Table I--Strength Test Plunger Diameter                
------------------------------------------------------------------------
                                                                Plunger 
                                                               diameter 
                                                               (inches) 
------------------------------------------------------------------------
Tire type:                                                              
  Light truck...............................................       \3/4\
  Motorcycle................................................      \5/16\
  Tires for 12-inch or smaller rims, except motorcycle......       \3/4\
Tires other than the above types:                                       
  Tubeless:                                                             
    17.5-inch or smaller rims...............................       \3/4\
    Larger than 17.5-inch rims:                                         
      Load range F or less..................................      1\1/4\
      Load range over F.....................................      1\1/2\
  Tube type:                                                            
    Load range F or less....................................      1\1/4\
    Load range over F.......................................      1\1/2\
------------------------------------------------------------------------


                             Table II--Minimum Static Breaking Energy (inch-pounds)                             
----------------------------------------------------------------------------------------------------------------
                     Load range                                   Light                                         
-----------------------------------------------------            truck,                                         
                                                       All 12     17.5                                          
                                                       inch or   inch or    Tube    Tubeless    Tube    Tubeless
           Tire characteristic            Motorcycle   smaller   smaller    type                type            
                                                      rim size     rim                                          
                                                                 tubless                                        
----------------------------------------------------------------------------------------------------------------
Plunger diameter (inch).................                \5/16\     \3/4\    1\1/4\              1\1/2\          
----------------------------------------------------------------------------------------------------------------
A.......................................        150        600     2,000  ........  ........  ........  ........
B.......................................        300      1,200     2,600  ........  ........  ........  ........
C.......................................        400      1,800     3,200     6,800     5,100  ........  ........
D.......................................  ..........     2,400     4,550     7,900     6,500  ........  ........
E.......................................  ..........     3,000     5,100    12,500     8,600  ........  ........
F.......................................  ..........     3,600     5,700    15,800    12,500  ........  ........
G.......................................  ..........  ........     6,300  ........  ........    20,200    15,000
H.......................................  ..........  ........     6,800  ........  ........    23,000    18,500
J.......................................  ..........  ........  ........  ........  ........    25,000    19,500
L.......................................  ..........  ........  ........  ........  ........    27,000  ........
M.......................................  ..........  ........  ........  ........  ........    28,500  ........
N.......................................  ..........  ........  ........  ........  ........    30,000  ........
----------------------------------------------------------------------------------------------------------------
Note: For rayon cord tires, applicable energy values are 60 percent of those in table.                          


                                       Table III--Endurance Test Schedule                                       
----------------------------------------------------------------------------------------------------------------
                                                                 Test load: Percent of maximum load             
                                                     Test wheel                rating                 Total best
          Description                Load range       speed (r/ ------------------------------------ revolutions
                                                         m)                    II--16      III--24   (thousands)
                                                                 I--7 hours     hours       hours               
----------------------------------------------------------------------------------------------------------------
Speed-restricted service (miles                                                                                 
 per hour):                                                                                                     
  55...........................  All...............         125          66          84         101        352.0
  50...........................  C,D...............         150          75          97         114        423.0
                                 E,F,G,H,J,L.......         100          66          84         101        282.5
  35...........................  All...............          75          66          84         101        211.0
Motorcycle.....................  All...............         250     \1\ 100     \2\ 108         117        510.0
All other......................  A,B,C,D...........         250      \1\ 75      \2\ 97         114  ...........
                                 E.................         200          70          88         106        564.0
                                 F.................         200          66          84         101        564.0
                                 G.................         175          66          84         101     493.5 --
                                 H,J,L,N...........         150          66          84         101        423.5
----------------------------------------------------------------------------------------------------------------
\1\ 4 hr. for tire sizes subject to high speed requirements (S6.3).                                             
\2\ 6 hr. for tire sizes subject to high speed requirements (S6.3).                                             

(Secs. 113, 201, 80 Stat. 718 (15 U.S.C. 1402, 1421); secs. 103, 112, 
119, 201, 203, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 1401, 1421, 
1423); delegation of authority at 49 CFR 1.50)

[38 FR 31301, Nov. 13, 1973, as amended at 39 FR 4087, Feb. 1, 1974; 39 
FR 5192, Feb. 11, 1974; 39 FR 12105, Apr. 3, 1974; 39 FR 19481, June 3, 
1974; 40 FR 5530, Feb. 6, 1975; 43 FR 30542, July 17, 1978; 43 FR 50441, 
Oct. 30, 1978; 48 FR 25209, June 6, 1983; 50 FR 10773, Mar. 18, 1985; 54 
FR 38386, Sept. 18, 1989; 61 FR 29494, June 11, 1996]

[[Page 350]]



Sec. 571.120  Standard No. 120; Tire selection and rims for motor vehicles other than passenger cars.

    S1. Scope. This standard specifies tire and rim selection 
requirements and rim marking requirements.
    S2. Purpose. The purpose of this standard is to provide safe 
operational performance by ensuring that vehicles to which it applies 
are equipped with tires of adequate size and load rating and with rims 
of appropriate size and type designation.
    S3. Application. This standard applies to multipurpose passenger 
vehicles, trucks, buses, trailers, and motorcycles, to rims for use on 
those vehicles, and to non-pneumatic spare tire assemblies for use on 
those vehicles.
    S4. Definitions. All terms defined in the Act and the rules and 
standards issued under its authority are used as defined therein.
    Rim base means the portion of a rim remaining after removal of all 
split or continuous rim flanges, side rings, and locking rings that can 
be detached from the rim.
    Rim size designation means rim diameter and width.
    Rim diameter means nominal diameter of the bead seat.
    Rim width means nominal distance between rim flanges.
    Rim type designation means the industry or manufacturer's 
designation for a rim by style or code.
    Weather side means the surface area of the rim not covered by the 
inflated tire.
    S5. Requirements.
    S5.1  Tire and rim selection.
    S5.1.1  Except as specified in S5.1.3, each vehicle equipped with 
pneumatic tires for highway service shall be equipped with tires that 
meet the requirements of Sec. 571.109, New pneumatic tires, or 
Sec. 571.119, New pneumatic tires for vehicles other than passenger 
cars, and rims that are listed by the manufacturer of the tires as 
suitable for use with those tires, in accordance with S4.4 of 
Sec. 571.109 or S5.1 of Sec. 571.119, as applicable, except that 
vehicles may be equipped with a non-pneumatic spare tire assembly that 
meets the requirements of Sec. 571.129, New non-pneumatic tires for 
passenger cars, and S8 of this standard. Vehicles equipped with such an 
assembly shall meet the requirements of S5.3.3, S7, and S9 of this 
standard.
    S5.1.2  Except in the case of a vehicle which has a speed attainable 
in 3.2 kilometers of 80 kilometers per hour or less, the sum of the 
maximum load ratings of the tires fitted to an axle shall be not less 
than the gross axle weight rating (GAWR) of the axle system as specified 
on the vehicle's certification label required by 49 CFR part 567. Except 
in the case of a vehicle which has a speed attainable in 2 miles of 50 
mph or less, the sum of the maximum load ratings of the tires fitted to 
an axle shall be not less than the gross axle weight rating (GAWR) of 
the axle system as specified on the vehicle's certification label 
required by 49 CFR part 567. If the certification label shows more than 
one GAWR for the axle system, the sum shall be not less than the GAWR 
corresponding to the size designation of the tires fitted to the axle. 
If the size designation of the tires fitted to the axle does not appear 
on the certification label, the sum shall be not less than the lowest 
GAWR appearing on the label. When a tire subject to FMVSS No. 109 is 
installed on a multipurpose passenger vehicle, truck, bus, or trailer, 
the tire's load rating shall be reduced by dividing by 1.10 before 
calculating the sum (i.e., the sum of the load ratings of the tires on 
each axle, when the tires' load carrying capacity at the recommended 
tire cold inflation pressure is reduced by dividing by 1.10, must be 
appropriate for the GAWR).
    S5.1.3  In place of tires that meet the requirements of Standard No. 
119, a truck, bus, or trailer may at the request of a purchaser be 
equipped at the place of manufacture of the vehicle with retreaded or 
used tires owned or leased by the purchaser, if the sum of the maximum 
load ratings meets the requirements of S5.1.2. Used tires employed under 
this provision must have been originally manufactured to comply with 
Standard No. 119, as evidenced by the DOT symbol.
    S5.2  Rim marking. Each rim or, at the option of the manufacturer in 
the case of a single-piece wheel, wheel disc shall be marked with the 
information listed in paragraphs (a) through (e) of

[[Page 351]]

this paragraph, in lettering not less than 3 millimeters high, impressed 
to a depth or, at the option of the manufacturer, embossed to a height 
of not less than 0.125 millimeters. The information listed in paragraphs 
(a) through (c) of this paragraph shall appear on the weather side. In 
the case of rims of multi piece construction, the information listed in 
paragraphs (a) through (e) of this paragraph shall appear on the rim 
base and the information listed in paragraphs (b) and (d) of this 
paragraph shall also appear on each other part of the rim.
    (a) A designation which indicates the source of the rim's published 
nominal dimensions, as follows:
    (1) ``T'' indicates The Tire and Rim Association.
    (2) ``E'' indicates The European Tyre and Rim Technical Organisation
    (3) ``J'' indicates Japan Automobile Tire Manufacturers' 
Association, Inc.
    (4) ``D'' indicates Deutsche Industrie Norm.
    (5) ``B'' indicates British Standards Institution.
    (6) ``S'' indicates Scandinavian Tire and Rim Organization.
    (7) ``A'' indicates The Tyre and Rim Association of Australia.
    (8) ``N'' indicates an independent listing pursuant to S4.4.1(a) of 
Standard No. 109 or S5.1(a) of Standard No. 119.
    (b) The rim size designation, and in case of multipiece rims, the 
rim type designation. For example: 20 x 5.50, or 20 x 5.5.
    (c) The symbol DOT, constituting a certification by the manufacturer 
of the rim that the rim complies with all applicable motor vehicle 
safety standards.
    (d) A designation that identifies the manufacturer of the rim by 
name, trademark, or symbol.
    (e) The month, day and year or the month and year of manufacture, 
expressed either numerically or by use of a symbol, at the option of the 
manufacturer. For example:

    ``September 4, 1976'' may be expressed numerically as:

90476, 904, or 76
        76    904

    ``September 1976'' may be expressed as:

976,    9, or 76
       76    9

    (1) Any manufacturer that elects to express the date of manufacture 
by means of a symbol shall notify NHTSA in writing of the full names and 
addresses of all manufacturers and brand name owners utilizing that 
symbol and the name and address of the trademark owner of that symbol, 
if any. The notification shall describe in narrative form and in detail 
how the month, day, and year or the month and year are depicted by the 
symbol. Such description shall include an actual size graphic depiction 
of the symbol, showing and/or explaining the interrelationship of the 
component parts of the symbol as they will appear on the rim or single 
piece wheel disc, including dimensional specifications, and where the 
symbol will be located on the rim or single piece wheel disc. The 
notification shall be received by NHTSA at least 60 calendar days prior 
to first use of the symbol. The notification shall be mailed to the 
Office of Vehicle Safety Compliance, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590. All 
information provided to NHTSA under this paragraph will be placed in the 
public docket.
    (2) Each manufacturer of wheels shall provide an explanation of its 
date of manufacture symbol to any person upon request.
    S5.3  Label information. Each vehicle shall show the information 
specified in S5.3.1 and S5.3.2 and, in the case of a vehicle equipped 
with a non-pneumatic spare tire, the information specified in S5.3.3, in 
the English language, lettered in block capitals and numerals not less 
than 2.4 millimeters high and in the format set forth following this 
section. This information shall appear either--
    (a) After each GAWR listed on the certification label required by 
Sec. 567.4 or Sec. 567.5 of this chapter; or, at the option of the 
manufacturer,
    (b) On the tire information label affixed to the vehicle in the 
manner, location and form described in Sec. 567.4 (b) through (f) of 
this chapter, as appropriate for each GVWR-GAWR combination listed on 
the certification label.
    S5.3.1 Tires. The size designation (not necessarily for the tires on 
the vehicle) and the recommended cold inflation pressure for those tires 
such that the

[[Page 352]]

sum of the load ratings of the tires on each axle (when the tires' load 
carrying capacity at the specified pressure is reduced by dividing by 
1.10, in the case of a tire subject to FMVSS No. 109) is appropriate for 
the GAWR as calculated in accordance with S5.1.2.
    S5.3.2.  Rims. The size designation and, if applicable, the type 
designation of Rims (not necessarily those on the vehicle) appropriate 
for those tires.

                 Truck Example--Suitable Tire-Rim Choice

GVWR: 7,840 kilograms (17280 pounds)
GAWR: Front--2,850 kilograms (6,280 pounds) with 7.50-20(D) tires, 20 x 
6.00 rims at 520 kPa (75 psi) cold single
GAWR: Rear--4990 kilograms (11,000 pounds) with 7.50-20(D) tires, 20 x 
6.00 rims, at 450 kPa (65 psi) cold dual
GAWR: 13,280 kilograms (29,279 pounds)
GAWR: Front--4,826 kilograms (10,640 pounds) with 10.00-20(F) tires, 20 
x 7.50 rims, at 620 kPa (90 psi) cold single
GAWR: Rear--8,454 kilograms (18,639 pounds) with 10.00-20(F) tires, 20 x 
7.50 rims, at 550 kPa (80 psi) cold dual.

    S5.3.3 The non-pneumatic tire identification code, with which that 
assembly is labeled pursuant to S4.3(a) of Sec. 571.129.
    S6.  Load Limits for Non-Pneumatic Spare Tires. The highest vehicle 
maximum load on the tire for the vehicle shall not be greater than the 
load rating for the non-pneumatic spare tire.
    S7  Labeling Requirements for Non-Pneumatic Spare Tires or Tire 
Assemblies. Each non-pneumatic tire or, in the case of a non-pneumatic 
tire assembly in which the non-pneumatic tire is an integral part of the 
assembly, each non-pneumatic tire assembly shall include, in letters or 
numerals not less than 4 millimeters high, the information specified in 
paragraphs S7 (a) and (b). The information shall be permanently molded, 
stamped, or otherwise permanently marked into or onto the non-pneumatic 
tire or non-pneumatic tire assembly, or shall appear on a label that is 
permanently attached to the tire or tire assembly. If a label is used, 
it shall be subsurface printed, made of material that is resistant to 
fade, heat, moisture and abrasion, and attached in such a manner that it 
cannot be removed without destroying or defacing the label on the non-
pneumatic tire or tire assembly. The information specified in paragraphs 
S7 (a) and (b) shall appear on both sides of the non-pneumatic tire or 
tire assembly, except, in the case of a non-pneumatic tire assembly 
which has a particular side that must always face outward when mounted 
on a vehicle, in which case the information specified in paragraphs S7 
(a) and (b) shall only be required on the outward facing side. The 
information shall be positioned on the tire or tire assembly such that 
it is not placed on the tread or the outermost edge of the tire and is 
not obstructed by any portion of any non-pneumatic rim or wheel center 
member designated for use with that tire in this standard or in Standard 
No. 129.
    (a) FOR TEMPORARY USE ONLY; and
    (b) MAXIMUM 80 KM/H (50 M.P.H.).
    S8.  Requirements for Vehicles Equipped with Non-Pneumatic Spare 
Tire Assemblies
    S8.1  Vehicle Placarding Requirements. A placard, permanently 
affixed to the inside of the spare tire stowage area or equally 
accessible location adjacent to the non-pneumatic spare tire assembly, 
shall display the information set forth in S7 in block capitals and 
numerals not less than 6 millimeters high preceded by the words 
``IMPORTANT--USE OF SPARE TIRE'' in letters not less than 9 millimeters 
high.
    S8.2  Supplementary Information. The owner's manual of the vehicle 
shall contain, in writing in the English language and in not less than 
10 point type, the following information under the heading ``IMPORTANT--
USE OF SPARE TIRE'':
    (a) A statement indicating the information related to appropriate 
use for the non-pneumatic spare tire including at a minimum the 
information set forth in S8 (a) and (b) and either the information set 
forth in S5.3.6 or a statement that the information set forth in S5.3.6 
is located on the vehicle placard and on the non-pneumatic tire;
    (b) An instruction to drive carefully when the non-pneumatic spare 
tire is in use, and to install the proper pneumatic tire and rim at the 
first reasonable opportunity; and
    (c) A statement that operation of the vehicle is not recommended 
with more

[[Page 353]]

than one non-pneumatic spare tire in use at the same time.
    S9  Non-Pneumatic Rims and Wheel Center Members
    S9.1  Non-Pneumatic Rim Requirements. Each non-pneumatic rim that is 
part of a separable non-pneumatic spare tire assembly shall be 
constructed to the dimensions of a non-pneumatic rim that is listed 
pursuant to S4.4 of Sec. 571.129 for use with the non-pneumatic tire, 
designated by its non-pneumatic tire identification code, with which the 
vehicle is equipped.
    S9.2  Wheel Center Member Requirements. Each wheel center member 
that is part of a separable non-pneumatic spare tire assembly shall be 
constructed to the dimensions of a wheel center member that is listed 
pursuant to S4.4 of Sec. 571.129 for use with the non-pneumatic tire, 
designated by its non-pneumatic tire identification code, with which the 
vehicle is equipped.

(Secs. 102, 119, and 202, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 
1407, and 1422); delegation of authority at 49 CFR 1.50)
[42 FR 7144, Feb. 7, 1977, as amended at 49 FR 20824, May 17, 1984; 54 
FR 38386, Sept. 18, 1989; 55 FR 29589, July 20, 1990; 56 FR 19311, Apr. 
26, 1991; 58 FR 13426, Mar. 11, 1993; 59 FR 25578, May 17, 1994; 60 FR 
13644, Mar. 14, 1995; 61 FR 29495, June 11, 1996]



Sec. 571.121  Standard No. 121; Air brake systems.

    S1. Scope. This standard establishes performance and equipment 
requirements for braking systems on vehicles equipped with air brake 
systems.
    S2. Purpose. The purpose of this standard is to insure safe braking 
performance under normal and emergency conditions.
    S3. Application. This standard applies to trucks, buses, and 
trailers equipped with air brake systems. However, it does not apply to:
    (a) Any trailer that has a width of more than 102.36 inches with 
extendable equipment in the fully retracted position and is equipped 
with two short track axles in a line across the width of the trailer.
    (b) Any vehicle equipped with an axle that has a gross axle weight 
rating (GAWR) of 29,000 pounds or more;
    (c) Any truck or bus that has a speed attainable in 2 miles of not 
more than 33 mph;
    (d) Any truck that has a speed attainable in 2 miles of not more 
than 45 mph, an unloaded vehicle weight that is not less than 95 percent 
of its gross vehicle weight rating (GVWR), and no capacity to carry 
occupants other than the driver and operating crew;
    (e) Any trailer that has a GVWR of more than 120,000 pounds and 
whose body conforms to that described in the definition of heavy hauler 
trailer set forth in S4;
    (f) Any trailer that has an unloaded vehicle weight which is not 
less than 95 percent of its GVWR; and
    (g) Any load divider dolly.
    S4. Definitions.
    Agricultural commodity trailer means a trailer that is designed to 
transport bulk agricultural commodities in off-road harvesting sites and 
to a processing plant or storage location, as evidenced by skeletal 
construction that accommodates harvest containers, a maximum length of 
28 feet, and an arrangement of air control lines and reservoirs that 
minimizes damage in field operations.
    Air brake system means a system that uses air as a medium for 
transmitting pressure or force from the driver control to the service 
brake, including an air-over-hydraulic brake subsystem, but does not 
include a system that uses compressed air or vacuum only to assist the 
driver in applying muscular force to hydraulic or mechanical components.
    Air-over-hydraulic brake subsystem means a subsystem of the air 
brake system that uses compressed air to transmit a force from the 
driver control to a hydraulic brake system to actuate the service 
brakes.
    Antilock brake system or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which

[[Page 354]]

interpret those signals and generate responsive controlling output 
signals; and
    (3) Transmitting those controlling signals to one or more modulators 
which adjust brake actuating forces in response to those signals.
    Auto transporter means a truck and a trailer designed for use in 
combination to transport motor vehicles, in that the towing vehicle is 
designed to carry cargo at a location other than the fifth wheel and to 
load this cargo only by means of the towed vehicle.
    Common diaphragm means a single brake chamber diaphragm which is a 
component of the parking, emergency, and service brake systems.
    Container chassis trailer means a semitrailer of skeleton 
construction limited to a bottom frame, one or more axles, specially 
built and fitted with locking devices for the transport of intermodal 
shipping containers, so that when the chassis and container are 
assembled, the units serve the same function as an over the road 
trailer.
    Directly controlled wheel means a wheel for which the degree of 
rotational wheel slip is sensed, either at that wheel or on the axle 
shaft for that wheel and corresponding signals are transmitted to one or 
more modulators that adjust the brake actuating forces at that wheel. 
Each modulator may also adjust the brake actuating forces at other 
wheels that are on the same axle or in the same axle set in response to 
the same signal or signals.
    Full-treadle brake application means a brake application in which 
the treadle valve pressure in any of the valve's output circuits reaches 
85 pounds per square inch (psi) within 0.2 seconds after the application 
is initiated, or in which maximum treadle travel is achieved within 0.2 
seconds after the application is initiated.
    Heavy hauler trailer means a trailer which has one or more of the 
following characteristics, but which is not a container chassis trailer:
    (1) Its brake lines are designed to adapt to separation or extension 
of the vehicle frame; or
    (2) Its body consists only of a platform whose primary cargo-
carrying surface is not more than 40 inches above the ground in an 
unloaded condition, except that it may include sides that are designed 
to be easily removable and a permanent ``front end structure'' as that 
term is used in Sec. 393.106 of this title.
    Independently controlled wheel means a directly controlled wheel for 
which the modulator does not adjust the brake actuating forces at any 
other wheel on the same axle.
    Indirectly controlled wheel means a wheel at which the degree of 
rotational wheel slip is not sensed, but at which the modulator of an 
antilock braking system adjusts its brake actuating forces in response 
to signals from one or more sensed wheel(s).
    Initial brake temperature means the average temperature of the 
service brakes on the hottest axle of the vehicle 0.2 mile before any 
brake application in the case of road tests, or 18 seconds before any 
brake application in the case of dynamometer testing.
    Intermodal shipping container means a reusable, transportable 
enclosure that is especially designed with integral locking devices for 
securing the container to the trailer to facilitate the efficient and 
bulk shipping and transfer of goods by, or between various modes of 
transport, such as highway, rail, sea and air.
    Load divider dolly means a trailer composed of a trailer chassis and 
one or more axles, with no solid bed, body, or container attached, and 
which is designed exclusively to support a portion of the load on a 
trailer or truck excluded from all the requirements of this standard.
    Maximum drive-through speed means the highest possible constant 
speed at which the vehicle can be driven through 200 feet of a 500-foot 
radius curve arc without leaving the 12-foot lane.
    Maximum treadle travel means the distance that the treadle moves 
from its position when no force is applied to its position when the 
treadle reaches a full stop.
    Peak friction coefficient or PFC means the ratio of the maximum 
value of braking test wheel longitudinal force to the simultaneous 
vertical force occurring prior to wheel lockup, as the braking torque is 
progressively increased.

[[Page 355]]

    Pulpwood trailer means a trailer that is designed exclusively for 
harvesting logs or pulpwood and constructed with a skeletal frame with 
no means for attachment of a solid bed, body, or container, and with an 
arrangement of air control lines and reservoirs designed to minimize 
damage in off-road operations.
    Straddle trailer means a trailer that is designed to transport bulk 
agricultural commodities from the harvesting location as evidenced by a 
framework that is driven over the cargo and lifting arms that suspend 
the cargo for transit.
    Wheel lockup means 100 percent wheel slip.
    S5. Requirements. Each vehicle shall meet the following requirements 
under the conditions specified in S6.
    S5.1  Required equipment for trucks and buses. Each truck and bus 
shall have the following equipment:
    S5.1.1  Air compressor. An air compressor of sufficient capacity to 
increase air pressure in the supply and service reservoirs from 85 psi 
to 100 psi when the engine is operating at the vehicle manufacturer's 
maximum recommended r.p.m. within a time, in seconds, determined by the 
quotient (Actual reservoir capacity x 25) / Required reservoir capacity.
    S5.1.1.1  Air compressor cut-in pressure. The air compressor 
governor cut-in pressure for each bus shall be 85 p.s.i. or greater. The 
air compressor governor cut-in pressure for each truck shall be 100 
p.s.i. or greater.
    S5.1.2  Reservoirs. One or more service reservoir systems, from 
which air is delivered to the brake chambers, and either an automatic 
condensate drain valve for each service reservoir or a supply reservoir 
between the service reservoir system and the source of air pressure.
    S5.1.2.1  The combined volume of all service reservoirs and supply 
reservoirs shall be at least 12 times the combined volume of all service 
brake chambers. For each brake chamber type having a full stroke at 
least as great as the first number in Column 1 of Table V, but no more 
than the second number in Column 1 of Table V, the volume of each brake 
chamber for purposes of calculating the required combined service and 
supply reservoir volume shall be either that specified in Column 2 of 
Table V or the actual volume of the brake chamber at maximum travel of 
the brake piston or pushrod, whichever is lower. The volume of a brake 
chamber not listed in Table V is the volume of the brake chamber at 
maximum travel of the brake piston or pushrod. The reservoirs of the 
truck portion of an auto transporter need not meet this requirement for 
reservoir volume.
    S5.1.2.2  Each reservoir shall be capable of withstanding an 
internal hydrostatic pressure of five times the compressor cutout 
pressure or 500 psi, whichever is greater, for 10 minutes.
    S5.1.2.3  Each service reservoir system shall be protected against 
loss of air pressure due to failure or leakage in the system between the 
service reservoir and the source of air pressure, by check valves or 
equivalent devices whose proper functioning can be checked without 
disconnecting any air line or fitting.
    S5.1.2.4  Each reservoir shall have a condensate drain valve that 
can be manually operated.
    S5.1.3  Towing vehicle protection system. If the vehicle is intended 
to tow another vehicle equipped with air brakes, a system to protect the 
air pressure in the towing vehicle from the effects of a loss of air 
pressure in the towed vehicle.
    S5.1.4  Pressure gauge. A pressure gauge in each service brake 
system, readily visible to a person seated in the normal driving 
position, that indicates the service reservoir system air pressure. The 
accuracy of the gauge shall be within plus or minus 7 percent of the 
compressor cut-out pressure.
    S5.1.5  Warning signal. A signal, other than a pressure gauge, that 
gives a continuous warning to a person in the normal driving position 
when the ignition is in the ``on'' (``run'') position and the air 
pressure in the service reservoir system is below 60 psi. The signal 
shall be either visible within the driver's forward field of view, or 
both audible and visible.
    S5.1.6  Antilock brake system.
    S5.1.6.1(a) Each single-unit vehicle manufactured on or after March 
1, 1998, shall be equipped with an antilock brake system that directly 
controls the

[[Page 356]]

wheels of at least one front axle and the wheels of at least one rear 
axle of the vehicle. Wheels on other axles of the vehicle may be 
indirectly controlled by the antilock brake system.
    (b) Each truck tractor manufactured on or after March 1, 1997, shall 
be equipped with an antilock brake system that directly controls the 
wheels of at least one front axle and the wheels of at least one rear 
axle of the vehicle, with the wheels of at least one axle being 
independently controlled. Wheels on other axles of the vehicle may be 
indirectly controlled by the antilock brake system. A truck tractor 
shall have no more than three wheels controlled by one modulator.
    S5.1.6.2  Antilock malfunction signal and circuit.
    (a) Each truck tractor manufactured on or after March 1, 1997, and 
each single unit vehicle manufactured on or after March 1, 1998, shall 
be equipped with an indicator lamp, mounted in front of and in clear 
view of the driver, which is activated whenever there is a malfunction 
that affects the generation or transmission of response or control 
signals in the vehicle's antilock brake system. The indicator lamp shall 
remain activated as long as such a malfunction exists, whenever the 
ignition (start) switch is in the ``on'' (``run'') position, whether or 
not the engine is running. Each message about the existence of such a 
malfunction shall be stored in the antilock brake system after the 
ignition switch is turned to the ``off'' position and automatically 
reactivated when the ignition switch is again turned to the ``on'' 
(``run'') position. The indicator lamp shall also be activated as a 
check of lamp function whenever the ignition is turned to the ``on'' 
(``run'') position. The indicator lamp shall be deactivated at the end 
of the check of lamp function unless there is a malfunction or a message 
about a malfunction that existed when the key switch was last turned to 
the ``off'' position.
    (b) Each truck tractor manufactured on or after March 1, 2001, and 
each single unit vehicle manufactured on or after March 1, 2001, that is 
equipped to tow another air-braked vehicle, shall be equipped with an 
electrical circuit that is capable of transmitting a malfunction signal 
from the antilock brake system(s) on one or more towed vehicle(s) (e.g., 
trailer(s) and dolly(ies)) to the trailer ABS malfunction lamp in the 
cab of the towing vehicle, and shall have the means for connection of 
this electrical circuit to the towed vehicle. Each such truck tractor 
and single unit vehicle shall also be equipped with an indicator lamp, 
separate from the lamp required in S5.1.6.2(a), mounted in front of and 
in clear view of the driver, which is activated whenever the malfunction 
signal circuit described above receives a signal indicating an ABS 
malfunction on one or more towed vehicle(s). The indicator lamp shall 
remain activated as long as an ABS malfunction signal from one or more 
towed vehicle(s) is present, whenever the ignition (start) switch is in 
the ``on'' (``run'') position, whether or not the engine is running. The 
indicator lamp shall also be activated as a check of lamp function 
whenever the ignition is turned to the ``on'' (``run'') position. The 
indicator lamp shall be deactivated at the end of the check of lamp 
function unless a trailer ABS malfunction signal is present.
    (c) [Reserved]
    S5.1.6.3  Antilock power circuit for towed vehicles. Each truck 
tractor manufactured on or after March 1, 1997, and each single unit 
vehicle manufactured on or after March 1, 1998, that is equipped to tow 
another air-braked vehicle shall be equipped with one or more electrical 
circuits that provide continuous power to the antilock system on the 
towed vehicle or vehicles whenever the ignition (start) switch is in the 
``on'' (``run'') position. Such a circuit shall be adequate to enable 
the antilock system on each towed vehicle to be fully operable.
    S5.1.7  Service brake stop lamp switch. A switch that lights the 
stop lamps when the service brake control is statically depressed to a 
point that produces a pressure of 6 psi or less in the service brake 
chambers.
    S5.1.8  Brake distribution and automatic adjustment. Each vehicle 
shall be equipped with a service brake system acting on all wheels.
    (a) Brake adjuster. Wear of the service brakes shall be compensated 
for by

[[Page 357]]

means of a system of automatic adjustment. When inspected pursuant to 
S5.9, the adjustment of the service brakes shall be within the limits 
recommended by the vehicle manufacturer.
    (b) Brake indicator. For each brake equipped with an external 
automatic adjustment mechanism and having an exposed pushrod, the 
condition of service brake under-adjustment shall be displayed by a 
brake adjustment indicator that is discernible when viewed with 20/40 
vision from a location adjacent to or underneath the vehicle, when 
inspected pursuant to S5.9.
    S5.2  Required equipment for trailers. Each trailer shall have the 
following equipment:
    S5.2.1  Reservoirs. One or more reservoirs to which the air is 
delivered from the towing vehicle.
    S5.2.1.1  The total volume of each service reservoir shall be at 
least eight times the combined volume of all service brake chambers 
serviced by that reservoir. For each brake chamber type having a full 
stroke at least as great as the first number in Column 1 of Table V, but 
no more than the second number in column 1, the volume of each brake 
chamber for purposes of calculating the required total service reservoir 
volume shall be either the number specified in Column 2 of Table V or 
the actual volume of the brake chamber at maximum travel of the brake 
piston or pushrod, whichever is lower. The volume of a brake chamber not 
listed in Table V is the volume of the brake chamber at maximum travel 
of the brake piston or pushrod. The reservoirs on a heavy hauler trailer 
and the trailer portion of an auto transporter need not meet this 
requirement for reservoir volume.
    S5.2.1.2  Each reservoir shall be capable of withstanding an 
internal hydrostatic pressure of 500 psi for 10 minutes.
    S5.2.1.3  Each reservoir shall have a condensate drain valve that 
can be manually operated.
    S5.2.1.4  Each service reservoir shall be protected against loss of 
air pressure due to failure or leakage in the system between the service 
reservoir and its source of air pressure by check valves or equivalent 
devices.
    S5.2.2  Brake distribution and automatic adjustment. Each vehicle 
shall be equipped with a service brake system acting on all wheels.
    (a) Brake adjuster. Wear of the service brakes shall be compensated 
for by means of a system of automatic adjustment. When inspected 
pursuant to S5.9, the adjustment of the service brakes shall be within 
the limits recommended by the vehicle manufacturer.
    (b) Brake indicator. For each brake equipped with an external 
automatic adjustment mechanism and having an exposed pushrod, the 
condition of service brake under-adjustment shall be displayed by a 
brake adjustment indicator in a manner that is discernible when viewed 
with 20/40 vision from a location adjacent to or underneath the vehicle, 
when inspected pursuant to S5.9.
    S5.2.3  Antilock brake system.
    S5.2.3.1(a) Each semitrailer (including a trailer converter dolly) 
manufactured on or after March 1, 1998, shall be equipped with an 
antilock brake system that directly controls the wheels of at least one 
axle of the vehicle. Wheels on other axles of the vehicle may be 
indirectly controlled by the antilock brake system.
    (b) Each full trailer manufactured on or after March 1, 1998, shall 
be equipped with an antilock brake system that directly controls the 
wheels of at least one front axle of the vehicle and at least one rear 
axle of the vehicle. Wheels on other axles of the vehicle may be 
indirectly controlled by the antilock brake system.
    S5.2.3.2  Antilock malfunction signal. Each trailer (including a 
trailer converter dolly) manufactured on or after March 1, 2001, that is 
equipped with an antilock brake system shall be equipped with an 
electrical circuit that is capable of signaling a malfunction in the 
trailer's antilock brake system, and shall have the means for connection 
of this antilock brake system malfunction signal circuit to the towing 
vehicle. The electrical circuit need not be separate or dedicated 
exclusively to this malfunction signaling function. The signal shall be 
present whenever there is a malfunction that affects the generation or 
transmission of response or control signals in the trailer's antilock 
brake system. The signal shall

[[Page 358]]

remain present as long as the malfunction exists, whenever power is 
supplied to the antilock brake system. Each message about the existence 
of such a malfunction shall be stored in the antilock brake system 
whenever power is no longer supplied to the system, and the malfunction 
signal shall be automatically reactivated whenever power is again 
supplied to the trailer's antilock brake system. In addition, each 
trailer manufactured on or after March 1, 2001, that is designed to tow 
other air-brake equipped trailers shall be capable of transmitting a 
malfunction signal from the antilock brake systems of additional 
trailers it tows to the vehicle towing it.
    S5.2.3.3  Antilock malfunction indicator.
    (a) In addition to the requirements of S5.2.3.2, each trailer and 
trailer converter dolly manufactured on or after March 1, 1998, and 
before March 1, 2009, shall be equipped with an external antilock 
malfunction indicator lamp that meets the requirements of S5.2.3.3 (b) 
through (d).
    (b)(1) The lamp shall be designed to conform to the performance 
requirements of Society of Automotive Engineers (SAE) Recommended 
Practice J592 JUN92, or J592e, July 1972, Clearance, Side Marker, and 
Identification Lamps, for combination, clearance, and side marker lamps, 
which are marked with a ``PC'' or ``P2'' on the lens or housing, in 
accordance with SAE J759 Jan 95, Lighting Identification Code. SAE J592 
June 92, SAE J592e July 1972, and SAE J759 January 1995, are 
incorporated by reference and thereby are made part of this standard. 
The Director of the Federal Register approved the material incorporated 
by reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies of the material may be inspected at NHTSA's Docket Section, 400 
Seventh Street, SW., room 5109, Washington, DC, or at the Office of the 
Federal Register, 800 North Capitol Street, NW., Washington, DC.
    (2) The color of the lamp shall be yellow.
    (3) The letters ``ABS'' shall be permanently molded, stamped, or 
otherwise marked or labeled in letters not less than 10 mm (0.4 inches) 
high on the lamp lens or its housing to identify the function of the 
lamp. Alternatively, the letters ``ABS'' may be painted on the trailer 
body or dolly or a plaque with the letters ``ABS'' may be affixed to the 
trailer body or converter dolly; the letters ``ABS'' shall be not less 
than 25 mm (1 inch) high. A portion of one of the letters in the 
alternative identification shall be not more than 150 mm (5.9 inches) 
from the edge of the lamp lens.
    ( c) Location requirements. (1) Each trailer that is not a trailer 
converter dolly shall be equipped with a lamp mounted on a permanent 
structure on the left side of the trailer as viewed from the rear, no 
closer than 150 mm (5.9 inches), and no farther than 600 mm (23.6 
inches), from the red rear side marker lamp.
    (2) Each trailer converter dolly shall be equipped with a lamp 
mounted on a permanent structure of the dolly so that the lamp is not 
less than 375 mm (14.8 inches) above the road surface when measured from 
the center of the lamp with the dolly at curb weight. When a person, 
standing 3 meters (9.8 feet) from the lamp, views the lamp from a 
perspective perpendicular to the vehicle's centerline, no portion of the 
lamp shall be obscured by any structure on the dolly.
    (d) The lamp shall be illuminated whenever power is supplied to the 
antilock brake system and there is a malfunction that affects the 
generation or transmission of response or control signals in the 
trailer's antilock brake system. The lamp shall remain illuminated as 
long as such a malfunction exists and power is supplied to the antilock 
brake system. Each message about the existence of such a malfunction 
shall be stored in the antilock brake system whenever power is no longer 
supplied to the system. The lamp shall be automatically reactivated when 
power is again supplied to the trailer's antilock brake system. The lamp 
shall also be activated as a check of lamp function whenever power is 
first supplied to the antilock brake system and the vehicle is 
stationary. The lamp shall be deactivated at the end of the check of 
lamp function, unless there is a malfunction or a message about a 
malfunction that existed

[[Page 359]]

when power was last supplied to the antilock brake system.
    S5.3  Service brakes--road tests. The service brake system on each 
truck tractor manufactured before March 1, 1997, shall, under the 
conditions of S6, meet the requirements of S5.3.3 and S5.3.4, when 
tested without adjustments other than those specified in this standard. 
The service brake system on each truck tractor manufactured on or after 
March 1, 1997, shall, under the conditions of S6, meet the requirements 
of S5.3.1, S5.3.3, S5.3.4, and S5.3.6, when tested without adjustments 
other than those specified in this standard. The service brake system on 
each bus and truck (other than a truck tractor) manufactured before 
March 1, 1998, shall, under the conditions of S6, meet the requirements 
of S5.3.3, and S5.3.4, when tested without adjustments other than those 
specified in this standard. The service brake system on each bus and 
truck (other than a truck tractor) manufactured on or after March 1, 
1998, shall, under the conditions of S6, meet the requirements of 
S5.3.1, S5.3.3, and S5.3.4 when tested without adjustments other than 
those specified in this standard. The service brake system on each 
trailer shall, under the conditions of S6, meet the requirements of 
S5.3.3, S5.3.4, and S5.3.5 when tested without adjustments other than 
those specified in this standard. However, a heavy hauler trailer and 
the truck and trailer portions of an auto transporter need not meet the 
requirements of S5.3.
    S5.3.1  Stopping distance--trucks and buses. When stopped six times 
for each combination of vehicle type, weight, and speed specified in 
S5.3.1.1, in the sequence specified in Table I, each truck tractor 
manufactured on or after March 1, 1997, and each single unit vehicle 
manufactured on or after March 1, 1998, shall stop at least once in not 
more than the distance specified in Table II, measured from the point at 
which movement of the service brake control begins, without any part of 
the vehicle leaving the roadway, and with wheel lockup permitted only as 
follows:
    (a) At vehicle speeds above 20 mph, any wheel on a nonsteerable axle 
other than the two rearmost nonliftable, nonsteerable axles may lock up, 
for any duration. The wheels on the two rearmost nonliftable, 
nonsteerable axles may lock up according to S5.3.1(b).
    (b) At vehicle speeds above 20 mph, one wheel on any axle or two 
wheels on any tandem may lock up for any duration.
    (c) At vehicle speeds above 20 mph, any wheel not permitted to lock 
in S5.3.1 (a) or (b) may lock up repeatedly, with each lockup occurring 
for a duration of one second or less.
    (d) At vehicle speeds of 20 mph or less, any wheel may lock up for 
any duration.
    S5.3.1.1  Stop the vehicle from 60 mph on a surface with a peak 
friction coefficient of 0.9 with the vehicle loaded as follows:
    (a) Loaded to its GVWR,
    (b) In the truck tractor only configuration plus up to 500 lbs., and
    (c) At its unloaded vehicle weight (except for truck tractors) plus 
up to 500 lbs. (including driver and instrumentation). If the speed 
attainable in two miles is less than 60 mph, vehicle shall stop from a 
speed in Table II that is 4 to 8 mph less than the speed attainable in 2 
miles.
    S5.3.2  [Reserved]
    S5.3.3  Brake actuation time. Each service brake system shall meet 
the requirements of S5.3.3.1 (a) and (b).
    S5.3.3.1(a) With an initial service reservoir system air pressure of 
100 psi, the air pressure in each brake chamber shall, when measured 
from the first movement of the service brake control, reach 60 psi in 
not more than 0.45 second in the case of trucks and buses, 0.50 second 
in the case of trailers, other than trailer converter dollies, designed 
to tow another vehicle equipped with air brakes, 0.55 second in the case 
of trailer converter dollies, and 0.60 second in the case of trailers 
other than trailers designed to tow another vehicle equipped with air 
brakes. A vehicle designed to tow another vehicle equipped with air 
brakes shall meet the above actuation time requirement with a 50-cubic-
inch test reservoir connected to the control line output coupling. A 
trailer, including a trailer converter dolly, shall meet the above 
actuation time requirement with its control line

[[Page 360]]

input coupling connected to the test rig shown in Figure 1.
    (b) For a vehicle that is designed to tow another vehicle equipped 
with air brakes, the pressure in the 50-cubic-inch test reservoir 
referred to in S5.3.3.1(a) shall, when measured from the first movement 
of the service brake control, reach 60 psi not later than the time the 
fastest brake chamber on the vehicle reaches 60 psi or, at the option of 
the manufacturer, in not more than 0.35 second in the case of trucks and 
buses, 0.55 second in the case of trailer converter dollies, and 0.50 
second in the case of trailers other than trailer converter dollies.
    S5.3.4  Brake release time. Each service brake system shall meet the 
requirements of S5.3.4.1 (a) and (b).
    S5.3.4.1(a) With an initial service brake chamber air pressure of 95 
psi, the air pressure in each brake chamber shall, when measured from 
the first movement of the service brake control, fall to 5 psi in not 
more than 0.55 second in the case of trucks and buses; 1.00 second in 
the case of trailers, other than trailer converter dollies, designed to 
tow another vehicle equipped with air brakes; 1.10 seconds in the case 
of trailer converter dollies; and 1.20 seconds in the case of trailers 
other than trailers designed to tow another vehicle equipped with air 
brakes. A vehicle designated to tow another vehicle equipped with air 
brakes shall meet the above release time requirement with a 50-cubic-
inch test reservoir connected to the control line output coupling. A 
trailer, including a trailer converter dolly, shall meet the above 
release time requirement with its control line input coupling connected 
to the test rig shown in Figure 1.
    (b) For vehicles designed to tow another vehicle equipped with air 
brakes, the pressure in the 50-cubic-inch test reservoir referred to in 
S5.3.4.1(a) shall, when measured from the first movement of the service 
brake control, fall to 5 psi in not more than 0.75 seconds in the case 
of trucks and buses, 1.10 seconds in the case of trailer converter 
dollies, and 1.00 seconds in the case of trailers other than trailer 
converter dollies.
    S5.3.5  Control signal pressure differential--converter dollies and 
trailers designed to tow another vehicle equipped with air brakes.
    (a) For a trailer designed to tow another vehicle equipped with air 
brakes, the pressure differential between the control line input 
coupling and a 50-cubic-inch test reservoir attached to the control line 
output coupling shall not exceed the values specified in S5.3.5(a) (1), 
(2), and (3) under the conditions specified in S5.3.5(b) (1) through 
(4):
    (1) 1 psi at all input pressures equal to or greater than 5 psi, but 
not greater than 20 psi;
    (2) 2 psi at all input pressures equal to or greater than 20 psi but 
not greater than 40 psi; and
    (3) Not more than a 5-percent differential at any input pressure 
equal to or greater than 40 psi.
    (b) The requirements in S5.3.5(a) shall be met--
    (1) When the pressure at the input coupling is steady, increasing or 
decreasing;
    (2) When air is applied to or released from the control line input 
coupling using the trailer test rig shown in Figure 1;
    (3) With a fixed orifice consisting of a 0.0180 inch diameter hole 
(no. 77 drill bit) in a 0.032 inch thick disc installed in the control 
line between the trailer test rig coupling and the vehicle's control 
line input coupling; and
    (4) Operating the trailer test rig in the same manner and under the 
same conditions as it is operated during testing to measure brake 
actuation and release times, as specified in S5.3.3 and S5.3.4, except 
for the installation of the orifice in the control line to restrict 
airflow rate.
    S5.3.6  Stability and control during braking--truck tractors. When 
stopped four consecutive times for each combination of weight, speed, 
and road conditions specified in S5.3.6.1 and S5.3.6.2, each truck 
tractor manufactured on or after March 1, 1997, shall stop at least 
three times within the 12-foot lane, without any part of the vehicle 
leaving the roadway.
    S5.3.6.1  Using a full-treadle brake application for the duration of 
the stop, stop the vehicle from 30 mph or 75 percent of the maximum 
drive-through speed, whichever is less, on a 500-foot

[[Page 361]]

radius curved roadway with a wet level surface having a peak friction 
coefficient of 0.5 when measured on a straight or curved section of the 
curved roadway using an American Society for Testing and Materials 
(ASTM) E1136 standard reference tire, in accordance with ASTM Method 
E1337-90, at a speed of 40 mph, with water delivery.
    S5.3.6.2  Stop the vehicle with the vehicle
    (a) Loaded to its GVWR, and
    (b) At its unloaded weight plus up to 500 pounds (including driver 
and instrumentation), or at the manufacturer's option, at its unloaded 
weight plus up to 500 pounds (including driver and instrumentation) and 
plus not more than an additional 1000 pounds for a roll bar structure on 
the vehicle.
    S5.4  Service brake system--dynamometer tests. When tested without 
prior road testing, under the conditions of S6.2, each brake assembly 
shall meet the requirements of S5.4.1, S5.4.2, and S5.4.3 when tested in 
sequence and without adjustments other than those specified in the 
standard. For purposes of the requirements of S5.4.2 and S5.4.3, an 
average deceleration rate is the change in velocity divided by the 
deceleration time measured from the onset of deceleration.
    S5.4.1  Brake retardation force. The sum of the retardation forces 
exerted by the brakes on each vehicle designed to be towed by another 
vehicle equipped with air brakes shall be such that the quotient sum of 
the brake retardation forces / sum of GAWR's relative to brake chamber 
air pressure, and shall have values not less than those shown in Column 
1 of Table III. Retardation force shall be determined as follows:
    S5.4.1.1  After burnishing the brake pursuant to S6.2.6, retain the 
brake assembly on the inertia dynamometer. With an initial brake 
temperature between 125 deg.F. and 200 deg.F., conduct a stop from 50 
m.p.h., maintaining brake chamber air pressure at a constant 20 psi. 
Measure the average torque exerted by the brake from the time the 
specified air pressure is reached until the brake stops and divide by 
the static loaded tire radius specified by the tire manufacturer to 
determine the retardation force. Repeat the procedure six times, 
increasing the brake chamber air pressure by 10 psi each time. After 
each stop, rotate the brake drum or disc until the temperature of the 
brake falls to between 125 deg.F. And 200 deg.F.
    S5.4.2  Brake power. When mounted on an inertia dynamometer, each 
brake shall be capable of making 10 consecutive decelerations at an 
average rate of 9 f.p.s.p.s. from 50 m.p.h. to 15 m.p.h., at equal 
intervals of 72 seconds, and shall be capable of decelerating to a stop 
from 20 m.p.h. at an average deceleration rate of 14 f.p.s.p.s. 1 minute 
after the 10th deceleration. The series of decelerations shall be 
conducted as follows:
    S5.4.2.1  With an initial brake temperature between 150 deg.F. and 
200 deg.F. for the first brake application, and the drum or disc 
rotating at a speed equivalent to 50 m.p.h., apply the brake and 
decelerate at an average deceleration rate of 9 f.p.s.p.s. to 15 m.p.h. 
Upon reaching 15 m.p.h., accelerate to 50 m.p.h. and apply the brake for 
a second time 72 seconds after the start of the first application. 
Repeat the cycle until 10 decelerations have been made. The service line 
air pressure shall not exceed 100 psi during any deceleration.
    S5.4.2.2  One minute after the end of the last deceleration required 
by S5.4.2.1 and with the drum or disc rotating at a speed of 20 m.p.h., 
decelerate to a stop at an average deceleration rate of 14 f.p.s.p.s.
    S5.4.3  Brake recovery. Except as provided in S5.4.3(a) and (b), 
starting two minutes after completing the tests required by S5.4.2, a 
vehicle's brake shall be capable of making 20 consecutive stops from 30 
mph at an average deceleration rate of 12 f.p.s.p.s., at equal intervals 
of one minute measured from the start of each brake application. The 
service line air pressure needed to attain a rate of 12 f.p.s.p.s. shall 
be not more than 85 lb/in\2\, and not less than 20lb/in2 for 
a brake not subject to the control of an antilock system, or 12 lb/
in2 for a brake subject to the control of an antilock system.
    (a) Notwithstanding S5.4.3, neither front axle brake of a truck-
tractor is subject to the requirements set forth in S5.4.3.
    (b) Notwithstanding S5.4.3, neither front axle brake of a bus or a 
truck

[[Page 362]]

other than a truck-tractor is subject to the requirement set forth in 
S5.4.3 prohibiting the service line air pressure from being less than 20 
lb/in2 for a brake not subject to the control of an antilock 
system or 12 lb/in2 for a brake subject to the control of an 
antilock system.
    S5.5  Antilock system.
    S5.5.1  Antilock system malfunction. On a truck tractor manufactured 
on or after March 1, 1997, that is equipped with an antilock brake 
system and a single unit vehicle manufactured on or after March 1, 1998, 
that is equipped with an antilock brake system, a malfunction that 
affects the generation or transmission of response or control signals of 
any part of the antilock system shall not increase the actuation and 
release times of the service brakes.
    S5.5.2  Antilock system power--trailers. On a trailer (including a 
trailer converter dolly) manufactured on or after March 1, 1998, that is 
equipped with an antilock system that requires electrical power for 
operation, the power shall be obtained from the towing vehicle through 
one or more electrical circuits which provide continuous power whenever 
the powered vehicle's ignition (start) switch is in the ``on'' (``run'') 
position. The antilock system shall automatically receive power from the 
stoplamp circuit, if the primary circuit or circuits are not 
functioning. Each trailer (including a trailer converter dolly) 
manufactured on or after March 1, 1998, that is equipped to tow another 
air-braked vehicle shall be equipped with one or more circuits which 
provide continuous power to the antilock system on the vehicle(s) it 
tows. Such circuits shall be adequate to enable the antilock system on 
each towed vehicle to be fully operable.
    S5.6  Parking brakes.
    (a) Except as provided in S5.6(b) and S5.6(c), each vehicle other 
than a trailer converter dolly shall have a parking brake system that 
under the conditions of S6.1 meets the requirements of:
    (1) S5.6.1 or S5.6.2, at the manufacturer's option, and
    (2) S5.6.3, S5.6.4, S5.6.5, and S5.6.6.
    (b) At the option of the manufacturer, for vehicles equipped with 
brake systems which incorporate a common diaphragm, the performance 
requirements specified in S5.6(a) which must be met with any single 
leakage-type failure in a common diaphragm may instead be met with the 
level of leakage-type failure determined in S5.6.7. The election of this 
option does not affect the performance requirements specified in S5.6(a) 
which apply with single leakage-type failures other than failures in a 
common diaphragm.
    (c) At the option of the manufacturer, the trailer portion of any 
agricultural commodity trailer, heavy hauler trailer, or pulpwood 
trailer may meet the requirements of Sec. 393.43 of this title instead 
of the requirements of S5.6(a).
    S5.6.1  Static retardation force. With all other brakes made 
inoperative, during a static drawbar pull in a forward or rearward 
direction, the static retardation force produced by the application of 
the parking brakes shall be:
    (a) In the case of a vehicle other than a truck-tractor that is 
equipped with more than two axles, such that the quotient static 
retardation force/GAWR is not less than 0.28 for any axle other than a 
steerable front axle; and
    (b) In the case of a truck-tractor that is equipped with more than 
two axles, such that the quotient static retardation force/GVWR is not 
less than 0.14.
    S5.6.2  Grade holding. With all parking brakes applied, the vehicle 
shall remain stationary facing uphill and facing downhill on a smooth, 
dry portland cement concrete roadway with a 20-percent grade, both
    (a) When loaded to its GVWR, and
    (b) At its unloaded vehicle weight plus 500 pounds (including driver 
and instrumentation).
    S5.6.3  Application and holding. Each parking brake system shall 
meet the requirements of S5.6.3.1 through S5.6.3.4.
    S5.6.3.1  The parking brake system shall be capable of achieving the 
minimum performance specified either in S5.6.1 or S5.6.2 with any single 
leakage-type failure, in any other brake system, of a part designed to 
contain compressed air or brake fluid (excluding failure of a component 
of a brake chamber housing but including failure of any brake chamber 
diaphragm that is part of any other brake system including a diaphragm 
which is common

[[Page 363]]

to the parking brake system and any other brake system), when the 
pressures in the vehicle's parking brake chambers are at the levels 
determined in S5.6.3.4.
    S5.6.3.2  A mechanical means shall be provided that, after a parking 
brake application is made with the pressures in the vehicle's parking 
brake chambers at the levels determined in S5.6.3.4, and all air and 
fluid pressures in the vehicle's braking systems are then bled down to 
zero, and without using electrical power, holds the parking brake 
application with sufficient parking retardation force to meet the 
minimum performance specified in S5.6.3.1 and in either S5.6.1 or 
S5.6.2.
    S5.6.3.3  For trucks and buses, with an initial reservoir system 
pressure of 100 psi and, if designed to tow a vehicle equipped with air 
brakes, with a 50 cubic inch test reservoir connected to the supply line 
coupling, no later than three seconds from the time of actuation of the 
parking brake control, the mechanical means referred to in S5.6.3.2 
shall be actuated. For trailers, with the supply line initially 
pressurized to 100 psi using the supply line portion of the trailer test 
rig (Figure 1) and, if designed to tow a vehicle equipped with air 
brakes, with a 50 cubic inch test reservoir connected to the rear supply 
line coupling, no later than three seconds from the time venting to the 
atmosphere of the front supply line coupling is initiated, the 
mechanical means referred to in S5.6.3.2 shall be actuated. This 
requirement shall be met for trucks, buses and trailers both with and 
without any single leakage-type failure, in any other brake system, of a 
part designed to contain compressed air or brake fluid (consistent with 
the parenthetical phrase specified in S5.6.3.1).
    S5.6.3.4  The parking brake chamber pressures for S5.6.3.1 and 
S5.6.3.2 are determined as follows. For trucks and buses, with an 
initial reservoir system pressure of 100 psi and, if designed to tow a 
vehicle equipped with air brakes, with a 50 cubic inch test reservoir 
connected to the supply line coupling, any single leakage type failure, 
in any other brake system, of a part designed to contain compressed air 
or brake fluid (consistent with the parenthetical phrase specified in 
S5.6.3.1), is introduced in the brake system. The parking brake control 
is actuated and the pressures in the vehicle's parking brake chambers 
are measured three seconds after that actuation is initiated. For 
trailers, with the supply line initially pressurized to 100 psi using 
the supply line portion of the trailer test rig (Figure 1) and, if 
designed to tow a vehicle equipped with air brakes, with a 50 cubic inch 
test reservoir connected to the rear supply line coupling, any single 
leakage type failure, in any other brake system, of a part designed to 
contain compressed air or brake fluid (consistent with the parenthetical 
phrase specified in S5.6.3.1), is introduced in the brake system. The 
front supply line coupling is vented to the atmosphere and the pressures 
in the vehicle's parking brake chambers are measured three seconds after 
that venting is initiated.
    S5.6.4  Parking brake control--trucks and buses. The parking brake 
control shall be separate from the service brake control. It shall be 
operable by a person seated in the normal driving position. The control 
shall be identified in a manner that specifies the method of control 
operation. The parking brake control shall control the parking brakes of 
the vehicle and of any air braked vehicle that it is designed to tow.
    S5.6.5  Release Performance. Each parking brake system shall meet 
the requirements specified in S5.6.5.1 through S5.6.5.4.
    S5.6.5.1  For trucks and buses, with initial conditions as specified 
in S5.6.5.2, at all times after an application actuation of the parking 
brake control, and with any subsequent level of pressure, or combination 
of levels of pressure, in the reservoirs of any of the vehicle's brake 
systems, no reduction in parking brake retardation force shall result 
from a release actuation of the parking brake control unless the parking 
brakes are capable, after such release, of being reapplied at a level 
meeting the minimum performance specified either in S5.6.1 or S5.6.2. 
This requirement shall be met both with and without the engine on, and 
with and without single leakage-type failure, in any other brake system, 
of a

[[Page 364]]

part designed to contain compressed air or brake fluid (consistent with 
the parenthetical phrase specified in S5.6.3.1).
    S5.6.5.2  The initial conditions for S5.6.5.1 are as follows: The 
reservoir system pressure is 100 psi. If the vehicle is designed to tow 
a vehicle equipped with air brakes, a 50 cubic inch test reservoir is 
connected to the supply line coupling.
    S5.6.5.3  For trailers, with initial conditions as specified in 
S5.6.5.4, at all times after actuation of the parking brakes by venting 
the front supply line coupling to the atmosphere, and with any 
subsequent level of pressure, or combination of levels of pressure, in 
the reservoirs of any of the vehicle's brake systems, the parking brakes 
shall not be releasable by repressurizing the supply line using the 
supply line portion of the trailer test rig (Figure 1) to any pressure 
above 70 psi, unless the parking brakes are capable, after such release, 
of reapplication by subsequent venting of the front supply line coupling 
to the atmosphere, at a level meeting the minimum performance specified 
either in S5.6.1 or S5.6.2. This requirement shall be met both with and 
without any single leakage-type failure, in any other brake system, of a 
part designed to contain compressed air or brake fluid (consistent with 
the parenthetical phrase specified in S5.6.3.1).
    S5.6.5.4  The initial conditions for S5.6.5.3 are as follows: The 
reservoir system and supply line are pressurized to 100 psi, using the 
supply line portion of the trailer test rig (Figure 1). If the vehicle 
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch 
test reservoir is connected to the rear supply line coupling.
    S5.6.6  Accumulation of actuation energy. Each parking brake system 
shall meet the requirements specified in S5.6.6.1 through S5.6.6.6.
    S5.6.6.1  For trucks and buses, with initial conditions as specified 
in S5.6.6.2, the parking brake system shall be capable of meeting the 
minimum performance specified either in S5.6.1 or S5.6.2, with any 
single leakage-type failure, in any other brake system, of a part 
designed to contain compressed air or brake fluid (consistent with the 
parenthetical phrase specified in S5.6.3.1) at the conclusion of the 
test sequence specified in S5.6.6.3.
    S5.6.6.2  The initial conditions for S5.6.6.1 are as follows: The 
engine is on. The reservoir system pressure is 100 psi. If the vehicle 
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch 
test reservoir is connected to the supply line coupling.
    S5.6.6.3  The test sequence for S5.6.6.1 is as follows: The engine 
is turned off. Any single leakage type failure, in any other brake 
system, of a part designed to contain compressed air or brake fluid 
(consistent with the parenthetical phrase specified in S5.6.3.1), is 
then introduced in the brake system. An application actuation of the 
parking brake control is then made. Thirty seconds after such actuation, 
a release actuation of the parking brake control is made. Thirty seconds 
after the release actuation, a final application actuation of the 
parking brake control is made.
    S5.6.6.4  For trailers, with initial conditions as specified in 
S5.6.6.5, the parking brake system shall be capable of meeting the 
minimum performance specified either in S5.6.1 or S5.6.2, with any 
single leakage-type failure, in any other brake system, of a part 
designed to contain compressed air or brake fluid (consistent with the 
parenthetical phrase specified in S5.6.3.1), at the conclusion of the 
test sequence specified in S5.6.6.6.
    S5.6.6.5  The initial conditions for S5.6.6.4 are as follows: The 
reservoir system and supply line are pressurized to 100 psi, using the 
supply line portion of the trailer test rig (Figure 1). If the vehicle 
is designed to tow a vehicle equipped with air brakes, a 50 cubic inch 
test reservoir is connected to the rear supply line coupling.
    S5.6.6.6  The test sequence for S5.6.6.4 is as follows. Any single 
leakage type failure, in any other brake system, of a part designed to 
contain compressed air or brake fluid (consistent with the parenthetical 
phrase specified in S5.6.3.1), is introduced in the brake system. The 
front supply line coupling is vented to the atmosphere. Thirty seconds 
after the initiation of such venting, the supply line is repressurized 
with the trailer test rig

[[Page 365]]

(Figure 1). Thirty seconds after the initiation of such repressurizing 
of the supply line, the front supply line is vented to the atmosphere. 
This procedure is conducted either by connection and disconnection of 
the supply line coupling or by use of a valve installed in the supply 
line portion of the trailer test rig near the supply line coupling.
    S5.6.7  Maximum level of common diaphragm leakage-type failure/ 
Equivalent level of leakage from the air chamber containing that 
diaphragm.
    In the case of vehicles for which the option in S5.6(b) has been 
elected, determine the maximum level of common diaphragm leakage-type 
failure (or equivalent level of leakage from the air chamber containing 
that diaphragm) according to the procedures set forth in S5.6.7.1 
through S5.6.7.2.3.
    S5.6.7.1  Trucks and buses.
    S5.6.7.1.1  According to the following procedure, determine the 
threshold level of common diaphragm leakage-type failure (or equivalent 
level of leakage from the air chamber containing that diaphragm) at 
which the vehicle's parking brakes become unreleasable. With an initial 
reservoir system pressure of 100 psi, the engine turned off, no 
application of any of the vehicle's brakes, and, if the vehicle is 
designed to tow a vehicle equipped with air brakes, a 50 cubic inch test 
reservoir connected to the supply line coupling, introduce a leakage-
type failure of the common diaphragm (or equivalent leakage from the air 
chamber containing that diaphragm). Apply the parking brakes by making 
an application actuation of the parking brake control. Reduce the 
pressures in all of the vehicle's reservoirs to zero, turn on the engine 
and allow it to idle, and allow the pressures in the vehicle's 
reservoirs to rise until they stabilize or until the compressor shut-off 
point is reached. At that time, make a release actuation of the parking 
brake control, and determine whether all of the mechanical means 
referred to in S5.6.3.2 continue to be actuated and hold the parking 
brake applications with sufficient parking retardation force to meet the 
minimum performance specified in either S5.6.1 or S5.6.2. Repeat this 
procedure with progressively decreasing or increasing levels (whichever 
is applicable) of leakage-type diaphragm failures or equivalent 
leakages, to determine the minimum level of common diaphragm leakage-
type failure (or equivalent level of leakage from the air chamber 
containing that diaphragm) at which all of the mechanical means referred 
to in S5.6.3.2 continue to be actuated and hold the parking brake 
applications with sufficient parking retardation forces to meet the 
minimum performance specified in either S5.6.1 or S5.6.2.
    S5.6.7.1.2  At the level of common diaphragm leakage-type failure 
(or equivalent level of leakage from the air chamber containing that 
diaphragm) determined in S5.6.7.1.1, and using the following procedure, 
determine the threshold maximum reservoir rate (in psi per minute). With 
an initial reservoir system pressure of 100 psi, the engine turned off, 
no application of any of the vehicle's brakes and, if the vehicle is 
designed to tow a vehicle equipped with air brakes, a 50 cubic inch test 
reservoir connected to the supply line coupling, make an application 
actuation of the parking brake control. Determine the maximum reservoir 
leakage rate (in psi per minute), which is the maximum rate of decrease 
in air pressure of any of the vehicle's reservoirs that results after 
that parking brake application.
    S5.6.7.1.3  Using the following procedure, introduce a leakage-type 
failure of the common diaphragm (or equivalent leakage from the air 
chamber containing that diaphragm) that results in a maximum reservoir 
leakage rate that is three times the threshold maximum reservoir leakage 
rate determined in S5.6.7.1.2. With an initial reservoir system pressure 
of 100 psi, the engine turned off, no application of any of the 
vehicle's brakes and, if the vehicle is designed to tow a vehicle 
equipped with air brakes, a 50 cubic inch test reservoir connected to 
the supply line coupling, make an application actuation of the parking 
brake control. Determine the maximum reservoir leakage rate (in psi per 
minute), which is the maximum rate of decrease in air pressure of any of 
the vehicle's reservoirs that results after that parking brake 
application. The level of common diaphragm leakage-type failure

[[Page 366]]

(or equivalent level of leakage from the air chamber containing that 
diaphragm) associated with this reservoir leakage rate is the level that 
is to be used under the option set forth in S5.6(b).
    S5.6.7.2  Trailers.
    S5.6.7.2.1  According to the following procedure, determine the 
threshold level of common diaphragm leakage-type failure (or equivalent 
level of leakage from the air chamber containing that diaphragm) at 
which the vehicle's parking brakes become unreleasable. With an initial 
reservoir system and supply line pressure of 100 psi, no application of 
any of the vehicle's brakes, and, if the vehicle is designed to tow a 
vehicle equipped with air brakes, a 50 cubic inch test reservoir 
connected to the supply line coupling, introduce a leakage-type failure 
of the common diaphragm (or equivalent leakage from the air chamber 
containing that diaphragm). Make a parking brake application by venting 
the front supply line coupling to the atmosphere, and reduce the 
pressures in all of the vehicle's reservoirs to zero. Pressurize the 
supply line by connecting the trailer's front supply line coupling to 
the supply line portion of the trailer test rig (Figure 1) with the 
regulator of the trailer test rig set at 100 psi, and determine whether 
all of the mechanical means referred to in S5.6.3.2 continue to be 
actuated and hold the parking brake applications with sufficient parking 
retardation forces to meet the minimum performance specified in either 
S5.6.1 or S5.6.2. Repeat this procedure with progressively decreasing or 
increasing levels (whichever is applicable) of leakage-type diaphragm 
failures or equivalent leakages, to determine the minimum level of 
common diaphragm leakage-type failure (or equivalent level of leakage 
from the air chamber containing that diaphragm) at which all of the 
mechanical means referred to in S5.6.3.2 continue to be actuated and 
hold the parking brake applications with sufficient parking retardation 
forces to meet the minimum performance specified in either S5.6.1 or 
S5.6.2.
    S5.6.7.2.2  At the level of common diaphragm leakage-type failure 
(or equivalent level of leakage from the air chamber containing that 
diaphragm) determined in S5.6.7.2.1, and using the following procedure, 
determine the threshold maximum reservoir leakage rate (in psi per 
minute). With an initial reservoir system and supply line pressure of 
100 psi, no application of any of the vehicle's brakes and, if the 
vehicle is designed to tow a vehicle equipped with air brakes, a 50 
cubic inch test reservoir connected to the rear supply line coupling, 
make a parking brake application by venting the front supply line 
coupling to the atmosphere. Determine the maximum reservoir leakage rate 
(in psi per minute), which is the maximum rate of decrease in air 
pressure of any of the vehicle's reservoirs that results after that 
parking brake application.
    S5.6.7.2.3  Using the following procedure, a leakage-type failure of 
the common diaphragm (or equivalent leakage from the air chamber 
containing that diaphragm) that results in a maximum reservoir leakage 
rate that is three times the threshold maximum reservoir leakage rate 
determined in S5.6.7.2.2. With an initial reservoir system and supply 
line pressure of 100 psi, no application of any of the vehicle's brakes 
and, if the vehicle is designed to tow a vehicle equipped with air 
brakes, a 50 cubic inch test reservoir connected to the rear supply line 
coupling, make a parking brake application by venting the front supply 
line coupling to the atmosphere. Determine the maximum reservoir leakage 
rate (in psi per minute), which is the maximum rate of decrease in air 
pressure of any of the vehicle's reservoirs that results after that 
parking brake application. The level of common diaphragm leakage-type 
failure (or equivalent level of leakage from the air chamber containing 
that diaphragm) associated with this reservoir leakage rate is the level 
that is to be used under the option set forth in S5.6(b).
    S5.7  Emergency brake system for trucks and buses. Each vehicle 
shall be equipped with an emergency brake system which, under the 
conditions of S6.1, conforms to the requirements of S5.7.1 through 
S5.7.3. However, the truck portion of an auto transporter need not meet 
the road test requirements of S5.7.1 and S5.7.3.

[[Page 367]]

    S5.7.1  Emergency brake system performance. When stopped six times 
for each combination of weight and speed specified in S5.3.1.1, except 
for a loaded truck tractor with an unbraked control trailer, on a road 
surface having a PFC of 0.9, with a single failure in the service brake 
system of a part designed to contain compressed air or brake fluid 
(except failure of a common valve, manifold, brake fluid housing, or 
brake chamber housing), the vehicle shall stop at least once in not more 
than the distance specified in Column 5 of Table II, measured from the 
point at which movement of the service brake control begins, except that 
a truck-tractor tested at its unloaded vehicle weight plus up to 500 
pounds shall stop at least once in not more than the distance specified 
in Column 6 of Table II. The stop shall be made without any part of the 
vehicle leaving the roadway, and with unlimited wheel lockup permitted 
at any speed.
    S5.7.2  Emergency brake system operation. The emergency brake system 
shall be applied and released, and be capable of modulation, by means of 
the service brake control.
    S5.7.3  Towing vehicle emergency brake requirements. In addition to 
meeting the other requirements of S5.7, a vehicle designed to tow 
another vehicle equipped with air brakes shall--
    (a) In the case of a truck-tractor in the unloaded condition and a 
single unit truck which is capable of towing an airbrake equipped 
vehicle and is loaded to GVWR, be capable of meeting the requirements of 
S5.7.1 by operation of the service brake control only, with the trailer 
air supply line and air control line from the towing vehicle vented to 
the atmosphere in accordance with S6.1.14;
    (b) In the case of a truck-tractor loaded to GVWR, be capable of 
meeting S5.7.1 by operation of the service brake control only, with the 
air control line from the towing vehicle vented to the atmosphere in 
accordance with S6.1.14; and
    (c) Be capable of modulating the air in the supply or control line 
to the trailer by means of the service brake control with a single 
failure in the towing vehicle service brake system as specified in 
S5.7.1.
    S5.8  Emergency brakes for trailers. Each trailer shall meet the 
requirements of S5.8.1 through S5.8.3.
    S5.8.1  Emergency braking capability. Each trailer other than a 
trailer converter dolly shall have a parking brake system that conforms 
to S5.6 and that applies with the force specified in S5.6.1 or S5.6.2 
when the air pressure in the supply line is at atmospheric pressure. A 
trailer converter dolly shall have, at the manufacturer's option--
    (a) A parking brake system that conforms to S5.6 and that applies 
with the force specified in S5.6.1 or S5.6.2 when the air pressure in 
the supply line is at atmospheric pressure, or
    (b) An emergency system that automatically applies the service 
brakes when the service reservoir is at any pressure above 20 lb/in\2\ 
and the supply line is at atmospheric pressure. However, any 
agricultural commodity trailer, heavy hauler trailer, or pulpwood 
trailer shall meet the requirements of S5.8.1 or, at the option of the 
manufacturer, the requirements of Sec. 393.43 of this title.
    S5.8.2  Supply line pressure retention. Any single leakage type 
failure in the service brake system (except for a failure of the supply 
line, a valve directly connected to the supply line or a component of a 
brake chamber housing) shall not result in the pressure in the supply 
line falling below 70 psi, measured at the forward trailer supply 
coupling. A trailer shall meet the above supply line pressure retention 
requirement with its brake system connected to the trailer test rig 
shown in Figure 1, with the reservoirs of the trailer and test rig 
initially pressurized to 100 psi and the regulator of the trailer test 
rig set at 100 psi; except that a trailer equipped with an air-applied, 
mechanically-held parking brake system and not designed to tow a vehicle 
equipped with air brakes, at the manufacturer's option, may meet the 
requirements of S5.8.4 rather than those of S5.8.2 and S5.8.3.
    S5.8.3  Automatic application of parking brakes. With an initial 
reservoir system pressure of 100 psi and initial supply line pressure of 
100 psi, and if designed to tow a vehicle equipped with air brakes, with 
a 50 cubic inch test reservoir connected to the rear supply

[[Page 368]]

line coupling, and with any subsequent single leakage type failure in 
any other brake system, of a part designed to contain compressed air or 
brake fluid (consistent with the parenthetical phrase specified in 
S5.6.3.1), whenever the air pressure in the supply line is 70 psi or 
higher, the parking brakes shall not provide any brake retardation as a 
result of complete or partial automatic application of the parking 
brakes.
    S5.8.4 Automatic application of air-applied, mechanically held 
parking brakes. With its brake system connected to the supply line 
portion of the trailer test rig (Figure 1) and the regulator of the 
trailer test rig set at 100 psi, and with any single leakage type 
failure in the service brake system (except for a failure of the supply 
line, a valve directly connected to the supply line or a component of a 
brake chamber, but including failure of any common diaphragm), the 
parking brakes shall not provide any brake retardation as a result of 
complete or partial automatic application of the parking brakes.
    S5.9  Final inspection. Inspect the service brake system for the 
condition of adjustment and for the brake indicator display in 
accordance with S5.1.8 and S5.2.2.
    S6.  Conditions. The requirements of S5 shall be met by a vehicle 
when it is tested according to the conditions set in this S6, without 
replacing any brake system part or making any adjustments to the brake 
system except as specified. Unless otherwise specified, where a range of 
conditions is specified, the vehicle must be capable of meeting the 
requirements at all points within the range. On vehicles equipped with 
automatic brake adjusters, the automatic brake adjusters must remain 
activated at all times. Compliance of vehicles manufactured in two or 
more stages may, at the option of the final-stage manufacturer, be 
demonstrated to comply with this standard by adherence to the 
instructions of the incomplete vehicle manufacturer provided with the 
vehicle in accordance with Sec. 568.4(a)(7)(ii) and Sec. 568.5 of title 
49 of the Code of Federal Regulations.
    S6.1  Road test conditions.
    S6.1.1  Except as otherwise specified, the vehicle is loaded to its 
GVWR, distributed proportionally to its GAWRs. During the burnish 
procedure specified in S6.1.8, truck tractors shall be loaded to their 
GVWR, by coupling them to an unbraked flatbed semitrailer, which 
semitrailer shall be loaded so that the weight of the tractor-trailer 
combination equals the GVWR of the truck tractor. The load on the 
unbraked flatbed semitrailer shall be located so that the truck 
tractor's wheels do not lock during burnish.
    S6.1.2  The inflation pressure is as specified by the vehicle 
manufacturer for the GVWR.
    S6.1.3  Unless otherwise specified, the transmission selector 
control is in neutral or the clutch is disengaged during all 
decelerations and during static parking brake tests.
    S6.1.4  All vehicle openings (doors, windows, hood, trunk, cargo 
doors, etc.) are in a closed position except as required for 
instrumentation purposes.
    S6.1.5  The ambient temperature is between 32 deg. F. and 100 deg. 
F.
    S6.1.6  The wind velocity is zero.
    S6.1.7  Unless otherwise specified, stopping tests are conducted on 
a 12-foot wide level, straight roadway having a peak friction 
coefficient of 0.9. For road tests in S5.3, the vehicle is aligned in 
the center of the roadway at the beginning of a stop. Peak friction 
coefficient is measured using an ASTM E1136 standard reference test tire 
in accordance with ASTM method E1337-90, at a speed of 40 mph, without 
water delivery for the surface with PFC of 0.9, and with water delivery 
for the surface with PFC of 0.5.
    S6.1.8  For vehicles with parking brake systems not utilizing the 
service brake friction elements, burnish the friction elements of such 
systems prior to the parking brake test according to the manufacturer's 
recommendations. For vehicles with parking brake systems utilizing the 
service brake friction elements, burnish the brakes as follows: With the 
transmission in the highest gear appropriate for a speed of 40 mph, make 
500 snubs between 40 mph and 20 mph at a deceleration rate of 10 
f.p.s.p.s., or at the vehicle's maximum deceleration rate if less than 
10 f.p.s.p.s. Except where an adjustment is specified, after each brake 
application accelerate to 40 mph and maintain that

[[Page 369]]

speed until making the next brake application at a point 1 mile from the 
initial point of the previous brake application. If the vehicle cannot 
attain a speed of 40 mph in 1 mph, continue to accelerate until the 
vehicle reaches 40 mph or until the vehicle has traveled 1.5 miles from 
the initial point of the previous brake application, whichever occurs 
first. Any automatic pressure limiting valve is in use to limit pressure 
as designed. The brakes may be adjusted up to three times during the 
burnish procedure, at intervals specified by the vehicle manufacturer, 
and may be adjusted at the conclusion of the burnishing, in accordance 
with the vehicle manufacturer's recommendation.
    S6.1.9  Static parking brake tests for a semitrailer are conducted 
with the front-end supported by an unbraked dolly. The weight of the 
dolly is included as part of the trailer load.
    S6.1.10  In a test other than a static parking test, a truck tractor 
is tested at its GVWR by coupling it to an unbraked flatbed semi-trailer 
(hereafter, control trailer) as specified in S6.1.10.2 to S6.1.10.4.
    S6.1.10.1  [Reserved]
    S6.1.10.2  The center of gravity height of the ballast on the loaded 
control trailer shall be less than 24 inches above the top of the 
tractor's fifth wheel.
    S6.1.10.3  The control trailer has a single axle with a GAWR of 
18,000 pounds and a length, measured from the transverse centerline of 
the axle to the centerline of the kingpin, of 258 # 6 inches.
    S6.1.10.4  The control trailer is loaded so that its axle is loaded 
at 4,500 pounds and the tractor is loaded to its GVWR, loaded above the 
kingpin only, with the tractor's fifth wheel adjusted so that the load 
on each axle measured at the tire-ground interface is most nearly 
proportional to the axles' respective GAWRs, without exceeding the GAWR 
of the tractor's axle or axles or control trailer's axle.
    S6.1.11  Special drive conditions. A vehicle equipped with an 
interlocking axle system or a front wheel drive system that is engaged 
and disengaged by the driver is tested with the system disengaged.
    S6.1.12  Liftable axles. A vehicle with a liftable axle is tested at 
GVWR with the liftable axle down and at unloaded vehicle weight with the 
liftable axle up.
    S6.1.13  Trailer test rig.
    (a) The trailer test rig shown in Figure 1 is calibrated in 
accordance with the calibration curves shown in Figure 3. For the 
requirements of S5.3.3.1 and S5.3.4.1, the pressure in the trailer test 
rig reservoir is initially set at 100 psi for actuation tests and 95 psi 
for release tests.
    (b) The trailer test rig shown in Figure 1(a) is capable of 
increasing the pressure in a 50 cubic inch reservoir from atmospheric to 
60 lb/in\2\ in 0.06 second, measured from the first movement of the 
service brake control to apply service brake pressure and of releasing 
pressure in such a reservoir from 95 to 5 lb/in\2\ in 0.22 second 
measured from the first movement of the service brake control to release 
service brake pressure.
    S6.1.14  In testing the emergency braking system of towing vehicles 
under S5.7.3(a) and S5.7.3(b), the hose(s) is vented to the atmosphere 
at any time not less than 1 second and not more than 1 minute before the 
emergency stop begins, while the vehicle is moving at the speed from 
which the stop is to be made and any manual control for the towing 
vehicle protection system is in the position to supply air and brake 
control signals to the vehicle being towed. No brake application is made 
from the time the line(s) is vented until the emergency stop begins and 
no manual operation of the parking brake system or towing vehicle 
protection system occurs from the time the line(s) is vented until the 
stop is completed.
    S6.1.15  Initial brake temperature. Unless otherwise specified, the 
initial brake temperature is not less than 150 deg. F and not more than 
200 deg. F.
    6.2  Dynamometer test conditions.
    S6.2.1  The dynamometer inertia for each wheel is equivalent to the 
load on the wheel with the axle loaded to its GAWR. For a vehicle having 
additional GAWRs specified for operation at reduced speeds, the GAWR 
used is that specified for a speed of 50 mph, or, at

[[Page 370]]

the option of the manufacturer, any speed greater than 50 mph.
    S6.2.2  The ambient temperature is between 75 deg. F. and 100 deg. 
F.
    S6.2.3  Air at ambient temperature is directed uniformly and 
continuously over the brake drum or disc at a velocity of 2,200 feet per 
minute.
    S6.2.4  The temperature of each brake is measured by a single plug-
type thermocouple installed in the center of the lining surface of the 
most heavily loaded shoe or pad as shown in Figure 2. The thermocouple 
is outside any center groove.
    S6.2.5  The rate of brake drum or disc rotation on a dynamometer or 
responding to the rate of rotation on a vehicle at a given speed is 
calculated by assuming a tire radius equal to the static loaded radius 
specified by the tire manufacturer.
    S6.2.6  Brakes are burnished before testing as follows: place the 
brake assembly on an inertia dynamometer and adjust the brake as 
recommended by the vehicle manufacturer. Make 200 stops from 40 mph at a 
deceleration of 10 f.p.s.p.s., with an initial brake temperature on each 
stop of not less than 315 deg. F and not more than 385 deg. F. Make 200 
additional stops from 40 mph at a deceleration of 10 f.p.s.p.s. with an 
initial brake temperature on each stop of not less than 450 deg. F and 
not more than 550 deg. F. The brakes may be adjusted up to three times 
during the burnish procedure, at intervals specified by the vehicle 
manufacturer, and may be adjusted at the conclusion of the burnishing, 
in accordance with the vehicle manufacturer's recommendation.
    S6.2.7  The brake temperature is increased to a specified level by 
conducting one or more stops from 40 m.p.h. at a deceleration of 10 
f.p.s.p.s. The brake temperature is decreased to a specified level by 
rotating the drum or disc at a constant 30 m.p.h.

[[Page 371]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.051



[[Page 372]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.052



[[Page 373]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.053



[[Page 374]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.054



[[Page 375]]

                       Table I--Stopping Sequence

1. Burnish.
2. Stops on a peak friction coefficient surface of 0.5:
    (a) With the vehicle at gross vehicle weight rating (GVWR), stop the 
vehicle from 30 mph using the service brake, for a truck tractor with a 
loaded unbraked control trailer.
    (b) With the vehicle at unloaded weight plus up to 500 lbs., stop 
the vehicle from 30 mph using the service brake, for a truck tractor.
3. Manual adjustment of the service brakes allowed for truck tractors, 
within the limits recommended by the vehicle manufacturer.
4. Other stops with vehicle at GVWR:
    (a) 60 mph service brake stops on a peak friction coefficient 
surface of 0.9, for a truck tractor with a loaded unbraked control 
trailer, or for a single-unit vehicle.
    (b) 60 mph emergency brake stops on a peak friction coefficient of 
0.9, for a single-unit vehicle. Truck tractors are not required to be 
tested in the loaded condition.
5. Parking brake test with the vehicle loaded to GVWR.
6. Manual adjustment of the service brakes allowed for truck tractors 
    and single-unit vehicles, within the limits recommended by the 
    vehicle manufacturer.
7. Other stops with the vehicle at unloaded weight plus up to 500 lbs.:
    (a) 60 mph service brake stops on a peak friction coefficient 
surface of 0.9, for a truck tractor or for a single-unit vehicle.
    (b) 60 mph emergency brake stops on a peak friction coefficient of 
0.9, for a truck tractor or for a single-unit vehicle.
8. Parking brake test with the vehicle at unloaded weight plus up to 500 
    lbs.
9. Final inspection of service brake system for condition of adjustment.

                                       Table II--Stopping Distance in Feet                                      
----------------------------------------------------------------------------------------------------------------
                                                                       Service brake             Emergency brake
                                                           -----------------------------------------------------
              Vehicle speed in miles per hour                 PFC      PFC      PFC      PFC      PFC      PFC  
                                                              0.9      0.9      0.9      0.9      0.9      0.9  
----------------------------------------------------------------------------------------------------------------
                                                                (1)      (2)      (3)      (4)      (5)      (6)
                                                           -----------------------------------------------------
20........................................................       32       35       38       40       83       85
25........................................................       49       54       59       62      123      131
30........................................................       70       78       84       89      170      186
35........................................................       96      106      114      121      225      250
40........................................................      125      138      149      158      288      325
45........................................................      158      175      189      200      358      409
50........................................................      195      216      233      247      435      504
55........................................................      236      261      281      299      520      608
60........................................................      280      310      335      355      613      720
----------------------------------------------------------------------------------------------------------------
Note: (1) Loaded and unloaded buses; (2) Loaded single unit trucks; (3) Unloaded truck tractors and single unit 
  trucks; (4) Loaded truck tractors tested with an unbraked control trailer; (5) All vehicles except truck      
  tractors; (6) Unloaded truck tractors.                                                                        


                   Table III--Brake Retardation Force                   
------------------------------------------------------------------------
                                                               Column 2 
                                                                Brake   
          Column 1  Brake Retardation Force, GAWR              Chamber  
                                                              Pressure, 
                                                                 PSI    
------------------------------------------------------------------------
0.05.......................................................           20
0.12.......................................................           30
0.18.......................................................           40
0.25.......................................................           50
0.31.......................................................           60
0.37.......................................................           70
0.41.......................................................           80
------------------------------------------------------------------------


                          Table IV--[Reserved]                          
                                                                        
                                                                        
                                                                         
                                                                        
                                                                        


                  Table V--Brake Chamber Rated Volumes                  
------------------------------------------------------------------------
                                                                Column 2
                                                    Column 1     rated  
  Brake chamber type (nominal area of piston or   full stroke    volume 
           diaphragm in square inches)              (inches)     (cubic 
                                                                inches) 
------------------------------------------------------------------------
Type 9..........................................    1.75/2.10         25
Type 12.........................................    1.75/2.10         30
Type 14.........................................    2.25/2.70         40
Type 16.........................................    2.25/2.70         50
Type 18.........................................    2.25/2.70         55
Type 20.........................................    2.25/2.70         60
Type 24.........................................    2.50/3.20         70
Type 30.........................................    2.50/3.20         95
Type 36.........................................    3.00/3.60        135

[[Page 376]]

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

[61 FR 27290, May 31, 1996, as amended at 61 FR 49695, Sept. 23, 1996; 
61 FR 60636, Nov. 29, 1996]



Sec. 571.122  Standard No. 122; Motorcycle brake systems.

    S1. Scope. This standard specifies performance requirements for 
motorcycle brake systems.
    S2. Purpose. The purpose of the standard is to insure safe 
motorcycle braking performance under normal and emergency conditions.
    S3. Application. This standard applies to motorcycles.
    S4. Definitions.
    Braking interval means the distance measured from the start of one 
brake application to the start of the next brake application.
    Initial brake temperature means the temperature of the hottest 
service brake of the vehicle 0.2 mile before any brake application.
    Skid number means the frictional resistance of a pavement measured 
in accordance with American Society for Testing and Materials (ASTM) 
Method E-274-70 (as revised July, 1974) at 40 mph, omitting water 
delivery as specified in paragraphs 7.1 and 7.2 of that method.
    Stopping distance means the distance traveled by a vehicle from the 
start of the brake application to the point where the vehicle stops.
    Split service brake system means a brake system consisting of two or 
more subsystems actuated by a single control designed so that a leakage-
type failure of a pressure component in a single subsystem (except 
structural failure of a housing that is common to all subsystems) shall 
not impair the operation of the other subsystem(s).
    S5. Requirements. Each motorcycle shall meet the following 
requirements under the conditions specified in S6, when tested according 
to the procedures and in the sequence specified in S7. Corresponding 
test procedures of S7 are indicated in parentheses. If a motorcycle is 
incapable of attaining a specified speed, its service brakes shall be 
capable of stopping the vehicle from the multiple of 5 m.p.h. that is 4 
m.p.h. to 8 m.p.h. less than the speed attainable in 1 mile, within 
stopping distances that do not exceed the stopping distances specified 
in Table 1.
    S5.1  Required equipment--split service brake system. Each 
motorcycle shall have either a split service brake system or two 
independently actuated service brake systems.
    S5.1.1  Mechanical service brake system. Failure of any component in 
a mechanical service brake system shall not result in a loss of braking 
ability in the other service brake system on the vehicle.
    S5.1.2  Hydraulic service brake system. A leakage failure in a 
hydraulic service brake system shall not result in a loss of braking 
ability in the other service brake system on the vehicle. Each 
motorcycle equipped with a hydraulic brake system shall have the 
equipment specified in S5.1.2.1 and S5.1.2.2.
    S5.1.2.1  Master cylinder reservoirs. Each master cylinder shall 
have a separate reservoir for each brake circuit, with each reservoir 
filler opening having its own cover, seal, and cover retention device. 
Each reservoir shall have a minimum capacity equivalent to one and one-
half times the total fluid displacement resulting when all the wheel 
cylinders or caliper pistons serviced by the reservoir move from a new 
lining, fully retracted position to a fully worn, fully applied 
position. Where adjustment is a factor, the worst condition of 
adjustment shall be used for this measurement.
    S5.1.2.2  Reservoir labeling. Each motorcycle shall have a brake 
fluid warning statement that reads as follows, in letters at least three 
thirty-seconds of an inch high:
    Warning: Clean filler cap before removing. Use only ______ fluid 
from a sealed container. (Inserting the recommended type of brake fluid 
as specified in 49 CFR 571.116, e.g., DOT 3.)
    The lettering shall be:--
    (a) Permanently affixed, engraved, or embossed;
    (b) Located so as to be visible by direct view, either on or within 
4 inches of the brake-fluid reservoir filler plug or cap; and
    (c) Of a color that contrasts with its background, if it is not 
engraved or embossed.
    S5.1.3  Split service brake system. In addition to the equipment 
required by S5.1.2 each motorcycle equipped with a split service brake 
system shall have a

[[Page 377]]

failure indicator lamp as specified in S5.1.3.1.
    S5.1.3.1  Failure indicator lamp.
    (a) One or more electrically operated service brake system failure 
indicator lamps that is mounted in front of and in clear view of the 
driver, and that is activated--
    (1) In the event of pressure failure in any part of the service 
brake system, other than a structural failure of either a brake master 
cylinder body in a split integral body type master cylinder system or a 
service brake system failure indicator body, before or upon application 
of not more than 20 pounds of pedal force upon the service brake.
    (2) Without the application of pedal force, when the level of brake 
fluid in a master cylinder reservoir drops to less than the recommended 
safe level specified by the manufacturer or to less than one-half the 
fluid reservoir capacity, whichever is the greater.
    (b) All failure indicator lamps shall be activated when the ignition 
switch is turned from the ``off'' to the ``on'' or to the ``start'' 
position.
    (c) Except for the momentary activation required by S5.1.3.1(b), 
each indicator lamp, once activated, shall remain activated as long as 
the condition exists, whenever the ignition switch is in the ``on'' 
position. An indicator lamp activated when the ignition is turned to the 
``start'' position shall be deactivated upon return of the switch to the 
``on'' position unless a failure exists in the service brake system.
    (d) Each indicator lamp shall have a red lens with the legend 
``Brake Failure'' on or adjacent to it in letters not less than three 
thirty-seconds of an inch high that shall be legible to the driver in 
daylight when lighted.
    S5.1.4  Parking brake. Each three-wheeled motorcycle shall be 
equipped with a parking brake of a friction type with a solely 
mechanical means to retain engagement.
    S5.1.5  Other requirements. The brake system shall be installed so 
that the lining thickness of drum brake shoes may be visually inspected, 
either directly or by use of a mirror without removing the drums, and so 
that disc brake friction lining thickness may be visually inspected 
without removing the pads.
    S5.2  Service brake system--first (preburnish) effectiveness.
    S5.2.1  Service brake system. The service brakes shall be capable of 
stopping the motorcycle from 30 m.p.h. and 60 m.p.h. within stopping 
distances which do not exceed the stopping distances specified in Column 
I of Table I (S7.3.1).
    S5.2.2  Partial service brake system. Each independently actuated 
service brake system on each motorcycle shall be capable of stopping the 
motorcycle from 30 m.p.h. and 60 m.p.h. within stopping distances which 
do not exceed the stopping distances specified in Column II of Table I 
(S7.3.2).
    S5.3  Service brake system--second effectiveness. The service brakes 
shall be capable of stopping the motorcycle from 30 m.p.h., 60 m.p.h., 
80 m.p.h., and the multiple of 5 m.p.h. that is 4 m.p.h. to 8 m.p.h. 
less than the speed attainable in 1 mile if this speed is 95 m.p.h. or 
greater, within stopping distances that do not exceed the stopping 
distances specified in Column III of Table I (S7.5).
    S5.4  Service brake system--fade and recovery. These requirements do 
not apply to a motor-driven cycle whose speed attainable in 1 mile is 30 
m.p.h. or less.
    S5.4.1  Baseline check--minimum and maximum pedal forces. The pedal 
and lever forces used in establishing the fade baseline check average 
shall be within the limits specified in S6.10 (S7.6.1).
    S5.4.2  Fade. Each motorcycle shall be capable of making 10 fade 
stops from 60 m.p.h. at not less than 15 f.p.s.p.s. for each stop 
(S7.6.2).
    S5.4.3  Fade recovery. Each motorcycle shall be capable of making 
five recovery stops with a pedal force that does not exceed 90 pounds, 
and a hand lever force that does not exceed 55 pounds for any of the 
first four recovery stops and that for the fifth recovery stop is within 
plus 20 pounds and minus 10 pounds of the fade test baseline check 
average force (S7.6.3).
    S5.5  Service brake system--final effectiveness. These requirements 
do not apply to a motor-driven cycle whose speed attainable in 1 mile is 
30 mph or less.
    S5.5.1  Service brake system. The service brakes shall be capable of 
stopping

[[Page 378]]

the motorcycle in a manner that complies with S5.3 (S7.8.1).
    S5.5.2  Hydraulic service brake system--partial failure. In the 
event of a pressure component leakage failure, other than a structural 
failure of either a brake master cylinder body in a split integral body 
type master cylinder system or a service brake system failure indicator 
body, the remaining portion of the service brake system shall continue 
to operate and shall be capable of stopping the motorcycle from 30 
m.p.h. and 60 m.p.h. within stopping distances that do not exceed the 
stopping distances specified in Column IV of Table I (S7.8.2).
    S5.6  Parking brake system. The parking brake system shall be 
capable of holding the motorcycle stationary (to the limits of traction 
of the braked wheels), for 5 minutes, in both forward and reverse 
directions, on a 30 percent grade, with an applied force of not more 
than 90 pounds for a foot-operated system and 55 pounds for a hand-
operated system (S7.9).
    S5.7  Service brake system--water recovery.
    S5.7.1  Baseline check. The pedal and lever forces used in 
establishing the water recovery baseline check average shall be within 
the limits specified in S6.10 (S7.10.1).
    S5.7.2  Water recovery test. Each motorcycle shall be capable of 
making five recovery stops with a pedal force that does not exceed 90 
pounds, and a hand lever force that does not exceed 55 pounds, for any 
of the first four recovery stops, and that for the fifth recovery stop, 
is within plus 20 pounds and minus 10 pounds of the baseline check 
average force (S7.10.2).
    S5.8  Service brake system design durability. Each motorcycle shall 
be capable of completing all braking requirements of S5 without 
detachment of brake linings from the shoes or pad, detachment or 
fracture of any brake system components, or leakage of fluid or 
lubricant at the wheel cylinder, and master cylinder reservoir cover, 
seal, or retention device (S7.11).
    S6.1  Vehicle weight. Motorcycle weight is unloaded vehicle weight 
plus 200 pounds (including driver and instrumentation), with the added 
weight distributed in the saddle or carrier if so equipped.
    S6.2  Tire inflation pressure. Tire inflation pressure is the 
pressure recommended by the manufacturer for the vehicle weight 
specified in paragraph S6.1.
    S6.3  Transmission. Unless otherwise specified, all stops are made 
with the clutch disengaged.
    S6.4  Engine. Engine idle speed and ignition timing settings are 
according to the manufacturer's recommendations. If the vehicle is 
equipped with an adjustable engine speed governor, it is adjusted 
according to the manufacturer's recommendation.
    S6.5  Ambient temperature. The ambient temperature is between 
32 deg. F. and 100 deg. F.
    S6.6  Wind velocity. The wind velocity is zero.
    S6.7  Road surface. Road tests are conducted on level roadway having 
a skid number of 81. The roadway is 8 feet wide for two-wheeled 
motorcycles, and overall vehicle width plus 5 feet for three-wheeled 
motorcycles. The parking brake test surface is clean, dry, smooth 
portland cement concrete.
    S6.8  Vehicle position. The motorcycle is aligned in the center of 
the roadway at the start of each brake application. Stops are made 
without any part of the motorcycle leaving the roadway and without 
lockup of any wheel.
    S6.9  Thermocouples. The brake temperature is measured by plug-type 
thermocouples installed in the approximate center of the facing length 
and width of the most heavily loaded shoe or disc pad, one per brake, as 
shown in Figure 1.
    S6.10  Brake actuation forces. Except for the requirements of the 
fifth recovery stop in S5.4.3 and S5.7.2 (S7.6.3 and S7.10.2) the hand 
lever force is not less than five and not more than 55 pounds and the 
foot pedal force is not less than 10 and not more than 90 pounds. The 
point of initial application of the lever forces is 1.2 inches from the 
end of the brake lever grip. The direction of the force is perpendicular 
to the handle grip on the plane along which the brake lever rotates, and 
the point of application of the pedal force is the center of the foot 
contact pad of the brake pedal. The direction of the force

[[Page 379]]

is perpendicular to the foot contact pad on the plane along which the 
brake pedal rotates, as shown in Figure 2.
    S7. Test procedures and sequence. Each motorcycle shall be capable 
of meeting all the requirements of this standard when tested according 
to the procedures and in the sequence set forth below without replacing 
any brake system part, or making any adjustments to the brake system 
other than as permitted in S7.4. A motorcycle shall be deemed to comply 
with S5.2, S5.3 and S5.5 if at least one of the stops specified in S7.3, 
S7.5 and S7.8 is made within the stopping distances specified in Table 
I.
    S7.1  Braking warming. If the initial brake temperature for the 
first stop in a test procedure (other than S7.10) has not been reached, 
heat the brakes to the initial brake temperature by making up to 10 
stops from 30 m.p.h. at a deceleration of not more than 10 f.p.s.p.s. On 
independently operated brake systems, the coldest brake shall be within 
10 deg. F. of the hottest brake.
    S7.2  Pretest instrumentation check. Conduct a general check of test 
instrumentation by making not more than 10 stops from a speed of not 
more than 30 m.p.h. at a deceleration of not more than 10 f.p.s.p.s. If 
test instrument repair, replacement, or adjustment is necessary, make 
not more than 10 additional stops after such repair, replacement or 
adjustment.
    S7.3  Service brake system--first (preburnished) effectiveness test.
    S7.3.1  Service brake system. Make six stops from 30 m.p.h. and then 
six stops from 60 m.p.h. with an initial brake temperature between 
130 deg. F. and 150 deg. F.
    S7.3.2  Partial service brake system. For a motorcycle with two 
independently actuated service brake systems, repeat S7.3.1 using each 
service brake system individually.
    S7.4  Service brake system--burnish procedure. Burnish the brakes by 
making 200 stops from 30 m.p.h. at 12 f.p.s.p.s. The braking interval 
shall be either the distance necessary to reduce the initial brake 
temperature to between 130 deg. F. and 150 deg. F. or 1 mile, whichever 
occurs first. Accelerate at maximum rate to 30 m.p.h. immediately after 
each stop and maintain that speed until making the next stop. After 
burnishing adjust the brakes in accordance with the manufacturer's 
recommendation.
    S7.5  Service brake system--second effectiveness test. Repeat 
S7.3.1. Then, make four stops from 80 m.p.h. and four stops from the 
multiple of 5 m.p.h. that is 4 m.p.h. to 8 m.p.h. less than the speed 
attainable in 1 mile if that speed is 95 m.p.h. or greater.
    S7.6  Service brake system--fade and recovery test. These 
requirements do not apply to a motor-driven cycle whose speed attainable 
in 1 mile is 30 m.p.h. or less.
    S7.6.1  Baseline check stops. Make three stops from 30 m.p.h. at 10 
to 11 f.p.s.p.s. for each stop. Compute the average of the maximum brake 
pedal forces and the maximum brake lever forces required for the three 
stops.
    S7.6.2  Fade stops. Make 10 stops from 60 m.p.h. at not less than 15 
f.p.s.p.s. for each stop. The initial brake temperature before the first 
brake application shall be between 130 deg. F. and 150 deg. F. Initial 
brake temperatures before brake applications for subsequent stops shall 
be those occurring at the distance intervals. Attain the required 
deceleration as quickly as possible and maintain at least this rate for 
not less than three-fourths of the total stopping distance for each 
stop. The interval between the starts of service brake applications 
shall be 0.4 mile. Drive 1 mile at 30 m.p.h. after the last fade stop 
and immediately conduct the recovery test specified in S7.6.3.
    S7.6.3  Recovery test. Make five stops from 30 m.p.h. at 10 to 11 
f.p.s.p.s. for each stop. The braking interval shall not be more than 1 
mile. Immediately after each stop accelerate at maximum rate to 30 
m.p.h. and maintain that speed until making the next stop.
    S7.7  Service brake system--reburnish. Repeat S7.4 except make 35 
burnish stops instead of 200 stops. Brakes may be adjusted after 
reburnish if no tools are used. These requirements do not apply to a 
motor-driven cycle whose speed attainable in 1 mile is 30 m.p.h. or 
less.
    S7.8  Service brake system--final effectiveness test. These 
requirements do not apply to a motor-driven cycle whose speed attainable 
in 1 mile is 30 m.p.h. or less.

[[Page 380]]

    S7.8.1  Service brake system. Repeat S7.5 including S7.3.1.
    S7.8.2  Partial service brake system test. Alter the service brake 
system on three-wheeled motorcycles to induce a complete loss of braking 
in any one subsystem. Determine the line pressure or pedal force 
necessary to cause the brake system failure indicator to operate. Make 
six stops from 30 m.p.h. and then six stops from 60 m.p.h. with an 
initial brake temperature between 130 deg. F. and 150 deg. F. Repeat for 
each subsystem. Determine that the brake failure indicator is operating 
when the master cylinder fluid level is less than the level specified in 
S5.1.3.1(a)(2), and that it complies with S5.1.3.1(c). Check for proper 
operation with each reservoir in turn at a low level. Restore the 
service brake system to normal at completion of this test.
    S7.9  Parking brake test. Starting with an initial brake temperature 
of not more than 150 deg. F., drive the motorcycle downhill on the 30 
percent grade with the longitudinal axis of the motorcycle in the 
direction of the grade. Apply the service brakes with a force not 
exceeding 90 pounds to stop the motorcycle and place the transmission in 
neutral. Apply the parking brake by exerting a force not exceeding those 
specified in S5.6. Release the service brake and allow the motorcycle to 
remain at rest (to the limit of traction of the braked wheels) for 5 
minutes. Repeat the test with the motorcycle parked in the reversed 
(uphill) position on the grade.
    S7.10  Service brake system--water recovery test.
    S7.10.1  Baseline check stops. Make three stops from 30 m.p.h. at 10 
to 11 f.p.s.p.s. for each stop. Compute the average of the maximum brake 
pedal forces and of the maximum brake lever forces required for the 
three stops.
    S7.10.2  Wet brake recovery stops. Completely immerse the rear brake 
assembly of the motorcycle in water for 2 minutes with the brake fully 
released. Next completely immerse the front brake assembly of the 
motorcycle in water for 2 minutes with the brake fully released. Perform 
the entire wetting procedure in not more than 7 minutes. Immediately 
after removal of the front brake from water, accelerate at a maximum 
rate to 30 mi/h without a brake application. Immediately upon reaching 
that speed make five stops, each from 30 mi/h at 10 to 11 ft/s 2 
for each stop. After each stop (except the last) accelerate the 
motorcycle immediately at a maximum rate to 30 mi/h and begin the next 
stop.
    S7.11  Final inspection. Upon completion of all the tests inspect 
the brake system in an assembled condition, for compliance with the 
brake lining inspection requirements. Disassemble all brakes and 
inspect:
    (a) The entire brake system for detachment or fracture of any 
component.
    (b) Brake linings for detachment from the shoe or pad.
    (c) Wheel cylinder, master cylinder, and axle seals for fluid or 
lubricant leakage.
    (d) Master cylinder for reservoir capacity and retention device.
    (e) Master cylinder label for compliance with S5.1.2.2.

                  Table I--Stopping Distances for Effectiveness, Fade and Partial System Tests                  
----------------------------------------------------------------------------------------------------------------
                                                     Stopping distance, feet--Effectiveness tests               
                                     ---------------------------------------------------------------------------
                                                             Preburnish                                         
                                          Preburnish       effectiveness      Effectiveness      Effectiveness  
     Vehicle test speed, m.p.h.         effectiveness         partial          total system    partial hydraulic
                                         total system        mechanical     (S5.4) (SS5.7.1)-- systems (S5.7.2)--
                                         (S5.2.1)--I     systems (S5.2.2)--        III                 IV       
                                                                 II                                             
----------------------------------------------------------------------------------------------------------------
15..................................                 13                 30                 11                 25
20..................................                 24                 54                 19                 44
25..................................                 37                 84                 30                 68
30..................................                 54                121                 43                 97
35..................................                 74                165                 58                132
40..................................                 96                216                 75                173
45..................................                121                273                 95                218
50..................................                150                337                128                264
55..................................                181                407                155                326
60..................................                216                484                185                388
65..................................  .................  .................                217                455

[[Page 381]]

                                                                                                                
70..................................  .................  .................                264                527
75..................................  .................  .................                303                606
80..................................  .................  .................                345                689
85..................................  .................  .................                389                778
90..................................  .................  .................                484                872
95..................................  .................  .................                540                971
100.................................  .................  .................                598               1076
105.................................  .................  .................                659               1188
110.................................  .................  .................                723               1302
115.................................  .................  .................                791               1423
120.................................  .................  .................                861               1549
----------------------------------------------------------------------------------------------------------------


             Table II--Brake Test Sequence and Requirements             
------------------------------------------------------------------------
           Sequence L.C.              Test procedure      Requirements  
------------------------------------------------------------------------
1. Instrumentation check..........               S7.2  .................
2. First (Preburnish)                                                   
 effectiveness test:                                                    
  (a) Service brake system........             S7.3.1             S5.2.1
  (b) Partial service brake system             S7.3.2             S5.2.2
3. Burnish procedure..............               S7.4  .................
4. Second effectiveness test......               S7.5               S5.3
5. First fade and recovery test...               S7.6               S5.4
6. Reburnish......................               S7.7  .................
7. Final effectiveness test:                                            
  (a) Service brake system........             S7.8.1             S5.5.1
  (b) Partial service brake system             S7.8.2             S5.5.2
8. Parking brake test (three-                                           
 wheeled motorcycles only)........               S7.9               S5.6
9. Water recovery test............              S7.10               S5.7
10. Design durability.............              S7.11               S5.8
------------------------------------------------------------------------


[[Page 382]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.059



[[Page 383]]

(Delegation of authority at 38 FR 12147; secs. 102, 103, 119, Pub. L. 
89-563, 80 Stat. 718 (15 U.S.C. 1391, 1392, 1407); delegations of 
authority at 49 CFR 1.50 and 49 CFR 501.8)
[37 FR 5034, Mar. 9, 1972, as amended at 37 FR 11974, June 16, 1972; 38 
FR 14753, June 5, 1973; 39 FR 32914, Sept. 12, 1974; 39 FR 43075, Dec. 
10, 1974; 41 FR 24593, June 17, 1976; 43 FR 9606, Mar. 9, 1978; 43 FR 
46548, Oct. 10, 1978]



Sec. 571.123  Standard No. 123; Motorcycle controls and displays.

    S1. Scope. This standard specifies requirements for the location, 
operation, identification, and illumination of motorcycle controls and 
displays, and requirements for motorcycle stands and footrests.
    S2. Purpose. The purpose of this standard is to minimize accidents 
caused by operator error in responding to the motoring environment, by 
standardizing certain motorcycle controls and displays.
    S3. Application. This standard applies to motorcycles equipped with 
handlebars, except for motorcycles that are designed, and sold 
exclusively for use by law enforcement agencies.
    S4. Definitions. Clockwise and counterclockwise mean opposing 
directions of rotation around the following axes, as applicable. (a) The 
operational axis of the ignition control, viewed from in front of the 
ignition lock opening;
    (b) The axis of the right handlebar on which the twist-grip throttle 
is located, viewed from the end of that handlebar;
    (c) The axis perpendicular to the center of the speedometer, viewed 
from the operator's normal eye position.
    S5.  Requirements.
    S5.1. Each motorcycle shall be equipped with a supplemental engine 
stop control, located and operable as specified in Table 1.
    S5.2  Each motorcycle to which this standard applies shall meet the 
following requirements:
    S5.2.1  Control location and operation. If any item of equipment 
listed in Table 1, Column 1, is provided, the control for such item 
shall be located as specified in Column 2, and operable as specified in 
Column 3. Each control located on a right handlebar shall be operable by 
the operator's right hand throughout its full range without removal of 
the operator's right hand from the throttle. Each control located on a 
left handlebar shall be operable by the operator's left hand throughout 
its full range without removal of the operator's left hand from the 
handgrip. If a motorcycle with an automatic clutch is equipped with a 
supplemental rear brake control, the control shall be located on the 
left handlebar. If a motorcycle is equipped with self-proportioning or 
antilock braking devices utilizing a single control for front and rear 
brakes, the control shall be located and operable in the same manner as 
a rear brake control.
    S5.2.2  Display illumination and operation. If an item of equipment 
listed in Table 2, Column 1, is provided, the display for such item 
shall be visible to a seated operator under daylight conditions, shall 
illuminate as specified in Column 2, and shall operate as specified in 
Column 3.
    S5.2.3  Control and display identification. If an item of equipment 
in Table 3, Column 1, is provided, the item and its operational function 
shall be identified by:
    (a) A symbol substantially in the form shown in Column 3; or
    (b) Wording shown in both Column 2 and Column 4; or
    (c) A symbol substantially in the form shown in Column 3 and wording 
shown in both Column 2 and Column 4.
    The abbreviations ``M.P.H.'', ``r/min'', ``Hi'', ``Lo'', ``L'', 
``R'', and ``Res'' appearing in Column 2 and Column 4 may be spelled in 
full. Symbols and words may be provided for equipment items where none 
are shown in Column 2, Column 3, and Column 4. Any identification 
provided shall be placed on or adjacent to the control or display 
position, and shall appear upright to the operator.
    S5.2.4  Stands. A stand shall fold rearward and upward if it 
contacts the ground when the motorcycle is moving forward.
    S5.2.5  Footrests. Footrests shall be provided for each designated 
seating position. Each footrests for a passenger other than an operator 
shall fold rearward and upward when not in use.

[[Page 384]]



                         Table 1--Motorcycle Control Location and Operation Requirements                        
----------------------------------------------------------------------------------------------------------------
       Equipment control--Column 1             Location--Column 2                  Operation--Column 3          
----------------------------------------------------------------------------------------------------------------
1. Manual clutch or integrated clutch     Left handlebar..............  Squeeze to disengage clutch.            
 and gear change.                                                                                               
2. Foot operated gear change............  Left foot control...........  An upward motion of the operator's toe  
                                                                         shifts transmission toward lower       
                                                                         numerical gear ratios (commonly        
                                                                         referred to as ``higher gears''), and a
                                                                         downward motion toward higher numerical
                                                                         gear ratios (commonly referred to as   
                                                                         ``lower gears''). If three or more     
                                                                         gears are provided it shall not be     
                                                                         possible to shift from the highest gear
                                                                         directly to the lowest gear, or vice   
                                                                         versa.                                 
3. Headlamp upper-lower beam control....  Left handlebar..............  Up for upper beam, down for lower beam. 
                                                                         If combined with the headlight on-off  
                                                                         switch, means shall be provided to     
                                                                         prevent inadvertent actuation of the   
                                                                         ``off'' function.                      
4. Horn.................................  ......do....................  Push to activate.                       
5. Turn signal lamps....................  Handlebars..................                                          
6. Ignition.............................  ............................  ``Off''--counterclockwise from other    
                                                                         positions.                             
7. Manual fuel shutoff control..........  ............................   Rotate to operate. ``On'' and ``Off''  
                                                                         are separated by 90 degrees of         
                                                                         rotation. ``Off'' and ``Reserve'' (if  
                                                                         provided) are separated by 90 degrees  
                                                                         of rotation. Sequence order: ``On''--  
                                                                         ``Off''--``Reserve''.                  
8. Twist-grip throttle..................  Right handlebar.............  Self-closing to idle in a clockwise     
                                                                         direction after release of hand.       
9. Supplemental engine stop.............  ......do....................                                          
10. Front wheel brake...................  ......do....................  Squeeze to engage.                      
11. Rear wheel brakes...................  Right foot control  \1\.....  Depress to engage.                      
                                          Left handlebar permissible                                            
                                           for motor-driven cycles.                                             
----------------------------------------------------------------------------------------------------------------
\1\ See S5.2.1 for requirements for vehicles with a single control for front and rear brakes, and with a        
  supplemental rear brake control.                                                                              


                       Table 2--Motorcycle Display Illumination and Operation Requirements                      
----------------------------------------------------------------------------------------------------------------
           Display--Column 1                  Illumination--Column 2                Operation--Column 3         
----------------------------------------------------------------------------------------------------------------
1. Speedometer.........................  Yes............................  The display is illuminated whenever   
                                                                           the headlamp is activated.           
2. Neutral indication..................  Green display lamp.............  The display lamp illuminates when the 
                                                                           gear selector is in neutral position.
----------------------------------------------------------------------------------------------------------------


[[Page 385]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.060

[37 FR 7207, Apr. 12, 1972, as amended at 37 FR 17475, Aug. 29, 1972; 39 
FR 32915, Sept. 12, 1974; 48 FR 42819, Sept. 20, 1983; 49 FR 35381, 
Sept. 7, 1984; 49 FR 35504, Sept. 10, 1984; 56 FR 61387, Dec. 3, 1991]

[[Page 386]]



Sec. 571.124  Standard No. 124; Accelerator control systems.

    S1. Scope. This standard establishes requirements for the return of 
a vehicle's throttle to the idle position when the driver removes the 
actuating force from the accelerator control, or in the event of a 
severance or disconnection in the accelerator control system.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries resulting from engine overspeed caused by malfunctions in the 
accelerator control system.
    S3. Application. This standard applies to passenger cars, multi-
purpose passenger vehicles, trucks, and buses.
    S4. Definitions.
    S4.1  Driver-operated accelerator control system means all vehicle 
components, except the fuel metering device, that regulate engine speed 
in direct response to movement of the driver-operated control and that 
return the throttle to the idle position upon release of the actuating 
force.
    Fuel metering device means the carburetor, or in the case of certain 
engines the fuel injector, fuel distributor or fuel injection pump.
    Throttle means the component of the fuel metering device that 
connects to the driver-operated accelerator control system and that by 
input from the driver-operated accelerator control system controls the 
engine speed.
    Idle position means the position of the throttle at which it first 
comes in contact with an engine idle speed control appropriate for 
existing conditions according to the manufacturers' recommendations. 
These conditions include, but are not limited to, engine speed 
adjustments for cold engine, air conditioning, and emission control, and 
the use of throttle setting devices.
    Ambient temperature means the surrounding air temperature, at a 
distance such that it is not significantly affected by heat from the 
vehicle under test.
    S4.2  In the case of vehicles powered by electric motors, the words 
throttle and idle refer to the motor speed controller and motor 
shutdown, respectively.
    S5. Requirements. The vehicle shall meet the following requirements 
when the engine is running under any load condition, and at any ambient 
temperature between -40 degrees Celsius and +52 degrees Celsius after 12 
hours of conditioning at any temperature within that range.
    S5.1  There shall be at least two sources of energy capable of 
returning the throttle to the idle position within the time limit 
specified by S5.3 from any accelerator position or speed whenever the 
driver removes the opposing actuating force. In the event of failure of 
one source of energy by a single severance or disconnection, the 
throttle shall return to the idle position within the time limits 
specified by S5.3, from any accelerator position or speed whenever the 
driver removes the opposing actuating force.
    S5.2  The throttle shall return to the idle position from any 
accelerator position or any speed of which the engine is capable 
whenever any one component of the accelerator control system is 
disconnected or severed at a single point. The return to idle shall 
occur within the time limit specified by S5.3, measured either from the 
time of severance or disconnection or from the first removal of the 
opposing actuating force by the driver.
    S5.3  Except as provided below, maximum time to return to idle 
position shall be 1 second for vehicles of 4536 kilograms or less GVWR, 
and 2 seconds for vehicles of more than 4536 kilograms GVWR. Maximum 
time to return to idle position shall be 3 seconds for any vehicle that 
is exposed to ambient air at -18 degrees Celsius to -40 degrees Celsius 
during the test or for any portion of the 12-hour conditioning period.
[38 FR 2980, Jan. 31, 1973; as amended at 60 FR 13645, Mar. 14, 1995]



Sec. 571.125  Standard No. 125; Warning devices.

    S1. Scope. This standard establishes requirements for devices, 
without self-contained energy sources, that are designed to be carried 
in motor vehicles and used to warn approaching traffic of the presence 
of a stopped vehicle, except for devices designed to be permanently 
affixed to the vehicle.

[[Page 387]]

    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries due to rear end collisions between moving traffic and disabled 
vehicles.
    S3. Application. This standard applies to devices, without self-
contained energy sources, that are designed to be carried in buses and 
trucks that have a gross vehicle weight rating (GVWR) greater than 
10,000 pounds. These devices are used to warn approaching traffic of the 
presence of a stopped vehicle, except for devices designed to be 
permanently affixed to the vehicle.
    S4. Definitions. Entrance angle means the angle having as its sides 
the line through the center, and normal to the face, of the object to be 
tested, and the line from the center of the object to the center of the 
source of illumination (Figure 2).
    Fluorescent means the property of emitting visible light due to the 
absorption of radiation of a shorter wavelength which may be outside the 
visible spectrum.
    Observation angle means the angle having as its sides the line from 
the observation point to the center of the object to be tested and the 
line from the center of that object to the center of the source of 
illumination (Figure 2).
    Reflex reflective means reflective of light in directions close to 
the direction of incident light, over a wide range of variations in the 
direction of incident light.
    S5. Requirements.
    S5.1  Equipment.
    S5.1.1  Reflex reflective material and fluorescent material that 
meet the requirements of this standard shall be affixed to both faces of 
the warning device. Alternatively, a dual purpose orange fluorescent and 
red reflective material that meets the requirements of this standard 
(hereafter referred to as ``dual purpose material'') may be affixed to 
both faces in places of the reflective and fluorescent materials.
    S5.1.2  Each warning device shall be protected from damage and 
deterioration--
    (a) By enclosure in an opaque protective reusable container, except 
that two or three warning devices intended to be sold for use as a set 
with a single vehicle may be enclosed in a single container; or
    (b) By secure attachment to any light-tight, enclosed, and easily 
accessible compartment of a new motor vehicle with which it is supplied 
by the vehicle manufacturer.
    S5.1.3  The warning device shall be designed to be erected, and 
replaced in its container, without the use of tools.
    S5.1.4  The warning device shall be permanently and legibly marked 
with:
    (a) Name of manufacturer;
    (b) Month and year of manufacture, which may be expressed 
numerically, as ``6/72''; and
    (c) The symbol DOT, or the statement that the warning device 
complies with all applicable Federal motor vehicle safety standards.
    S5.1.5  Each warning device shall have instructions for its erection 
and display. (a) The instructions shall be either indelibly printed on 
the warning device or attached in such a manner that they cannot be 
easily removed.
    (b) Instructions for each warning device shall include a 
recommendation that the driver activate the vehicular hazard warning 
signal lamps before leaving the vehicle to erect the warning device.
    (c) Instructions shall include the illustration depicted in Figure 3 
indicating recommended positioning.
    S5.2  Configuration.
    S5.2.1  When the warning device is erected on level ground:
    (a) Part of the warning device shall form an equilateral triangle 
that stands in a plane not more than 10 deg. from the vertical, with the 
lower edge of the base of the triangle horizontal and not less than 1 
inch above the ground.
    (b) None of the required portion of the reflective material and 
fluorescent material shall be obscured by any other part of the warning 
device except for any portion of the material over which it is necessary 
to provide fasteners, pivoting beads or other means to allow 
collapsibility or support of the device. In any event, sufficient 
reflective and fluorescent material shall be used on the triangle to 
meet the requirements of S5.4 and S5.5.
    S5.2.2  Each of the three sides of the triangular portion of the 
warning device shall not be less than 17 and not more than 22 inches 
long, and not less

[[Page 388]]

than 2 and not more than 3 inches wide (Figure 1).
    S5.2.3  Each face of the triangular portion of the warning device 
shall have an outer border of red reflex reflective material of uniform 
width and not less than 0.75 and not more than 1.75 inches wide, and an 
inner border of orange fluorescent material of uniform width and not 
less than 1.25 and not more than 1.30 inches wide (Figure 1). However, 
this requirement shall not apply if the dual purpose material is used.
    S5.2.4  Each vertex of the triangular portion of the warning device 
shall have a radius of not less than 0.25 inch and not more than 0.50 
inch.
    S5.2.5  All edges shall be rounded or chamfered, as necessary, to 
reduce the possibility of cutting or harm to the user.
    S5.2.6  The device shall consist entirely of the triangular portion 
and attachments necessary for its support and enclosure, without 
additional visible shapes or attachments.
    S5.3  Color.
    S5.3.1  The color of the red reflex reflective material on the 
warning device shall have the following characteristics, both before and 
after the warning device has been conditioned in accordance with S6.1, 
when the source of illumination is a lamp with a tungsten filament 
operating at 2856 deg. Kelvin color temperature. Expressed in terms of 
the International Commission on Illumination (CIE) 1931 standard 
colorimetric observer system (CIE chromaticity diagram, Figure 4), the 
chromaticity coordinates of the red reflex reflective material shall lie 
within the region bounded by the spectrum locus and the lines on the 
diagram defined by the following equations:

------------------------------------------------------------------------
                 Boundary                             Equations         
------------------------------------------------------------------------
Yellow....................................  y=0.33                      
White.....................................  x+y=0.98                    
------------------------------------------------------------------------

    S5.3.2  The color of the orange fluorescent material on the warning 
device shall have the following characteristics, both before and after 
the warning device has been conditioned in accordance with S6.1, when 
the source of illumination is a 150-watt high pressure xenon compact arc 
lamp. Expressed in terms of the International Commission on Illumination 
(CIE) 1931 standard colorimetric observer system, the chromaticity 
coordinates of the orange fluorescent material shall lie within the 
region bounded by the spectrum locus and the lines on the diagram 
defined by the following equations:

------------------------------------------------------------------------
                 Boundary                             Equations         
------------------------------------------------------------------------
Yellow....................................  y=0.49  x+0.17              
White.....................................  x+y=0.93                    
Red.......................................  y=0.35                      
------------------------------------------------------------------------

    The 150-watt high pressure xenon compact arc lamp shall illuminate 
the sample using the unmodified spectrum at an angle of incidence of 
45 deg. and an angle of observation of 90 deg.. If dual purpose material 
is being tested, it shall be illuminated by a 150-watt high pressure 
xenon compact arc lamp, whose light is diffused by an integrating 
sphere.
    S5.4  Reflectivity. When the red reflex reflective material on the 
warning device is tested in accordance with S6.2, both before and after 
the warning device has been conditioned in accordance with S6.1, its 
total candlepower per incident foot candle shall be not less than the 
values specified in Table I for each of the listed entrance angles.
    S5.5  Luminance. When the orange fluorescent material on the warning 
device is tested in accordance with S6.3, both before and after the 
warning device has been conditioned in accordance with S6.1, it shall 
have a minimum relative luminance of 25 percent of a flat magnesium 
oxide surface and a minimum product of that relative luminance and width 
in inches of 44.
    S5.6  Stability. When the warning device is erected on a horizontal 
brushed concrete surface both with and against the brush marks and 
subjected to a horizontal wind of 40 miles per hour in any direction for 
3 minutes--
    (a) No part of it shall slide more than 3 inches from its initial 
position;
    (b) Its triangular portion shall not tilt to a position that is more 
than 10 deg. from the vertical; and
    (c) Its triangular position shall not turn through a horizontal 
angle of more than 10 deg. in either direction from the initial 
position.
    S5.7  Durability. When the warning device is conditioned in 
accordance

[[Page 389]]

with S6.1, no part of the warning device shall become warped or 
separated from the rest of the warning device.
    S6.  Test Procedures.
    S6.1  Conditions.
    S6.1.1  Submit the warning device to the following conditioning 
sequence, returning the device after each step in the sequence to 
ambient air at 68 deg. F. for at least 2 hours. (a) Minus 40 deg. F. for 
16 hours in a circulating air chamber using ambient air which would have 
not less than 30 percent and not more than 70 percent relative humidity 
at 70 deg. F.;
    (b) 150 deg. F. for 16 hours in a circulating air oven using ambient 
air which would have not less than 30 percent and not more than 70 
percent relative humidity at 70 deg. F.;
    (c) 100 deg. F. and 90 percent relative humidity for 16 hours;
    (d) Salt spray (fog) test in accordance with American Society of 
Testing and Materials Standard B-117, Standard Method of Salt Spray 
(fog) testing, August 1964, except that the test shall be for 4 hours 
rather than 40 hours; and
    (e) Immersion for 2 hours in water at a temperature of 100 deg. F.
    S6.2  Reflectivity Test. Test the red reflex reflective materials as 
follows:
    (a) Unless dual purpose material is used, prevent the orange 
fluorescent material from affecting the photometric measurement of the 
reflectivity of the red reflex reflective material, either by separation 
or masking.
    (b) Use a lamp with a tungsten filament operating at 2856 deg. 
Kelvin color temperature as the source of illumination.
    (c) Place the source of illumination 100 feet from the red reflex 
reflective material (Figure 2).
    (d) Place the observation point directly above the source of 
illumination (Figure 2).
    (e) Calculate the total candlepower per incident foot candle of the 
red reflex reflective material at each of the entrance and observation 
angles specified in Table 1.
    S6.3  Luminance Test. Test the orange fluorescent material as 
follows:
    (a) Unless dual purpose material is used, prevent the red reflex 
reflective material from affecting the photometric measurement of the 
luminance of the orange fluorescent material.
    (b) Using a 150-watt high pressure xenon compact arc lamp as the 
light source, illuminate the test sample at an angle of incidence of 
45 deg. and an angle of observation of 90 deg.. If dual purpose material 
is being tested, illuminate the sample diffusely through an integrating 
sphere.
    (c) Measure the luminance of the material at a perpendicular viewing 
angle, with no ray of the viewing beam more than 5 deg. from the 
perpendicular to the specimen.
    (d) Repeat the procedure for a flat magnesium oxide surface, and 
compute the quotient (percentage) of the luminance of the material 
relative to that of the magnesium oxide surface.
[GRAPHIC] [TIFF OMITTED] TC01AU91.061

              Fig. 1. Dimensions of Warning Device (Inches)

[[Page 390]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.062



[[Page 391]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.063



[39 FR 28636, Aug. 9, 1974, as amended at 40 FR 4, Jan. 2, 1975; 59 FR 
49591, Sept. 29, 1994]

[[Page 392]]



Sec. 571.126  [Reserved]



Sec. 571.129  Standard No. 129; New non-pneumatic tires for passenger cars.

    S1  Scope. This standard specifies tire dimensions and laboratory 
test requirements for lateral strength, strength, endurance, and high 
speed performance; defines the tire load rating; and specifies labeling 
requirements for non-pneumatic spare tires.
    S2  Application. This standard applies to new temporary spare non-
pneumatic tires for use on passenger cars.
    S3  Definitions.
    Carcass means the tire structure except for the tread which provides 
the major portion of the tire's capability to deflect in response to the 
vertical loads and tractive forces that the tire transmits from the 
roadway to the non-pneumatic rim, the wheel center member, or the 
vehicle and which attaches to the vehicle or attaches, either integrally 
or separably, to the wheel center member or non-pneumatic rim.
    Carcass separation means the pulling away of the carcass from the 
non-pneumatic rim or wheel center member.
    Chunking means the breaking away of pieces of the carcass or tread.
    Cracking means any parting within the carcass, tread, or any 
components that connect the tire to the non-pneumatic rim or wheel 
center member and, if the non-pneumatic tire is integral with the non-
pneumatic rim or wheel center member, any parting within the non-
pneumatic rim, or wheel center member.
    Load rating means the maximum load a tire is rated to carry.
    Maximum tire width means the greater of either the linear distance 
between the exterior edges of the carcass or the linear distance between 
the exterior edges of the tread, both being measured parallel to the 
rolling axis of the tire.
    Non-pneumatic rim means a mechanical device which, when a non-
pneumatic tire assembly incorporates a wheel, supports the tire, and 
attaches, either integrally or separably, to the wheel center member and 
upon which the tire is attached.
    Non-pneumatic test rim means with reference to a tire to be tested, 
any non-pneumatic rim that is listed as appropriate for use with that 
tire in accordance with S4.4.
    Non-pneumatic tire means a mechanical device which transmits, either 
directly or through a wheel or wheel center member, the vertical load 
and tractive forces from the roadway to the vehicle, generates the 
tractive forces that provide the directional control of the vehicle and 
does not rely on the containment of any gas or fluid for providing those 
functions.
    Non-pneumatic tire assembly means a non-pneumatic tire, alone or in 
combination with a wheel or wheel center member, which can be mounted on 
a vehicle.
    Non-pneumatic tire identification code means an alphanumeric code 
that is assigned by the manufacturer to identify the tire with regard to 
its size, application to a specific non-pneumatic rim or wheel center 
member or application to a specific vehicle.
    Test wheel center member means with reference to a tire to be 
tested, any wheel center member that is listed as appropriate for use 
with that tire in accordance with S4.4.
    Tread means that portion of the tire that comes in contact with the 
road.
    Tread separation means pulling away of the tread from the carcass.
    Wheel means a mechanical device which consists of a non-pneumatic 
rim and wheel center member and which, in the case of a non-pneumatic 
tire assembly incorporating a wheel, provides the connection between the 
tire and the vehicle.
    Wheel center member means, in the case of a non-pneumatic tire 
assembly incorporating a wheel, a mechanical device which attaches, 
either integrally or separably, to the non-pneumatic rim and provides 
the connection between the non-pneumatic rim and the vehicle; or in the 
case of a non-pneumatic tire assembly not incorporating a wheel, a 
mechanical device which attaches, either integrally or separably, to the 
non-pneumatic tire and provides the connection between the tire and the 
vehicle.
    S4  Requirements.
    S4.1  Size and Construction. Each tire shall be designed to fit each 
non-pneumatic rim or wheel center member specified for its non-pneumatic 
tire

[[Page 393]]

identification code designation in a listing in accordance with section 
S4.4.
    S4.2  Performance Requirements
    S4.2.1  General. Each tire shall conform to the following:
    (a) Its load rating shall be that specified in a submission made by 
a manufacturer, pursuant to S4.4(a), or in one of the publications 
described in S4.4(b) for its non-pneumatic tire identification code 
designation.
    (b) It shall incorporate a tread wear indicator that will provide a 
visual indication that the tire has worn to a tread depth of \1/16\ 
inch.
    (c) It shall, before being subjected to either the endurance test 
procedure specified in S5.4 or the high speed performance procedure 
specified in S5.5, exhibit no visual evidence of tread or carcass 
separation, chunking or cracking.
    (d) It shall meet the requirements of S4.2.2.5 and S4.2.2.6 when 
tested on a test wheel described in S5.4.2.1 either alone or 
simultaneously with up to 5 tires.
    S4.2.2  Test Requirements.
    S.4.2.2.1  Test Sample. For each test sample use:
    (a) One tire for physical dimensions, lateral strength, and strength 
in sequence;
    (b) A second tire for tire endurance; and
    (c) A third tire for high speed performance.
    S4.2.2.2  Physical Dimensions. For a non-pneumatic tire assembly in 
which the tire is separable from the non-pneumatic rim or wheel center 
member, the dimensions, measured in accordance with S5.1, for that 
portion of the tire that attaches to that non-pneumatic rim or wheel 
center member shall satisfy the dimensional specifications contained in 
the submission made by an individual manufacturer, pursuant to S4.4(a), 
or in one of the publications described in S4.4(b) for that tire's non-
pneumatic tire identification code designation.
    S4.2.2.3  Lateral Strength. There shall be no visual evidence of 
tread or carcass separation, cracking or chunking, when a tire is tested 
in accordance with S5.2 to a load of:
    (a) 1,500 pounds for tires with a load rating less than 880 pounds;
    (b) 2,000 pounds for tires with a load rating of 880 pounds or more 
but less than 1,400 pounds.
    (c) 2,500 pounds for tires with a load rating of 1,400 pounds or 
more, using the load rating marked on the tire or tire assembly.
    S4.2.2.4  Tire Strength. There shall be no visual evidence of tread 
carcass separation, cracking or chunking, when a tire is tested in 
accordance with S5.3 to a minimum energy level of:

------------------------------------------------------------------------
              Load rating                     Minimum energy level      
------------------------------------------------------------------------
Below 880 pounds......................  1950 inch pounds.               
880 pounds and above..................  2600 inch pounds.               
------------------------------------------------------------------------

    S4.2.2.5  Tire Endurance. When the tire has been subjected to the 
laboratory endurance test specified in S5.4, using, if applicable, a 
non-pneumatic test rim or test wheel center member that undergoes no 
permanent deformation, there shall be no visual evidence of tread or 
carcass separation, cracking or chunking. In the case of a non-pneumatic 
tire assembly in which the non-pneumatic tire is an integral part of the 
assembly, the assembly shall undergo no permanent deformation with the 
exception of wear of the tread.
    S4.2.2.6  High Speed Performance. When the tire has been subjected 
to the laboratory high speed performance test specified in S5.5, using 
if applicable, a non-pneumatic test rim or test wheel center member that 
undergoes no permanent deformation, there shall be no visual evidence of 
tread or carcass separation, cracking or chunking. In the case of a non-
pneumatic tire assembly in which the non-pneumatic tire is an integral 
part of the assembly, the assembly shall undergo no permanent 
deformation with the exception of wear of the tread.
    S4.3  Labeling Requirements. Each non-pneumatic tire or, in the case 
of a non-pneumatic tire assembly in which the non-pneumatic tire is an 
integral part of the assembly, each non-pneumatic tire assembly shall 
include, in letters or numerals not less than 0.078 inches high, the 
information specified in paragraphs S4.3 (a) through (f). The 
information shall be permanently molded, stamped or otherwise 
permanently marked into or onto the non-pneumatic tire or non-pneumatic 
tire

[[Page 394]]

assembly, except that the information specified in S4.3(d) and S4.3(g) 
may appear on a label that is permanently attached to the tire or tire 
assembly. If a label is used, it shall be subsurface printed, made of a 
material that is resistant to fade, heat, moisture, and abrasion, and 
attached in such a manner that it cannot be removed without destroying 
or defacing the label on the non-pneumatic tire or tire assembly. The 
information shall appear on both sides of the non-pneumatic tire or non-
pneumatic tire assembly, except, in the case of a non-pneumatic tire 
assembly which has a particular side that must always face outward when 
mounted on a vehicle, in which case the information shown in paragraphs 
S4.3 (a) through (g) shall only be required on the outward facing side. 
The information shall be positioned on the tire or tire assembly such 
that it is not placed on the tread or the outermost edge of the tire and 
is not obstructed by any portion of any non-pneumatic rim or wheel 
center member designated for use with that tire in S4.4 of this standard 
or in 49 CFR 571.110 or 49 CFR 571.120.
    (a) The non-pneumatic tire identification code (``NPTIC'');
    (b) Load rating, which, if expressed in kilograms, shall be followed 
in parenthesis by the equivalent load rating in pounds, rounded to the 
nearest whole pound;
    (c) For a non-pneumatic tire that is not an integral part of a non-
pneumatic tire assembly, the size and type designation of the non-
pneumatic rim or wheel center member that is contained in the submission 
made by a manufacturer, pursuant to S4.4(a), or in one of the 
publications described in S4.4(b) for that tire's non-pneumatic tire 
identification code designation;
    (d) The name of the manufacturer or brand name;
    (e) The symbol DOT in the manner specified in part 574 of this 
chapter, which shall constitute a certification that the tire conforms 
to applicable Federal motor vehicle safety standards;
    (f) The tire identification number required by Sec. 574.5 of this 
chapter;
    (g) The labeling requirements set forth in S6 of Standard No. 110 
(Sec. 571.110), or S8 of Standard No. 120 (Sec. 571.120).
    S4.4  Non-Pneumatic Tire Identification Code and Non-Pneumatic Rim/
Wheel Center Member Matching Information. For purposes of this standard, 
S8 of 49 CFR 571.110 and S10 of 49 CFR 571.120, each manufacturer of a 
non-pneumatic tire that is not an integral part of a non-pneumatic tire 
assembly shall ensure that it provides a listing to the public for each 
non-pneumatic tire that it produces. The listing shall include the non-
pneumatic tire identification code, tire load rating, dimensional 
specifications and a diagram of the portion of the tire that attaches to 
the non-pneumatic rim or wheel center member, and a list of the non-
pneumatic rims or wheel center members that may be used with that tire. 
For each non-pneumatic rim or wheel center member included in such a 
listing, the information provided shall include a size and type 
designation for the non-pneumatic rim or wheel center member, and 
dimensional specifications and a diagram of the non-pneumatic rim or 
portion of the wheel center member that attaches to the tire. A listing 
compiled in accordance with paragraph (a) of this section need not 
include dimensional specifications or a diagram of the non-pneumatic rim 
or portion of the wheel center member that attaches to the tire if the 
non-pneumatic rim's or portion of the wheel center member's dimensional 
specifications and diagram are contained in each listing published in 
accordance with paragraph (b) of this section. The listing shall be in 
one of the following forms:
    (a) Listed by manufacturer name or brand name in a document 
furnished to dealers of the manufacturer's tires or, in the case of non-
pneumatic tires supplied only as a temporary spare tire on a vehicle, in 
a document furnished to dealers of vehicles equipped with the tires, to 
any person upon request, and in duplicate to the Office of Vehicle 
Safety Standards, Crash Avoidance Division, National Highway Traffic 
Safety Administration, U.S. Department of Transportation, Washington, DC 
20590; or
    (b) Contained in publications, current at the date of manufacture of 
the tire

[[Page 395]]

or any later date, of at least one of the following organizations:

    The Tire and Rim Association
    The European Tyre and Rim Technical Organization
    Japan Automobile Tire Manufacturers' Association, Inc.
    Deutche Industrie Norm
    British Standards Institute
    Scandinavian Tire and Rim Organization
    Tyre and Rim Association of Australia

    S5.  Test Procedures.
    S5.1  Physical Dimensions. After conditioning the tire at room 
temperature for at least 24 hours, using equipment with minimum 
measurement capabilities of one-half the smallest tolerance specified in 
the listing contained in the submission made by a manufacturer pursuant 
to S4.4(a), or in one of the publications described in S4.4(b) for that 
tire's non-pneumatic tire identification code designation, measure the 
portion of the tire that attaches to the non-pneumatic rim or the wheel 
center member. For any inner diameter dimensional specifications, or 
other dimensional specifications that are uniform or uniformly spaced 
around some circumference of the tire, these measurements shall be taken 
at least six points around the tire, or, if specified, at the points 
specified in the listing contained in the submission made by an 
individual manufacturer, pursuant to S4.4(a), or in one of the 
publications described in S4.4(b) for that tire's non-pneumatic tire 
identification code designation.
    S5.2  Lateral Strength.
    S5.2.1  Preparation of the tire.
    S5.2.1.1  If applicable, mount a new tire on a non-pneumatic test 
rim or test wheel center member.
    S5.2.1.2  Mount the tire assembly in a fixture as shown in Figure 1 
with the surface of the tire assembly that would face outward when 
mounted on a vehicle facing toward the lateral strength test block shown 
in Figure 2 and force the lateral strength test block against the tire.
    S5.2.2  Test Procedure.
    S5.2.2.1  Apply a load through the block to the tire at a rate of 2 
inches per minute, with the load arm parallel to the tire assembly at 
the time of engagement and the first point of contact with the test 
block being the test block centerline shown in Figure 2, at the 
following distances, B, in sequence, as shown in Figure 1:

    B=A--1 inch
    B=A--2 inches
    B=A--3 inches
    B=A--4 inches
    B=A--5 inches, and
    B=A--6 inches.

However, if at any time during the conduct of the test, the test block 
comes in contact with the non-pneumatic test rim or test wheel center 
member, the test shall be suspended and no further testing at smaller 
values of the distance B shall be conducted. When tested to the above 
procedure, satisfying the requirements of S4.2.2.3 for all values of B 
greater than that for which contact between the non-pneumatic test rim 
or test wheel center member and the test block is made, shall constitute 
compliance to the requirements set forth in S4.2.2.3.
    S5.3  Tire Strength.
    S5.3.1  Preparation of the Tire.
    S5.3.1.1  If applicable, mount the tire on a non-pneumatic test rim 
or test wheel center member.
    S5.3.1.2  Condition the tire assembly at room temperature for at 
least three hours.
    S5.3.2  Test Procedures.
    S5.3.2.1  Force the test cleat, as defined in S5.3.2.2, with its 
length axis (see S5.3.2.2(a)) parallel to the rolling axis of the non-
pneumatic tire assembly, and its height axis (see S5.3.2.2(c)), 
coinciding with a radius of the non-pneumatic tire assembly, into the 
tread of the tire at five test points equally spaced around the 
circumference of the tire. At each test point, the test cleat is forced 
into the tire at a rate of two inches per minute until the applicable 
minimum energy level, as shown in S4.2.2.4, calculated using the formula 
contained in S5.3.2.3, is reached.
    S5.3.2.2 The test cleat is made of steel and has the following 
dimensions;
    (a) Minimum length of one inch greater than the maximum tire width 
of the tire,

[[Page 396]]

    (b) Width of one-half inch with the surface which contacts the 
tire's tread having one-quarter inch radius, and
    (c) Minimum height of one inch greater than the difference between 
the unloaded radius of the non-pneumatic tire assembly and the maximum 
radius of the non-pneumatic rim or wheel center member, if used with the 
non-pneumatic tire assembly being tested.
    S5.3.2.3  The energy level is calculated by the following formula:
    [GRAPHIC] [TIFF OMITTED] TC01AU91.066
    
where
    E=Energy level, inch-pounds;
    F=Force, pounds; and
    P=Penetration, inches

    S5.4  Tire Endurance.
    S5.4.1  Preparation of the tire.
    S5.4.1.1  If applicable, mount a new tire on a non-pneumatic test 
rim or test wheel center member.
    S5.4.1.2  Condition the tire assembly to 1005  deg.F. 
for at least three hours.
    S5.4.2  Test Procedure.
    S5.4.2.1  Mount the tire assembly on a test axle and press it 
against a flat-faced steel test wheel 67.23 inches in diameter and at 
least as wide as the maximum tire width of the tire to be tested or an 
approved equivalent test wheel, with the applicable test load specified 
in the table in S5.4.2.3 for the tire's non-pneumatic tire 
identification code designation.
    S5.4.2.2  During the test, the air surrounding the test area shall 
be 1005  deg.F.
    S5.4.2.3  Conduct the test at 50 miles per hour (m.p.h.) in 
accordance with the following schedule without interruption: The loads 
for the following periods are the specified percentage of the load 
rating marked on the tire or tire assembly:

                                                                 Percent
4 hours...............................................................85
86 hours..............................................................90
24 hours.............................................................100

    S5.4.2.4  Immediately after running the tire the required time, 
allow the tire to cool for one hour, then, if applicable, detach it from 
the non-pneumatic test rim or test wheel center member, and inspect it 
for the conditions specified in S4.2.2.5.
    S5.5  High Speed Endurance.
    S5.5.1  After preparing the tire in accordance with S5.4.1, if 
applicable, mount the tire assembly in accordance with S5.4.2.1, and 
press it against the test wheel with a load of 88 percent of the tire's 
load rating as marked on the tire or tire assembly.
    S5.5.2  Break in the tire by running it for 2 hours at 50 m.p.h.
    S5.5.3  Allow to cool to 1005  deg.F.
    S5.5.4  Test at 75 m.p.h. for 30 minutes, 80 m.p.h. for 30 minutes 
and 85 m.p.h. for 30 minutes.
    S5.5.5  Immediately after running the tire for the required time, 
allow the tire to cool for one hour, then, if applicable, detach it from 
the non-pneumatic test rim or test wheel center member, and inspect it 
for the conditions specified in S4.2.2.6.
    S6.  Nonconforming tires. Any non-pneumatic tire that is designed 
for use on passenger cars that does not conform to all the requirements 
of this standard, shall not be sold, offered for sale, introduced or 
delivered for introduction into interstate commerce, or imported into 
the United States, for any purpose.

[[Page 397]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.067



[[Page 398]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.068


[55 FR 29590, July 20, 1990, as amended at 56 FR 19312, Apr. 26, 1991]

[[Page 399]]



Sec. 571.131  Standard No. 131; School bus pedestrian safety devices.

    S1. Scope. This standard establishes requirements for devices that 
can be installed on school buses to improve the safety of pedestrians in 
the vicinity of stopped school buses.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries by minimizing the likelihood of vehicles passing a stopped 
school bus and striking pedestrians in the vicinity of the bus.
    S3. Application. This standard applies to school buses.
    S4. Definitions.
    Stop signal arm means a device that can be extended outward from the 
side of a school bus to provide a signal to other motorists not to pass 
the bus because it has stopped to load or discharge passengers.
    S5. Requirements. Each school bus shall be equipped with a stop 
signal arm meeting the requirements of S5.1 through S5.5 as depicted in 
Figure 1.
[GRAPHIC] [TIFF OMITTED] TC01AU91.069


[[Page 400]]


    S5.1 The stop signal arm shall be a regular octagon which is at 
least 450 mm x 450 mm (17.72 inches x 17.72 inches) in diameter.
    S5.2 The stop signal arm shall be red on both sides, except as 
provided in S5.2.1 and S5.2.2, and S5.2.3.
    S5.2.1 The stop signal arm shall have a white border at least 12 mm 
(0.47 inches) wide on both sides, except as provided in S5.2.3.
    S5.2.2 The stop signal arm shall have the word ``STOP'' displayed in 
white upper-case letters on both sides, except as provided in S5.2.3. 
The letters shall be at least 150 mm (5.9 inches) in height and have a 
stroke width of at least 20 mm (0.79 inches).
    S5.2.3 When two stop signal arms are installed on a school bus, the 
rearmost stop signal arm shall not contain any lettering, symbols, or 
markings on the forward side.
    S5.3 Conspicuity. The stop signal arm shall comply with either 
S5.3.1 or S5.3.2, or both.
    S5.3.1 The entire surface of both sides of the stop signal arm shall 
be reflectorized with type III retroreflectorized material that meets 
the minimum specific intensity requirements of S6.1 and Table 1. When 
two stop signal arms are installed on a school bus, the forward side of 
the rearmost stop signal arm shall not be reflectorized.
    S5.3.2 Each side of the stop signal arm shall have at least two red 
lamps that meet the requirements of S6.2. The lamps shall be centered on 
the vertical centerline of the stop arm. One of the lamps shall be 
located at the extreme top of the stop arm and the other at its extreme 
bottom.
    S5.4  The stop signal arm shall be installed on the left side of the 
bus.
    S5.4.1  The stop signal arm shall be located such that, when in the 
extended position:
    (a) The stop signal arm is perpendicular to the side of the bus, 
plus or minus five degrees;
    (b) The top edge of the stop signal arm is parallel to and not more 
than 6 inches from a horizontal plane tangent to the lower edge of the 
frame of the passenger window immediately behind the driver's window; 
and
    (c) The vertical centerline of the stop signal arm is not less than 
9 inches away from the side of the school bus.
    S5.4.2  A second stop signal arm may be installed on a school bus. 
That stop signal arm shall comply with S5.4 and S5.4.1.
    S5.5 The stop signal arm shall be automatically extended in such a 
manner that it complies with S5.4.1, at a minimum whenever the red 
signal lamps required by S5.1.4 of Standard No. 108 are activated; 
except that a device may be installed that prevents the automatic 
extension of a stop signal arm. The mechanism for activating the device 
shall be within the reach of the driver. While the device is activated, 
a continuous or intermittent signal audible to the driver shall sound. 
The audible signal may be equipped with a timing device requiring the 
signal to sound for at least 60 seconds. If a timing device is used, it 
shall automatically recycle every time the service entry door is opened 
while the engine is running and the manual override is engaged.
    S6 Test Procedures.
    S6.1 Reflectivity Test. When tested under the conditions specified 
in S6.2 (b), (c), and (d) of Federal motor vehicle safety standard 125, 
Warning Devices, (49 CFR 571.125), the retroreflective materials shall 
meet the criteria specified in table 1.

         Table 1--Minimum Specific Intensity Per Unit Area (SIA)        
                (Candelas per Footcandle Per Square Foot)               
------------------------------------------------------------------------
                                              Entrance                  
            Observation Angle ()              Angle ()   White     Red  
                                                                        
------------------------------------------------------------------------
                Type III Retroreflective Element Material               
------------------------------------------------------------------------
             A--Glass Bead Retroreflective Element Material             
--------------------------------------------                            
0.2........................................         -4      250       45
0.2........................................        +30      150       25
0.5........................................         -4       95       15
0.5........................................        +30       65       10
--------------------------------------------                            
              B--Prismatic Retroreflective Element Material             
--------------------------------------------                            
0.2........................................         -4      250       45
0.2........................................        +30       95     13.3
0.5........................................         -4      200       28
0.5........................................        +30       65       10
------------------------------------------------------------------------

    S6.2 Lighting Tests.
    S6.2.1 Color. The procedure shall be done in accordance with the 
Society of Automotive Engineers (SAE) J578, Color Specification (May 
1988), 1990

[[Page 401]]

SAE Handbook, Society of Automotive Engineers, Inc. Along with the 
incorporation by reference in S6.2.3, this incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from the 
Society of Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 
15096-0001. Copies may be inspected at Docket Room, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590 or at the Office of the Federal Register, 800 North Capitol 
Street, NW., suite 700, Washington, DC. When visually compared to the 
light emitted from a filter/source with a combination of chromaticity 
coordinates as explained in SAE J578, Color Specification (May 1988), 
within specific boundaries [y=0.33 (yellow boundary) and y=0.98-- 
x (purple boundary)] the color of light emitted from the test object 
shall not be less saturated (paler), yellower, or purpler. The test 
object shall be placed perpendicular to the light source to simulate 
lamps on stop signal arms. In making visual comparisons, the light from 
the test object shall light one portion of a comparison field and the 
light from the filter/source standard shall light an adjacent area. To 
make a valid visual comparison, the two fields to be viewed shall be of 
near equal luminance.
    S6.2.2.  Flash rate. The lamps on each side of the stop signal arm, 
when operated at the manufacturer's design load, shall flash alternately 
at a rate of 60 to 120 flashes per minute.
    S6.2.2.1  Filament type lamps shall have a current ``on'' time of 30 
to 75 percent of the total flash cycle. The total current ``on'' time 
for the two terminals shall be between 90 and 110 percent of the total 
flash cycle.
    S6.2.2.2  Gaseous discharge lamps shall have an ``off'' time before 
each flash of at least 50 percent of the total flash cycle.
    S6.2.3 Vibration, Moisture, Dust, Corrosion, Photometry, and Warpage 
Tests. The procedure shall be done in accordance with the Society of 
Automotive Engineers (SAE) J575, Tests for Motor Vehicle Lighting 
Devices and Components, (July 1983) and Society of Automotive Engineers 
(SAE) J1133, School Bus Stop Arm, (April 1984), 1990 SAE Handbook, 
Society of Automotive Engineers, Inc. Lamps and lighting components 
shall meet the criteria for vibration, moisture, dust, corrosion, 
photometry, and warpage in SAE J575, Tests for Motor Vehicle Lighting 
Devices and Components, (July 1983) and SAE J1133, School Bus Stop Arm, 
(April 1984) under the test conditions specified herein.
[56 FR 20370, May 3, 1991, as amended at 57 FR 40134, Sept. 2, 1992; 59 
FR 26761, May 24, 1994]



Sec. 571.135  Standard No. 135; Passenger car brake systems.

    S1. Scope. This standard specifies requirements for service brake 
and associated parking brake systems.
    S2. Purpose. The purpose of this standard is to ensure safe braking 
performance under normal and emergency driving conditions.
    S3. Application. This standard applies to passenger cars 
manufactured on or after September 1, 2000 and to multi-purpose 
passenger vehicles, trucks and buses with a gross vehicle weight rating 
(GVWR) of 3,500 kilograms (7,716 pounds) or less, manufactured on or 
after September 1, 2002. In addition, at the option of the manufacturer, 
passenger cars manufactured before September 1, 2000, and multi-purpose 
passenger vehicles, trucks and buses with a GVWR of 3,500 kilograms 
(7,716 pounds) or less, manufactured before September 1, 2002, may meet 
the requirements of this standard instead of Federal Motor Vehicle No. 
105, Hydraulic Brake Systems.
    S4. Definitions.
    Adhesion utilization curves means curves showing, for specified load 
conditions, the adhesion utilized by each axle of a vehicle plotted 
against the braking ratio of the vehicle.
    Antilock brake system or ABS means a portion of a service brake 
system that automatically controls the degree of rotational wheel slip 
during braking by:
    (1) Sensing the rate of angular rotation of the wheels;
    (2) Transmitting signals regarding the rate of wheel angular 
rotation to one or more controlling devices which

[[Page 402]]

interpret those signals and generate responsive controlling output 
signals; and
    (3) Transmitting those controlling signals to one or more modulator 
devices which adjust brake actuating forces in response to those 
signals.
    Backup system means a portion of a service brake system, such as a 
pump, that automatically supplies energy in the event of a primary brake 
power source failure.
    Brake factor means the slope of the linear least squares regression 
equation best representing the measured torque output of a brake as a 
function of the measured applied line pressure during a given brake 
application for which no wheel lockup occurs.
    Brake hold-off pressure means the maximum applied line pressure for 
which no brake torque is developed, as predicted by the pressure axis 
intercept of the linear least squares regression equation best 
representing the measured torque output of a brake as a function of the 
measured applied line pressure during a given brake application.
    Brake power assist unit means a device installed in a hydraulic 
brake system that reduces the amount of muscular force that a driver 
must apply to actuate the system, and that, if inoperative, does not 
prevent the driver from braking the vehicle by a continued application 
of muscular force on the service brake control.
    Brake power unit means a device installed in a brake system that 
provides the energy required to actuate the brakes, either directly or 
indirectly through an auxiliary device, with driver action consisting 
only of modulating the energy application level.
    Braking ratio means the deceleration of the vehicle divided by the 
gravitational acceleration constant.
    Electric vehicle or EV means a motor vehicle that is powered by an 
electric motor drawing current from rechargeable storage batteries, fuel 
cells, or other portable sources of electrical current, and which may 
include a non-electrical source of power designed to charge batteries 
and components thereof.
    Electrically-actuated service brakes means service brakes that 
utilize electrical energy to actuate the foundation brakes.
    Functional failure means a failure of a component (either electrical 
or mechanical in nature) which renders the system totally or partially 
inoperative yet the structural integrity of the system is maintained.
    Hydraulic brake system means a system that uses hydraulic fluid as a 
medium for transmitting force from a service brake control to the 
service brake and that may incorporate a brake power assist unit, or a 
brake power unit.
    Initial brake temperature or IBT means the average temperature of 
the service brakes on the hottest axle of the vehicle 0.32 km (0.2 
miles) before any brake application.
    Lightly loaded vehicle weight or LLVW means unloaded vehicle weight 
plus the weight of a mass of 180 kg (396 pounds), including driver and 
instrumentation.
    Maximum speed of a vehicle or VMax means the highest speed 
attainable by accelerating at a maximum rate from a standing start for a 
distance of 3.2 km (2 miles) on a level surface, with the vehicle at its 
lightly loaded vehicle weight, and, if an EV, with the propulsion 
batteries at a state of charge of not less than 95 percent at the 
beginning of the run.
    Objective brake factor means the arithmetic average of all the brake 
factors measured over the twenty brake applications defined in S7.4, for 
all wheel positions having a given brake configuration.
    Peak friction coefficient or PFC means the ratio of the maximum 
value of braking test wheel longitudinal force to the simultaneous 
vertical force occurring prior to wheel lockup, as the braking torque is 
progressively increased.
    Pressure component means a brake system component that contains the 
brake system fluid and controls or senses the fluid pressure.
    Regenerative braking system or RBS means an electrical energy system 
that is installed in an EV for recovering or dissipating kinetic energy, 
and which uses the propulsion motor(s) as a retarder for partial braking 
of the EV while returning electrical energy to

[[Page 403]]

the propulsion battery(s) or dissipating electrical energy.
    Snub means the braking deceleration of a vehicle from a higher 
reference speed to a lower reference speed that is greater than zero.
    Split service brake system means a brake system consisting of two or 
more subsystems actuated by a single control, designed so that a single 
failure in any subsystem (such as a leakage-type failure of a pressure 
component of a hydraulic subsystem except structural failure of a 
housing that is common to two or more subsystems, or an electrical 
failure in an electric subsystem) does not impair the operation of any 
other subsystem.
    Stopping distance means the distance traveled by a vehicle from the 
point of application of force to the brake control to the point at which 
the vehicle reaches a full stop.
    Variable brake proportioning system means a system that has one or 
more proportioning devices which automatically change the brake pressure 
ratio between any two or more wheels to compensate for changes in wheel 
loading due to static load changes and/or dynamic weight transfer, or 
due to deceleration.
    Wheel lockup means 100 percent wheel slip.
    S5. Equipment requirements.
    S5.1. Service brake system. Each vehicle shall be equipped with a 
service brake system acting on all wheels.
    S5.1.1. Wear adjustment. Wear of the service brakes shall be 
compensated for by means of a system of automatic adjustment.
    S5.1.2. Wear status. The wear condition of all service brakes shall 
be indicated by either:
    (a) Acoustic or optical devices warning the driver at his or her 
driving position when lining replacement is necessary, or
    (b) A means of visually checking the degree of brake lining wear, 
from the outside or underside of the vehicle, utilizing only the tools 
or equipment normally supplied with the vehicle. The removal of wheels 
is permitted for this purpose.
    S5.1.3 Regenerative braking system. (a) For an EV equipped with RBS, 
the RBS is considered to be part of the service brake system if it is 
automatically activated by an application of the service brake control, 
if there is no means provided for the driver to disconnect or otherwise 
deactivate it, and if it is activated in all transmission positions, 
including neutral.
    (b) For an EV that is equipped with both ABS and RBS that is part of 
the service brake system, the ABS must control the RBS.
    S5.2. Parking brake system. Each vehicle shall be equipped with a 
parking brake system of a friction type with solely mechanical means to 
retain engagement.
    S5.3. Controls.
    S5.3.1. The service brakes shall be activated by means of a foot 
control. The control of the parking brake shall be independent of the 
service brake control, and may be either a hand or foot control.
    S5.3.2. For vehicles equipped with ABS, a control to manually 
disable the ABS, either fully or partially, is prohibited.
    S5.4. Reservoirs.
    S5.4.1. Master cylinder reservoirs. A master cylinder shall have a 
reservoir compartment for each service brake subsystem serviced by the 
master cylinder. Loss of fluid from one compartment shall not result in 
a complete loss of brake fluid from another compartment.
    S5.4.2. Reservoir capacity. Reservoirs, whether for master cylinders 
or other type systems, shall have a total minimum capacity equivalent to 
the fluid displacement resulting when all the wheel cylinders or caliper 
pistons serviced by the reservoirs move from a new lining, fully 
retracted position (as adjusted initially to the manufacturer's 
recommended setting) to a fully worn, fully applied position, as 
determined in accordance with S7.17(c) of this standard. Reservoirs 
shall have completely separate compartments for each subsystem except 
that in reservoir systems utilizing a portion of the reservoir for a 
common supply to two or more subsystems, individual partial compartments 
shall each have a minimum volume of fluid equal to at least the volume 
displaced by the master

[[Page 404]]

cylinder piston servicing the subsystem, during a full stroke of the 
piston. Each brake power unit reservoir servicing only the brake system 
shall have a minimum capacity equivalent to the fluid displacement 
required to charge the system piston(s) or accumulator(s) to normal 
operating pressure plus the displacement resulting when all the wheel 
cylinders or caliper pistons serviced by the reservoir or accumulator(s) 
move from a new lining, fully retracted position (as adjusted initially 
to the manufacturer's recommended setting) to a fully worn, fully 
applied position.
    S5.4.3. Reservoir labeling. Each vehicle equipped with hydraulic 
brakes shall have a brake fluid warning statement that reads as follows, 
in letters at least 3.2 mm (\1/8\ inch) high: ''WARNING: Clean filler 
cap before removing. Use only ______ fluid from a sealed container.'' 
(Inserting the recommended type of brake fluid as specified in 49 CFR 
571.116, e.g., ''DOT 3.'') The lettering shall be:
    (a) Permanently affixed, engraved or embossed;
    (b) Located so as to be visible by direct view, either on or within 
100 mm (3.94 inches) of the brake fluid reservoir filler plug or cap; 
and
    (c) Of a color that contrasts with its background, if it is not 
engraved or embossed.
    S5.4.4. Fluid level indication. Brake fluid reservoirs shall be so 
constructed that the level of fluid can be checked without need for the 
reservoir to be opened. This requirement is deemed to have been met if 
the vehicle is equipped with a transparent brake fluid reservoir or a 
brake fluid level indicator meeting the requirements of S5.5.1(a)(1).
    S5.5. Brake system warning indicator. Each vehicle shall have one or 
more visual brake system warning indicators, mounted in front of and in 
clear view of the driver, which meet the requirements of S5.5.1 through 
S5.5.5. In addition, a vehicle manufactured without a split service 
brake system shall be equipped with an audible warning signal that 
activates under the conditions specified in S5.5.1(a).
    S5.5.1. Activation. An indicator shall be activated when the 
ignition (start) switch is in the ''on'' (''run'') position and whenever 
any of conditions (a) through (g) occur:
    (a) A gross loss of fluid or fluid pressure (such as caused by 
rupture of a brake line but not by a structural failure of a housing 
that is common to two or more subsystems) as indicated by one of the 
following conditions (chosen at the option of the manufacturer):
    (1) A drop in the level of the brake fluid in any master cylinder 
reservoir compartment to less than the recommended safe level specified 
by the manufacturer or to one-fourth of the fluid capacity of that 
reservoir compartment, whichever is greater.
    (2) For vehicles equipped with a split service brake system, a 
differential pressure of 1.5 MPa (218 psi) between the intact and failed 
brake subsystems measured at a master cylinder outlet or a slave 
cylinder outlet.
    (3) A drop in the supply pressure in a brake power unit to one-half 
of the normal system pressure.
    (b) Any electrical functional failure in an antilock or variable 
brake proportioning system.
    (c) Application of the parking brake.
    (d) Brake lining wear-out, if the manufacturer has elected to use an 
electrical device to provide an optical warning to meet the requirements 
of S5.1.2(a).
    (e) For a vehicle with electrically-actuated service brakes, failure 
of the source of electric power to those brakes, or diminution of state 
of charge of the batteries to less than a level specified by the 
manufacturer for the purpose of warning a driver of degraded brake 
performance.
    (f) For a vehicle with electric transmission of the service brake 
control signal, failure of a brake control circuit.
    (g) For an EV with a regenerative braking system that is part of the 
service brake system, failure of the RBS. An amber lamp may be used 
displaying the symbol ''RBS.'' RBS failure in a system that is part of 
the service brake system may also be indicated by an amber lamp that 
also indicates ABS failure and displays the symbol ''ABS/RBS''.

[[Page 405]]

    S5.5.2. Function check. (a) All indicators shall be activated as a 
check function by either:
    (1) Automatic activation when the ignition (start) switch is turned 
to the ``on'' (``run'') position when the engine is not running, or when 
the ignition (``start'') switch is in a position between ``on'' 
(``run'') and ``start'' that is designated by the manufacturer as a 
check position, or
    (2) A single manual action by the driver, such as momentary 
activation of a test button or switch mounted on the instrument panel in 
front of and in clear view of the driver, or, in the case of an 
indicator for application of the parking brake, by applying the parking 
brake when the ignition is in the ``on'' (``run'') position.
    (b) In the case of a vehicle that has an interlock device that 
prevents the engine from being started under one or more conditions, 
check functions meeting the requirements of S5.5.2(a) need not be 
operational under any condition in which the engine cannot be started.
    (c) The manufacturer shall explain the brake check function test 
procedure in the owner's manual.
    S5.5.3. Duration. Each indicator activated due to a condition 
specified in S5.5.1 shall remain activated as long as the condition 
exists, whenever the ignition (``start'') switch is in the ``on'' 
(``run'') position, whether or not the engine is running.
    S5.5.4. Function. When a visual warning indicator is activated, it 
may be continuous or flashing, except that the visual warning indicator 
on a vehicle not equipped with a split service brake system shall be 
flashing. The audible warning required for a vehicle manufactured 
without a split service brake system may be continuous or intermittent.
    S5.5.5. Labeling. (a) Each visual indicator shall display a word or 
words in accordance with the requirements of Standard No. 101 (49 CFR 
571.101) and this section, which shall be legible to the driver under 
all daytime and nighttime conditions when activated. Unless otherwise 
specified, the words shall have letters not less than 3.2 mm (\1/8\ 
inch) high and the letters and background shall be of contrasting 
colors, one of which is red. Words or symbols in addition to those 
required by Standard No. 101 and this section may be provided for 
purposes of clarity.
    (b) Vehicles manufactured with a split service brake system may use 
a common brake warning indicator to indicate two or more of the 
functions described in S5.5.1(a) through S5.5.1(d). If a common 
indicator is used, it shall display the word ``Brake.''
    (c) A vehicle manufactured without a split service brake system 
shall use a separate indicator to indicate the failure condition in 
S5.5.1(a). This indicator shall display the words ``STOP--BRAKE 
FAILURE'' in block capital letters not less than 6.4 mm (\1/4\ inch) in 
height.
    (d) If separate indicators are used for one or more of the 
conditions described in S5.5.1(a) through S5.5.1(g), the indicators 
shall display the following wording:
    (1) If a separate indicator is provided for the low brake fluid 
condition in S5.5.1(a)(1), the words ``Brake Fluid'' shall be used 
except for vehicles using hydraulic system mineral oil.
    (2) If a separate indicator is provided for the gross loss of 
pressure condition in S5.5.1(a)(2), the words ``Brake Pressure'' shall 
be used.
    (3) If a separate indicator is provided for the condition specified 
in S5.5.1(b), the letters and background shall be of contrasting colors, 
one of which is yellow. The indicator shall be labeled with the words 
``Antilock'' or ``Anti-lock'' or ``ABS''; or ``Brake Proportioning,'' in 
accordance with Table 2 of Standard No. 101.
    (4) If a separate indicator is provided for application of the 
parking brake as specified for S5.5.1(c), the single word ``Park'' or 
the words ``Parking Brake'' may be used.
    (5) If a separate indicator is provided to indicate brake lining 
wear-out as specified in S5.5.1(d), the words ``Brake Wear'' shall be 
used.
    (6) If a separate indicator is provided for any other function, the 
display shall include the word ``Brake'' and appropriate additional 
labeling.
    S5.6. Brake system integrity. Each vehicle shall meet the complete 
performance requirements of this standard without:

[[Page 406]]

    (a) Detachment or fracture of any component of the braking system, 
such as brake springs and brake shoes or disc pad facings other than 
minor cracks that do not impair attachment of the friction facings. All 
mechanical components of the braking system shall be intact and 
functional. Friction facing tearout (complete detachment of lining) 
shall not exceed 10 percent of the lining on any single frictional 
element.
    (b) Any visible brake fluid or lubricant on the friction surface of 
the brake, or leakage at the master cylinder or brake power unit 
reservoir cover, seal, and filler openings.
    S6. General test conditions. Each vehicle must meet the performance 
requirements specified in S7 under the following test conditions and in 
accordance with the test procedures and test sequence specified. Where a 
range of conditions is specified, the vehicle must meet the requirements 
at all points within the range.
    S6.1. Ambient conditions.
    S6.1.1. Ambient temperature. The ambient temperature is any 
temperature between 0  deg.C (32  deg.F) and 40  deg.C (104  deg.F).
    S6.1.2. Wind speed. The wind speed is not greater than 5 m/s (11.2 
mph).
    S6.2. Road test surface.
    S6.2.1. Pavement friction. Unless otherwise specified, the road test 
surface produces a peak friction coefficient (PFC) of 0.9 when measured 
using an American Society for Testing and Materials (ASTM) E1136 
standard reference test tire, in accordance with ASTM Method E 1337-90, 
at a speed of 64.4 km/h (40 mph), without water delivery.
    S6.2.2. Gradient. Except for the parking brake gradient holding 
test, the test surface has no more than a 1% gradient in the direction 
of testing and no more than a 2% gradient perpendicular to the direction 
of testing.
    S6.2.3. Lane width. Road tests are conducted on a test lane 3.5 m 
(11.5 ft) wide.
    S6.3. Vehicle conditions.
    S6.3.1. Vehicle weight.
    S6.3.1.1. For the tests at GVWR, the vehicle is loaded to its GVWR 
such that the weight on each axle as measured at the tire-ground 
interface is in proportion to its GAWR, with the fuel tank filled to 
100% of capacity. However, if the weight on any axle of a vehicle at 
LLVW exceeds the axle's proportional share of the GVWR, the load 
required to reach GVWR is placed so that the weight on that axle remains 
the same as at LLVW.
    S6.3.1.2. For the test at LLVW, the vehicle is loaded to its LLVW 
such that the added weight is distributed in the front passenger seat 
area.
    S6.3.2. Fuel tank loading. The fuel tank is filled to 100% of 
capacity at the beginning of testing and may not be less than 75% of 
capacity during any part of the testing.
    S6.3.3. Lining preparation. At the beginning of preparation for the 
road tests, the brakes of the vehicle are in the same condition as when 
the vehicle was manufactured. No burnishing or other special preparation 
is allowed, unless all vehicles sold to the public are similarly 
prepared as a part of the manufacturing process.
    S6.3.4. Adjustments and repairs. These requirements must be met 
without replacing any brake system parts or making any adjustments to 
the brake system except as specified in this standard. Where brake 
adjustments are specified (S7.1.3), adjust the brakes, including the 
parking brakes, in accordance with the manufacturer's recommendation. No 
brake adjustments are allowed during or between subsequent tests in the 
test sequence.
    S6.3.5. Automatic brake adjusters. Automatic adjusters are 
operational throughout the entire test sequence. They may be adjusted 
either manually or by other means, as recommended by the manufacturer, 
only prior to the beginning of the road test sequence.
    S6.3.6. Antilock brake system (ABS). If a car is equipped with an 
ABS, the ABS is fully operational for all tests, except where specified 
in the following sections.
    S6.3.7. Variable brake proportioning valve. If a car is equipped 
with a variable brake proportioning system, the proportioning valve is 
fully operational for all tests except the test for failed variable 
brake proportioning system.
    S6.3.8. Tire inflation pressure. Tires are inflated to the pressure 
recommended by the vehicle manufacturer for the GVWR of the vehicle.

[[Page 407]]

    S6.3.9. Engine. Engine idle speed and ignition timing are set 
according to the manufacturer's recommendations. If the vehicle is 
equipped with an adjustable engine speed governor, it is adjusted 
according to the manufacturer's recommendations.
    S6.3.10. Vehicle openings. All vehicle openings (doors, windows, 
hood, trunk, convertible top, cargo doors, etc.) are closed except as 
required for instrumentation purposes.
    S6.3.11 State of charge of batteries for EVs.
    S6.3.11.1 The state of charge of the propulsion batteries is 
determined in accordance with SAE Recommended Practice J227a, Electric 
Vehicle Test Procedure, February 1976. The applicable sections of J227a 
are 3.2.1 through 3.2.4, 3.3.1 through 3.3.2.2, 3.4.1 and 3.4.2, 4.2.1, 
5.2, 5.2.1 and 5.3.
    S6.3.11.2 At the beginning of the burnish procedure (S7.1 of this 
standard) in the test sequence, each propulsion battery is at the 
maximum state of charge recommended by the manufacturer, as stated in 
the vehicle operator's manual or on a label that is permanently attached 
to the vehicle, of, if the manufacturer has made no recommendation, not 
less than 95 percent. During the 200-stop burnish procedure, the 
propulsion batteries are restored to the maximum state of charge 
determined as above, after each increment of 40 burnish stops until the 
burnish procedure is complete. The batteries may be charged at a more 
frequent interval during a particular 40-stop increment only if the EV 
is incapable of achieving the initial burnish test speed during that 
increment. During the burnish procedure, the propulsion batteries may be 
charged by external means or replaced by batteries that are at a state 
of charge of not less than 95 percent. For an EV having a manual control 
for setting the level of regenerative braking, the manual control, at 
the beginning of the burnish procedure, is set to provide maximum 
regenerative braking throughout the burnish.
    S6.3.11.3 At the beginning of each performance test in the test 
sequence (S7.2 through S7.17 of this standard), unless otherwise 
specified, an EV's propulsion batteries are at the state of charge 
recommended by the manufacturer, as stated in the vehicle operator's 
manual or on a label that is permanently attached to the vehicle, or, if 
the manufacturer has made no recommendation, at a state of charge of not 
less than 95 percent. No further charging of any propulsion battery 
occurs during any of the performance tests in the test sequence of this 
standard. If the propulsion batteries are depleted during a test 
sequence such that the vehicle reaches automatic shut-down, will not 
accelerate, or the low state of charge brake warning lamp is 
illuminated, the vehicle is to be accelerated to brake test speed by 
auxiliary means. If a battery is replaced rather than recharged, the 
replacement battery shall be charged and measured for state of charge in 
accordance with these procedures.
    S6.3.12 State of charge of batteries for electrically-actuated 
service brakes. A vehicle equipped with electrically-actuated service 
brakes also performs the following test series. Conduct 10 stopping 
tests from a speed of 100 kph or the maximum vehicle speed, whichever is 
less. At least two of the 10 stopping distances must be less than or 
equal to 70 meters. The vehicle is loaded to GVWR and the transmission 
is in the neutral position when the service brake control is actuated 
and throughout the remainder of the test. Each battery providing power 
to the electrically-actuated service brakes, shall be in a depleted 
state of charge for conditions (a), (b), or (c) of this paragraph as 
appropriate. An auxiliary means may be used to accelerate an EV to test 
speed.
    (a) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries and with automatic shut-
down capability of the propulsion motor(s), the propulsion batteries are 
at not more than five percent above the EV actual automatic shut-down 
critical value. The critical value is determined by measuring the state-
of-charge of each propulsion battery at the instant that automatic shut-
down occurs.
    (b) For an EV equipped with electrically-actuated service brakes 
deriving power from the propulsion batteries and with no automatic shut-
down capability of the propulsion

[[Page 408]]

motor(s), the propulsion batteries are at an average of not more than 
five percent above the actual state of charge at which the brake failure 
warning signal, required by S5.5.1(e) of this standard, is illuminated.
    (c) For a vehicle which has one or more auxiliary batteries that 
provides electrical energy to operate the electrically-actuated service 
brakes, each auxiliary battery is at not more than five percent above 
the actual state of charge at which the brake failure warning signal, 
required by S5.5.1(e) of this standard, is illuminated.
    S6.3.13 Electric vehicles.
    S6.3.13.1 (a) For an EV equipped with an RBS that is part of the 
service brake system, the RBS is operational during the burnish and all 
tests, except for the test of a failed RBS.
    (b) For an EV equipped with an RBS that is not part of the service 
brake system, the RBS is operational and set to produce the maximum 
regenerative braking effect during the burnish, and is disabled during 
the test procedures. If the vehicle is equipped with a neutral gear that 
automatically disables the RBS, the test procedures which are designated 
to be conducted in gear may be conducted in neutral.
    S6.3.13.2 For tests conducted ''in neutral'', the operator of an EV 
with no ''neutral'' position (or other means such as a clutch for 
disconnecting the drive train from the propulsion motor(s)) does not 
apply any electromotive force to the propulsion motor(s). Any 
electromotive force that is applied to the propulsion motor(s) 
automatically remains in effect unless otherwise specified by the test 
procedure.
    S6.4. Instrumentation.
    S6.4.1. Brake temperature measurement. The brake temperature is 
measured by plug-type thermocouples installed in the approximate center 
of the facing length and width of the most heavily loaded shoe or disc 
pad, one per brake, as shown in Figure 1. A second thermocouple may be 
installed at the beginning of the test sequence if the lining wear is 
expected to reach a point causing the first thermocouple to contact the 
metal rubbing surface of a drum or rotor. For center-grooved shoes or 
pads, thermocouples are installed within 3 mm (.12 in) to 6 mm (.24 in) 
of the groove and as close to the center as possible.
    S6.4.2. Brake line pressure measurement for the torque wheel test. 
The vehicle shall be fitted with pressure transducers in each hydraulic 
circuit. On hydraulically proportioned circuits, the pressure transducer 
shall be downstream of the operative proportioning valve.
    S6.4.3. Brake torque measurement for the torque wheel test. The 
vehicle shall be fitted with torque wheels at each wheel position, 
including slip ring assemblies and wheel speed indicators to permit 
wheel lock to be detected.

[[Page 409]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.070



[[Page 410]]

    S6.5. Procedural conditions.
    S6.5.1. Brake control. All service brake system performance 
requirements, including the partial system requirements of S7.7, S7.10 
and S7.11, must be met solely by use of the service brake control.
    S6.5.2. Test speeds. If a vehicle is incapable of attaining the 
specified normal test speed, it is tested at a speed that is a multiple 
of 5 km/h (3.1 mph) that is 4 to 8 km/h (2.5 to 5.0 mph) less than its 
maximum speed and its performance must be within a stopping distance 
given by the formula provided for the specific requirement.
    S6.5.3. Stopping distance.
    S6.5.3.1. The braking performance of a vehicle is determined by 
measuring the stopping distance from a given initial speed.
    S6.5.3.2. Unless otherwise specified, the vehicle is stopped in the 
shortest distance achievable (best effort) on all stops. Where more than 
one stop is required for a given set of test conditions, a vehicle is 
deemed to comply with the corresponding stopping distance requirements 
if at least one of the stops is made within the prescribed distance.
    S6.5.3.3. In the stopping distance formulas given for each 
applicable test (such as S0.10V+0.0060V2), S is 
the maximum stopping distance in meters, and V is the test speed in km/
h.
    S6.5.4. Vehicle position and attitude.
    S6.5.4.1. The vehicle is aligned in the center of the lane at the 
start of each brake application. Steering corrections are permitted 
during each stop.
    S6.5.4.2. Stops are made without any part of the vehicle leaving the 
lane and without rotation of the vehicle about its vertical axis of more 
than 15 deg. from the center line of the test lane at any 
time during any stop.
    S6.5.5. Transmission selector control.
    S6.5.5.1. For tests in neutral, a stop or snub is made in accordance 
with the following procedures:
    (a) Exceed the test speed by 6 to 12 km/h (3.7 to 7.5 mph);
    (b) Close the throttle and coast in gear to approximately 3 km/h 
(1.9 mph) above the test speed;
    (c) Shift to neutral; and
    (d) When the test speed is reached, apply the brakes.
    S6.5.5.2. For tests in gear, a stop or snub is made in accordance 
with the following procedures:
    (a) With the transmission selector in the control position 
recommended by the manufacturer for driving on a level surface at the 
applicable test speed, exceed the test speed by 6 to 12 km/h (3.7 to 7.5 
mph);
    (b) Close the throttle and coast in gear; and
    (c) When the test speed is reached apply the brakes.
    (d) To avoid engine stall, a manual transmission may be shifted to 
neutral (or the clutch disengaged) when the vehicle speed is below 30 
km/h (18.6 mph).
    S6.5.6. Initial brake temperature (IBT). If the lower limit of the 
specified IBT for the first stop in a test sequence (other than a 
parking brake grade holding test) has not been reached, the brakes are 
heated to the IBT by making one or more brake applications from a speed 
of 50 km/h (31.1 mph), at a deceleration rate not greater than 3 m/s\2\ 
(9.8 fps\2\).
    S7. Road test procedures and performance requirements. Each vehicle 
shall meet all the applicable requirements of this section, when tested 
according to the conditions and procedures set forth below and in S6, in 
the sequence specified in Table 1:

                      Table 1.--Road Test Sequence                      
------------------------------------------------------------------------
                                                                Section 
                        Testing order                             No.   
------------------------------------------------------------------------
Vehicle loaded to GVWR:                                                 
  1 Burnish..................................................      S7.1 
  2 Wheel lock sequence......................................      S7.2 
Vehicle loaded to LLVW:                                                 
  3 Wheel lock sequence......................................      S7.2 
  4 ABS performance..........................................      S7.3 
  5 Torque wheel.............................................      S7.4 
Vehicle loaded to GVWR:                                                 
  6 Torque wheel.............................................      S7.4 
  7 Cold effectiveness.......................................      S7.5 
  8 High speed effectiveness.................................      S7.6 
  9 Stops with engine off....................................      S7.7 
Vehicle loaded to LLVW:                                                 
  10 Cold effectiveness......................................      S7.5 
  11 High speed effectiveness................................      S7.6 
  12 Failed antilock.........................................      S7.8 
  13 Failed proportioning valve..............................      S7.9 
  14 Hydraulic circuit failure...............................      S7.10
Vehicle loaded to GVWR:                                                 
  15 Hydraulic circuit failure...............................      S7.10
  16 Failed antilock.........................................      S7.8 
  17 Failed proportioning valve..............................      S7.9 
  18 Power brake unit failure................................      S7.11
  19 Parking brake...........................................      S7.12
  20 Heating Snubs...........................................      S7.13
  21 Hot Performance.........................................      S7.14
  22 Brake cooling...........................................      S7.15

[[Page 411]]

                                                                        
  23 Recovery Performance....................................      S7.16
  24 Final Inspection........................................      S7.17
------------------------------------------------------------------------

    S7.1. Burnish.
    S7.1.1. General information. Any pretest instrumentation checks are 
conducted as part of the burnish procedure, including any necessary 
rechecks after instrumentation repair, replacement or adjustment. 
Instrumentation check test conditions must be in accordance with the 
burnish test procedure specified in S7.1.2 and S7.1.3.
    S7.1.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In gear.
    S7.1.3. Test conditions and procedures. The road test surface 
conditions specified in S6.2 do not apply to the burnish procedure. (a) 
IBT: 100  deg.C (212  deg.F).
    (b) Test speed: 80 km/h (49.7 mph).
    (c) Pedal force: Adjust as necessary to maintain specified constant 
deceleration rate.
    (d) Deceleration rate: Maintain a constant deceleration rate of 3.0 
m/s\2\ (9.8 fps\2\).
    (e) Wheel lockup: No lockup of any wheel allowed for longer than 0.1 
seconds at speeds greater than 15 km/h (9.3 mph).
    (f) Number of runs: 200 stops.
    (g) Interval between runs: The interval from the start of one 
service brake application to the start of the next is either the time 
necessary to reduce the IBT to 100  deg.C (212  deg.F) or less, or the 
distance of 2 km (1.24 miles), whichever occurs first.
    (h) Accelerate to 80 km/h (49.7 mph) after each stop and maintain 
that speed until making the next stop.
    (i) After burnishing, adjust the brakes as specified in S6.3.4.
    S7.2  Wheel lockup sequence.
    S7.2.1  General information. (a) The purpose of this test is to 
ensure that lockup of both front wheels occurs either simultaneously 
with, or at a lower deceleration rate than, the lockup of both rear 
wheels, when tested on road surfaces affording adhesion such that wheel 
lockup of the first axle occurs at a braking ratio of between 0.15 and 
0.80, inclusive.
    (b) This test is for vehicles without antilock brake systems.
    (c) This wheel lock sequence test is to be used as a screening test 
to evaluate a vehicle's axle lockup sequence and to determine whether 
the torque wheel test in S7.4 must be conducted.
    (d) For this test, a simultaneous lockup of the front and rear 
wheels refers to the conditions when the time interval between the first 
occurrence of lockup of the last (second) wheel on the rear axle and the 
first occurrence of lockup of the last (second) wheel on the front axle 
is  0.1 second for vehicle speeds > 15 km/h (9.3 mph).
    (e) A front or rear axle lockup is defined as the point in time when 
the last (second) wheel on an axle locks up.
    (f) Vehicles that lock their front axle simultaneously or at lower 
deceleration rates than their rear axle need not be tested to the torque 
wheel procedure.
    (g) Vehicles which lock their rear axle at deceleration rates lower 
than the front axle shall also be tested in accordance with the torque 
wheel procedure in S7.4.
    (h) Any determination of noncompliance for failing adhesion 
utilization requirements shall be based on torque wheel test results.
    S7.2.2  Vehicle conditions. (a) Vehicle load: GVWR and LLVW.
    (b) Transmission position: In neutral.
    S7.2.3. Test Conditions and Procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 65 km/h (40.4 mph) for a braking ratio  
0.50; 100 km/h (62.1 mph) for a braking ratio > 0.50.
    (c) Pedal force:
    (1) Pedal force is applied and controlled by the vehicle driver or 
by a mechanical brake pedal actuator.
    (2) Pedal force is increased at a linear rate such that the first 
axle lockup occurs no less than one-half (0.5) second and no more than 
one and one-half (1.5) seconds after the initial application of the 
pedal.
    (3) The pedal is released when the second axle locks, or when the 
pedal force reaches 1kN (225 lbs), or 0.1 seconds after first axle 
lockup, whichever occurs first.
    (d) Wheel lockup: Only wheel lockups above a vehicle speed of 15 km/
h (9.3 mph) are considered in determining the results of this test.

[[Page 412]]

    (e) Test surfaces: This test is conducted, for each loading 
condition, on two different test surfaces that will result in a braking 
ratio of between 0.15 and 0.80, inclusive. NHTSA reserves the right to 
choose the test surfaces to be used based on adhesion utilization curves 
or any other method of determining ``worst case'' conditions.
    (f) The data recording equipment shall have a minimum sampling rate 
of 40 Hz.
    (g) Data to be recorded. The following information must be 
automatically recorded in phase continuously throughout each test run 
such that values of the variables can be cross referenced in real time.
    (1) Vehicle speed.
    (2) Brake pedal force.
    (3) Angular velocity at each wheel.
    (4) Actual instantaneous vehicle deceleration or the deceleration 
calculated by differentiation of the vehicle speed.
    (h) Speed channel filtration. For analog instrumentation, the speed 
channel shall be filtered by using a low-pass filter having a cut-off 
frequency of less than one fourth the sampling rate.
    (i) Test procedure. For each test surface, three runs meeting the 
pedal force application and time for wheel lockup requirements shall be 
made. Up to a total of six runs will be allowed to obtain three valid 
runs. Only the first three valid runs obtained shall be used for data 
analysis purposes.
    S7.2.4. Performance requirements. (a) In order to pass this test a 
vehicle shall be capable of meeting the test requirements on all test 
surfaces that will result in a braking ratio of between 0.15 and 0.80, 
inclusive.
    (b) If all three valid runs on each surface result in the front axle 
locking before or simultaneously with the rear axle, or the front axle 
locks up with only one or no wheels locking on the rear axle, the torque 
wheel procedure need not be run, and the vehicle is considered to meet 
the adhesion utilization requirements of this Standard. This performance 
requirement shall be met for all vehicle braking ratios between 0.15 and 
0.80.
    (c) If any one of the three valid runs on any surface results in the 
rear axle locking before the front axle or the rear axle locks up with 
only one or no wheels locking on the front axle the torque wheel 
procedure shall be performed. This performance requirement shall be met 
for all vehicle braking ratios between 0.15 and 0.80.
    (d) If any one of the three valid runs on any surface results in 
neither axle locking (i.e., only one or no wheels locked on each axle) 
before a pedal force of 1kN (225 lbs) is reached, the vehicle shall be 
tested to the torque wheel procedure.
    (e) If the conditions listed in paragraph (c) or (d) of this section 
occur, vehicle compliance shall be determined from the results of a 
torque wheel test performed in accordance with S7.4.
    (f) An EV with RBS that is part of the service brake system shall 
meet the performance requirements over the entire normal operating range 
of the RBS.
    S7.3. ABS performance. [Reserved]
    S7.4. Adhesion utilization (Torque Wheel Method).
    S7.4.1. General information. This test is for vehicles without any 
ABS. The purpose of the test is to determine the adhesion utilization of 
a vehicle.
    S7.4.2. Vehicle conditions. (a) Vehicle load: GVWR and LLVW.
    (b) Transmission position: In neutral.
    (c) Tires: For this test, a separate set of tires, identical to 
those used for all other tests under Section 7.0, may be used.
    S7.4.3. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speeds: 100 km/h (62.1 mph), and 50 km/h (31.1 mph).
    (c) Pedal force: Pedal force is increased at a linear rate between 
100 and 150 N/sec (22.5 and 33.7 lbs/sec) for the 100 km/h test speed, 
or between 100 and 200 N/sec (22.5 and 45.0 lbs/sec) for the 50 km/h 
test speed, until the first axle locks or until a pedal force of 1 kN 
(225 lbs) is reached, whichever occurs first.
    (d) Cooling: Between brake applications, the vehicle is driven at 
speeds up to 100 km/h (62.1 mph) until the IBT specified in S7.4.3(a) is 
reached.
    (e) Number of runs: With the vehicle at LLVW, run five stops from a 
speed of 100 km/h (62.1 mph) and five stops from a speed of 50 km/h 
(31.1 mph), while alternating between the two test speeds after each 
stop. With the vehicle

[[Page 413]]

at GVWR, repeat the five stops at each test speed while alternating 
between the two test speeds.
    (f) Test surface: PFC of at least 0.9.
    (g) Data to be recorded. The following information must be 
automatically recorded in phase continuously throughout each test run 
such that values of the variables can be cross referenced in real time:
    (1) Vehicle speed.
    (2) Brake pedal force.
    (3) Angular velocity at each wheel.
    (4) Brake torque at each wheel.
    (5) Hydraulic brake line pressure in each brake circuit. 
Hydraulically proportioned circuits shall be fitted with transducers on 
at least one front wheel and one rear wheel downstream of the operative 
proportioning or pressure limiting valve(s).
    (6) Vehicle deceleration.
    (h) Sample rate: All data acquisition and recording equipment shall 
support a minimum sample rate of 40 Hz on all channels.
    (i) Determination of front versus rear brake pressure. Determine the 
front versus rear brake pressure relationship over the entire range of 
line pressures. Unless the vehicle has a variable brake proportioning 
system, this determination is made by static test. If the vehicle has a 
variable brake proportioning system, dynamic tests are run with the 
vehicle both empty and loaded. 15 snubs from 50 km/h (31.1 mph) are made 
for each of the two load conditions, using the same initial conditions 
specified in this section.
    S7.4.4. Data reduction. (a) The data from each brake application 
under S7.4.3 is filtered using a five-point, on-center moving average 
for each data channel.
    (b) For each brake application under S7.4.3 determine the slope 
(brake factor) and pressure axis intercept (brake hold-off pressure) of 
the linear least squares equation best describing the measured torque 
output at each braked wheel as a function of measured line pressure 
applied at the same wheel. Only torque output values obtained from data 
collected when the vehicle deceleration is within the range of 0.15g to 
0.80g are used in the regression analysis.
    (c) Average the results of paragraph (b) of this section to 
calculate the average brake factor and brake hold-off pressure for all 
brake applications for the front axle.
    (d) Average the results of paragraph (b) of this section to 
calculate the average brake factor and brake hold-off pressure for all 
brake applications for the rear axle.
    (e) Using the relationship between front and rear brake line 
pressure determined in S7.4.3(i) and the tire rolling radius, calculate 
the braking force at each axle as a function of front brake line 
pressure.
    (f) Calculate the braking ratio of the vehicle as a function of the 
front brake line pressure using the following equation:
[GRAPHIC] [TIFF OMITTED] TC01AU91.071

where z = braking ratio at a given front line pressure;
T1, T2 = Braking forces at the front and rear 
axles, respectively, corresponding to the same front brake line 
pressure, and
P = total vehicle weight.

    (g) Calculate the adhesion utilized at each axle as a function of 
braking ratio using the following equations:
[GRAPHIC] [TIFF OMITTED] TR02FE95.014

where fi = adhesion utilized by axle i
Ti = braking force at axle i (from (e))
Pi = static weight on axle i
i = 1 for the front axle, or 2 for the rear axle
z = braking ratio (from (f))
h = height of center of gravity of the vehicle
P = total vehicle weight
E = wheelbase

    (h) Plot f1 and f2 obtained in (g) as a 
function of z, for both GVWR and LLVW load conditions. These are the 
adhesion utilization curves for the vehicle, which are compared to the 
performance requirements in S7.4.5. shown graphically in Figure 2:

[[Page 414]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.072


    S7.4.5. Performance requirements. For all braking ratios between 
0.15 and 0.80, each adhesion utilization curve for a rear axle shall be 
situated below a line defined by z=0.9k where z is the braking ratio and 
k is the PFC.
    S7.4.5.1 An EV with RBS that is part of the service brake system 
shall meet the performance requirement over the entire normal operating 
range of the RBS.
    S7.5. Cold effectiveness.
    S7.5.1. Vehicle conditions. (a) Vehicle load: GVWR and LLVW.
    (b) Transmission position: In neutral.
    S7.5.2. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force: 65N (14.6 lbs), 500N (112.4 
lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    (g) For each stop, bring the vehicle to test speed and then stop the 
vehicle in the shortest possible distance under the specified 
conditions.

[[Page 415]]

    S7.5.3. Performance requirements. (a) Stopping distance for 100 km/h 
test speed: 70m (230 ft).
    (b) Stopping distance for reduced test speed: 
S0.10V+0.0060V\2\.
    S7.6. High speed effectiveness. This test is not run if vehicle 
maximum speed is less than or equal to 125 km/h (77.7 mph).
    S7.6.1. Vehicle conditions. (a) Vehicle load: GVWR and LLVW.
    (b) Transmission position: In gear.
    S7.6.2. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 80% of vehicle maximum speed if 125 km/h (77.7 mph)  
vehicle maximum speed  200 km/h (124.3 mph), or 160 km/h (99.4 mph) if 
vehicle maximum speed  200 km/h (124.3 mph).
    (c) Pedal force: 65N (14.6 lbs), 500N (112.4 
lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    S7.6.3. Performance requirements.
    Stopping distance: S0.10V+0.0067V\2\.
    S7.7. Stops with Engine Off.
    S7.7.1. General information. This test is for vehicles equipped with 
one or more brake power units or brake power assist units.
    S7.7.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In neutral.
    (c) Vehicle engine: Off (not running).
    (d) Ignition key position: May be returned to ``on'' position after 
turning engine off, or a device may be used to ``kill'' the engine while 
leaving the ignition key in the ``on'' position.
    S7.7.3. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force: 65N (14.6 lbs), 500N (112.4 
lbs).
    (d) Wheel lockup: No lockup of any wheel allowed for longer than 0.1 
seconds at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    (g) All system reservoirs (brake power and/or assist units) are 
fully charged and the vehicle's engine is off (not running) at the 
beginning of each stop.
    (h) For an EV, this test is conducted with no electromotive force 
applied to the vehicle propulsion motor(s), but with brake power or 
power assist still operating, unless cutting off the propulsion motor(s) 
also disables those systems.
    S7.7.4. Performance requirements. (a) Stopping distance for 100 km/h 
test speed: 70m (230 ft.)
    (b) Stopping distance for reduced test speed: S  0.10V + 
0.0060V\2\.
    S7.8. Antilock functional failure.
    S7.8.1. Vehicle conditions. (a) Vehicle loading: LLVW and GVWR.
    (b) Transmission position: In neutral.
    S7.8.2. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force:  65 N (14.6 lbs),  500 N 
(112.4 lbs).
    (d) Wheel lockup: No lockup of any wheel for more than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    (g) Functional failure simulation:
    (1) Disconnect the functional power source, or any other electrical 
connector that creates a functional failure.
    (2) Determine whether the brake system indicator is activated when 
any electrical functional failure of the antilock system is created.
    (3) Restore the system to normal at the completion of this test.
    (h) If more than one antilock brake subsystem is provided, repeat 
test for each subsystem.
    S7.8.3. Performance requirements. For service brakes on a vehicle 
equipped with one or more antilock systems, in the event of any single 
functional failure in any such system, the service brake system shall 
continue to operate and shall stop the vehicle as specified in S7.8.3(a) 
or S7.8.3(b). (a) Stopping distance for 100 km/h test speed:  
85 m (279 ft).
    (b) Stopping distance for reduced test speed: S  0.10V + 
0.0075V\2\.
    S7.9. Variable brake proportioning system functional failure.
    S7.9.1. Vehicle conditions. (a) Vehicle load: LLVW and GVWR.
    (b) Transmission position: In neutral.
    S7.9.2. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).

[[Page 416]]

    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force:  65 N (14.6 lbs),  500 N 
(112.4 lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    (g) Functional failure simulation:
    (1) Disconnect the functional power source or mechanical linkage to 
render the variable brake proportioning system inoperative.
    (2) If the system utilizes electrical components, determine whether 
the brake system indicator is activated when any electrical functional 
failure of the variable proportioning system is created.
    (3) Restore the system to normal at the completion of this test.
    (h) If more than one variable brake proportioning subsystem is 
provided, repeat the test for each subsystem.
    S7.9.3. Performance requirements. The service brakes on a vehicle 
equipped with one or more variable brake proportioning systems, in the 
event of any single functional failure in any such system, shall 
continue to operate and shall stop the vehicle as specified in S7.9.3(a) 
or S7.9.3(b). (a) Stopping distance for 100 km/h test speed:  
110 m (361 ft).
    (b) Stopping distance for reduced test speed: S 0.10V + 
0.0100V\2\.
    S7.10. Hydraulic circuit failure.
    S7.10.1. General information. This test is for vehicles manufactured 
with or without a split service brake system.
    S7.10.2. Vehicle conditions. (a) Vehicle load: LLVW and GVWR.
    (b) Transmission position: In neutral.
    S7.10.3. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force: 65N (14.6 lbs), 500 N (112.4 
lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Test surface: PFC of 0.9.
    (f) Alter the service brake system to produce any single failure. 
For a hydraulic circuit, this may be any single rupture or leakage type 
failure, other than a structural failure of a housing that is common to 
two or more subsystems. For a vehicle in which the brake signal is 
transmitted electrically between the brake pedal and some or all of the 
foundation brakes, regardless of the means of actuation of the 
foundation brakes, this may be any single failure in any circuit that 
electrically transmits the brake signal. For an EV with RBS that is part 
of the service brake system, this may be any single failure in the RBS.
    (g) Determine the control force pressure level or fluid level (as 
appropriate for the indicator being tested) necessary to activate the 
brake warning indicator.
    (h) Number of runs: After the brake warning indicator has been 
activated, make the following stops depending on the type of brake 
system:
    (1) 4 stops for a split service brake system.
    (2) 10 consecutive stops for a non-split service brake system.
    (i) Each stop is made by a continuous application of the service 
brake control.
    (j) Restore the service brake system to normal at the completion of 
this test.
    (k) Repeat the entire sequence for each of the other subsystems.
    S7.10.4 Performance requirements. For vehicles manufactured with a 
split service brake system, in the event of any failure in a single 
subsystem, as specified in S7.10.3(f) of this standard, and after 
activation of the brake system indicator as specified in S5.5.1, the 
remaining portions of the service brake system shall continue to operate 
and shall stop the vehicle as specified in S7.10.4(a) or S7.10.4(b). For 
vehicles not manufactured with a split service brake system, in the 
event of any failure in any component of the service brake system, as 
specified in S7.10.3(f), and after activation of the brake system 
indicator as specified in S5.5.1 of this standard, the vehicle shall, by 
operation of the service brake control, stop 10 times consecutively as 
specified in S7.10.4(a) or S7.10.4(b).
    (a) Stopping distance from 100 km/h test speed:  168 m 
(551 ft).
    (b) Stopping distance for reduced test speed: S  0.10V + 
0.0158V2.

[[Page 417]]

    S7.11. Brake power unit or brake power assist unit inoperative 
(System depleted).
    S7.11.1. General information. This test is for vehicles equipped 
with one or more brake power units or brake power assist units.
    S7.11.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In neutral.
    S7.11.3. Test conditions and procedures. (a) IBT: 65 
deg.C (149  deg.F), 100  deg.C (212  deg.F).
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force:  65 N (14.6 lbs),  500 N 
(112.4 lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 6 stops.
    (f) Test surface: PFC of 0.9.
    (g) Disconnect the primary source of power for one brake power 
assist unit or brake power unit, or one of the brake power unit or brake 
power assist unit subsystems if two or more subsystems are provided.
    (h) If the brake power unit or power assist unit operates in 
conjunction with a backup system and the backup system is automatically 
activated in the event of a primary power service failure, the backup 
system is operative during this test.
    (i) Exhaust any residual brake power reserve capability of the 
disconnected system.
    (j) Make each of the 6 stops by a continuous application of the 
service brake control.
    (k) Restore the system to normal at completion of this test.
    (l) For vehicles equipped with more than one brake power unit or 
brake power assist unit, conduct tests for each in turn.
    (m) For vehicles with electrically-actuated service brakes (brake 
power unit), this test is conducted with any single electrical failure 
in the electrically-actuated service brakes instead of a failure of any 
other brake power or brake power assist unit, and all other systems 
intact.
    (n) For an EV with RBS that is part of the service brake system, 
this test is conducted with the RBS disconnected and all other systems 
intact.
    S7.11.4. Performance requirements. The service brakes on a vehicle 
equipped with one or more brake power assist units or brake power units, 
with one such unit inoperative and depleted of all reserve capability, 
shall stop the vehicle as specified in S7.11.4(a) or S7.11.4(b).
    (a) Stopping distance from 100 km/h test speed:  168 m 
(551 ft).
    (b) Stopping distance for reduced test speed: S  0.10V + 
0.0158V2.
    S7.12. Parking brake.
    S7.12.1. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In neutral.
    (c) Parking brake burnish:
    (1) For vehicles with parking brake systems not utilizing the 
service friction elements, the friction elements of such a system are 
burnished prior to the parking brake test according to the published 
recommendations furnished to the purchaser by the manufacturer.
    (2) If no recommendations are furnished, the vehicle's parking brake 
system is tested in an unburnished condition.
    (d) Parking brake applications: 1 application and up to 2 
reapplications, if necessary.
    S7.12.2. Test conditions and procedures.
    (a) IBT:
    (1) Parking brake systems utilizing service brake friction materials 
shall be tested with the IBT  100 deg.C (212 deg.F) and shall 
have no additional burnishing or artificial heating prior to the start 
of the parking brake test.
    (2) Parking brake systems utilizing non-service brake friction 
materials shall be tested with the friction materials at ambient 
temperature at the start of the test. The friction materials shall have 
no additional burnishing or artificial heating prior to or during the 
parking brake test.
    (b) Parking brake control force: Hand control  400 N 
(89.9 lbs); foot control  500 N (112.4 lbs).
    (c) Hand force measurement locations: The force required for 
actuation of a hand-operated brake system is measured at the center of 
the hand grip area or at a distance of 40 mm (1.57 in) from the end of 
the actuation lever as illustrated in Figure 3.
    (d) Parking brake applications: 1 application and up to 2 
reapplications, if necessary.

[[Page 418]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.073


    (e) Test surface gradient: 20% grade.
    (f) Drive the vehicle onto the grade with the longitudinal axis of 
the vehicle in the direction of the slope of the grade.
    (g) Stop the vehicle and hold it stationary by applying the service 
brake control and place the transmission in neutral.
    (h) With the service brake applied sufficiently to just keep the 
vehicle from rolling, apply the parking brake as specified in S7.12.2(i) 
or S7.12.2(j).
    (i) For a vehicle equipped with mechanically-applied parking brakes, 
make a single application of the parking brake control with a force not 
exceeding the limits specified in S7.12.2(b). For a vehicle using an 
electrically-activated parking brake, apply the parking brake by 
activating the parking brake control.
    (j) In the case of a parking brake system that does not allow 
application of the specified force in a single application, a series of 
applications may be made to achieve the specified force.
    (k) Following the application of the parking brakes, release all 
force on the service brake control and, if the vehicle remains 
stationary, start the measurement of time.
    (l) If the vehicle does not remain stationary, reapplication of a 
force to the parking brake control at the level specified in S7.12.2(b) 
as appropriate for the vehicle being tested (without release of the 
ratcheting or other holding mechanism of the parking brake) is used up 
to two times to attain a stationary position.
    (m) Verify the operation of the parking brake application indicator.
    (n) Following observation of the vehicle in a stationary condition 
for the specified time in one direction, repeat

[[Page 419]]

the same test procedure with the vehicle orientation in the opposite 
direction on the same grade.
    S7.12.3. Performance requirement. The parking brake system shall 
hold the vehicle stationary for 5 minutes in both a forward and reverse 
direction on the grade.
    S7.13. Heating Snubs.
    S7.13.1. General information. The purpose of the snubs is to heat up 
the brakes in preparation for the hot performance test which follows 
immediately.
    S7.13.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In gear.
    S7.13.3. Test conditions and procedures. (a) IBT:
    (1) Establish an IBT before the first brake application (snub) of 
55  deg.C (131  deg.F), 65  deg.C (149  deg.F).
    (2) IBT before subsequent snubs are those occurring at the distance 
intervals.
    (b) Number of snubs: 15.
    (c) Test speeds: The initial speed for each snub is 120 km/h (74.6 
mph) or 80% of Vmax, whichever is slower. Each snub is terminated at 
one-half the initial speed.
    (d) Deceleration rate:
    (1) Maintain a constant deceleration rate of 3.0 m/s2 
(9.8 fps2).
    (2) Attain the specified deceleration within one second and maintain 
it for the remainder of the snub.
    (e) Pedal force: Adjust as necessary to maintain the specified 
constant deceleration rate.
    (f) Time interval: Maintain an interval of 45 seconds between the 
start of brake applications (snubs).
    (g) Accelerate as rapidly as possible to the initial test speed 
immediately after each snub.
    (h) Immediately after the 15th snub, accelerate to 100 km/h (62.1 
mph) and commence the hot performance test.
    S7.14. Hot performance.
    S7.14.1. General information. The hot performance test is conducted 
immediately after completion of the 15th heating snub.
    S7.14.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In neutral.
    S7.14.3. Test conditions and procedures. (a) IBT: Temperature 
achieved at completion of heating snubs.
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force:
    (1) The first stop is done with an average pedal force not greater 
than the average pedal force recorded during the shortest GVWR cold 
effectiveness stop.
    (2) The second stop is done with a pedal force not greater than 500 
N (112.4 lbs).
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 2 stops.
    (f) Immediately after the 15th heating snub, accelerate to 100 km/h 
(62.1 mph) and commence the first stop of the hot performance test.
    (g) If the vehicle is incapable of attaining 100 km/h, it is tested 
at the same speed used for the GVWR cold effectiveness test.
    (h) Immediately after completion of the first hot performance stop, 
accelerate as rapidly as possible to the specified test speed and 
conduct the second hot performance stop.
    (i) Immediately after completion of the second hot performance stop, 
drive 1.5 km (0.93 mi) at 50 km/h (31.1 mph) before the first cooling 
stop.
    S7.14.4. Performance requirements. (a) For the first hot stop, the 
stopping distance must be less than or equal to a calculated distance 
which is based on 60 percent of the deceleration actually achieved on 
the shortest GVWR cold effectiveness stop. The following equations shall 
be used in calculating the performance requirement:
[GRAPHIC] [TIFF OMITTED] TR02FE95.015

where dc = the average deceleration actually achieved during 
the shortest cold effectiveness stop at GVWR (m/s2),
Sc = actual stopping distance measured on the shortest cold 
effectiveness stop at GVWR (m), and

[[Page 420]]

V = cold effectiveness test speed (km/h).

    (b) In addition to the requirement in S7.14.4(a), the stopping 
distance for at least one of the two hot stops must be S  89 
m (292 ft) from a test speed of 100 km/h (62.1 mph) or, for reduced test 
speed, S  0.10V + 0.0079V2. The results of the 
second stop may not be used to meet the requirements of S7.14.4(a).
    S7.15. Brake cooling stops.
    S7.15.1. General information. The cooling stops are conducted 
immediately after completion of the hot performance test.
    S7.15.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In gear.
    S7.15.3. Test conditions and procedures. (a) IBT: Temperature 
achieved at completion of hot performance.
    (b) Test speed: 50 km/h (31.1 mph).
    (c) Pedal force: Adjust as necessary to maintain specified constant 
deceleration rate.
    (d) Deceleration rate: Maintain a constant deceleration rate of 3.0 
m/s2 (9.8 fps2).
    (e) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15

km/h (9.3 mph).
    (f) Number of runs: 4 stops.
    (g) Immediately after the hot performance stops drive 1.5 km (0.93 
mi) at 50 km/h (31.1 mph) before the first cooling stop.
    (h) For the first through the third cooling stops:
    (1) After each stop, immediately accelerate at the maximum rate to 
50 km/h (31.1 mph).
    (2) Maintain that speed until beginning the next stop at a distance 
of 1.5 km (0.93 mi) from the beginning of the previous stop.
    (i) For the fourth cooling stop:
    (1) Immediately after the fourth stop, accelerate at the maximum 
rate to 100 km/h (62.1 mph).
    (2) Maintain that speed until beginning the recovery performance 
stops at a distance of 1.5 km (0.93 mi) after the beginning of the 
fourth cooling stop.
    S7.16. Recovery performance.
    S7.16.1. General information. The recovery performance test is 
conducted immediately after completion of the brake cooling stops.
    S7.16.2. Vehicle conditions. (a) Vehicle load: GVWR only.
    (b) Transmission position: In neutral.
    S7.16.3. Test conditions and procedures. (a) IBT: Temperature 
achieved at completion of cooling stops.
    (b) Test speed: 100 km/h (62.1 mph).
    (c) Pedal force: The average pedal force shall not be greater than 
the average pedal force recorded during the shortest GVWR cold 
effectiveness stop.
    (d) Wheel lockup: No lockup of any wheel for longer than 0.1 seconds 
allowed at speeds greater than 15 km/h (9.3 mph).
    (e) Number of runs: 2 stops.
    (f) Immediately after the fourth cooling stop, accelerate at the 
maximum rate to 100 km/h (62.1 mph).
    (g) Maintain that speed until beginning the first recovery 
performance stop at a distance of 1.5 km (0.93 mi) after the beginning 
of the fourth cooling stop.
    (h) If the vehicle is incapable of attaining 100 km/h, it is tested 
at the same speed used for the GVWR cold effectiveness test.
    (i) Immediately after completion of the first recovery performance 
stop accelerate as rapidly as possible to the specified test speed and 
conduct the second recovery performance stop.
    S7.16.4. Performance requirements.
    The stopping distance, S, for at least one of the two stops must be 
within the following limits:
[GRAPHIC] [TIFF OMITTED] TR02FE95.016

where dc and V are defined in S7.14.4(a).

    S7.17. Final Inspection. Inspect:
    (a) The service brake system for detachment or fracture of any 
components, such as brake springs and brake shoes or disc pad facings.
    (b) The friction surface of the brake, the master cylinder or brake 
power unit reservoir cover, and seal and filler openings, for leakage of 
brake fluid or lubricant.
    (c) The master cylinder or brake power unit reservoir for compliance 
with the volume and labeling requirements of S5.4.2 and S5.4.3. In 
determining the fully applied worn condition, assume that the lining is 
worn to (1)

[[Page 421]]

rivet or bolt heads on riveted or bolted linings or (2) within 0.8 mm 
(1/32 inch) of shoe or pad mounting surface on bonded linings or (3) the 
limit recommended by the manufacturer, whichever is larger relative to 
the total possible shoe or pad movement. Drums or rotors are assumed to 
be at nominal design drum diameter or rotor thickness. Linings are 
assumed adjusted for normal operating clearance in the released 
position.
    (d) The brake system indicators, for compliance with operation in 
various key positions, lens color, labeling, and location, in accordance 
with S5.5.
[60 FR 6434, Feb. 2, 1995; as amended at 60 FR 37847, July 24, 1995; 60 
FR 44548, Aug. 28, 1995; 62 FR 46917, Sept. 5, 1997; 62 FR 51070, Sept. 
30, 1997]

    Effective Date Note 1: At 62 FR 46917, Sept. 5, 1997, Sec. 571.135 
was amended by revising S3, the definitions of ''maximum speed'', and 
''split service brake system'' in S4, and adding in S4, in alphabetical 
order, definitions for ''Electric vehicle'', ''Electrically-actuated 
service brakes'', and ''Regenerative braking system''; revising the 
introductory text of S5.4.3 and S5.5.1 and the introductory text of 
S5.5.5(d); revising S7.10, S7.10.3(f), S7.10.4, and S7.12.2(i); adding 
S5.1.3, S5.5.1 (e),(f), and (g), S6.3.11.1, S6.3.11.2, S6.3.11.3, 
S6.3.12, S6.3.13, S7.2.4(f), S7.4.5.1, S7.7.3(h), and S7.11.3 (m) and 
(n), effective Oct. 20, 1997. For the superseded text see 49 CFR parts 
400-999 revised as of Oct. 1, 1996.

    Effective Date Note 2: At 62 FR 51070, Sept. 30, 1997, Sec. 571.135 
was amended by revising S3., effective Dec. 1, 1997. For the convenience 
of the user, the text in effect from Oct. 20, 1997 until Dec. 1, 1997 
follows:

Sec. 571.135  Standard No. 135; Passenger car brake systems.

                                * * * * *

    S3 Application. This standard applies to passenger cars manufactured 
on or after September 1, 2000. In addition, passenger cars manufactured 
before September 1, 2000 may, at the option of the manufacturer, meet 
the requirements of this standard instead of Federal Motor Vehicle 
Safety Standard No. 105 Hydraulic and Electric Brake Systems.

                                * * * * *



Sec. 571.201  Standard No. 201; Occupant protection in interior impact.

    S1. Purpose and scope. This standard specifies requirements to 
afford impact protection for occupants.
    S2. Application. This standard applies to passenger cars and to 
multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 
kilograms or less, except that the requirements of S6 do not apply to 
buses with a GVWR of 3,860 kilograms or less.
    S3. Definitions.
    A-pillar means any pillar that is entirely forward of a transverse 
vertical plane passing through the seating reference point of the 
driver's seat.
    Ambulance means a motor vehicle designed exclusively for the purpose 
of emergency medical care, as evidenced by the presence of a passenger 
compartment to accommodate emergency medical personnel, one or more 
patients on litters or cots, and equipment and supplies for emergency 
care at a location or during transport.
    B-pillar means the forwardmost pillar on each side of the vehicle 
that is, in whole or part, rearward of a transverse vertical plane 
passing through the seating reference point of the driver's seat, unless 
there is only one pillar rearward of that plane and it is also a 
rearmost pillar.
    Brace means a fixed diagonal structural member in an open body 
vehicle that is used to brace the roll-bar and that connects the roll-
bar to the main body of the vehicle structure.
    Convertible means a vehicle whose A-pillars are not joined with the 
B-pillars (or rearmost pillars) by a fixed, rigid structural member.
    Convertible roof frame means the frame of a convertible roof.
    Convertible roof linkage mechanism means any anchorage, fastener, or 
device necessary to deploy a convertible roof frame.
    Daylight opening means, for openings on the side of the vehicle, 
other than a door opening, the locus of all points where a horizontal 
line, perpendicular to the vehicle longitudinal centerline, is tangent 
to the periphery of the opening. For openings on the front and rear

[[Page 422]]

of the vehicle, other than a door opening, daylight opening means the 
locus of all points where a horizontal line, parallel to the vehicle 
longitudinal centerline, is tangent to the periphery of the opening. If 
the horizontal line is tangent to the periphery at more than one point 
at any location, the most inboard point is used to determine the 
daylight opening.
    Door opening means, for door openings on the side of the vehicle, 
the locus of all points where a horizontal line, perpendicular to the 
vehicle longitudinal centerline, is tangent to the periphery of the side 
door opening. For door openings on the back end of the vehicle, door 
opening means the locus of all points where a horizontal line, parallel 
to the vehicle longitudinal centerline, is tangent to the periphery of 
the back door opening. If the horizontal line is tangent to the 
periphery at more than one point at any location, the most inboard point 
is the door opening.
    Forehead impact zone means the part of the free motion headform 
surface area that is determined in accordance with the procedure set 
forth in S8.10.
    Free motion headform means a test device which conforms to the 
specifications of part 572, subpart L of this chapter.
    Mid-sagittal plane of a dummy means a longitudinal vertical plane 
passing through the seating reference point of a designated seating 
position.
    Motor Home means a motor vehicle with motive power that is designed 
to provide temporary residential accommodations, as evidenced by the 
presence of at least four of the following facilities: Cooking; 
refrigeration or ice box; self-contained toilet; heating and/or air 
conditioning; a potable water supply system including a faucet and a 
sink; and a separate 110-125 volt electrical power supply and/or an LP 
gas supply.
    Other pillar means any pillar which is not an A-pillar, a B-pillar, 
or a rearmost pillar.
    Pillar means any structure, excluding glazing and the vertical 
portion of door window frames, but including accompanying moldings, 
attached components such as safety belt anchorages and coat hooks, 
which:
    (1) Supports either a roof or any other structure (such as a roll-
bar) that is above the driver's head, or
    (2) Is located along the side edge of a window.
    Roll-bar means a fixed overhead structural member, including its 
vertical support structure, that extends from the left to the right side 
of the passenger compartment of any open body vehicles and convertibles. 
It does not include a header.
    Seat belt anchorage means any component involved in transferring 
seat belt loads to the vehicle structure, including, but not limited to, 
the attachment hardware, but excluding webbing or straps, seat frames, 
seat pedestals, and the vehicle structure itself, whose failure causes 
separation of the belt from the vehicle structure.
    Sliding door track means a track structure along the upper edge of a 
side door opening that secures the door in the closed position and 
guides the door when moving to and from the open position.
    Stiffener means a fixed overhead structural member that connects one 
roll-bar to another roll-bar or to a header of any open body vehicle or 
convertible.
    Upper roof means the area of the vehicle interior that is determined 
in accordance with the procedure set forth in S8.15.
    Windshield trim means molding of any material between the windshield 
glazing and the exterior roof surface, including material that covers a 
part of either the windshield glazing or exterior roof surface.
    S4  Requirements
    S4.1  Except as provided in S4.2, each vehicle shall comply with 
either:
    (a) The requirements specified in S5, or,
    (b) The requirements specified in S5 and S6.
    S4.2  Vehicles manufactured on or after September 1, 1998 shall 
comply with the requirements of S5 and S6.
    S5  Requirements for instrument panels, seat backs, interior 
compartment doors, sun visors, and armrests. Each vehicle shall comply 
with the requirements specified in S5.1 through S5.5.2.
    S5.1  Instrument panels. Except as provided in S5.1.1, when that 
area of

[[Page 423]]

the instrument panel that is within the head impact area is impacted in 
accordance with S5.1.2 by a 6.8 kilogram, 165 mm diameter head form at--
    (a) A relative velocity of 24 kilometers per hour for all vehicles 
except those specified in paragraph (b) of this section,
    (b) A relative velocity of 19 kilometers per hour for vehicles that 
meet the occupant crash protection requirements of S5.1 of 49 CFR 
571.208 by means of inflatable restraint systems and meet the 
requirements of S4.1.2.1(c)(2) of 49 CFR 571.208 by means of a Type 2 
seat belt assembly at the right front designated seating position, the 
deceleration of the head form shall not exceed 80g continuously for more 
than 3 milliseconds.
    S5.1.1  The requirements of S5.1 do not apply to:
    (a) Console assemblies;
    (b) Areas less than 125 mm inboard from the juncture of the 
instrument panel attachment to the body side inner structure;
    (c) Areas closer to the windshield juncture than those statically 
contactable by the head form with the windshield in place;
    (d) Areas outboard of any point of tangency on the instrument panel 
of a 165 mm diameter head form tangent to and inboard of a vertical 
longitudinal plane tangent to the inboard edge of the steering wheel; or
    (e) Areas below any point at which a vertical line is tangent to the 
rearmost surface of the panel.
    S5.1.2  Demonstration procedures. Tests shall be performed as 
described in Society of Automotive Engineers Recommended Practice J921, 
``Instrument Panel Laboratory Impact Test Procedure,'' June 1965, using 
the specified instrumentation or instrumentation that meets the 
performance requirements specified in Society of Automotive Engineers 
Recommended Practice J977, ``Instrumentation for Laboratory Impact 
Tests,'' November 1966, except that:
    (a) The origin of the line tangent to the instrument panel surface 
shall be a point on a transverse horizontal line through a point 125 mm 
horizontally forward of the seating reference point of the front 
outboard passenger designated seating position, displaced vertically an 
amount equal to the rise which results from a 125 mm forward adjustment 
of the seat or 19 mm; and
    (b) Direction of impact shall be either:
    (1) In a vertical plane parallel to the vehicle longitudinal axis; 
or
    (2) In a plane normal to the surface at the point of contact.
    S5.2  Seat Backs. Except as provided in S5.2.1, when that area of 
the seat back that is within the head impact area is impacted in 
accordance with S5.2.2 by a 6.8 kilogram, 165 mm diameter head form at a 
relative velocity of 24 kilometers per hour, the deceleration of the 
head form shall not exceed 80g continuously for more than 3 
milliseconds.
    S5.2.1  The requirements of S5.2 do not apply to seats installed in 
school buses which comply with the requirements of Standard No. 222, 
School Bus Passenger Seating and Occupant Protection (49 CFR 571.222) or 
to rearmost side-facing, back-to-back, folding auxiliary jump, and 
temporary seats.
    S5.2.2  Demonstration procedures. Tests shall be performed as 
described in Society of Automotive Engineers Recommended Practice J921, 
``Instrument Panel Laboratory Impact Test Procedure,'' June 1965, using 
the specified instrumentation or instrumentation that meets the 
performance requirements specified in Society of Automotive Engineers 
Recommended Practice J977, ``Instrumentation for Laboratory Impact 
Tests,'' November 1966, except that:
    (a) The origin of the line tangent to the uppermost seat back frame 
component shall be a point on a transverse horizontal line through the 
seating reference point of the right rear designated seating position, 
with adjustable forward seats in their rearmost design driving position 
and reclinable forward seat backs in their nominal design driving 
position;
    (b) Direction of impact shall be either:
    (1) In a vertical plane parallel to the vehicle longitudinal axis; 
or
    (2) In a plane normal to the surface at the point of contact.
    (c) For seats without head restraints installed, tests shall be 
performed for

[[Page 424]]

each individual split or bucket seat back at points within 100 mm left 
and right of its centerline, and for each bench seat back between points 
100 mm outboard of the centerline of each outboard designated seating 
position;
    (d) For seats having head restraints installed, each test shall be 
conducted with the head restraints in place at its lowest adjusted 
position, at a point on the head restraint centerline; and
    (e) For a seat that is installed in more than one body style, tests 
conducted at the fore and aft extremes identified by application of 
subparagraph (a) shall be deemed to have demonstrated all intermediate 
conditions.
    S5.3  Interior compartment doors. Each interior compartment door 
assembly located in an instrument panel, console assembly, seat back, or 
side panel adjacent to a designated seating position shall remain closed 
when tested in accordance with either S5.3.1(a) and S5.3.1(b) or 
S5.3.1(a) and S5.3.1(c). Additionally, any interior compartment door 
located in an instrument panel or seat back shall remain closed when the 
instrument panel or seat back is tested in accordance with S5.1 and 
S5.2. All interior compartment door assemblies with a locking device 
must be tested with the locking device in an unlocked position.
    S5.3.1  Demonstration procedures.
    (a) Subject the interior compartment door latch system to an inertia 
load of 10g in a horizontal transverse direction and an inertia load of 
10g in a vertical direction in accordance with the procedure described 
in section 5 of SAE Recommended Practice J839b, ``Passenger Car Side 
Door Latch Systems,'' May 1965, or an approved equivalent.
    (b) Impact the vehicle perpendicularly into a fixed collision 
barrier at a forward longitudinal velocity of 48 kilometers per hour.
    (c) Subject the interior compartment door latch system to a 
horizontal inertia load of 30g in a longitudinal direction in accordance 
with the procedure described in section 5 of SAE Recommended Practice 
J839b, ``Passenger Car Side Door Latch Systems,'' May 1965, or an 
approved equivalent.
    S5.4  Sun visors.
    S5.4.1  A sun visor that is constructed of or covered with energy-
absorbing material shall be provided for each front outboard designated 
seating position.
    S5.4.2  Each sun visor mounting shall present no rigid material edge 
radius of less than 3.2 mm that is statically contactable by a spherical 
165 mm diameter head form.
    S5.5  Armrests.
    S5.5.1  General. Each installed armrest shall conform to at least 
one of the following:
    (a) It shall be constructed with energy-absorbing material and shall 
deflect or collapse laterally at least 50 mm without permitting contact 
with any underlying rigid material.
    (b) It shall be constructed with energy-absorbing material that 
deflects or collapses to within 32 mm of a rigid test panel surface 
without permitting contact with any rigid material. Any rigid material 
between 13 and 32 mm from the panel surface shall have a minimum 
vertical height of not less than 25 mm.
    (c) Along not less than 50 continuous mm of its length, the armrest 
shall, when measured vertically in side elevation, provide at least 50 
mm of coverage within the pelvic impact area.
    S5.5.2  Folding armrests. Each armrest that folds into the seat back 
or between two seat backs shall either:
    (a) Meet the requirements of S5.5.1; or
    (b) Be constructed of or covered with energy-absorbing material.
    S6  Requirements for upper interior components.
    S6.1  Vehicles manufactured on or after September 1, 1998 and before 
September 1, 2002. Except as provided in S6.3, for vehicles manufactured 
on or after September 1, 1998 and before September 1, 2002, a percentage 
of the manufacturer's production, as specified in S6.1.1, S6.1.2, 
S6.1.3, or S6.1.4, shall, when tested under the conditions of S8, comply 
with the requirements specified in S7 at the target locations specified 
in S10 when impacted by the free motion headform specified in S8.9 at 
any speed up to and including 24 kilometers per hour. The requirements 
do not apply to any target that cannot be located using the procedures 
of S10. The phase-in schedule the manufacturer chooses

[[Page 425]]

to use during this period shall be reported to the National Highway 
Traffic Safety Administration pursuant to 49 CFR 589.6.
    S6.1.1  Phase-in Schedule #1
    S6.1.1.1  Vehicles manufactured on or after September 1, 1998 and 
before September 1, 1999. Subject to S6.1.5(a), for vehicles 
manufactured by a manufacturer on or after September 1, 1998 and before 
September 1, 1999, the amount of vehicles complying with S7 shall be not 
less than 10 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1996 and before September 1, 1999, 
or
    (b) The manufacturer's production on or after September 1, 1998 and 
before September 1, 1999.
    S6.1.1.2  Vehicles manufactured on or after September 1, 1999 and 
before September 1, 2000. Subject to S6.1.5(b), for vehicles 
manufactured by a manufacturer on or after September 1, 1999 and before 
September 1, 2000, the amount of vehicles complying with S7 shall be not 
less than 25 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1997 and before September 1, 2000, 
or
    (b) The manufacturer's production on or after September 1, 1999 and 
before September 1, 2000.
    S6.1.1.3  Vehicles manufactured on or after September 1, 2000 and 
before September 1, 2001. Subject to S6.1.5(c), for vehicles 
manufactured by a manufacturer on or after September 1, 2000 and before 
September 1, 2001, the amount of vehicles complying with S7 shall be not 
less than 40 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1998 and before September 1, 2001, 
or
    (b) The manufacturer's production on or after September 1, 2000 and 
before September 1, 2001.
    S6.1.1.4  Vehicles manufactured on or after September 1, 2001 and 
before September 1, 2002. Subject to S6.1.5(d), for vehicles 
manufactured by a manufacturer on or after September 1, 2001 and before 
September 1, 2002, the amount of vehicles complying with S7 shall be not 
less than 70 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1999 and before September 1, 2002, 
or
    (b) The manufacturer's production on or after September 1, 2001 and 
before September 1, 2002.
    S6.1.2  Phase-in Schedule #2
    S6.1.2.1  Vehicles manufactured on or after September 1, 1998 and 
before September 1, 1999. Subject to S6.1.5(a), for vehicles 
manufactured by a manufacturer on or after September 1, 1998 and before 
September 1, 1999, the amount of vehicles complying with S7 shall be not 
less than seven percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1996 and before September 1, 1999, 
or
    (b) The manufacturer's production on or after September 1, 1998 and 
before September 1, 1999.
    S6.1.2.2  Vehicles manufactured on or after September 1, 1999 and 
before September 1, 2000. Subject to S6.1.5(b), for vehicles 
manufactured by a manufacturer on or after September 1, 1999 and before 
September 1, 2000, the amount of vehicles complying with S7 shall be not 
less than 31 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1997 and before September 1, 2000, 
or
    (b) The manufacturer's production on or after September 1, 1999 and 
before September 1, 2000.
    S6.1.2.3  Vehicles manufactured on or after September 1, 2000 and 
before September 1, 2001. Subject to S6.1.5(c), for vehicles 
manufactured by a manufacturer on or after September 1, 2000 and before 
September 1, 2001, the amount of vehicles complying with S7 shall be not 
less than 40 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1998 and before September 1, 2001, 
or
    (b) The manufacturer's production on or after September 1, 2000 and 
before September 1, 2001.
    S6.1.2.4  Vehicles manufactured on or after September 1, 2001 and 
before September 1, 2002. Subject to S6.1.5(d), for vehicles 
manufactured by a manufacturer on or after September 1, 2001 and before

[[Page 426]]

September 1, 2002, the amount of vehicles complying with S7 shall be not 
less than 70 percent of:
    (a) The manufacturer's average annual production of vehicles 
manufactured on or after September 1, 1999 and before September 1, 2002, 
or
    (b) The manufacturer's production on or after September 1, 2001 and 
before September 1, 2002.
    S6.1.3  Phase-in Schedule #3
    S6.1.3.1  Vehicles manufactured on or after September 1, 1998 and 
before September 1, 1999 are not required to comply with the 
requirements specified in S7.
    S6.1.3.2  Vehicles manufactured on or after September 1, 1999 shall 
comply with the requirements specified in S7.
    S6.1.4  Phase-in Schedule #4 A final stage manufacturer or alterer 
may, at its option, comply with the requirements set forth in S6.1.4.1 
and S6.1.4.2.
    S6.1.4.1  Vehicles manufactured on or after September 1, 1998 and 
before September 1, 2002 are not required to comply with the 
requirements specified in S7.
    S6.1.4.2  Vehicles manufactured on or after September 1, 2002 shall 
comply with the requirements specified in S7.
    S6.1.5  Calculation of complying vehicles.
    (a) For the purposes of complying with S6.1.1.1 or S6.1.2.1, a 
manufacturer may count a vehicle if it is manufactured on or after May 
8, 1997, but before September 1, 1999.
    (b) For the purposes of complying with S6.1.1.2 or S6.1.2.2, a 
manufacturer may count a vehicle if it:
    (1) Is manufactured on or after May 8, 1997, but before September 1, 
2000, and
    (2) Is not counted toward compliance with S6.1.1.1 or S6.1.2.1, as 
appropriate.
    (c) For the purposes of complying with S6.1.1.3 or S6.1.2.3, a 
manufacturer may count a vehicle if it:
    (1) Is manufactured on or after May 8, 1997, but before September 1, 
2001, and
    (2) Is not counted toward compliance with S6.1.1.1, S6.1.1.2, 
S6.1.2.1, or S6.1.2.2, as appropriate.
    (d) For the purposes of complying with S6.1.1.4 or S6.1.2.4, a 
manufacturer may count a vehicle if it:
    (1) Is manufactured on or after May 8, 1997, but before September 1, 
2002, and
    (2) Is not counted toward compliance with S6.1.1.1, S6.1.1.2, 
S6.1.1.3, S6.1.2.1, S6.1.2.2, or S6.1.2.3, as appropriate.
    S6.1.6  Vehicles produced by more than one manufacturer.
    S6.1.6.1  For the purpose of calculating average annual production 
of vehicles for each manufacturer and the number of vehicles 
manufactured by each manufacturer under S6.1.1 through S6.1.4, a vehicle 
produced by more than one manufacturer shall be attributed to a single 
manufacturer as follows, subject to S6.1.6.2.
    (a) A vehicle which is imported shall be attributed to the importer.
    (b) A vehicle manufactured in the United States by more than one 
manufacturer, one of which also markets the vehicle, shall be attributed 
to the manufacturer which markets the vehicle.
    S6.1.6.2  A vehicle produced by more than one manufacturer shall be 
attributed to any one of the vehicle's manufacturers specified by an 
express written contract, reported to the National Highway Traffic 
Safety Administration under 49 CFR part 589, between the manufacturer so 
specified and the manufacturer to which the vehicle would otherwise be 
attributed under S6.1.6.1.
    S6.2  Vehicles manufactured on or after September 1, 2002. Except as 
provided in S6.3, vehicles manufactured on or after September 1, 2002 
shall, when tested under the conditions of S8, comply with the 
requirements specified in S7 at the target locations specified in S10 
when impacted by the free motion headform specified in S8.9 at any speed 
up to and including 24 kilometers per hour. The requirements do not 
apply to any target that cannot be located using the procedures of S10.
    S6.3  A vehicle need not meet the requirements of S6.1 through S6.2 
for:
    (a) Any target located on a convertible roof frame or a convertible 
roof linkage mechanism.
    (b) Any target located rearward of a vertical plane 600 mm behind 
the seating reference point of the rearmost designated seating position.

[[Page 427]]

    (c) Any target located rearward of a vertical plane 600 mm behind 
the seating reference point of the driver's seating position in an 
ambulance or a motor home.
    (d) Any target in a walk-in van-type vehicles.
    S7  Performance Criterion. The HIC(d) shall not exceed 1000 when 
calculated in accordance with the following formula:
    (a) HIC(d) = 0.75446 (free motion headform HIC) + 166.4.
    (b) The free motion headform HIC is calculated in accordance with 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR08AP97.018

    Where the term a is the resultant acceleration expressed as a 
multiple of g (the acceleration of gravity), and t1 and t2 are any two 
points in time during the impact which are separated by not more than a 
36 millisecond time interval.
    S8  Target location and test conditions. The vehicle shall be tested 
and the targets specified in S10 located under the following conditions.
    S8.1  Vehicle test attitude.
    (a) The vehicle is supported off its suspension at an attitude 
determined in accordance with S8.1(b).
    (b) Directly above each wheel opening, determine the vertical 
distance between a level surface and a standard reference point on the 
test vehicle's body under the conditions of S8.1(b)(1) through 
S8.1(b)(3).
    (1) The vehicle is loaded to its unloaded vehicle weight, plus its 
rated cargo and luggage capacity or 136 kg, whichever is less, secured 
in the luggage area. The load placed in the cargo area is centered over 
the longitudinal centerline of the vehicle.
    (2) The vehicle is filled to 100 percent of all fluid capacities.
    (3) All tires are inflated to the manufacturer's specifications 
listed on the vehicle's tire placard.
    S8.2  Windows and Sunroofs.
    (a) Movable vehicle windows are placed in the fully open position.
    (b) For testing, any window on the opposite side of the longitudinal 
centerline of the vehicle from the target to be impacted may be removed.
    (c) For testing, movable sunroofs are placed in the fully open 
position.
    S8.3  Convertible tops. The top, if any, of convertibles and open-
body type vehicles is in the closed passenger compartment configuration.
    S8.4  Doors.
    (a) Except as provided in S8.4(b) or S8.4(c), doors, including any 
rear hatchback or tailgate, are fully closed and latched but not locked.
    (b) During testing, any side door on the opposite side of the 
longitudinal centerline of the vehicle from the target to be impacted 
may be open or removed.
    (c) During testing, any rear hatchback or tailgate may be open or 
removed for testing any target except targets on the rear header, 
rearmost pillars, or the rearmost other side rail on either side of the 
vehicle.
    S8.5  Sun visors. Each sun visor shall be placed in any position 
where one side of the visor is in contact with the vehicle interior 
surface (windshield, side rail, front header, roof, etc.).
    S8.6  Steering wheel and seats.
    (a) During targeting, the steering wheel and seats may be placed in 
any position intended for use while the vehicle is in motion.
    (b) During testing, the steering wheel and seats may be removed from 
the vehicle.
    S8.7  Seat belt anchorages. If a target is on a seat belt anchorage, 
and if the seat belt anchorage is adjustable, tests are conducted with 
the anchorage adjusted to a point midway between the two extreme 
adjustment positions. If the anchorage has distinct adjustment 
positions, none of which is midway between the two extreme positions, 
tests are conducted with the anchorage adjusted to the nearest position 
above the midpoint of the two extreme positions.
    S8.8  Temperature and humidity.
    (a) The ambient temperature is between 19 degrees C. and 26 degrees 
C., at any relative humidity between 10 percent and 70 percent.

[[Page 428]]

    (b) Tests are not conducted unless the headform specified in S8.9 is 
exposed to the conditions specified in S8.8(a) for a period not less 
than four hours.
    S8.9  Headform. The headform used for testing conforms to the 
specifications of part 572, subpart L of this chapter.
    S8.10  Forehead impact zone. The forehead impact zone of the 
headform is determined according to the procedure specified in (a) 
through (f).
    (a) Position the headform so that the baseplate of the skull is 
horizontal. The midsagittal plane of the headform is designated as Plane 
S.
    (b) From the center of the threaded hole on top of the headform, 
draw a 69 mm line forward toward the forehead, coincident with Plane S, 
along the contour of the outer skin of the headform. The front end of 
the line is designated as Point P. From Point P, draw a 100 mm line 
forward toward the forehead, coincident with Plane S, along the contour 
of the outer skin of the headform. The front end of the line is 
designated as Point O.
    (c) Draw a 125 mm line which is coincident with a horizontal plane 
along the contour of the outer skin of the forehead from left to right 
through Point O so that the line is bisected at Point O. The end of the 
line on the left side of the headform is designated as Point a and the 
end on the right as Point b.
    (d) Draw another 125 mm line which is coincident with a vertical 
plane along the contour of the outer skin of the forehead through Point 
P so that the line is bisected at Point P. The end of the line on the 
left side of the headform is designated as Point c and the end on the 
right as Point d.
    (e) Draw a line from Point a to Point c along the contour of the 
outer skin of the headform using a flexible steel tape. Using the same 
method, draw a line from Point b to Point d.
    (f) The forehead impact zone is the surface area on the FMH forehead 
bounded by lines a-O-b and c-P-d, and a-c and b-d.
    S8.11  Target circle. The area of the vehicle to be impacted by the 
headform is marked with a solid circle 12.7 mm in diameter, centered on 
the targets specified in S10, using any transferable opaque coloring 
medium.
    S8.12  Location of head center of gravity.
    (a) Location of head center of gravity for front outboard designated 
seating positions (CG-F). For determination of head center of gravity, 
all directions are in reference to the seat orientation.
    (1) Location of rearmost CG-F (CG-F2). For front outboard designated 
seating positions, the head center of gravity with the seat in its 
rearmost adjustment position (CG-F2) is located 160 mm rearward and 660 
mm upward from the seating reference point.
    (2) Location of forwardmost CG-F (CG-F1). For front outboard 
designated seating positions, the head center of gravity with the seat 
in its forwardmost adjustment position (CG-F1) is located horizontally 
forward of CG-F2 by the distance equal to the fore-aft distance of the 
seat track.
    (b) Location of head center of gravity for rear outboard designated 
seating positions (CG-R). For rear outboard designated seating 
positions, the head center of gravity (CG-R) is located 160 mm rearward, 
relative to the seat orientation, and 660 mm upward from the seating 
reference point.
    S8.13  Impact configuration.
    S8.13.1  The headform is launched from any location inside the 
vehicle which meets the conditions of S8.13.4. At the time of launch, 
the midsagittal plane of the headform is vertical and the headform is 
upright.
    S8.13.2  The headform travels freely through the air, along a 
velocity vector that is perpendicular to the headform's skull cap plate, 
not less than 25 mm before making any contact with the vehicle.
    S8.13.3  At the time of initial contact between the headform and the 
vehicle interior surface, some portion of the forehead impact zone of 
the headform contacts some portion of the target circle.
    S8.13.4  Approach Angles. The headform launching angle is as 
specified in Table 1. For components for which Table 1 specifies a range 
of angles, the headform launching angle is within the limits determined 
using the procedures specified in S8.13.4.1 and S8.13.4.2, and within 
the range specified

[[Page 429]]

in Table I, using the orthogonal reference system specified in S9.

                     Table 1.--Approach Angle Limits                    
                              [In degrees]                              
------------------------------------------------------------------------
                                                                Vertical
           Target component                Horizontal angle       angle 
------------------------------------------------------------------------
Front Header..........................  180                         0-50
Rear Header...........................  0 or 360                    0-50
Left Side Rail........................  270                         0-50
Right Side Rail.......................  90                          0-50
Left Sliding Door Track...............  270                         0-50
Right Sliding Door Track..............  90                          0-50
Left A-Pillar.........................  195-255                    -5-50
Right A-Pillar........................  105-165                    -5-50
Left B-Pillar.........................  195-345                   -10-50
Right B-Pillar........................  15-165                    -10-50
Other Left Pillars....................  270                       -10-50
Other Right Pillars...................  90                        -10-50
Left Rearmost Pillar..................  270-345                   -10-50
Right Rearmost Pillar.................  15-90                     -10-50
Upper Roof............................  Any                         0-50
Overhead Rollbar......................  0 or 180                    0-50
Brace or Stiffener....................  90 or 270                   0-50
Seat Belt Anchorages..................  Any                         0-50
------------------------------------------------------------------------

    S8.13.4.1  Horizontal Approach Angles for Headform Impacts.
    (a) Left A-Pillar Horizontal Approach Angles.
    (1) Locate a line formed by the shortest horizontal distance between 
CG-F1 for the left seat and the right A-pillar. The maximum horizontal 
approach angle for the left A-pillar equals 360 degrees minus the angle 
formed by that line and the X-axis of the vehicle, measured 
counterclockwise.
    (2) Locate a line formed by the shortest horizontal distance between 
CG-F2 for the left seat and the left A-pillar. The minimum horizontal 
approach angle for the left A-pillar impact equals the angle formed by 
that line and the X-axis of the vehicle, measured counterclockwise.
    (b) Right A-Pillar Horizontal Approach Angles.
    (1) Locate a line formed by the shortest horizontal distance between 
CG-F1 for the right seat and the left A-pillar. The minimum horizontal 
approach angle for the right A-pillar equals 360 degrees minus the angle 
formed by that line and the X-axis of the vehicle, measured 
counterclockwise.
    (2) Locate a line formed by the shortest horizontal distance between 
CG-F2 for the right seat and the right A-pillar. The maximum horizontal 
approach angle for the right A-pillar impact equals the angle formed by 
that line and the X-axis of the vehicle measured counterclockwise.
    (c) Left B-Pillar Horizontal Approach Angles.
    (1) Locate a line formed by the shortest horizontal distance between 
CG-F2 for the left seat and the left B-pillar. The maximum horizontal 
approach angle for the left B-pillar equals the angle formed by that 
line and the X-axis of the vehicle measured counterclockwise, or 270 
degrees, whichever is greater.
    (2) Locate a line formed by the shortest horizontal distance between 
CG-R for the left seat and the left B-pillar. The minimum horizontal 
approach angle for the left B-pillar equals the angle formed by that 
line and the X-axis of the vehicle measured counterclockwise.
    (d) Right B-Pillar Horizontal Approach Angles.
    (1) Locate a line formed by the shortest horizontal distance between 
CG-F2 for the right seat and the right B-pillar. The minimum horizontal 
approach angle for the right B-pillar equals the angle formed by that 
line and the X-axis of the vehicle measured counterclockwise, or 90 
degrees, whichever is less.
    (2) Locate a line formed by the shortest horizontal distance between 
CG-R for the right seat and the right B-pillar. The maximum horizontal 
approach angle for the right B-pillar equals the angle between that line 
and the X-axis of the vehicle measured counterclockwise.
    S8.13.4.2  Vertical Approach Angles
    (a) Position the forehead impact zone in contact with the selected 
target at the prescribed horizontal approach angle. If a range of 
horizontal approach angles is prescribed, position the forehead impact 
zone in contact with the selected target at any horizontal approach 
angle within the range which may be used for testing.
    (b) Keeping the forehead impact zone in contact with the target, 
rotate the FMH upward until the lip, chin or other part of the FMH 
contacts the component or other portion of the vehicle interior.
    (1) Except as provided in S8.13.4.2(b)(2), keeping the forehead 
impact zone in contact with the target,

[[Page 430]]

rotate the FMH downward by 5 degrees for each target to determine the 
maximum vertical angle.
    (2) For all pillars except A-Pillars, keeping the forehead impact 
zone in contact with the target, rotate the FMH downward by 10 degrees 
for each target to determine the maximum vertical angle.
    S8.14  Multiple impacts.
    (a) A vehicle being tested may be impacted multiple times, subject 
to the limitations in S8.14 (b) and (c).
    (b) As measured as provided in S8.14(d), impacts within 300 mm of 
each other may not occur less than 30 minutes apart.
    (c) As measured as provided in S8.14(d), no impact may occur within 
150 mm of any other impact.
    (d) For S8.14(b) and S8.14(c), the distance between impacts is the 
distance between the centers of the target circle specified in S8.11 for 
each impact, measured along the vehicle interior.
    S8.15  Upper Roof. The upper roof of a vehicle is determined 
according to the procedure specified in S8.15 (a) through (h).
    (a) Locate the transverse vertical plane A at the forwardmost point 
where it contacts the interior roof (including trim) at the vehicle 
centerline.
    (b) Locate the transverse vertical plane B at the rearmost point 
where it contacts the interior roof (including trim) at the vehicle 
centerline.
    (c) Measure the horizontal distance (D1) between Plane A and Plane 
B.
    (d) Locate the vertical longitudinal plane C at the leftmost point 
at which a vertical transverse plane, located 300 mm rearward of the A-
pillar reference point described in S10.1(a), contacts the interior roof 
(including trim).
    (e) Locate the vertical longitudinal plane D at the rightmost point 
at which a vertical transverse plane, located 300 mm rearward of the A-
pillar reference point described in S10.1(a), contacts the interior roof 
(including trim).
    (f) Measure the horizontal distance (D2) between Plane C and Plane 
D.
    (g) Locate a point (Point M) on the interior roof surface, midway 
between Plane A and Plane B along the vehicle longitudinal centerline.
    (h) The upper roof zone is the area of the vehicle upper interior 
surface bounded by the four planes described in S8.15(h)(1) and 
S8.15(h)(2):
    (1) A transverse vertical plane E located at a distance of (.35 D1) 
forward of Point M and a transverse vertical plane F located at a 
distance of (.35 D1) rearward of Point M, measured horizontally.
    (2) A longitudinal vertical plane G located at a distance of (.35 
D2) to the left of Point M and a longitudinal vertical plane H located 
at a distance of (.35 D2) to the right of Point M, measured 
horizontally.
    S9. Orthogonal Reference System. The approach angles specified in 
S8.13.4 are determined using the reference system specified in S9.1 
through S9.4.
    S9.1 An orthogonal reference system consisting of a longitudinal X 
axis and a transverse Y axis in the same horizontal plane and a vertical 
Z axis through the intersection of X and Y is used to define the 
horizontal direction of approach of the headform. The X-Z plane is the 
vertical longitudinal zero plane and is parallel to the longitudinal 
centerline of the vehicle. The X-Y plane is the horizontal zero plane 
parallel to the ground. The Y-Z plane is the vertical transverse zero 
plane that is perpendicular to the X-Y and X-Z planes. The X coordinate 
is negative forward of the Y-Z plane and positive to the rear. The Y 
coordinate is negative to the left of the X-Z plane and positive to the 
right. The Z coordinate is negative below the X-Y plane and positive 
above it. (See Figure 1.)
    S9.2  The origin of the reference system is the center of gravity of 
the headform at the time immediately prior to launch for each test.
    S9.3  The horizontal approach angle is the angle between the X axis 
and the headform impact velocity vector projected onto the horizontal 
zero plane, measured in the horizontal zero plane in the counter-
clockwise direction. A 0 degree horizontal vector and a 360 degree 
horizontal vector point in the positive X direction; a 90 degree 
horizontal vector points in the positive Y direction; a 180 degree 
horizontal vector points in the negative X direction; and a 270 
horizontal degree vector

[[Page 431]]

points in the negative Y direction. (See Figure 2.)
    S9.4  The vertical approach angle is the angle between the 
horizontal plane and the velocity vector, measured in the midsagittal 
plane of the headform. A 0 degree vertical vector in Table I coincides 
with the horizontal plane and a vertical vector of greater than 0 
degrees in Table I makes a upward angle of the same number of degrees 
with that plane.
    S10  Target Locations.
    (a) The target locations specified in S10.1 through S10.13 are 
located on both sides of the vehicle and, except as specified in S10(b), 
are determined using the procedures specified in those paragraphs.
    (b) Except as specified in S10(c), if there is no combination of 
horizontal and vertical angles specified in S8.13.4 at which the 
forehead impact zone of free motion headform can contact one of the 
targets located using the procedures in S10.1 through S10.13, the center 
of that target is moved to any location within a sphere with a radius of 
25 mm, centered on the center of the original target and measured along 
the vehicle interior, which the forehead impact zone can contact at one 
or more combination of angles.
    (c) If there is no point within the sphere specified in S10(b) which 
the forehead impact zone of the free motion headform can contact at one 
or more combination of horizontal and vertical angles specified in 
S8.13.4, the radius of the sphere is increased by 25 mm increments until 
the sphere contains at least one point that can be contacted at one or 
more combination of angles.
    S10.1  A-pillar targets
    (a) A-pillar reference point and target AP1. On the vehicle 
exterior, locate a transverse vertical plane (Plane 1) which contacts 
the rearmost point of the windshield trim. The intersection of Plane 1 
and the vehicle exterior surface is Line 1. Measuring along the vehicle 
exterior surface, locate a point (Point 1) on Line 1 that is 125 mm 
inboard of the intersection of Line 1 and a vertical plane tangent to 
the vehicle at the outboardmost point on Line 1 with the vehicle side 
door open. Measuring along the vehicle exterior surface in a 
longitudinal vertical plane (Plane 2) passing through Point 1, locate a 
point (Point 2) 50 mm rearward of Point 1. Locate the A-pillar reference 
point (Point APR) at the intersection of the interior roof surface and a 
line that is perpendicular to the vehicle exterior surface at Point 2. 
Target AP1 is located at point APR.
    (b) Target AP2. Locate the horizontal plane (Plane 3) which 
intersects point APR. Locate the horizontal plane (Plane 4) which is 88 
mm below Plane 3. Target AP2 is the point in Plane 4 and on the A-pillar 
which is closest to CG-F2 for the nearest seating position.
    (c) Target AP3. Locate the horizontal plane (Plane 5) containing the 
highest point at the intersection of the dashboard and the A-pillar. 
Locate a horizontal plane (Plane 6) half-way between Plane 3 and Plane 
5. Target AP3 is the point on Plane 6 and the A-pillar which is closest 
to CG-F1 for the nearest seating position.
    S10.2  B-pillar targets.
    (a) B-pillar reference point and target BP1. Locate the point (Point 
3) on the vehicle interior at the intersection of the horizontal plane 
passing through the highest point of the forwardmost door opening and 
the centerline of the width of the B-pillar, as viewed laterally. Locate 
a transverse vertical plane (Plane 7) which passes through Point 3. 
Locate the point (Point 4) at the intersection of the interior roof 
surface, Plane 7, and the plane, described in S8.15(h), defining the 
nearest edge of the upper roof. The B-pillar reference point (Point BPR) 
is the point located at the middle of the line from Point 3 to Point 4 
in Plane 7, measured along the vehicle interior surface. Target BP1 is 
located at Point BPR.
    (b) Target BP2. If a seat belt anchorage is located on the B-pillar, 
Target BP2 is located at any point on the anchorage.
    (c) Target BP3. Target BP3 is located in accordance with this 
paragraph. Locate a horizontal plane (Plane 8) which intersects Point 
BPR. Locate a horizontal plane (Plane 9) which passes through the lowest 
point of the daylight opening forward of the pillar. Locate a horizontal 
plane (Plane 10) half-way between Plane 8 and Plane 9. Target BP3 is the 
point located in Plane 10

[[Page 432]]

and on the interior surface of the B-pillar, which is closest to CG-F(2) 
for the nearest seating position.
    (d) Target BP4. Locate a horizontal plane (Plane 11) half-way 
between Plane 9 and Plane 10. Target BP4 is the point located in Plane 
11 and on the interior surface of the B-pillar which is closest to CG-R 
for the nearest seating position.
    S10.3  Other pillar targets.
    (a) Target OP1.
    (1) Except as provided in S10.3(a)(2), target OP1 is located in 
accordance with this paragraph. Locate the point (Point 5), on the 
vehicle interior, at the intersection of the horizontal plane through 
the highest point of the highest adjacent door opening or daylight 
opening (if no adjacent door opening) and the centerline of the width of 
the other pillar, as viewed laterally. Locate a transverse vertical 
plane (Plane 12) passing through Point 5. Locate the point (Point 6) at 
the intersection of the interior roof surface, Plane 12 and the plane, 
described in S8.15(h), defining the nearest edge of the upper roof. The 
other pillar reference point (Point OPR) is the point located at the 
middle of the line between Point 5 and Point 6 in Plane 12, measured 
along the vehicle interior surface. Target OP1 is located at Point OPR.
    (2) If a seat belt anchorage is located on the pillar, Target OP1 is 
any point on the anchorage.
    (b) Target OP2. Locate the horizontal plane (Plane 13) intersecting 
Point OPR. Locate a horizontal plane (Plane 14) passing through the 
lowest point of the daylight opening forward of the pillar. Locate a 
horizontal plane (Plane 15) half-way between Plane 13 and Plane 14. 
Target OP2 is the point located on the interior surface of the pillar at 
the intersection of Plane 15 and the centerline of the width of the 
pillar, as viewed laterally.
    S10.4  Rearmost pillar targets
    (a) Rearmost pillar reference point and target RP1. Locate the point 
(Point 7) at the corner of the upper roof nearest to the pillar. The 
distance between Point M, as described in S8.15(g), and Point 7, as 
measured along the vehicle interior surface, is D. Extend the line from 
Point M to Point 7 along the vehicle interior surface in the same 
vertical plane by (3*D/7) beyond Point 7 or until the edge of a daylight 
opening, whichever comes first, to locate Point 8. The rearmost pillar 
reference point (Point RPR) is at the midpoint of the line between Point 
7 and Point 8, measured along the vehicle interior. Target RP1 is 
located at Point RPR.
    (b) Target RP2.
    (1) Except as provided in S10.4(b)(2), target RP2 is located in 
accordance with this paragraph. Locate the horizontal plane (Plane 16) 
through Point RPR. Locate the horizontal plane (Plane 17) 150 mm below 
Plane 16. Target RP2 is located in Plane 17 and on the pillar at the 
location closest to CG-R for the nearest designated seating position.
    (2) If a seat belt anchorage is located on the pillar, Target RP2 is 
any point on the anchorage.
    S10.5  Front header targets.
    (a) Target FH1. Locate the contour line (Line 2) on the vehicle 
interior trim which passes through the APR and is parallel to the 
contour line (Line 3) at the upper edge of the windshield on the vehicle 
interior. Locate the point (Point 9) on Line 2 that is 125 mm inboard of 
the APR, measured along that line. Locate a longitudinal vertical plane 
(Plane 18) that passes through Point 9. Target FH1 is located at the 
intersection of Plane 18 and the upper vehicle interior, halfway between 
a transverse vertical plane (Plane 19) through Point 9 and a transverse 
vertical plane (Plane 20) through the intersection of Plane 18 and Line 
3.
    (b) Target FH2.
    (1) Except as provided in S10.5(b)(2), target FH2 is located in 
accordance with this paragraph. Locate a point (Point 10) 275 mm inboard 
of Point APR, along Line 2. Locate a longitudinal vertical plane (Plane 
21) that passes through Point 10. Target FH2 is located at the 
intersection of Plane 21 and the upper vehicle interior, halfway between 
a transverse vertical plane (Plane 22) through Point 10 and a transverse 
vertical plane (Plane 23) through the intersection of Plane 21 and Line 
3.
    (2) If a sun roof opening is located forward of the front edge of 
the upper roof and intersects the mid-sagittal plane of a dummy seated 
in either front outboard seating position, target

[[Page 433]]

FH2 is the nearest point that is forward of a transverse vertical plane 
(Plane 24) through CG-F(2) and on the intersection of the mid-sagittal 
plane and the interior sunroof opening.
    S10.6  Targets on the side rail between the A-pillar and the B-
pillar or rearmost pillar in vehicles with only two pillars on each side 
of the vehicle.
    (a) Target SR1. Locate a transverse vertical plane (Plane 25) 150 mm 
rearward of Point APR. Locate the point (Point 11) at the intersection 
of Plane 25 and the upper edge of the forwardmost door opening. Locate 
the point (Point 12) at the intersection of the interior roof surface, 
Plane 25 and the plane, described in S8.15(h), defining the nearest edge 
of the upper roof. Target SR1 is located at the middle of the line 
between Point 11 and Point 12 in Plane 25, measured along the vehicle 
interior.
    (b) Target SR2. Locate a transverse vertical plane (Plane 26) 300 mm 
rearward of the APR or 300 mm forward of the BPR (or the RPR in vehicles 
with no B-pillar). Locate the point (Point 13) at the intersection of 
Plane 26 and the upper edge of the forwardmost door opening. Locate the 
point (Point 14) at the intersection of the interior roof surface, Plane 
26 and the plane, described in S8.15(h), defining the nearest edge of 
the upper roof. Target SR2 is located at the middle of the line between 
Point 13 and Point 14 in Plane 26, measured along the vehicle interior.
    S10.7  Other side rail target (target SR3).
    (a) Except as provided in S10.7(b), target SR3 is located in 
accordance with this paragraph. Locate a transverse vertical plane 
(Plane 27) 150 mm rearward of either Point BPR or Point OPR. Locate the 
point (Point 15) as provided in either S10.7(a)(1) or S10.7(a)(2), as 
appropriate. Locate the point (Point 16) at the intersection of the 
interior roof surface, Plane 27 and the plane, described in S8.15(h), 
defining the nearest edge of the upper roof. Target SR3 is located at 
the middle of the line between Point 15 and Point 16 in Plane 27, 
measured along the vehicle interior surface.
    (1) If Plane 27 intersects a door or daylight opening, the Point 15 
is located at the intersection of Plane 27 and the upper edge of the 
door opening or daylight opening.
    (2) If Plane 27 does not intersect a door or daylight opening, the 
Point 15 is located on the vehicle interior at the intersection of Plane 
27 and the horizontal plane through the highest point of the door or 
daylight opening nearest Plane 27. If the adjacent door(s) or daylight 
opening(s) are equidistant to Plane 27, Point 15 is located on the 
vehicle interior at the intersection of Plane 27 and either horizontal 
plane through the highest point of each door or daylight opening.
    (b) Except as provided in S10.7(c), if a grab handle is located on 
the side rail, target SR3 is located at any point on the anchorage of 
the grab-handle. Folding grab-handles are in their stowed position for 
testing.
    (c) If a seat belt anchorage is located on the side rail, target SR3 
is located at any point on the anchorage.
    S10.8  Rear header target (target RH). Locate the point (Point 17) 
at the intersection of the surface of the upper vehicle interior, the 
mid-sagittal plane (Plane 28) of the outboard rearmost dummy and the 
plane, described in S8.15(h), defining the rear edge of the upper roof. 
Locate the point (Point 18) as provided in S10.8(a) or S10.8(b), as 
appropriate. Except as provided in S10.8(c), Target RH is located at the 
mid-point of the line that is between Point 17 and Point 18 and is in 
Plane 28, as measured along the surface of the vehicle interior.
    (a) If Plane 28 intersects a rear door opening or daylight opening, 
then Point 18 is located at the intersection of Plane 28 and the upper 
edge of the door opening or the daylight opening (if no door opening).
    (b) If Plane 28 does not intersect a rear door opening or daylight 
opening, then Point 18 is located on the vehicle interior at the 
intersection of Plane 28 and a horizontal plane through the highest 
point of the door or daylight opening nearest to Plane 28. If the 
adjacent door(s) or daylight opening(s) are equidistant to Plane 28, 
Point 18 is located on the vehicle interior at the intersection of Plane 
28 and either horizontal plane through the highest point of each door or 
daylight opening.

[[Page 434]]

    (c) If Target RH is more than 112 mm from Point 18 on the line that 
is between Point 17 and Point 18 and is in Plane 28, as measured along 
the surface of the vehicle interior, then Target RH is the point on that 
line which is 112 mm from Point 18.
    S10.9  Upper roof target (target UR). Target UR is any point on the 
upper roof.
    S10.10  Sliding door track target (target SD). Locate the transverse 
vertical plane (Plane 29) passing through the middle of the widest 
opening of the sliding door, measured horizontally and parallel to the 
vehicle longitudinal centerline. Locate the point (Point 19) at the 
intersection of the surface of the upper vehicle interior, Plane 29 and 
the plane, described in S8.15(h), defining the nearest edge of the upper 
roof. Locate the point (Point 20) at the intersection of Plane 29 and 
the upper edge of the sliding door opening. Target SD is located at the 
middle of the line between Point 19 and Point 20 in Plane 29, measured 
along the vehicle interior.
    S10.11  Roll-bar targets.
    (a) Target RB1. Locate a longitudinal vertical plane (Plane 30) at 
the mid-sagittal plane of a dummy seated in any outboard designated 
seating position. Target RB1 is located on the roll-bar and in Plane 30 
at the location closest to either CG-F2 or CG-R, as appropriate, for the 
same dummy.
    (b) Target RB2. If a seat belt anchorage is located on the roll-bar, 
Target RB2 is any point on the anchorage.
    S10.12  Stiffener targets.
    (a) Target ST1. Locate a transverse vertical plane (Plane 31) 
containing either CG-F2 or CG-R, as appropriate, for any outboard 
designated seating position. Target ST1 is located on the stiffener and 
in Plane 31 at the location closest to either CG-F2 or CG-R, as 
appropriate.
    (b) Target ST2. If a seat belt anchorage is located on the 
stiffener, Target ST2 is any point on the anchorage.
    S10.13  Brace target (target BT) Target BT is any point on the width 
of the brace as viewed laterally from inside the passenger compartment.

[[Page 435]]

[GRAPHIC] [TIFF OMITTED] TR08AP97.008



[[Page 436]]

[GRAPHIC] [TIFF OMITTED] TR08AP97.009


[62 FR 16725, Apr. 8, 1997]



Sec. 571.202  Standard No. 202; Head restraints.

    S1. Purpose and scope. This standard specifies requirements for head 
restraints to reduce the frequency and severity of neck injury in rear-
end and other collisions.
    S2. Application. This standard applies to passenger cars, and to 
multipurpose passenger vehicles, trucks and buses with a GVWR of 10,000 
pounds or less.
    S3. Definitions. Head restraint means a device that limits rearward 
angular displacement of the occupant's head relative to his torso line.
    S4. Requirements.
    S4.1  Each passenger car shall comply with S4.3.
    S4.2  Each truck, multipurpose passenger vehicle and bus with a GVWR 
of 10,000 pounds or less, manufactured on or after September 1, 1991, 
shall comply with S4.3.

[[Page 437]]

    S4.3  Performance levels. Except for school buses, a head restraint 
that conforms to either (a) or (b) shall be provided at each outboard 
front designated seating position. For school buses, a head restraint 
that conforms to either (a) or (b) shall be provided for the driver's 
seating position. (a) It shall, when tested in accordance with S5.1, 
during a forward acceleration of at least 8g on the seat supporting 
structure, limit rearward angular displacement of the head reference 
line to 45 deg. from the torso reference line; or
    (b) It shall, when adjusted to its fully extended design position, 
conform to each of the following--
    (1) When measured parallel to torso line, the top of the head 
restraint shall not be less than 27.5 inches above the seating reference 
point;
    (2) When measured either 2.5 inches below the top of the head 
restraint or 25 inches above the seating reference point, the lateral 
width of the head restraint shall be not less than--
    (i) 10 inches for use with bench-type seats; and
    (ii) 6.75 inches for use with individual seats;
    (3) When tested in accordance with S5.2, any portion of the head 
form in contact with the head restraint shall not be displaced to more 
than 4 inches perpendicularly rearward of the displaced extended torso 
reference line during the application of the load specified in S5.2(c); 
and
    (4) When tested in accordance with S5.2, the head restraint shall 
withstand an increasing load until one of the following occurs:
    (i) Failure of the seat or seat back; or,
    (ii) Application of a load of 200 pounds.
    S5. Demonstration procedures.
    S5.1  Compliance with S4.3(a) shall be demonstrated in accordance 
with the following with the head restraint in its fully extended design 
position:
    (a) On the exterior profile of the head and torso of a dummy having 
the weight and seated height of a 95th percentile adult male with an 
approved representation of a human, articulated neck structure, or an 
approved equivalent test device, establish reference lines by the 
following method:
    (1) Position the dummy's back on a horizontal flat surface with the 
lumbar joints in a straight line.
    (2) Rotate the head of the dummy rearward until the back of the head 
contacts the same flat horizontal surface in paragraph (1).
    (3) Position the SAE J-826 two-dimensional manikin's back against 
the flat surface in S5.1(a)(1), alongside the dummy with the h-point of 
the manikin aligned with the h-point of the dummy.
    (4) Establish the torso line of the manikin as defined in SAE 
Aerospace-Automotive Drawing Standards, sec. 2.3.6, P.E1.01, September 
1963.
    (5) Establish the dummy torso reference line by superimposing the 
torso line of the manikin on the torso of the dummy.
    (6) Establish the head reference line by extending the dummy torso 
reference line onto the head.
    (b) At each designated seating position having a head restraint, 
place the dummy, snugly restrained by a Type 1 seat belt, in the 
manufacturer's recommended design seated position.
    (c) During a forward acceleration applied to the structure 
supporting the seat as described below, measure the maximum rearward 
angular displacement between the dummy torso reference line and the head 
reference line. When graphically depicted, the magnitude of the 
acceleration curve shall not be less than that of a half-sine wave 
having the amplitude of 8g and a duration of 80 milliseconds and not 
more than that of a half-sine wave curve having an amplitude of 9.6g and 
a duration of 96 milliseconds.
    S5.2  Compliance with S4.3(b) shall be demonstrated in accordance 
with the following with the head restraint in its fully extended design 
position:
    (a) Place a test device, having the back plan dimensions and torso 
line (centerline of the head room probe in full back position), of the 
three dimensional SAE J826 manikin, at the manufacturer's recommended 
design seated position.
    (b) Establish the displaced torso reference line by applying a 
rearward moment of 3,300 in. lb. about the seating reference point to 
the seat back

[[Page 438]]

through the test device back pan located in (a).
    (c) After removing the back pan, using a 6.5 inch diameter spherical 
head form or a cylindrical head form having a 6.5 inch diameter in plan 
view and a 6-inch height in profile view, apply, perpendicular to the 
displaced torso reference line, a rearward initial load 2.5 inches below 
the top of the head restraint that will produce a 3,300 in. lb. moment 
about the seating reference point.
    (d) Gradually increase this initial load to 200 pounds or until the 
seat or seat back fails, whichever occurs first.
[36 FR 22902, Dec. 2, 1971, as amended at 54 FR 39187, Sept. 25, 1989; 
61 FR 27025, May 30, 1996]



Sec. 571.203  Standard No. 203; Impact protection for the driver from the steering control system.

    S1. Purpose and scope. This standard specifies requirements for 
steering control systems that will minimize chest, neck, and facial 
injuries to the driver as a result of impact.
    S2. Application. This standard applies to passenger cars and to 
multipurpose passenger vehicles, trucks and buses with a GVWR of 10,000 
pounds or less. However, it does not apply to vehicles that conform to 
the frontal barrier crash requirements (S5.1) of Standard No. 208 (49 
CFR 571.208) by means of other than seat belt assemblies. It also does 
not apply to walk-in vans.
    S3. Definitions. Steering control system means the basic steering 
mechanism and its associated trim hardware, including any portion of a 
steering column assembly that provides energy absorption upon impact.
    S4. Requirements. Each passenger car and each multipurpose passenger 
vehicle, truck and bus with a GVWR of 10,000 pounds or less manufactured 
on or after September 1, 1981, shall meet the requirements of S5.1 and 
S5.2.
    S5. Impact protection requirements.
    S5.1  Except as herein provided, the steering control system of any 
vehicle to which this standard applies shall be impacted in accordance 
with S5.1(a). However, the steering control system of any such vehicle 
manufactured on or before August 31, 1996, may be impacted in accordance 
with S5.1(b).
    (a) When the steering control system is impacted by a body block in 
accordance with SAE Recommended Practice J944 JUN80 Steering Control 
System--Passenger Car--Laboratory Test Procedure, at a relative velocity 
of 15 miles per hour, the impact force developed on the chest of the 
body block transmitted to the steering control system shall not exceed 
2,500 pounds, except for intervals whose cumulative duration is not more 
than 3 milliseconds.
    (b)  When the steering control system is impacted in accordance with 
Society of Automotive Engineers Recommended Practice J944, ``Steering 
Wheel Assembly Laboratory Test Procedure,'' December 1965, or an 
approved equivalent, at a relative velocity of 15 miles per hour, the 
impact force developed on the chest of the body block transmitted to the 
steering control system shall not exceed 2,500 pounds, except for 
intervals whose cumulative duration is not more than 3 milliseconds.
    S5.2  The steering control system shall be so constructed that no 
components or attachments, including horn actuating mechanisms and trim 
hardware, can catch the driver's clothing or jewelry during normal 
driving maneuvers.

    Note: The term jewelry refers to watches, rings, and bracelets 
without loosely attached or dangling members.

[36 FR 22902, Dec. 2, 1971, as amended at 44 FR 68475, Nov. 29, 1979; 47 
FR 47842, Oct. 28, 1982; 58 FR 26527, May 4, 1993; 58 FR 63304, Dec. 1, 
1993]



Sec. 571.204  Standard No. 204; Steering control rearward displacement.

    S1. Purpose and scope. This standard specifies requirements limiting 
the rearward displacement of the steering control into the passenger 
compartment to reduce the likelihood of chest, neck, or head injury.
    S2. Application. This standard applies to passenger cars and to 
multipurpose passenger vehicles, trucks, and buses. However, it does not 
apply to walk-in vans.
    S3. Definitions.
    Steering column means a structural housing that surrounds a steering 
shaft.

[[Page 439]]

    Steering shaft means a component that transmits steering torque from 
the steering wheel to the steering gear.
    S4  Requirements.
    S4.1  Vehicles manufactured before September 1, 1991. When a 
passenger car or a truck, bus, or multipurpose passenger vehicle with a 
gross vehicle weight rating of 10,000 pounds or less and an unloaded 
vehicle weight of 4,000 pounds or less is tested under the conditions of 
S5 in a 30 mile per hour perpendicular impact into a fixed collision 
barrier, the upper end of the steering column and shaft in the vehicle 
shall not be displaced more than 5 inches in a horizontal rearward 
direction parallel to the longitudinal axis of the vehicle. The amount 
of displacement shall be measured relative to an undisturbed point on 
the vehicle and shall represent the maximum dynamic movement of the 
upper end of the steering column and shaft during the crash test.
    S4.2  Vehicles manufactured on or after September 1, 1991. When a 
passenger car or a truck, bus, or multipurpose passenger vehicle with a 
gross vehicle weight rating of 10,000 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less is tested under the conditions of 
S5 in a 30 mile per hour perpendicular impact into a fixed collision 
barrier, the upper end of the steering column and shaft in the vehicle 
shall not be displaced more than 5 inches in a horizontal rearward 
direction parallel to the longitudinal axis of the vehicle. The amount 
of displacement shall be measured relative to an undisturbed point on 
the vehicle and shall represent the maximum dynamic movement of the 
upper end of the steering column and shaft during the crash test.
    S5.  Test conditions. The requirements of S4 shall be met when the 
vehicle is tested in accordance with the following conditions.
    S5.1  The vehicle, including test devices and instrumentation, is 
loaded to its unloaded vehicle weight.
    S5.2  Adjustable steering controls are adjusted so that a tilting 
steering wheel hub is at the geometric center of the locus it describes 
when it is moved through its full range of driving positions. A 
telescoping steering control is set at the adjustment position midway 
between the forwardmost and rearwardmost position.
    S5.3  Convertibles and open-body type vehicles have the top, if any, 
in place in the closed passenger compartment configuration.
    S5.4  Doors are fully closed and latched but not locked.
    S5.5  The fuel tank is filled to any level from 90 to 95 percent of 
capacity.
    S5.6  The parking brake is disengaged and the transmission is in 
neutral.
    S5.7  Tires are inflated to the vehicle manufacturer's 
specifications.
[52 FR 44897, Nov. 23, 1987]



Sec. 571.205  Standard No. 205, Glazing materials.

    S1. Scope. This standard specifies requirements for glazing 
materials for use in motor vehicles and motor vehicle equipment.
    S2. Purpose. The purpose of this standard is to reduce injuries 
resulting from impact to glazing surfaces, to ensure a necessary degree 
of transparency in motor vehicle windows for driver visibility, and to 
minimize the possibility of occupants being thrown through the vehicle 
windows in collisions.
    S3. Application. This standard applies to glazing materials for use 
in passenger cars, multipurpose passenger vehicles, trucks, buses, 
motorcycles, slide-in campers, and pickup covers designed to carry 
persons while in motion.
    S4. Definitions. Bullet resistant shield means a shield or barrier 
that is installed completely inside a motor vehicle behind and separate 
from glazing materials that independently comply with the requirements 
of this standard.
    Camper means a structure designed to be mounted in the cargo area of 
a truck, or attached to an incomplete vehicle with motive power, for the 
purpose of providing shelter for persons.
    Glass-plastic glazing material means a laminate of one or more 
layers of glass and one or more layers of plastic in which a plastic 
surface of the glazing faces inward when the glazing is installed in a 
vehicle.

[[Page 440]]

    Motor home means a multipurpose passenger vehicle that provides 
living accommodations for persons.
    Pickup cover means a camper having a roof and sides but without a 
floor, designed to be mounted on and removable from the cargo area of a 
truck by the user.
    Slide-in camper means a camper having a roof, floor, and sides, 
designed to be mounted on and removable from the cargo area of a truck 
by the user.
    S5. Requirements.
    S5.1  Materials.
    S5.1.1  Glazing materials for use in motor vehicles, expect as 
otherwise provided in this standard shall conform to the American 
National Standard ``Safety Code for Safety Glazing Materials for Glazing 
Motor Vehicles Operating on Land Highways'' Z-26.1-1977, January 26, 
1977, as supplemented by Z26.1a, July 3, 1980 (hereinafter referred to 
as ``ANS Z26''). However, Item 11B glazing as specified in that standard 
may not be used in motor vehicles at levels requisite for driving 
visibility, and Item 11B glazing is not required to pass Test Nos. 17, 
30, and 31.
    S5.1.1.1  The chemicals specified for testing chemical resistance in 
Tests Nos. 19 and 20 of ANS Z26 shall be:
    (a) One percent solution of nonabrasive soap.
    (b) Kerosene.
    (c) Undiluted denatured alcohol, Formula SD No. 30 (1 part 100-
percent methyl alcohol in 10 parts 190-proof ethyl alcohol by volume).
    (d) Gasoline, ASTM Reference Fuel C, which is composed of Isooctane 
50 volume percentage and Toluene 50 volume percentage. Isooctane must 
conform to A2.7 in Annex 2 of the Motor Fuels Section of the 1985 Annual 
Book of ASTM Standards, Vol. 05.04, and Toluene must conform to ASTM 
Specification D362-84, Standard Specification for Industrial Grade 
Toluene. ASTM Reference Fuel C must be used as specified in:
    (1) Paragraph A2.3.2 and A2.3.3 of Annex 2 of Motor Fuels, Section 1 
in the 1985 Annual Book of ASTM Standards; and
    (2) OSHA Standard 29 CFR 1910.106--``Handling Storage and Use of 
Flammable Combustible Liquids.''

This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. 
Copies may be inspected at the Technical Reference Library, NHTSA, 400 
Seventh Street, SW., Room 5108, Washington, DC 20590, or at the Office 
of the Federal Register, 800 North Capitol Street, NW., suite 700, 
Washington, DC.
    S5.1.1.2  The following locations are added to the lists specified 
in ANS Z26 in which item 4, item 5, item 8, and item 9 safety glazing 
may be used:
    (a)--(i) [Reserved]
    (j) Windows and doors in motor homes, except for the windshield and 
windows to the immediate right or left of the driver.
    (k) Windows and doors in slide-in campers and pickup covers.
    (l) Windows and doors in buses except for the windshield, windows to 
the immediate right or left of the driver, and rearmost windows if used 
for driving visibility.
    (m) For Item 5 safety glazing only: Motorcycle windscreens below the 
intersection of a horizontal plane 380 millimeters vertically above the 
lowest seating position.
    S5.1.1.3  The following locations are added to the lists specified 
in ANS Z26 in which item 6 and item 7 safety glazing may be used:
    (a)--(i) [Reserved]
    (j) Windows and doors in motor homes, except for the windshield, 
forward-facing windows, and windows to the immediate right or left of 
the driver.
    (k) Windows, except forward-facing windows, and doors in slide-in 
campers and pickup covers.
    (l) For item 7 safety glazing only:
    (1) Standee windows in buses.
    (2) Interior partitions.
    (3) Openings in the roof.
    S5.1.1.4  The following locations are added to the lists specified 
in ANS Z26 in which item 8 and item 9 safety glazing may be used:
    (a)--(e) [Reserved]
    (f) Windows and doors in motor homes, except for the windshield and 
windows to the immediate right or left of the driver.
    (g) Windows and doors in slide-in campers and pickup covers.
    S5.1.1.5  The phrase ``readily removable'' windows as defined in ANS 
Z26,

[[Page 441]]

for the purposes of this standard, in buses having a GVWR of more than 
4536 kilograms, shall include pushout windows and windows mounted in 
emergency exists that can be manually pushed out of their location in 
the vehicle without the use of tools, regardless of whether such windows 
remain hinged at one side to the vehicle.
    S5.1.1.6  Multipurpose passenger vehicles. Except as otherwise 
specifically provided by this standard, glazing for use in multipurpose 
passenger vehicles shall conform to the requirements for glazing for use 
in trucks as specified in ANS Z26.
    S5.1.1.7  Test No. 17 is deleted from the list of tests specified in 
ANS Z26 for Item 5 glazing material and Test No. 18 is deleted from the 
lists of tests specified in ANS Z26 for Item 3 and Item 9 glazing 
material.
    S5.1.2  In addition to the glazing materials specified in ANS Z26, 
materials conforming to S5.1.2.1, S5.1.2.2, S5.1.2.3, S5.1.2.4, 
S5.1.2.5, S5.1.2.6, S5.1.2.7, S5.1.2.8 and S5.1.2.11 may be used in the 
locations of motor vehicles specified in those sections.
    S5.1.2.1  Item 11C--Safety Glazing Material for Use in Bullet 
Resistant Shields. Bullet resistant glazing that complies with Test Nos. 
2, 17, 19, 20, 21, 24, 27, 28, 29, 30 and 32 of ANS Z26 and the labeling 
requirements of S5.1.2.5 may be used only in bullet resistant shields 
that can be removed from the motor vehicle easily for cleaning and 
maintenance. A bullet resistant shield may be used in areas requisite 
for driving visibility only if the combined parallel luminous 
transmittance with perpendicular incidence through both the shield and 
the permanent vehicle glazing is at least 60 percent.
    S5.1.2.2  Item 12--Rigid Plastics. Safety plastics materials that 
comply with Test Nos. 10, 13, 16, 19, 20, 21 and 24 of ANS Z26, with the 
exception of the test for resistance to undilated denatured alcohol 
Formula SD No. 30, and that comply with the labeling requirements of 
S5.1.2.5, may be used in a motor vehicle only in the following specified 
locations at levels not requisite for driving visibility.
    (a) Window and doors in slide-in campers and pick-up covers.
    (b) Motorcycle windscreens below the intersection of a horizontal 
plane 380 millimeters vertically above the lowest seating position.
    (c) Standee windows in buses.
    (d) Interior partitions.
    (e) Openings in the roof.
    (f) Flexible curtains or readily removable windows or in ventilators 
used in conjunction with readily removable windows.
    (g) Windows and doors in motor homes, except for the windshield and 
windows to the immediate right or left of the driver.
    (h) Windows and doors in buses except for the windshield and window 
to the immediate right and left of the driver.
    S5.1.2.3  Item 13--Flexible plastics. Safety plastic materials that 
comply with Tests Nos. 16, 19, 20, 22, and 23 or 24 of ANS Z26, with the 
exception of the test for resistance to undiluted denatured alcohol 
Formula SD No. 30, and that comply with the labeling requirements of 
S5.1.2.5 may be used in the following specific locations at levels not 
requisite for driving visibility.
    (a) Windows, except forward-facing windows, and doors in slide-in 
campers and pick-up covers.
    (b) Motorcycle windscreens below the intersection of a horizontal 
plane 380 millimeters vertically above the lowest seating position.
    (c) Standee windows in buses.
    (d) Interior partitions.
    (e) Openings in the roof.
    (f) Flexible curtains or readily removable windows or in ventilators 
used in conjunction with readily removable windows.
    (g) Windows and doors in motor homes, except for the windshield, 
forward-facing windows, and windows to the immediate right or left of 
the driver.
    S5.1.2.4. Item 14--Glass Plastics. Glass-plastic glazing materials 
that comply with the labeling requirements of S5.1.2.10 and Test Nos. 1, 
2, 3, 4, 9, 12, 15, 16, 17, 18, 19, 24, 26, and 28, as those tests are 
modified in S5.1.2.9, Test Procedures for Glass-Plastics, may be used 
anywhere in a motor vehicle, except that it may not be used in 
windshields of any of the following vehicles: convertibles, vehicles 
that have no

[[Page 442]]

roof, vehicles whose roofs are completely removable.
    S5.1.2.5. Item 15A--Annealed Glass-Plastic for use in all Positions 
in a Vehicle Except the Windshield. Glass-plastic glazing materials that 
comply with Test Nos. 1, 2, 3, 4, 9, 12, 16, 17, 18, 19, 24, and 28, as 
those tests are modified in S5.1.2.9 Test Procedures for Glass-Plastics, 
may be used anywhere in a motor vehicle except the windshield.
    S5.1.2.6 Item 15B--Tempered Glass-Plastic for Use in All Positions 
In a Vehicle Except the Windshield. Glass-plastic glazing materials that 
comply with Tests Nos. 1, 2, 3, 4, 6, 7, 8, 16, 17, 18, 19, 24, and 28, 
as those tests are modified in S5.1.2.9 Test Procedures for Glass-
Plastics, may be used anywhere in a motor vehicle except the windshield.
    S5.1.2.7. Item 16A--Annealed Glass-Plastic for Use in all Positions 
in a Vehicle not Requisite for Driving Visibility. Glass-plastic glazing 
materials that comply with Test Nos. 3, 4, 9, 12, 16, 19, 24, and 28, as 
those tests are modified in S5.1.2.9 Test Procedures for Glass-Plastics, 
may be used in a motor vehicle in all locations not requisite for 
driving visibility.
    S5.1.2.8. Item 16B--Tempered Glass-Plastic for Use in all Positions 
in a Vehicle not Requisite for Driving Visibility. Glass-plastic glazing 
materials that comply with Test Nos. 3, 4, 6, 7, 8, 16, 19, 24, and 28, 
as those tests are modified in S5.1.2.9 Test Procedures for Glass-
Plastics, may be used in a motor vehicle in all locations not requisite 
for driving visibility.
    S5.1.2.9 Test Procedures for Glass-Plastics. (a) Tests Nos. 6, 7, 8, 
9, 12, 16, and 18 shall be conducted on the glass side of the specimen, 
i.e., the surface which would face the exterior of the vehicle. Tests 
Nos. 17, 19, 24, and 26 shall be conducted on the plastic side of the 
specimen, i.e., the surface which would face the interior of the 
vehicle. Test No. 15 should be conducted with the glass side of the 
glazing facing the illuminated box and the screen, respectively. For 
Test No. 19, add the following to the specified list: an aqueous 
solution of isopropanol and glycol ether solvents in concentration no 
greater than 10% or less than 5% by weight and ammonium hydroxide no 
greater than 5% or less than 1% by weight, simulating typical commercial 
windshield cleaner.
    (b) Glass-plastic specimens shall be exposed to an ambient air 
temperature of -40 degrees Celsius (plus or minus 5 degrees Celsius), 
for a period of 6 hours at the commencement of Test No. 28, rather than 
at the initial temperature specified in that test. After testing, the 
glass-plastic specimens shall show no evidence of cracking, clouding, 
delaminating, or other evidence of deterioration.
    (c) Glass-plastic specimens tested in accordance with Test No. 17 
shall be carefully rinsed with distilled water following the abrasion 
procedure and wiped dry with lens paper. After this procedure, the 
arithmetic means of the percentage of light scattered by the three 
specimens as a result of abrasion shall not exceed 4.0 percent.
    (d) Data obtained from Test No. 1 should be used when conducting 
Test No. 2.
    (e)(1) Except as provided in S5.1.2.9(e)(2), glass-plastic glazing 
specimens tested in accordance with Test Nos. 9, 12 and 26 shall be 
clamped in the test fixture in Figure 1 of this standard in the manner 
shown in that figure. The clamping gasket shall be made of rubber 3 
millimeters (mm) thick of hardness 50 IRHD (International Rubber 
Hardness Degrees), plus or minus five degrees. Movement of the test 
specimen, measured after the test, shall not exceed 2 mm at any point 
along the inside periphery of the fixture. Movement of the test specimen 
beyond the 2 mm limit shall be considered an incomplete test, not a test 
failure. A specimen used in such an incomplete test shall not be 
retested.
    (2) At the option of the manufacturer, glass-plastic glazing 
specimens tested in accordance with Test Nos. 9 and 12 may be tested 
unclamped. Such specimens shall be tested using the fixture in Figure 1 
of the standard, including the upper frame (unclamped) which holds the 
specimen in place.
    S5.1.2.10  Cleaning instructions. (a) Each manufacturer of glazing 
materials designed to meet the requirements of S5.1.2.1, S5.1.2.2, 
S5.1.2.3, S5.1.2.4, S5.1.2.5, S5.1.2.6, S5.1.2.7, S5.1.2.8, or S5.1.2.11 
shall affix a label, removable by hand without tools, to

[[Page 443]]

each item of glazing materials. The label shall identify the product 
involved, specify instructions and agents for cleaning the material that 
will minimize the loss of transparency, and instructions for removing 
frost and ice, and, at the option of the manufacturer, refer owners to 
the vehicle's Owners Manual for more specific cleaning and other 
instructions.
    (b) Each manufacturer of glazing materials designed to meet the 
requirements of paragraphs S5.1.2.4, S5.1.2.5, S5.1.2.6, S5.1.2.7, or 
S5.1.2.8 may permanently and indelibly mark the lower center of each 
item of such glazing material, in letters not less than 4.5 millimeters 
nor more than 6 millimeters high, the following words, GLASS PLASTIC 
MATERIAL--SEE OWNER'S MANUAL FOR CARE INSTRUCTIONS.
    S5.1.2.11  Test procedures for Item 4A--Rigid Plastic for Use in 
Side Windows Rearward of the ``C'' pillar. (a) Glazing materials that 
comply with Tests Nos. 2, 10, 13, 16, 17, as that test is modified in 
S5.1.2.9(c) (on the interior side only), 17, as that test is modified in 
paragraph (b) of this section (on the exterior side only), 19, 20, 21, 
and 24 of ANS Z26.1, may be used in the following specific locations:
    (1) All areas in which Item 4 safety glazing may be used.
    (2) Any side window that meets the criteria in S5.1.2.11(a)(2)(i) 
and (ii):
    (i) Is in a vehicle whose rearmost designated seating position is 
forward-facing and cannot be adjusted so that it is side or rear-facing; 
and
    (ii) The forwardmost point on its visible interior surface is 
rearward of the vertical transverse plane that passes through the 
shoulder reference point (as described in Figure 1 of Sec. 571.210 Seat 
belt assembly anchorages) of that rearmost seating position.
    (b)(1) The initial maximum haze level shall not exceed 1.0 percent. 
The specimens are subjected to abrasion for 100 cycles and then 
carefully wiped with dry lens paper (or its equivalent). The light 
scattered by the abraded track is measured in accordance with Test 17. 
The arithmetic mean of the percentages of light scattered by the three 
specimens shall not exceed 4.0 percent after being subjected to abrasion 
for 100 cycles.
    (2) The specimen is remounted on the specimen holder so that it 
rotates substantially in a plane and subjected to abrasion for an 
additional 400 cycles on the same track already abraded for 100 cycles. 
Specimens are carefully wiped after abrasion with dry lens paper (or its 
equivalent). The light scattered by the abraded track is then measured 
as specified in Test 17. The arithmetic mean of the percentages of light 
scattered by the three specimens shall not exceed 10.0 percent after 
being subjected to abrasion for 500 cycles.
    S5.2  Edges. In vehicles except schoolbuses, exposed edges shall be 
treated in accordance with SAE Recommended Practice J673a, ``Automotive 
Glazing'', August 1967. In schoolbuses, exposed edges shall be banded.
    S6. Certification and marking.
    S6.1 Each prime glazing material manufacturer, except as specified 
below, shall mark the glazing materials it manufactures in accordance 
with section 6 of ANS Z26. The materials specified in S5.1.2.1, 
S5.1.2.2, S5.1.2.3, S5.1.2.4, S5.1.2.5, S5.1.2.6, S5.1.2.7, S5.1.2.8, 
and S5.1.2.11 shall be identified by the marks ``AS 11C'', ``AS 12'', 
``AS 13'', ``AS 14'', ``AS 15A'', ``AS 15B'', ``AS 16A'', ``AS 16B'', 
and ``AS 4A'', respectively. A prime glazing material manufacturer is 
one which fabricates, laminates, or tempers the glazing material.
    S6.2  Each prime glazing material manufacturer shall certify each 
piece of glazing material to which this standard applies that is 
designed as a component of any specific motor vehicle or camper, 
pursuant to section 114 of the National Traffic and Motor Vehicle Safety 
Act of 1966, by adding to the mark required by S6.1 in letters and 
numerals of the size specified in section 6 of ANS Z26, the symbol 
``DOT'' and a manufacturer's code mark, which will be assigned by the 
NHTSA on the written request of the manufacturer.
    S6.3  Each prime glazing material manufacturer shall certify each 
piece of glazing material to which this standard applies that is 
designed to be cut into components for use in motor vehicles or items of 
motor vehicle equipment, pursuant to section 114 of the

[[Page 444]]

National Traffic and Motor Vehicle Safety Act.
    S6.4  Each manufacturer or distributor who cuts a section of glazing 
material to which this standard applies, for use in a motor vehicle or 
camper, shall mark that material in accordance with section 6 of ANS 
Z26.
    S6.5  Each manufacturer or distributor who cuts a section of glazing 
material to which this standard applies, for use in a motor vehicle or 
camper, shall certify that his product complies with this standard in 
accordance with section 114 of the National Traffic and Motor Vehicle 
Safety Act.

[[Page 445]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.076



[37 FR 12239, June 21, 1972, as amended at 37 FR 13097, July 1, 1972; 37 
FR 24036, Nov. 11, 1972; 37 FR 24826, Nov. 22, 1972; 42 FR 61466, Dec. 
5, 1977; 45 FR 47151, July 14, 1980; 46 FR 43690, Aug. 31, 1981; 48 FR 
52065, Nov. 16, 1983; 49 FR 6734, Feb. 23, 1984; 56 FR 12674, Mar. 27, 
1991; 56 FR 18531, Apr. 23, 1991; 56 FR 49149, Sept. 27, 1991; 57 FR 
1654, Jan. 15, 1992; 57 FR 13656, Apr. 17, 1992; 57 FR 30164, July 8, 
1992; 57 FR 58150, Dec. 9, 1992; 60 FR 13646, Mar. 14, 1995; 61 FR 
41743, Aug. 12, 1996]



Sec. 571.206  Standard No. 206; Door locks and door retention components.

    S1. Purpose and Scope. This standard specifies requirements for door 
locks and door retention components including latches, hinges, and other 
supporting means, to minimize the likelihood of occupants being thrown 
from the vehicle as a result of impact.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, and trucks.
    S3. Definitions.
    Auxiliary door latch means a latch or latches, other than the 
primary latch or latches, fitted to a back door or back door system that 
is equipped with more than one latch.
    Back door means a door or door system on the back end of a motor 
vehicle through which passengers can enter or depart the vehicle, or 
cargo can be loaded or unloaded; but does not include:
    (a) A trunk lid; or
    (b) A door or window that us composed entirely of glazing material 
and whose latches and/or hinges are attached directly onto the glazing 
material.
    Cargo-Type Door means a door designed primarily to accommodate cargo 
loading including, but not limited to, a two-part door that latches to 
itself.
    Fork-bolt means the part of the door latch that engages the striker 
when in a latched position.

[[Page 446]]

    Fork-bolt opening means the direction opposite to that in which the 
striker enters to engage the fork-bolt.
    Primary door latch means, with respect to a back door or back door 
system, the latch or latches equipped with both the fully latched 
position and the secondary latched position.
    Side front door means a door that in a side view, has 50 percent or 
more of its opening area forward of the rearmost point on the driver's 
seatback, when the driver's seat is adjusted to its most vertical and 
rearward position.
    Side rear door means a door that, in a side view, has more than 50 
percent of its opening area to the rear of the rearmost point on the 
driver's seatback, when the driver's seat is adjusted to its most 
vertical and rearward position.
    Trunk lid means a movable body panel that provides access from 
outside the vehicle to a space wholly partitioned from the occupant 
compartment by a permanently attached partition or a fixed or fold-down 
seat back.
    S4. Requirments.
    (a) Components on side doors. Components on any side door that leads 
directly into a compartment that contains one or more seating 
accommodations shall conform to this standard.
    (b) Components on back doors. Components on any back door of a 
passenger car or multipurpose passenger vehicle with a gross vehicle 
weight rating (GVWR) of 4,536 kilograms (10,000 pounds) or less that 
leads directly into a compartment that contains one or more seating 
accommodations shall conform to this standard, subject to the following 
compliance schedule:
    (1)(i) For those affected passenger cars and multipurpose passenger 
vehicles manufactured on or after September 1, 1997, and before 
September 1, 1998, the amount of such vehicles complying with this 
standard shall be not less than 60 percent of the combined total 
production of passenger cars and multipurpose passenger vehicles, based 
on:
    (A) The manufacturer's average annual production of such vehicles 
manufactured on or after September 1, 1996 and before September 1, 1998; 
or
    (B) The manufacturer's production of such vehicles on or after 
September 1, 1997 and before September 1, 1998.
    (ii) For calculating average annual production of affected passenger 
cars and multipurpose passenger vehicles for each manufacturer and the 
number of such vehicles manufactured by each manufacturer, a vehicle 
produced by more than one manufacturer shall be attributed to a single 
manufacturer as follows:
    (A) A vehicle that is imported shall be attributed to the importer;
    (B) A vehicle manufactured in the United States by more than one 
manufacturer, one of which also markets the vehicle, shall be attributed 
to the manufacturer that markets the vehicle.
    (C) A vehicle produced by more than one manufacturer shall be 
attributed to any one of the vehicle's manufacturers specified by an 
express written contract between the manufacturer so specified and the 
manufacturer to which the vehicle would otherwise be attributed under 
paragraph (b)(1)(ii)(A) or (B) of this section.
    (2) Components on the back doors of affected passenger cars and 
multipurpose passenger vehicles manufactured on and after September 1, 
1998 shall conform to all applicable requirements of this standard.
    (c) Components on folding doors, rollup doors, doors that are 
designed to be easily attached to or detached from motor vehicles 
manufactured for operation without doors, and doors that are equipped 
with the wheelchair lifts and that are linked to an alarm system 
consisting of either a flashing visible signal located in the driver's 
compartment or an alarm audible to the driver that is activated when the 
door is open, need not conform to this standard.
    (d) A particular latch or hinge assembly utilized as a test specimen 
need not meet further requirements after having been subjected to and 
having met any one of the requirements of S4 or S5.1 through S5.4.
    S4.1  Hinged Side Doors, Except Cargo-Type Doors.
    S4.1.1  Door Latches. Each door latch and striker assembly shall be 
provided with two positions consisting of--
    (a) A fully latched position; and
    (b) A secondary latched position.
    S4.1.1.1  Longitudinal Load. The door latch and striker assembly, 
when in the fully latched position, shall not

[[Page 447]]

separate when a longitudinal load of 11,000 Newtons (2,500 pounds) is 
applied. When in the secondary latched position, the door latch and 
striker assembly shall not separate when a longitudinal load of 4,450 
Newtons (1,000 pounds) is applied.
    S4.1.1.2  Transverse Load. The door latch and striker assembly, when 
in the fully latched position, shall not separate when a transverse load 
of 8,900 Newtons (2,000 pounds) is applied. When in the secondary 
latched position, the door latch and striker assembly shall not separate 
when a transverse load of 4,450 Newtons (1,000 pounds) is applied.
    S4.1.1.3  Inertia Load. The door latch shall not disengage from the 
fully latched position when a longitudinal or transverse inertia load of 
30g is applied to the door latch system (including the latch and its 
actuating mechanism with the locking mechanism disengaged).
    S4.1.2  Door Hinges. Each door hinge system shall support the door 
and shall not separate when a longitudinal load of 11,000 Newtons (2,500 
pounds) is applied. Similarly, each door hinge system shall not separate 
when a transverse load of 8,900 Newtons (2,000 pounds) is applied.
    S4.1.3  Door Locks. Each door shall be equipped with a locking 
mechanism with an operating means in the interior of the vehicle.
    S4.1.3.1  Side Front Door Locks. When the locking mechanism is 
engaged, the outside door handle or other outside latch release control 
shall be inoperative.
    S4.1.3.2  Side Rear Door Locks. In passenger cars and multipurpose 
passenger vehicles, when the locking mechanism is engaged both the 
outside and inside door handles or other latch release controls shall be 
inoperative.
    S4.2  Hinged Cargo-Type Side Doors.
    S4.2.1  Door Latches.
    S4.2.1.1  Longitudinal Load. Each latch system, when in the latched 
position, shall not separate when a longitudinal load of 11,000 Newtons 
(2,500 pounds) is applied.
    S4.2.1.2  Transverse Load. Each latch system, when in the latched 
position, shall not separate when a transverse load of 8,900 Newtons 
(2,000 pounds) is applied. When more than one latch system is used on a 
single door, the load requirement may be divided among the total number 
of latch systems.
    S4.2.2  Door Hinges. Each door hinge system shall support the door 
and shall not separate when a longitudinal load of 11,000 Newtons (2,500 
pounds) is applied, and when a transverse load of 8,900 Newtons (2,000 
pounds) is applied.
    S4.3  Sliding Side Doors. The track and slide combination or other 
supporting means for each sliding door shall not separate when a total 
transverse load of 17,800 Newtons (4,000 pounds) is applied, with the 
door in the closed position.
    S4.4. Hinged Back Doors.
    S4.4.1  Door Latches. Each back door system shall be equipped with 
at least one primary latch and striker assembly.
    S4.4.1.1  Load Test One. The primary door latch and striker 
assembly, when in the fully latched position, shall not separate when a 
load of 11,000 Newtons (2,500 pounds) is applied in the direction 
perpendicular to the face of the latch (corresponding to the 
longitudinal load test for side door latches) such that the latch and 
the striker anchorage are not compressed against each other. When in the 
secondary latched position, the primary latch and striker assembly shall 
not separate when a load of 4,450 Newtons (1,000 pounds) is applied in 
the same direction.
    S4.4.1.2  Load Test Two. The primary door latch and striker 
assembly, when in the fully latched position, shall not separate when a 
load of 8,900 Newtons (2,000 pounds) is applied in the direction of the 
fork-bolt opening and parallel to the face of the latch (corresponding 
to the transverse load test). Figure 1 depicts the loading direction for 
this test. When in the secondary latched position, the primary latch and 
striker assembly shall not separate when a load of 4,450 Newtons (1,000 
pounds) is applied in the same direction.
    S4.4.1.3  Load Test Three. The primary door latch and striker 
assembly on back doors equipped with a latch and striker assembly at the 
bottom of the door and that open upward shall not disengage from the 
fully latched position when a load of 8,900 Newtons

[[Page 448]]

(2,000 pounds) is applied in a direction orthogonal to the directions 
specified in S4.4.1.1 and S4.4.1.2 above.
    S4.4.1.4  Inertia Load. The primary door latch shall not disengage 
from the fully latched position when an inertia load of 30g is applied 
to the door latch system, including the latch and its activation 
mechanism with the locking mechanism disengaged, in the directions 
specified in S4.4.1.1, S4.4.1.2, and S4.4.1.3.
    S4.4.1.5  Auxiliary Door Latches. Each auxiliary back door latch and 
striker assembly shall be provided with a fully latched position and 
shall comply with the requirements specified in S4.4.1.1, S4.4.1.2, and 
S4.4.1.4.
    S4.4.2  Door Locks. Each back door system equipped with interior 
door handles or that leads directly into a compartment that contains one 
or more seating accommodations shall be equipped with a locking 
mechanism with operating means in both the interior and exterior of the 
vehicle. When the locking mechanism is engaged, both the inside and 
outside door handles or other latch release controls shall be 
inoperative.
    S4.4.3  Door Hinges.
    S4.4.3.1  Load Test One. Each back door hinge system shall support 
the door and shall not separate when a load of 11,000 Newtons (2,500 
pounds) is applied perpendicular to the hinge face plate (longitudinal 
load test) such that the hinge plates are not compressed against each 
other.
    S4.4.3.2  Load Test Two. Each back door hinge system shall not 
separate when a load of 8,900 Newtons (2,000 pounds) is applied 
perpendicular to the axis of the hinge pin and parallel to the hinge 
face plate (transverse load test) such that the hinge plates are not 
compressed against each other.
    S4.4.3.3  Load Test Three. Each hinge system on back doors that open 
upward shall not separate when a load of 8,900 Newtons (2,000 pounds) is 
applied in the direction of the axis of the hinge pin.
    S4.5  Sliding Back Doors. The track and slide combination or other 
supporting means for each sliding door shall not separate when a total 
longitudinal load of 17,800 Newtons (4,000 pounds) is applied, with the 
door in the closed position.
    S5.1  Hinged Side Doors, Except Cargo-Type Doors.
    S5.1.1  Door Latches.
    S5.1.1.1  Longitudinal and Transverse Loads. Compliance with 
paragraphs S4.1.1.1 and S4.1.1.2 shall be demonstrated in accordance 
with paragraph 5 of Society of Automotive Engineers Recommended Practice 
J839, Passenger Car Side Door Latch Systems, June 1991.
    S5.1.1.2  Inertia Load. Compliance with S4.1.1.3 shall be 
demonstrated by approved tests or in accordance with paragraph 6 of 
Society of Automotive Engineers Recommended Practice J839, Passenger Car 
Side Door Latch Systems, June 1991.
    S5.1.2  Door Hinges. Compliance with S4.1.2 shall be demonstrated in 
accordance with paragraph 4 or 5, as appropriate, of Society of 
Automotive Engineers Recommended Practice J934, Vehicle Passenger Door 
Hinge Systems, July 1982. For piano-type hinges, the hinge spacing 
requirements of SAE J934 shall not be applicable and arrangement of the 
test fixture shall be altered as required so that the test load will be 
applied to the complete hinge.
    S5.2  Hinged Cargo-Type Side Doors.
    S5.2.1  Door Latches. Compliance with S4.2.1 shall be demonstrated 
in accordance with paragraphs 5.1 and 5.3, SAE Recommended Practice 
J839, Passenger Car Side Door Latch Systems, June 1991. An equivalent 
static test fixture may be substituted for that shown in Figure 2 of SAE 
J839, if required.
    S5.2.2  Door Hinges. Compliance with S4.2.2 shall be demonstrated in 
accordance with paragraph 4 or 5, as appropriate, of SAE Recommended 
Practice J934, Vehicle Passenger Door Hinge Systems, July 1982. For 
piano-type hinges, the hinge spacing requirement of SAE J934 shall not 
be applicable and arrangement of the test fixture shall be altered as 
required so that the test load will be applied to the complete hinge.
    S5.3  Sliding Side Doors. Compliance with S4.3 shall be demonstrated 
by applying an outward transverse load of 8,900 Newtons (2,000 pounds) 
to the load-bearing members at the opposite edges of the door (17,800 
Newtons (4,000 pounds) total). The demonstration may be performed either 
in the vehicle or

[[Page 449]]

with the door retention components in a bench test fixture.
    S5.4  Hinged Back Doors.
    S5.4.1.1  Load Tests One, Two, and Three. Compliance with S4.4.1.1, 
S4.4.1.2, and S4.4.1.3 shall be demonstrated in the same manner as 
specified in S5.1.1.1, except that the loads shall be in the directions 
specified in S4.4.1.1, S4.4.1.2, and S4.4.1.3. The same test device may 
be used for Load Tests Two and Three.
    S5.4.1.2  Inertia Load. Compliance with S4.4.1.4 shall be 
demonstrated in the same manner as specified in S5.1.1.2.
    S5.4.2  Door Hinges. Compliance with S4.4.3.1, S4.4.3.2, and 
S4.4.3.3 shall be demonstrated in the same manner as specified in 
S5.1.2, except that the loads shall be in the directions specified in 
S4.4.3.1, S4.4.3.2, and S4.4.3.3. The same test device may be used for 
Load Tests Two and Three.
    S5.5  Sliding Back Doors. Compliance with S4.5 shall be demonstrated 
by applying an outward longitudinal load of 8,900 Newtons (2,000 pounds) 
to the load bearing members at the opposite edges of the door (17,000 
Newtons (4,000 pounds) total). The demonstration may be performed either 
in the vehicle or with the door retention components in a bench test 
fixture.


[[Page 450]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.077



[[Page 451]]

[36 FR 22902, Dec. 2, 1971, as amended at 37 FR 284, Jan. 8, 1972; 50 FR 
12031, Mar. 27, 1985; 60 FR 13646, Mar. 14, 1995; 60 FR 50134, Sept. 28, 
1995; 61 FR 39907, July 31, 1996]



Sec. 571.207  Standard No. 207; Seating systems.

    S1. Purpose and scope. This standard establishes requirements for 
seats, their attachment assemblies, and their installation to minimize 
the possibility of their failure by forces acting on them as a result of 
vehicle impact.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks and buses.
    S3. Definitions. Occupant seat means a seat that provides at least 
one designated seating position.
    Seat adjuster means the part of the seat that provides forward and 
rearward positioning of the seat bench and back, and/or rotation around 
a vertical axis, including any fixed portion, such as a seat track. In 
the case of a seat equipped with seat adjusters at different levels, the 
term means the uppermost seat adjuster.
    S4. Requirements.
    S4.1  Driver's seat. Each vehicle shall have an occupant seat for 
the driver.
    S.4.2  General performance requirements. When tested in accordance 
with S5., each occupant seat, other than a side-facing seat or a 
passenger seat on a bus, shall withstand the following forces, in 
newtons.
    (a) In any position to which it can be adjusted--20 times the mass 
of the seat in kilograms multiplied by 9.8 applied in a forward 
longitudinal direction;
    (b) In any position to which it can be adjusted--20 times the mass 
of the seat in kilograms multiplied by 9.8 applied in a rearward 
longitudinal direction;
    (c) For a seat belt assembly attached to the seat--the force 
specified in paragraph (a), if it is a forward facing seat, or paragraph 
(b), if it is a rearward facing seat, in each case applied 
simultaneously with the forces imposed on the seat by the seat belt 
assembly when it is loaded in accordance with S4.2 of Sec. 571.210; and
    (d) In its rearmost position--a force that produces a 373 newton 
meters moment about the seating reference point for each designated 
seating position that the seat provides, applied to the upper cross-
member of the seat back or the upper seat back, in a rearward 
longitudinal direction for forward-facing seats and in a forward 
longitudinal direction for rearward-facing seats.
    4.2.1  Seat adjustment. Except for vertical movement of nonlocking 
suspension type occupant seats in trucks or buses, each seat shall 
remain in its adjusted position when tested in accordance with the test 
procedures specified in S5.
    S4.3. Restraining device for hinged or folding seats or seat backs. 
Except for a passenger seat in a bus or a seat having a back that is 
adjustable only for the comfort of its occupants, a hinged or folding 
occupant seat or occupant seat back shall--
    (a) Be equipped with a self-locking device for restraining the 
hinged or folding seat or seat back, and
    (b) If there are any designated seating positions or auxiliary 
seating accommodations behind the seat, either immediately to the rear 
or to the sides, be equipped with a control for releasing that 
restraining device.
    S4.3.1  Accessibility of release control. If there is a designated 
seating position immediately behind a seat equipped with a restraining 
device, the control for releasing the device shall be readily accessible 
to the occupant of the seat equipped with the device and, if access to 
the control is required in order to exit from the vehicle, to the 
occupant of the designated seating position immediately behind the seat.
    S4.3.2  Performance of restraining device.
    S4.3.2.1  Static force. (a) Once engaged, the restraining device for 
a forward-facing seat shall not release or fail when a forward 
longitudinal force, in newtons, equal to 20 times the mass of the hinged 
or folding portion of the seat in kilograms multiplied by 9.8 is applied 
through the center of gravity of that portion of the seat.
    (b) Once engaged, the restraining device for a rearward-facing seat 
shall not release or fail when a rearward longitudinal force, in 
newtons, equal to 8 times the mass of the hinged or folding portion of 
the seat in kilograms multiplied by 9.8 is applied through the center of 
gravity of that portion of the seat.

[[Page 452]]

    S4.3.2.2  Acceleration. Once engaged, the restraining device shall 
not release or fail when the device is subjected to an acceleration of 
20 g., in the longitudinal direction opposite to that in which the seat 
folds.
    S4.4  Labeling. Seats not designated for occupancy while the vehicle 
is in motion shall be conspicuously labeled to that effect.
    S5. Test procedures.
    S5.1  Apply the forces specified in S4.2(a) and S4.2(b) as follows:
    S5.1.1  For a seat whose seat back and seat bench are attached to 
the vehicle by the same attachments. (a) For a seat whose seat back and 
seat bench are attached to the vehicle by the same attachments and whose 
height is adjustable, the loads are applied when the seat is in its 
highest adjustment position in accordance with the procedure or 
procedures specified in S5.1.1(a)(1), S5.1.1(a)(2), or S5.1.1(a)(3), as 
appropriate.
    (1) For a seat whose center of gravity is in a horizontal plane that 
is above the seat adjuster or that passes through any part of the 
adjuster, use, at the manufacturer's option, either S5.1.1(b) or, if 
physically possible, S5.1.1(c).
    (2) For a seat specified in S5.1.1(a)(1) for which it is not 
physically possible to follow the procedure in S5.1.1(c), use S5.1.1(b).
    (3) For a seat whose center of gravity is in a horizontal plane that 
is below the seat adjuster, use S5.1.1(c).
    (4) For all other seats whose seat back and seat bench are attached 
to the vehicle by the same attachments, use S5.1.1(b).
    (b) Secure a strut on each side of the seat from a point on the 
outside of the seat frame in the horizontal plane of the seat's center 
of gravity to a point on the frame as far forward as possible of the 
seat anchorages. Between the upper ends of the struts attach a rigid 
cross-member, in front of the seat back frame for rearward loading and 
behind the seat back frame for forward loading. Apply the force 
specified by S4.2(a) or S4.2(b) horizontally through the rigid cross-
member as shown in Figure 1.
    (c) Find ``cg1,'' the center of gravity of the portion of 
the seat that is above the lowest surface of the seat adjuster. On each 
side of the seat, secure a strut from a point on the outside of the seat 
frame in the horizontal plane of cg1 to a point on the frame 
as far forward as possible of the seat adjusted position. Between the 
upper ends of the struts attach a rigid cross-member, in front of the 
seat back frame for rearward loading and behind the seat back frame for 
forward loading. Find ``cg2,'' the center of gravity of the 
portion of the seat that is below the seat adjuster. Apply a force 
horizontally through cg1 equal to 20 times the weight of the 
portion of the seat represented by cg1, and simultaneously 
apply a force horizontally through cg2 equal to 20 times the 
weight of the portion of the seat represented by cg2.
    S5.1.2  If the seat back and the seat bench are attached to the 
vehicle by different attachments, attach to each component a fixture 
capable of transmitting a force to that component. Apply forces, in 
newtons, equal to 20 times the mass of the seat in kilograms multiplied 
by 9.8 horizontally through the center of gravity of the seat back, as 
shown in Figure 2 and apply forces, in newtons, equal to 20 times the 
mass of the seat in kilograms multiplied by 9.8 horizontally through the 
center of gravity of the seat bench, as shown in Figure 3.
    S5.2  Develop the moment specified in S4.2(d) as shown in Figure 4.
    S5.3  Apply the forces specified in S4.3.2.1(a) and (b) to a hinged 
or folding seat as shown in Figure 1 and to a hinged or folding seat 
back as shown in Figure 5.
    S5.4  Determine the center of gravity of a seat or seat component 
with all cushions and upholstery in place and with the head restraint in 
its fully extended design position.

[[Page 453]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.078


[GRAPHIC] [TIFF OMITTED] TC01AU91.079


[[Page 454]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.080


[GRAPHIC] [TIFF OMITTED] TC01AU91.081

[36 FR 22902, Dec. 2, 1971, as amended at 52 FR 7868, Mar. 13, 1987; 53 
FR 30434, Aug. 12, 1988; 59 FR 37167, July 21, 1994; 60 FR 13647, Mar. 
14, 1995]



Sec. 571.208  Standard No. 208; Occupant crash protection.

    S1. Scope. This standard specifies performance requirements for the 
protection of vehicle occupants in crashes.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths of vehicle occupants, and the severity of injuries, by specifying 
vehicle crashworthiness requirements in terms

[[Page 455]]

of forces and accelerations measured on anthropomorphic dummies in test 
crashes, and by specifying equipment requirements for active and passive 
restraint systems.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses. In addition, S9, 
Pressure vessels and explosive devices, applies to vessels designed to 
contain a pressurized fluid or gas, and to explosive devices, for use in 
the above types of motor vehicles as part of a system designed to 
provide protection to occupants in the event of a crash. Notwithstanding 
any language to the contrary, any vehicle manufactured after March 19, 
1997 and before September 1, 2001 that is subject to a dynamic crash 
test requirement conducted with unbelted dummies may meet the 
requirements specified in S13 instead of the applicable unbelted 
requirement. For vehicles manufactured before September 1, 1998, 
compliance with S13 shall, for purposes of Standards No. 201, 203 and 
209, be deemed as compliance with the unbelted frontal barrier 
requirements of S5.1 of this section.
    S4. General requirements.
    S4.1  Passenger cars.
    S4.1.1  Passenger cars manufactured from January 1, 1972, to August 
31, 1973. Each passenger car manufactured from January 1, 1972, to 
August 31, 1973, inclusive, shall meet the requirements of S4.1.1.1, 
S4.1.1.2, or S4.1.1.3. A protection system that meets the requirements 
of S4.1.1.1, or S4.1.1.2 may be installed at one or more designated 
seating positions of a vehicle that otherwise meets the requirements of 
S4.1.1.3.
    S4.1.1.1  First option--complete passive protection system. The 
vehicle shall meet the crash protection requirements of S5. by means 
that require no action by vehicle occupants.
    S4.1.1.2  Second option--lap belt protection system with belt 
warning. The vehicle shall--
    (a) At each designated seating position have a Type 1 seatbelt 
assembly or a Type 2 seatbelt assembly with a detachable upper torso 
portion that conforms to S7.1 and S7.2 of this standard;
    (b) At each front outboard designated seating position, have a seat 
belt warning system that conforms to S7.3; and
    (c) Meet the frontal crash protection requirements of S5.1, in a 
perpendicular impact, with respect to anthropomorphic test devices in 
each front outboard designated seating position restrained only by Type 
1 seat belt assemblies.
    S4.1.1.3  Third option--lap and shoulder belt protection system with 
belt warning.
    S4.1.1.3.1  Except for convertibles and open-body vehicles, the 
vehicle shall--
    (a) At each front outboard designated seating position have a Type 2 
seatbelt assembly that conforms to Sec. 571.209 and S7.1 and S7.2 of 
this standard, with either an integral or detachable upper torso 
portion, and a seatbelt warning system that conforms to S7.3;
    (b) At each designated seating position other than the front 
outboard positions, have a Type 1 or Type 2 seat belt assembly that 
conforms to Sec. 571.209 and to S7.1 and S7.2 of this standard; and
    (c) When it perpendicularly impacts a fixed collision barrier, while 
moving longitudinally forward at any speed up to and including 30 
m.p.h., under the test conditions of S8.1 with anthropomorphic test 
devices at each front outboard position restrained by Type 2 seatbelt 
assemblies, experience no complete separation of any load-bearing 
element of a seatbelt assembly or anchorage.
    S4.1.1.3.2  Convertibles and open-body type vehicles shall at each 
designated seating position have a Type 1 or Type 2 seatbelt assembly 
that conforms to Sec. 571.209 and to S7.1 and S7.2 of this standard, and 
at each front outboard designated seating position have a seatbelt 
warning system that conforms to S7.3.
    S4.1.2  Passenger cars manufactured on or after September 1, 1973, 
and before September 1, 1986. Each passenger car manufactured on or 
after September 1, 1973, and before September 1, 1986, shall meet the 
requirements of S4.1.2.1, S4.1.2.2 or S4.1.2.3. A protection system that 
meets the requirements of S4.1.2.1 or S4.1.2.2 may be installed at one 
or more designated seating positions of a vehicle that otherwise meets 
the requirements of S4.1.2.3.

[[Page 456]]

    S4.1.2.1  First option--frontal/angular automatic protection system. 
The vehicle shall:
    (a) At each front outboard designated seating position meet the 
frontal crash protection requirements of S5.1 by means that require no 
action by vehicle occupants;
    (b) At the front center designated seating position and at each rear 
designated seating position have a Type 1 or Type 2 seat belt assembly 
that conforms to Standard No. 209 and to S7.1 and S7.2; and
    (c) Either. (1) Meet the lateral crash protection requirements of 
S5.2 and the rollover crash protection requirements of S5.3 by means 
that require no action by vehicle occupants; or
    (2) At each front outboard designated seating position have a Type 1 
or Type 2 seat belt assembly that conforms to Standard No. 209 and S7.1 
through S7.3, and that meets the requirements of S5.1 with front test 
dummies as required by S5.1, restrained by the Type 1 or Type 2 seat 
belt assembly (or the pelvic portion of any Type 2 seat belt assembly 
which has a detachable upper torso belt) in addition to the means that 
require no action by the vehicle occupant.
    S4.1.2.2  Second option--head-on automatic protection system. The 
vehicle shall--
    (a) At each designated seating position have a Type 1 seat belt 
assembly or Type 2 seat belt assembly with a detachable upper torso 
portion that conforms to S7.1 and S7.2 of this standard.
    (b) At each front outboard designated seating position, meet the 
frontal crash protecton requirements of S5.1, in a perpendicular impact, 
by means that require no action by vehicle occupants;
    (c) At each front outboard designated seating position, meet the 
frontal crash protection requirements of S5.1, in a perpendicular 
impact, with a test device restrained by a Type 1 seat belt assembly; 
and
    (d) At each front outboard designated seating position, have a seat 
belt warning system that conforms to S7.3.
    S4.1.2.3  Third option--lap and shoulder belt protection system with 
belt warning.
    S4.1.2.3.1  Except for convertibles and open-body vehicles, the 
vehicle shall--
    (a) At each front outboard designated seating position have a seat 
belt assembly that conforms to S7.1 and S7.2 of this standard, and a 
seat belt warning system that conforms to S7.3. The belt assembly shall 
be either a Type 2 seat belt assembly with a nondetachable shoulder belt 
that conforms to Standard No. 209 (Sec. 571.209), or a Type 1 seat belt 
assembly such that with a test device restrained by the assembly the 
vehicle meets the frontal crash protection requirements of S5.1 in a 
perpendicular impact.
    (b) At any center front designated seating position, have a Type 1 
or Type 2 seat belt assembly that conforms to Standard No. 209 
(Sec. 571.209) and to S7.1 and S7.2 of this standard, and a seat belt 
warning system that conforms to S7.3; and
    (c) At each other designated seating position, have a Type 1 or Type 
2 seat belt assembly that conforms to Standard No. 209 (Sec. 571.209) 
and S7.1 and S7.2 of this standard.
    S4.1.2.3.2  Convertibles and open-body type vehicles shall at each 
designated seating position have a Type 1 or Type 2 seat belt assembly 
that conforms to Standard No. 209 (Sec. 571.209) and to S7.1 and S7.2 of 
this standard, and at each front designated seating position have a seat 
belt warning system that conforms to S7.3.
    S4.1.3  Passenger cars manufactured on or after September 1, 1986, 
and before September 1, 1989.
    S4.1.3.1  Passenger cars manufactured on or after September 1, 1986, 
and before September 1, 1987.
    S4.1.3.1.1  Subject to S4.1.3.1.2 and S4.1.3.4, each passenger car 
manufactured on or after September 1, 1986, and before September 1, 
1987, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or 
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this 
standard if its manufacturer establishes that it did not have reason to 
know in the exercise of due care that such vehicle is not in conformity 
with the requirement of this standard.
    S4.1.3.1.2  Subject to S4.1.3.4 and S4.1.5, the amount of passenger 
cars, specified in S4.1.3.1.1 complying with

[[Page 457]]

the requirements of S4.1.2.1 shall be not less than 10 percent of:
    (a) The average annual production of passenger cars manufactured on 
or after September 1, 1983, and before September 1, 1986, by each 
manufacturer, or
    (b) The manufacturer's annual production of passenger cars during 
the period specified in S4.1.3.1.1.
    S4.1.3.1.3  A manufacturer may exclude convertibles which do not 
comply with the requirements of S4.1.2.1, when it is calculating its 
average annual production under S4.1.3.1.2(a) or its annual production 
under S4.1.3.1.2(b).
    S4.1.3.2  Passenger cars manufactured on or after September 1, 1987, 
and before September 1, 1988.
    S4.1.3.2.1  Subject to S4.1.3.2.2 and S4.1.3.4, each passenger car 
manufactured on or after September 1, 1987, and before September 1, 
1988, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or 
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this 
standard if its manufacturer establishes that it did not have reason to 
know in the exercise of due care that such vehicle is not in conformity 
with the requirement of this standard.
    S4.1.3.2.2  Subject to S4.1.3.4 and S4.1.5, the amount of passenger 
cars specified in S4.1.3.2.1 complying with the requirements of 
S4.1.2.1. shall be not less than 25 percent of:
    (a) The average annual production of passenger cars manufactured on 
or after September 1, 1984, and before September 1, 1987, by each 
manufacturer, or
    (b) The manufacturer's annual production of passenger cars during 
the period specified in S4.1.3.2.1.
    S4.1.3.2.3  A manufacturer may exclude convertibles which do not 
comply with the requirements of S4.1.2.1, when it is calculating its 
average annual production under S4.1.3.2.2(a) or its annual production 
under S4.1.3.2.2(b).
    S4.1.3.3  Passenger cars manufactured on or after September 1, 1988, 
and before September 1, 1989.
    S4.1.3.3.1  Subject to S4.1.3.3.2 and S4.1.3.4, each passenger car 
manufactured on or after September 1, 1988, and before September 1, 
1989, shall comply with the requirements of S4.1.2.1, S4.1.2.2 or 
S4.1.2.3. A vehicle shall not be deemed to be in noncompliance with this 
standard if its manufacturer establishes that it did not have reason to 
know in the exercise of due care that such vehicle is not in conformity 
with the requirement of this standard.
    S4.1.3.3.2  Subject to S4.1.3.4 and S4.1.5, the amount of passenger 
cars specified in S4.1.3.3.1 complying with the requirements of S4.1.2.1 
shall be not less than 40 percent of:
    (a) The average annual production of passenger cars manufactured on 
or after September 1, 1985, and before September 1, 1988, by each 
manufacturer or
    (b) The manufacturer's annual production of passenger cars during 
the period specified in S4.1.3.3.1.
    S4.1.3.3.3  A manufacturer may exclude convertibles which do not 
comply with the requirements of S4.1.2.1, when it is calculating its 
average annual production under S4.1.3.3.2(a) or its annual production 
under S4.1.3.3.2(b).
    S4.1.3.4  Calculation of complying passenger cars.
    (a) For the purposes of calculating the numbers of cars manufactured 
under S4.1.3.1.2, S4.1.3.2.2, or S4.1.3.3.2 to comply with S4.1.2.1:
    (1) Each car whose driver's seating position complies with the 
requirements of S4.1.2.1(a) by means not including any type of seat belt 
and whose front right seating position will comply with the requirements 
of S4.1.2.1(a) by any means is counted as 1.5 vehicles, and
    (2) Each car whose driver's seating position complies with the 
requirements of S4.1.2.1(a) by means not including any type of seat belt 
and whose right front seat seating position is equipped with a manual 
Type 2 seat belt is counted as one vehicle.
    (b) For the purposes of complying with S4.1.3.1.2, a passenger car 
may be counted if it:
    (1) Is manufactured on or after September 1, 1985, but before 
September 1, 1986, and
    (2) Complies with S4.1.2.1.
    (c) For the purposes of complying with S4.1.3.2.2, a passenger car 
may be counted if it:
    (1) Is manufactured on or after September 1, 1985, but before 
September 1, 1987,
    (2) Complies with S4.1.2.1, and

[[Page 458]]

    (3) Is not counted toward compliance with S4.1.3.1.2
    (d) For the purposes of complying with S4.1.3.3.2, a passenger car 
may be counted if it:
    (1) Is manufactured on or after September 1, 1985, but before 
September 1, 1988,
    (2) Complies with S4.1.2.1, and
    (3) Is not counted toward compliance with S4.1.3.1.2 or S4.1.3.2.2.
    S4.1.3.5  Passenger cars produced by more than one manufacturer.
    S4.1.3.5.1  For the purposes of calculating average annual 
production of passenger cars for each manufacturer and the amount of 
passenger cars manufactured by each manufacturer under S4.1.3.1.2, 
S4.1.3.2.2 or S4.1.3.3.2, a passenger car produced by more than one 
manufacturer shall be attributed to a single manufacturer as follows, 
subject to S4.1.3.5.2:
    (a) A passenger car which is imported shall be attributed to the 
importer.
    (b) A passenger car manufactured in the United States by more than 
one manufacturer, one of which also markets the vehicle, shall be 
attributed to the manufacturer which markets the vehicle.
    S4.1.3.5.2  A passenger car produced by more than one manufacturer 
shall be attributed to any one of the vehicle's manufacturers specified 
by an express written contract, reported to the National Highway Traffic 
Safety Administration under 49 CFR part 585, between the manufacturer so 
specified and the manufacturer to which the vehicle would otherwise be 
attributed under S4.1.3.5.1.
    S4.1.4  Passenger cars manufactured on or after September 1, 1989, 
but before September 1, 1996.
    S4.1.4.1  Except as provided in S4.1.4.2, each passenger car 
manufactured on or after September 1, 1989 shall comply with the 
requirements of S4.1.2.1. Any passenger car manufactured on or after 
September 1, 1989 and before September 1, 1993 whose driver's designated 
seating position complies with the requirements of S4.1.2.1(a) by means 
not including any type of seat belt and whose right front designated 
seating position is equipped with a manual Type 2 seat belt so that the 
seating position complies with the occupant crash protection 
requirements of S5.1, with the Type 2 seat belt assembly adjusted in 
accordance with S7.4.2, shall be counted as a vehicle complying with 
S4.1.2.1. A vehicle shall not be deemed to be in noncompliance with this 
standard if its manufacturer establishes that it did not know in the 
exercise of due care that such vehicle is not in conformity with this 
standard.
    S4.1.4.2  (a) Each passenger car, other than a convertible, 
manufactured before December 11, 1989 may be equipped with, and each 
passenger car, other than a convertible, manufactured on or after 
December 11, 1989 and before September 1, 1990 shall be equipped with a 
Type 2 seat belt assembly at every forward-facing rear outboard 
designated seating position. Type 2 seat belt assemblies installed 
pursuant to this provision shall comply with Standard No. 209 (49 CFR 
571.209) and with S7.1.1 of this standard.
    (b) Except as provided in S4.1.4.2.1 and S4.1.4.2.2, each passenger 
car, other than a convertible, manufactured on or after September 1, 
1990 and each convertible passenger car manufactured on or after 
September 1, 1991 shall be equipped with an integral Type 2 seat belt 
assembly at every forward-facing rear outboard designated seating 
position. Type 2 seat belt assemblies installed in compliance with this 
requirement shall comply with Standard No. 209 (49 CFR 571.209) and with 
S7.1 an S7.2 of this standard. If a Type 2 seat belt assembly installed 
in compliance with this requirement incorporates any webbing tension-
relieving device, the vehicle owner's manual shall include the 
information specified in S7.4.2(b) of this standard for the tension 
relieving device, and the vehicle shall comply with S7.4.2(c) of this 
standard.
    (c) As used in this section, ``rear outboard designated seating 
position'' means any ``outboard designated seating position'' (as that 
term is defined at 49 CFR 571.3) that is rearward of the front seat(s), 
except any designated seating position adjacent to a walkway that is 
located between the seat and the near side of the vehicle and is 
designed to allow access to more rearward seating positions.
    S4.1.4.2.1  Any rear outboard designated seating position with a 
seat

[[Page 459]]

that can be adjusted to be forward-facing and to face some other 
direction shall either:
    (i) Meet the requirements of S4.1.4.2 with the seat in any position 
in which it can be occupied while the vehicle is in motion; or
    (ii) When the seat is in its forward-facing position, have a Type 2 
seat belt assembly with an upper torso restraint that conforms to S7.1 
and S7.2 of this standard and that adjusts by means of an emergency 
locking retractor that conforms with Standard No. 209 (49 CFR 571.209), 
which upper torso restraint may be detachable at the buckle, and, when 
the seat is in any position in which it can be occupied while the 
vehicle is in motion, have a Type 1 seat belt or the pelvic portion of a 
Type 2 seat belt assembly that conforms to S7.1 and S7.2 of this 
standard.
    S4.1.4.2.2 Any rear outboard designated seating position on a 
readily removable seat (that is, a seat designed to be easily removed 
and replaced by means installed by the manufacturer for that purpose) in 
a vehicle manufactured on or after September 1, 1992 shall meet the 
requirements of S4.1.4.2 and may use an upper torso belt that detaches 
at either its upper or lower anchorage points, but not both anchorage 
points, to meet those requirements. The means for detaching the upper 
torso belt may use a pushbutton action.
    S4.1.5  Passenger cars manufactured on or after September 1, 1996.
    S4.1.5.1  Frontal/angular automatic protection system.
    (a) Each passenger car manufactured on or after September 1, 1996 
shall:
    (1) At each front outboard designated seating position meet the 
frontal crash protection requirements of S5.1 by means that require no 
action by vehicle occupants;
    (2) At any front designated seating positions that are not 
``outboard designated seating positions,'' as that term is defined at 49 
CFR 571.3, and at any rear designated seating positions that are not 
``rear outboard designated seating positions,'' as that term is defined 
at S4.1.4.2(c) of this standard, have a Type 1 or Type 2 seat belt 
assembly that conforms to Standard No. 209 and S7.1 and S7.2 of this 
standard; and
    (3) At each front designated seating position that is an ``outboard 
designated seating position,'' as that term is defined at 49 CFR 571.3, 
and at each forward-facing rear designated seating position that is a 
``rear outboard designated seating positions,'' as that term is defined 
at S4.1.4.2(c) of this standard, have a Type 2 seat belt assembly that 
conforms to Standard No. 209 and S7.1 through S7.3 of this standard, 
and, in the case of the Type 2 seat belt assemblies installed at the 
front outboard designated seating positions, meet the frontal crash 
protection requirements with the appropriate anthropomorphic test dummy 
restrained by the Type 2 seat belt assembly in addition to the means 
that requires no action by the vehicle occupant.
    (b) For the purposes of sections S4.1.5 through S4.1.5.3 and S4.2.6 
through S4.2.6.2 of this standard, an inflatable restraint system means 
an air bag that is activated in a crash.
    S4.1.5.2  Passenger cars manufactured on or after September 1, 1996 
and before September 1, 1997.
    S4.1.5.2.1  The amount of passenger cars complying with the 
requirement of S4.1.5.1(a)(1) by means of an inflatable restraint system 
at the driver's and right front passenger's position shall be not less 
than 95 percent of the manufacturer's total production of passenger cars 
manufactured on or after September 1, 1996, and before September 1, 
1997. A vehicle shall not be deemed to be in noncompliance with this 
standard if its manufacturer establishes that it did not have reason to 
know in the exercise of due care that such vehicle is not in conformity 
with the requirement of this standard.
    S4.1.5.2.2  Passenger cars produced by more than one manufacturer.
    S4.1.5.2.2.1  For the purpose of calculating the production of 
passenger cars by each manufacturer during the period specified in 
S4.1.5.2, a passenger car produced by more than one manufacturer shall 
be attributed to a single manufacturer as follows, subject to 
S4.1.5.2.2.2:

[[Page 460]]

    (a) A passenger car that is imported into the United States shall be 
attributed to the importer.
    (b) A passenger car manufactured within the United States by more 
than one manufacturer, one of which also markets the vehicle, shall be 
attributed to the manufacturer that markets the vehicle.
    S4.1.5.2.2.2  A passenger car produced by more than one manufacturer 
shall be attributed to any one of the vehicle's manufacturers, as 
specified in an express written contract, reported to the National 
Highway Traffic Safety Administration pursuant to part 585 of this 
chapter, between the manufacturer so specified and the manufacturer to 
which the vehicle otherwise would be attributed, pursuant to 
S4.1.5.2.2.1.
    S4.1.5.3  Passenger cars manufactured on or after September 1, 1997. 
Each passenger car manufactured on or after September 1, 1997 shall 
comply with the requirement of S4.1.5.1(a)(1) by means of an inflatable 
restraint system at the driver's and right front passenger's position. A 
vehicle shall not be deemed to be in noncompliance with this standard if 
its manufacturer establishes that it did not have reason to know in the 
exercise of due care that such vehicle is not in conformity with the 
requirement of this standard.
    S4.2  Trucks and multipurpose passenger vehicles with a GVWR of 
10,000 pounds or less. As used in this section, vehicles manufactured 
for operation by persons with disabilities means vehicles that 
incorporate a level change device (e.g., a wheelchair lift or a ramp) 
for onloading or offloading an occupant in a wheelchair, an interior 
element of design intended to provide the vertical clearance necessary 
to permit a person in a wheelchair to move between the lift or ramp and 
the driver's position or to occupy that position, and either an adaptive 
control or special driver seating accommodation to enable persons who 
have limited use of their arms or legs to operate a vehicle. For 
purposes of this definition, special driver seating accommodations 
include a driver's seat easily removable with means installed for that 
purpose or with simple tools, or a driver's seat with extended 
adjustment capability to allow a person to easily transfer from a 
wheelchair to the driver's seat.
    S4.2.1  Trucks and multipurpose passenger vehicles with a GVWR of 
10,000 pounds or less, manufactured on or after January 1, 1976 and 
before September 1, 1991. Each truck and multipurpose passenger vehicle, 
with a gross vehicle weight rating of 10,000 pounds or less, 
manufactured before September 1, 1991, shall meet the requirements of 
S4.1.2.1, or at the option of the manufacturer, S4.1.2.2 or S4.1.2.3 (as 
specified for passenger cars), except that forward control vehicles 
manufactured prior to September 1, 1981, convertibles, open-body type 
vehicles, walk-in van-type trucks, motor homes, vehicles designed to be 
exclusively sold to the U.S. Postal Service, and vehicles carrying 
chassis-mount campers may instead meet the requirements of S4.2.1.1 or 
S4.2.1.2.
    S4.2.1.1  First option--complete automatic protection system. The 
vehicle shall meet the crash protection requirements of S5 by means that 
require no action by vehicle occupants.
    S4.2.1.2 Second option--belt system. The vehicle shall have seat 
belt assemblies that conform to Standard 209 (49 CFR 571.209) installed 
as follows:
    (a) A Type 1 or Type 2 seat belt assembly shall be installed for 
each designated seating position in convertibles, open-body type 
vehicles, and walk-in van-type trucks.
    (b) In vehicles manufactured for operation by persons with 
disabilities, a Type 2 or Type 2A seat belt assembly shall be installed 
for the driver's seating position, a Type 2 seat belt assembly shall be 
installed for each other outboard designated seating position that 
includes the windshield header within the head impact area, and a Type 1 
or Type 2 seat belt assembly shall be installed for each other 
designated seating position.
    (c) In all vehicles except those for which requirements are 
specified in S4.2.1.2 (a) or (b), a Type 2 seat belt assembly shall be 
installed for each outboard designated seating position that includes 
the windshield header within the head impact area, and a Type 1 or Type 
2 seat belt assembly shall be installed for each other designated 
seating position.

[[Page 461]]

    S4.2.2  Trucks and multipurpose passenger vehicles with a GVWR of 
8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or 
less, manufactured on or after September 1, 1991 and before September 1, 
1997. Except as provided in S4.2.4, each truck and multipurpose 
passenger vehicle, with a gross vehicle weight rating of 8,500 pounds or 
less and an unloaded vehicle weight of 5,500 pounds or less, 
manufactured on or after September 1, 1991 and before September 1, 1997, 
shall meet the requirements of S4.1.2.1, or at the option of the 
manufacturer, S4.1.2.2 or S4.1.2.3 (as specified for passenger cars), 
except that convertibles, open-body type vehicles, walk-in van-type 
trucks, motor homes, vehicles designed to be exclusively sold to the 
U.S. Postal Service, vehicles carrying chassis-mount campers, and 
vehicles manufactured for operation by persons with disabilities may 
instead meet the requirements of S4.2.1.1 or S4.2.1.2. Each Type 2 seat 
belt assembly installed in a front outboard designated seating position 
in accordance with S4.1.2.3 shall meet the requirements of S4.6.
    S4.2.3  Trucks and multipurpose passenger vehicles manufactured on 
or after September 1, 1991 with either a GVWR or more than 8,500 pounds 
but not greater than 10,000 pounds or with an unloaded vehicle weight 
greater than 5,500 pounds and a GVWR of 10,000 pounds or less. Except as 
provided in S4.2.4, each truck and multipurpose passenger vehicle 
manufactured on or after September 1, 1991, that has either a gross 
vehicle weight rating which is greater than 8,500 pounds, but not 
greater than 10,000 pounds, or has an unloaded vehicle weight greater 
than 5,500 pounds and a GVWR of 10,000 pounds or less, shall meet the 
requirements of S4.1.2.1, or at the option of the manufacturer, S4.1.2.2 
or S4.1.2.3 (as specified for passenger cars), except that convertibles, 
open-body type vehicles, walk-in van-type trucks, motor homes, vehicles 
designed to be exclusively sold to the U.S. Postal Service, and vehicles 
carrying chassis-mount campers may instead meet the requirements of 
S4.2.1.1 or S4.2.1.2.
    S4.2.4  Rear outboard seating positions in trucks and multipurpose 
passenger vehicles manufactured on or after September 1, 1991 with a 
GVWR of 10,000 pounds or less. Except as provided in S4.2.4.2 and 
S4.2.4.3, each truck and each multipurpose passenger vehicle, other than 
a motor home, manufactured on or after September 1, 1991 that has a 
gross vehicle weight rating of 10,000 pounds or less shall be equipped 
with an integral Type 2 seat belt assembly at every forward-facing rear 
outboard designated seating position. Type 2 seat belt assemblies 
installed in compliance with this requirement shall comply with Standard 
No. 209 (49 CFR 571.209) and with S7.1 and S7.2 of this standard. If a 
Type 2 seat belt assembly installed in compliance with this requirement 
incorporates any webbing tension-relieving device, the vehicle owner's 
manual shall include the information specified in S7.4.2(b) of this 
standard for the tension relieving device, and the vehicle shall comply 
with S7.4.2(c) of this standard.
    S4.2.4.1  As used in this section--
    (a) Motor home means a motor vehicle with motive power that is 
designed to provide temporary residential accommodations, as evidenced 
by the presence of at least four of the following facilities: cooking; 
refrigeration or ice box; self-contained toilet; heating and/or air 
conditioning; a potable water supply system including a faucet and a 
sink; and a separate 110-125 volt electrical power supply and/or an LP 
gas supply.
    (b) Rear outboard designated seating position means any ``outboard 
designated seating position'' (as that term is defined at 49 CFR 571.3) 
that is rearward of the front seat(s), except any designated seating 
positions adjacent to a walkway located between the seat and the side of 
the vehicle, which walkway is designed to allow access to more rearward 
seating positions.
    S4.2.4.2  Any rear outboard designated seating position with a seat 
that can be adjusted to be forward-facing and to face some other 
direction shall either:
    (i) Meet the requirements of S4.2.4 with the seat in any position in 
which it can be occupied while the vehicle is in motion; or
    (ii) When the seat is in its forward-facing position, have a Type 2 
seat belt assembly with an upper torso restraint

[[Page 462]]

that conforms to S7.1 and S7.2 of this standard and that adjusts by 
means of an emergency locking retractor that conforms with Standard No. 
209 (49 CFR 571.209), which upper torso restraint may be detachable at 
the buckle, and, when the seat is in any position in which it can be 
occupied while the vehicle is in motion, have a Type 1 seat belt or the 
pelvic portion of a Type 2 seat belt assembly that conforms to S7.1 and 
S7.2 of this standard.
    S4.2.4.3 Any rear outboard designated seating position on a readily 
removable seat (that is, a seat designed to be easily removed and 
replaced by means installed by the manufacturer for that purpose) in a 
vehicle manufactured on or after September 1, 1992 shall meet the 
requirements of S4.2.4 and may use an upper torso belt that detaches at 
either its upper or lower anchorage point, but not both anchorage 
points, to meet those requirements. The means for detaching the upper 
torso belt may use a pushbutton action.
    S4.2.5  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1994, and before 
September 1, 1997.
    S4.2.5.1  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1994, and before 
September 1, 1995.
    S4.2.5.1.1  Subject to S4.2.5.1.2 and S4.2.5.5 and except as 
provided in S4.2.4, each truck, bus and multipurpose passenger vehicle, 
other than walk-in van-type trucks, vehicles designed to be exclusively 
sold to the U.S. Postal Service, and vehicles manufactured for operation 
by persons with disabilities, with a GVWR of 8,500 pounds or less and an 
unloaded vehicle weight of 5,500 pounds or less that is manufactured on 
or after September 1, 1994 and before September 1, 1995, shall comply 
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified 
for passenger cars). A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of standard.
    S4.2.5.1.2  Subject to S4.2.5.5, the amount of trucks, buses, and 
multipurpose passenger vehicles specified in S4.2.5.1.1 complying with 
S4.1.2.1 (as specified for passenger cars) shall be not less than 20 
percent of:
    (a) The average annual production of trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1991, and before September 1, 1994, by each manufacturer 
that produced such vehicles during each of those annual production 
periods, or
    (b) The manufacturer's total production of trucks, buses, and 
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less during the period 
specified in S4.2.5.1.1.
    S4.2.5.2  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1995 and before 
September 1, 1996.
    S4.2.5.2.1  Subject to S4.2.5.2.2 and S4.2.5.5 and except as 
provided in S4.2.4, each truck, bus, and multipurpose passenger vehicle, 
other than walk-in van-type trucks, vehicles designed to be exclusively 
sold to the U.S. Postal Service, and vehicles manufactured for operation 
by persons with disabilities, with a GVWR of 8,500 pounds or less and an 
unloaded vehicle weight of 5,500 pounds or less that is manufactured on 
or after September 1, 1995 and before September 1, 1996, shall comply 
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified 
for passenger cars). A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of this standard.
    S4.2.5.2.2  Subject to S4.2.5.5, the amount of trucks, buses, and 
multipurpose passenger vehicles specified in S4.2.5.2.1 complying with 
S4.1.2.1 (as specified for passenger cars) shall be not less than 50 
percent of:

[[Page 463]]

    (a) The average annual production of trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1992, and before September 1, 1995, by each manufacturer 
that produced such vehicles during each of those annual production 
periods, or
    (b) The manufacturer's total production of trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less during the period 
specified in S4.2.5.2.1.
    S4.2.5.3  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1996 and before 
September 1, 1997.
    S4.2.5.3.1  Subject to S4.2.5.3.2 and S4.2.5.5 and except as 
provided in S4.2.4, each truck, bus, and multipurpose passenger vehicle, 
other than walk-in van-type trucks, vehicles designed to be exclusively 
sold to the U.S. Postal Service, and vehicles manufactured for operation 
by persons with disabilities, with a GVWR of 8,500 pounds or less and an 
unloaded vehicle weight of 5,500 pounds or less that is manufactured on 
or after September 1, 1996 and before September 1, 1997, shall comply 
with the requirements of S4.1.2.1, S4.1.2.2, or S4.1.2.3 (as specified 
for passenger cars). A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of this standard.
    S4.2.5.3.2  Subject to S4.2.5.5, the amount of trucks, buses, and 
multipurpose passenger vehicles specified in S4.2.5.3.1 complying with 
S4.1.2.1 (as specified for passenger cars) shall be not less than 90 
percent of:
    (a) The average annual production of trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1993, and before September 1, 1996, by each manufacturer 
that produced such vehicles during each of those annual production 
periods, or
    (b) The manufacturer's total production of trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less during the period 
specified in S4.2.5.3.1.
    S4.2.5.4  Alternative phase-in schedule. A manufacturer may, at its 
option, comply with the requirements of this section instead of 
complying with the requirements set forth in S4.2.5.1, S4.2.5.2, and 
S4.2.5.3.
    (a) Except as provided in S4.2.4, each truck, bus, and multipurpose 
passenger vehicle, other than walk-in van-type trucks, vehicles designed 
to be exclusively sold to the U.S. Postal Service, and vehicles 
manufactured for operation by persons with disabilities, with a GVWR of 
8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or 
less that is manufactured on or after September 1, 1994 and before 
September 1, 1995 shall comply with the requirements of S4.1.2.1, 
S4.1.2.2, or S4.1.2.3 (as specified for passenger cars).
    (b) Except as provided in S4.2.4, each truck, bus, and multipurpose 
passenger vehicle, other than walk-in van-tape trucks, vehicles designed 
to be exclusively sold to the U.S. Postal Service, and vehicles 
manufactured for operation by persons with disabilities, with a GVWR of 
8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or 
less that is manufactured on or after September 1, 1995 shall comply 
with the requirements of S4.1.2.1 (as specified for passenger cars) of 
this standard. A vehicle shall not be deemed to be in noncompliance with 
this standard if its manufacturer establishes that it did not have 
reason to know in the exercise of due care that such vehicle is not in 
conformity with the requirement of this standard.
    (c) Each truck, bus, and multipurpose passenger vehicle with a GVWR 
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds 
or less manufactured on or after September 1, 1995, but before September 
1, 1998, whose driver's seating position complies with the requirements 
of S4.1.2.1(a) of this standard by means not including any type of seat 
belt and whose right front passenger's seating position is equipped

[[Page 464]]

with a manual Type 2 seat belt that complies with S5.1 of this standard, 
with the seat belt assembly adjusted in accordance with S7.4.2, shall be 
counted as a vehicle complying with S4.1.2.1.
    S4.2.5.5  Calculation of complying trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less.
    (a) For the purposes of the calculations required in S4.2.5.1.2, 
S4.2.5.2.2, and S4.2.5.3.2 of the number of trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less that comply with 
S4.1.2.1 (as specified for passenger cars):
    (1) Each truck, bus, and multipurpose passenger vehicle with a GVWR 
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds 
or less whose driver's seating position complies with the requirements 
of S4.1.2.1(a) by means not including any type of seat belt and whose 
front right seating position complies with the requirements of 
S4.1.2.1(a) by any means is counted as 1.5 vehicles, and
    (2) Each truck, bus, and multipurpose passenger vehicle with a GVWR 
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds 
or less whose driver's seating position complies with the requirements 
of S4.1.2.1(a) by means not including any type of seat belt and whose 
right front passenger's seating position is equipped with a manual Type 
2 seat belt that complies with S5.1 of this standard, with the seat belt 
assembly adjusted in accordance with S7.4.2, is counted as one vehicle.
    (3) Each truck, bus, and multipurpose passenger vehicle with a GVWR 
of 8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds 
or less that is manufactured in two or more stages or that is altered 
(within the meaning of Sec. 567.7 of this chapter) after having 
previously been certified in accordance with part 567 of this chapter is 
not subject to the requirements of S4.2.5.1.2, S4.2.5.2.2, and 
S4.2.5.3.2. Such vehicles may be excluded from all calculations of 
compliance with S4.2.5.1.2, S4.2.5.2.2, and S4.2.5.3.2.
    (b) For the purposes of complying with S4.2.5.1.2, a truck, bus, or 
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
    (1) Is manufactured on or after September 1, 1992, but before 
September 1, 1994, and
    (2) Is certified as complying with S4.1.2.1 (as specified for 
passenger cars).
    (c) For the purposes of complying with S4.2.5.2.2, a truck, bus, or 
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
    (1) Is manufactured on or after September 1, 1992, but before 
September 1, 1995,
    (2) Is certified as complying with S4.1.2.1 (as specified for 
passenger cars), and
    (3) Is not counted toward compliance with S4.2.5.1.2.
    (d) For the purposes of complying with S4.2.5.3.2, a truck, bus, or 
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less may be counted if it:
    (1) Is manufactured on or after September 1, 1992, but before 
September 1, 1996,
    (2) Is certified as complying with S4.1.2.1 (as specified for 
passenger cars), and
    (3) Is not counted toward compliance with S4.2.5.1.2 or S4.2.5.2.2.
    S4.2.5.6  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less produced by more than one manufacturer.
    S4.2.5.6.1  For the purposes of calculating average annual 
production for each manufacturer and the amount of vehicles manufactured 
by each manufacturer under S4.2.5.1.2, S4.2.5.2.2, or S4.2.5.3.2, a 
truck, bus, or multipurpose passenger vehicle with a GVWR of 8,500 
pounds or less and an unloaded vehicle weight of 5,500 pounds or less 
produced by more than one manufacturer shall be attributed to a single 
manufacturer as follows, subject to S4.2.5.6.2:
    (a) A vehicle that is imported shall be attributed to the importer.

[[Page 465]]

    (b) A vehicle that is manufactured in the United States by more than 
one manufacturer, one of which also markets the vehicle, shall be 
attributed to the manufacturer that markets the vehicle.
    S4.2.5.6.2  A truck, bus, or multipurpose passenger vehicle with, 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less produced by more than one manufacturer shall be 
attributed to any one of the vehicle's manufacturers specified in an 
express written contract, reported to the National Highway Traffic 
Safety Administration under 49 CFR part 585, between the manufacturer so 
specified and the manufacturer to which the vehicle would otherwise be 
attributed under S4.2.5.6.1 of this standard.
    S4.2.6  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1997. Each truck, 
bus, and multipurpose passenger vehicle with a GVWR of 8,500 pounds or 
less and an unloaded vehicle weight of 5,500 pounds or less, which is 
manufactured on or after September 1, 1997, shall comply with the 
requirements of S4.1.5.1 of this standard (as specified for passenger 
cars), except that walk-in van-type trucks and vehicles designed to be 
sold exclusively to the U.S. Postal Service may meet the requirements of 
S4.2.1.1 or S4.2.1.2 of this standard instead of the requirements of 
S4.1.5.1.
    S4.2.6.1  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less manufactured on or after September 1, 1997 and before 
September 1, 1998.
    S4.2.6.1.1  The amount of trucks, buses, and multipurpose passenger 
vehicles complying with the requirements of S4.1.5.1(a)(1) of this 
standard by means of an inflatable restraint system shall be not less 
than 80 percent of the manufacturer's total combined production of 
subject vehicles manufactured on or after September 1, 1997 and before 
September 1, 1998. Each truck, bus, or multipurpose passenger vehicle 
with a GVWR of 8,500 pounds or less and an unloaded vehicle weight of 
5,500 pounds or less manufactured on or after September 1, 1997 and 
before September 1, 1998, whose driver's seating position complies with 
S4.1.5.1(a)(1) by means of an inflatable restraint system and whose 
right front passenger's seating position is equipped with a manual Type 
2 seat belt assembly that complies with S5.1 of this standard, with the 
seat belt assembly adjusted in accordance with S7.4.2 of this standard, 
shall be counted as a vehicle complying with S4.1.5.1(a)(1) by means of 
an inflatable restraint system. A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of this standard.
    S4.2.6.1.2  Trucks, buses, and multipurpose passenger vehicles with 
a GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less produced by more than one manufacturer.
    S4.2.6.1.2.1  For the purpose of calculating the production by each 
manufacturer during the period specified in S4.2.6.1.1, a truck, bus, or 
multipurpose passenger vehicle with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less produced by more than 
one manufacturer shall be attributed to a single manufacturer as 
follows, subject to S4.2.6.1.2.2:
    (a) A vehicle that is imported into the United States shall be 
attributed to the importer.
    (b) A vehicle manufactured within the United States by more than one 
manufacturer, one of which also markets the vehicle, shall be attributed 
to the manufacturer that markets the vehicle.
    S4.2.6.1.2.2  A truck, bus, or multipurpose passenger vehicle 
produced by more than one manufacturer shall be attributed to any one of 
the vehicle's manufacturers, as specified in an express written 
contract, reported to the National Highway Traffic Safety Administration 
pursuant to part 585 of this chapter, between the manufacturer so 
specified and the manufacturer to which the vehicle otherwise would be 
attributed, pursuant to S4.2.6.1.2.1.
    S4.2.6.2  Trucks, buses, and multipurpose passenger vehicles with a 
GVWR of

[[Page 466]]

8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or 
less manufactured on or after September 1, 1998. Each truck, bus, or 
multipurpose vehicle with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1998 shall comply with the requirement of S4.1.5.1(a)(1) by 
means of an inflatable restraint system at the driver's and right front 
passenger's position. A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of this standard.
    S4.3  Trucks and multipurpose passenger vehicles, with GVWR of more 
than 10,000 pounds.
    S4.3.1  Trucks and multipurpose passenger vehicles with a GVWR of 
more than 10,000 pounds, manufactured in or after January 1, 1972 and 
before September 1, 1990. Each truck and multipurpose passenger vehicle 
with a gross vehicle weight rating of more than 10,000 pounds, 
manufactured on or after January 1, 1972 and before September 1, 1990, 
shall meet the requirements of S4.3.1.1 or S4.3.1.2. A protection system 
that meets the requirements of S4.3.1.1 may be installed at one or more 
designated seating positions of a vehicle that otherwise meets the 
requirements of S4.3.1.2.
    S4.3.1.1  First option--complete passenger protection system. The 
vehicle shall meet the crash protection requirements of S5 by means that 
require no action by vehicle occupants.
    S4.3.1.2  Second option--belt system. The vehicle shall, at each 
designated seating position, have either a Type 1 or a Type 2 seat belt 
assembly that conforms to S571.209.
    S4.3.2  Trucks and multipurpose passenger vehicles with a GVWR of 
more than 10,000 pounds, manufactured on or after September 1, 1990. 
Each truck and multipurpose passenger vehicle with a gross vehicle 
weight rating of more than 10,000 pounds, manufactured on or after 
September 1, 1990, shall meet the requirements of S4.3.2.1 or S4.3.2.2. 
A protection system that meets the requirements of S4.3.2.1 may be 
installed at one or more designated seating positions of a vehicle that 
otherwise meets the requirements of S4.3.2.2.
    S4.3.2.1  First option--complete passenger protection system. The 
vehicle shall meet the crash protection requirements of S5 by means that 
require no action by vehicle occupants.
    S4.3.2.2  Second option--belt system. The vehicle shall, at each 
designated seating position, have either a Type 1 or a Type 2 seat belt 
assembly that conforms to Sec. 571.209 of this part and S7.2 of this 
Standard. A Type 1 belt assembly or the pelvic portion of a dual 
retractor Type 2 belt assembly installed at a front outboard seating 
position shall include either an emergency locking retractor or an 
automatic locking retractor. If a seat belt assembly installed at a 
front outboard seating position includes an automatic locking retractor 
for the lap belt or the lap belt portion, that seat belt assembly shall 
comply with the following:
    (a) An automatic locking retractor used at a front outboard seating 
position that has some type of suspension system for the seat shall be 
attached to the seat structure that moves as the suspension system 
functions.
    (b) The lap belt or lap belt portion of a seat belt assembly 
equipped with an automatic locking retractor that is installed at a 
front outboard seating position must allow at least \3/4\ inch, but less 
than 3 inches, of webbing movement before retracting webbing to the next 
locking position.
    (c) Compliance with S4.3.2.2(b) of this standard is determined as 
follows:
    (1) The seat belt assembly is buckled and the retractor end of the 
seat belt assembly is anchored to a horizontal surface. The webbing for 
the lap belt or lap belt portion of the seat belt assembly is extended 
to 75 percent of its length and the retractor is locked after the 
initial adjustment.
    (2) A load of 20 pounds is applied to the free end of the lap belt 
or the lap belt portion of the belt assembly (i.e., the end that is not 
anchored to the horizontal surface) in the direction away from the 
retractor. The position of the free end of the belt assembly is 
recorded.
    (3) Within a 30 second period, the 20 pound load is slowly 
decreased, until

[[Page 467]]

the retractor moves to the next locking position. The position of the 
free end of the belt assembly is recorded again.
    (4) The difference between the two positions recorded for the free 
end of the belt assembly shall be at least \3/4\ inch but less than 3 
inches.
    S4.4  Buses.
    S4.4.1  Buses manufactured on or after January 1, 1972 and before 
September 1, 1990. Each bus manufactured on or after January 1, 1972 and 
before September 1, 1990, shall meet the requirements of S4.4.1.1 or 
S4.4.1.2.
    S4.4.1.1  First option--complete passenger protection system--driver 
only. The vehicle shall meet the crash protection requirements of S5, 
with respect to an anthropomorphic test dummy in the driver's designated 
seating position, by means that require no action by vehicle occupants.
    S4.4.1.2  Second option--belt system--driver only. The vehicle 
shall, at the driver's designated seating position, have either a Type 1 
or a Type 2 seat belt assembly that conforms to S571.209.
    S4.4.2  Buses manufactured on or after September 1, 1990. Each bus 
manufactured on or after September 1, 1990, shall meet the requirements 
of S4.4.2.1 or S4.4.2.2.
    S4.4.2.1  First option--complete passenger protection system--driver 
only. The vehicle shall meet the crash protection requirements of S5, 
with respect to an anthropomorphic test dummy in the driver's designated 
seating position, by means that require no action by vehicle occupants.
    S4.4.2.2  Second option--belt system--driver only. The vehicle 
shall, at the driver's designated seating position, have either a Type 1 
or a Type 2 seat belt assembly that conforms to Sec. 571.209 of this 
part and S7.2 of this Standard. A Type 1 belt assembly or the pelvic 
portion of a dual retractor Type 2 belt assembly installed at the 
driver's seating position shall include either an emergency locking 
retractor or an automatic locking retractor. If a seat belt assembly 
installed at the driver's seating position includes an automatic locking 
retractor for the lap belt or the lap belt portion, that seat belt 
assembly shall comply with the following:
    (a) An automatic locking retractor used at a driver's seating 
position that has some type of suspension system for the seat shall be 
attached to the seat structure that moves as the suspension system 
functions.
    (b) The lap belt or lap belt portion of a seat belt assembly 
equipped with an automatic locking retractor that is installed at the 
driver's seating position must allow at least \3/4\ inch, but less than 
3 inches, of webbing movement before retracting webbing to the next 
locking position.
    (c) Compliance with S4.4.2.2(b) of this standard is determined as 
follows:
    (1) The seat belt assembly is buckled and the retractor end of the 
seat belt assembly is anchored to a horizontal surface. The webbing for 
the lap belt or lap belt portion of the seat belt assembly is extended 
to 75 percent of its length and the retractor is locked after the 
initial adjustment.
    (2) A load of 20 pounds is applied to the free end of the lap belt 
or the lap belt portion of the belt assembly (i.e., the end that is not 
anchored to the horizontal surface) in the direction away from the 
retractor. The position of the free end of the belt assembly is 
recorded.
    (3) Within a 30 second period, the 20 pound load is slowly 
decreased, until the retractor moves to the next locking position. The 
position of the free end of the belt assembly is recorded again.
    (4) The difference between the two positions recorded for the free 
end of the belt assembly shall be at least \3/4\ inch but less than 3 
inches.
    S4.4.3  Buses manufactured on or after September 1, 1991.
    S4.4.3.1  Each bus with a gross vehicle weight rating of more than 
10,000 pounds shall comply with the requirements S4.4.2.1 or S4.4.2.2.
    S4.4.3.2  Except as provided in S4.4.3.2.2 and S4.4.3.2.3, each bus 
with a gross vehicle weight rating of 10,000 pounds or less, except a 
school bus, shall be equipped with an integral Type 2 seat belt assembly 
at the driver's designated seating position and at the front and every 
rear forward-facing outboard designated seating position, and with a 
Type 1 or Type 2 seat belt

[[Page 468]]

assembly at all other designated seating positions. Type 2 seat belt 
asemblies installed in compliance with this requirement shall comply 
with Standard No. 209 (49 CFR 571.209) and with S7.1 and S7.2 of this 
standard. If a Type 2 seat belt assembly installed in compliance with 
this requirement incorporates any webbing tension-relieving device, the 
vehicle owner's manual shall include the information specified in 
S7.4.2(b) of this standard for the tension relieving device, and the 
vehicle shall comply with S7.4.2(c) of this standard.
    S4.4.3.2.1  As used in this section, a ``rear outboard designated 
position'' means any ``outboard designated seating position'' (as that 
term is defined at 49 CFR 571.3) that is rearward of the front seat(s), 
except any designated seating positions adjacent to a walkway located 
between the seat and the side of the vehicle, which walkway is designed 
to allow access to more rearward seating positions.
    S4.4.3.2.2  Any rear outboard designated seating position with a 
seat that can be adjusted to be forward-facing and to face some other 
direction shall either:
    (i) Meet the requirements of S4.4.3.2 with the seat in any position 
in which it can be occupied while the vehicle is in motion; or
    (ii) When the seat is in its forward-facing position, have a Type 2 
seat belt assembly with an upper torso restraint that conforms to S7.1 
and S7.2 of this standard and that adjusts by means of an emergency 
locking retractor that conforms with Standard No. 209 (49 CFR 571.209), 
which upper torso restraint may be detachable at the buckle, and, when 
the seat is in any position in which it can be occupied while the 
vehicle is in motion, have a Type 1 seat belt or the pelvic portion of a 
Type 2 seat belt assembly that conforms to S7.1 and S7.2 of this 
standard.
    S4.4.3.2.3 Any rear outboard designated seating position on a 
readily removable seat (that is, a seat designed to be easily removed 
and replaced by means installed by the manufacturer for that purpose) in 
a vehicle manufactured on or after September 1, 1992 shall meet the 
requirements of S4.4.3.2 and may use an upper torso belt that detaches 
at either its upper or lower anchorage point, but not both anchorage 
points, to meet those requirements. The means for detaching the upper 
torso belt may use a pushbutton action.
    S4.4.3.3  Each school bus with a gross vehicle weight rating of 
10,000 pounds or less shall be equipped with an integral Type 2 seat 
belt assembly at the driver's designated seating position and at the 
right front passenger's designated seating position (if any), and with a 
Type 1 or Type 2 seat belt assembly at all other designated seating 
positions. Type 2 seat belt assemblies installed in compliance with this 
requirement shall comply with Standard No. 209 (49 CFR 571.209) and with 
S7.1 and S7.2 of this standard. The lap belt portion of a Type 2 seat 
belt assembly installed at the driver's designated seating position and 
at the right front passenger's designated seating position (if any) 
shall include either an emergency locking retractor or an automatic 
locking retractor, which retractor shall not retract webbing to the next 
locking position until at least \3/4\ inch of webbing has moved into the 
retractor. In determining whether an automatic locking retractor 
complies with this requirement, the webbing is extended to 75 percent of 
its length and the retractor is locked after the initial adjustment. If 
a Type 2 seat belt assembly installed in compliance with this 
requirement incorporates any webbing tension-relieving device, the 
vehicle owner's manual shall include the information specified in 
S7.4.2(b) of this standard for the tension-relieving device, and the 
vehicle shall comply with S7.4.2(c) of this standard.
    S4.4.4  Buses with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1994. Each bus with a GVWR of 8,500 pounds or less and an 
unloaded vehicle weight of 5,500 pounds or less manufactured on or after 
September 1, 1984 shall comply with the requirements of S4.2.5 and 
S4.2.6 of this standard, as applicable, for front seating positions, and 
with the requirements of S4.4.3.2 or S4.4.3.3 of this standard, as 
applicable, for all rear seating positions.
    S4.5  Other general requirements.

[[Page 469]]

    S4.5.1 Labeling and owner's manual information. The labels specified 
in S4.5.1 (b), (c), and (e) of this standard are not required for 
vehicles that have a smart passenger air bag meeting the criteria 
specified in S4.5.5 of this standard.
    (a) Air bag maintenance or replacement information. If the vehicle 
manufacturer recommends periodic maintenance or replacement of an 
inflatable restraint system, as that term is defined in S4.1.5.1(b) of 
this standard, installed in a vehicle, that vehicle shall be labeled 
with the recommended schedule for maintenance or replacement. The 
schedule shall be specified by month and year, or in terms of vehicle 
mileage, or by intervals measured from the date appearing on the vehicle 
certification label provided pursuant to 49 CFR part 567. The label 
shall be permanently affixed to the vehicle within the passenger 
compartment and lettered in English in block capital and numerals not 
less than three thirty-seconds of an inch high. This label may be 
combined with the label required by S4.5.1(b) of this standard to appear 
on the sun visor. If some regular maintenance or replacement of the 
inflatable restraint system(s) in a vehicle is recommended by the 
vehicle manufacturer, the owner's manual shall also set forth the 
recommended schedule for maintenance or replacement.
    (b) Sun visor warning label.
    (1) Vehicles manufactured before February 25, 1997. Each vehicle 
shall comply with either S4.5.1(b)(1)(i) or S4.5.1(b)(1)(ii), and with 
S4.5.1(b)(1)(iii). At the manufacturer's option, the vehicle may comply 
with the requirements of S4.5.1(b)(2), instead of the requirements of 
S4.5.1(b)(1).
    (i) Each front outboard seating position that provides an inflatable 
restraint shall have a label permanently affixed to the sun visor for 
that seating position on either side of the sun visor, at the 
manufacturer's option. Except as provided in S4.5.1(b)(1)(v), this label 
shall read:

    CAUTION--TO AVOID SERIOUS INJURY:
    For maximum safety protection in all types of crashes, you must 
always wear your safety belt.
    Do not install rearward-facing child seats in any front passenger 
seat position.
    Do not sit or lean unnecessarily close to the air bag.
    Do not place any objects over the air bag or between the air bag and 
yourself.
    See the owner's manual for further information and explanations.

    (ii) If the vehicle is equipped with a cutoff device permitted by 
S4.5.4 of this standard, each front outboard seating position that 
provides an inflatable restraint shall have a label permanently affixed 
to the sun visor for such seating position on either side of the sun 
visor, at the manufacturer's option. Except as provided in 
S4.5.1(b)(1)(v), this label shall read:
    CAUTION--TO AVOID SERIOUS INJURY:
    For maximum safety protection in all types of crashes, you must 
always wear your safety belt.
    Do not install rearward-facing child seats in any front passenger 
seat position, unless the air bag is off.
    Do not sit or lean unnecessarily close to the air bag.
    Do not place any objects over the air bag or between the air bag and 
yourself.
    See the owner's manual for further information and explanations.

    (iii) The coloring of the label shall contrast with the background 
of the label.
    (iv) If the vehicle does not have an inflatable restraint at any 
front seating position other than that for the driver, the statement 
``Do not install rearward-facing child seats in any front passenger seat 
position'' may be omitted from the label.
    (v) At the manufacturer's option, the word ``warning'' may replace 
the word ``caution'' in the labels specified in S4.5.1(b)(1)(i) and 
S4.5.1(b)(1)(ii).
    (2) Vehicles manufactured on or after February 25, 1997. Each 
vehicle shall have a label permanently affixed to either side of the sun 
visor, at the manufacturer's option, at each front outboard seating 
position that is equipped with an inflatable restraint. The label shall 
conform in content to the label shown in either Figure 6a or 6b of this

[[Page 470]]

standard, as appropriate, and shall comply with the requirements of 
S4.5.1(b)(2)(i) through S4.5.1(b)(2)(v).
    (i) The heading area shall be yellow with the word ``warning'' and 
the alert symbol in black.
    (ii) The message area shall be white with black text. The message 
area shall be no less than 30 square cm.
    (iii) The pictogram shall be black with a red circle and slash on a 
white background. The pictogram shall be no less than 30 mm in diameter.
    (iv) If the vehicle does not have an inflatable restraint at any 
front seating position other than that for the driver, the label shown 
in Figure 6a may be modified by omitting the pictogram and changing the 
message text to read:

    DEATH or SERIOUS INJURY can occur.
     Sit as far back as possible from the air bag.
     ALWAYS use SEAT BELTS and CHILD RESTRAINTS.
     The BACK SEAT is the SAFEST place for children.
    (v) If the vehicle does not have a back seat, the label shown in 
Figure 6a or 6b may be modified by omitting the statement: ``The BACK 
SEAT is the SAFEST place for children.''
    (3) Except for the information on an air bag maintenance label 
placed on the visor pursuant to S4.5.1(a) of this standard, no other 
information shall appear on the same side of the sun visor to which the 
sun visor warning label is affixed. Except for the information in an air 
bag alert label placed on the visor pursuant to S4.5.1(c) of this 
standard, or in a utility vehicle label that contains the language 
required by 49 CFR 575.105(c)(1), no other information about air bags or 
the need to wear seat belts shall appear anywhere on the sun visor.
    (c) Air bag alert label--(1) Vehicles manufactured before February 
25, 1997. If the label required by S4.5.1(b)(1) for a sun visor (other 
than the sun visor for the driver seating position) is not visible when 
the sun visor is in the stowed position, an air bag alert label shall be 
permanently affixed either to that visor so that the label is visible 
when the visor is in that position or to the cover of the air bag for 
that seating position, at the option of the manufacturer. An air bag 
alert label affixed to an air bag cover pursuant to this paragraph shall 
read ``Air Bag. See Sun Visor.'' An air bag alert label affixed to a sun 
visor pursuant to this paragraph shall read ``Air Bag. See Other Side.'' 
The color of the label shall contrast with the background of the label. 
If a manufacturer chooses to comply with the requirements of 
S4.5.1(b)(2) rather than the requirements of S4.5.1(b)(1), the air bag 
alert label shall comply with the requirements of S4.5.1(c)(2).
    (2) Vehicles manufactured on or after February 25, 1997. If the 
label required by S4.5.1(b)(2) is not visible when the sun visor is in 
the stowed position, an air bag alert label shall be permanently affixed 
to that visor so that the label is visible when the visor is in that 
position. The label shall conform in content to the sun visor label 
shown in figure 6c of this standard, and shall comply with the 
requirements of S4.5.1(c)(2)(i) through S4.5.1(c)(2)(iii).
    (i) The message area shall be black with yellow text. The message 
area shall be no less than 20 square cm.
    (ii) The pictogram shall be black with a red circle and slash on a 
white background. The pictogram shall be no less than 20 mm in diameter.
    (iii) If the vehicle does not have an inflatable restraint at any 
front seating position other than that for the driver, the pictogram may 
be omitted from the label shown in Figure 6c.
    (d) At the option of the manufacturer, the requirements in S4.5.1(b) 
and S4.5.1(c) for labels that are permanently affixed to specified parts 
of the vehicle may instead be met by permanent marking or molding of the 
required information.
    (e) Label on the dash. Each vehicle manufactured on or after 
February 25, 1997 that is equipped with an inflatable restraint for the 
passenger position shall have a label attached to a location on the 
dashboard or the steering wheel hub that is clearly visible from all 
front seating positions. The label need not be permanently affixed to 
the vehicle. This label shall conform in content to the label shown in 
Figure 7 of this standard, and shall comply with the requirements of 
S4.5.1(e)(2)(i) through S4.5.1(e)(2)(iv).

[[Page 471]]

    (i) The heading area shall be yellow with the word ``warning'' and 
the alert symbol in black.
    (ii) The message area shall be white with black text. The message 
area shall be no less than 30 square cm.
    (iii) If the vehicle does not have a back seat, the label shown in 
Figure 7 may be modified by omitting the statement: ``The back seat is 
the safest place for children 12 and under.''
    (iv) For vehicles manufactured before September 1, 1997, the label 
shown in Figure 7 may be modified by replacing the word ``can'' with the 
word ``may'' in the statement: ``Children can be killed or injured by 
passenger air bag.''
    (f) Information to appear in owner's manual. The owner's manual for 
any vehicle equipped with an inflatable restraint system shall include a 
description of the vehicle's air bag system in an easily understandable 
format. The owner's manual shall include a statement to the effect that 
the vehicle is equipped with an air bag and a lap/shoulder belt at one 
or both front outboard seating positions, and that the air bag is a 
supplemental restraint at those seating positions. The information shall 
emphasize that all occupants, including the driver, should always wear 
their seat belts whether or not an air bag is also provided at their 
seating position to minimize the risk of severe injury or death in the 
event of a crash. The owner's manual shall also provide any necessary 
precautions regarding the proper positioning of occupants, including 
children, at seating positions equipped with air bags to ensure maximum 
safety protection for those occupants. The owner's manual shall also 
explain that no objects should be placed over or near the air bag on the 
steering wheel or on the instrument panel, because any such objects 
could cause harm if the vehicle is in a crash severe enough to cause the 
air bag to inflate.
    S4.5.2 Readiness indicator. An occupant protection system that 
deploys in the event of a crash shall have a monitoring system with a 
readiness indicator. The indicator shall monitor its own readiness and 
shall be clearly visible from the driver's designated seating position. 
If the vehicle is equipped with a single readiness indicator for both a 
driver and passenger air bag, and if the vehicle is equipped with a 
cutoff device permitted by S4.5.4 of this standard, the readiness 
indicator shall monitor the readiness of the driver air bag when the 
passenger air bag has been deactivated by means of the cutoff device, 
and shall not illuminate solely because the passenger air bag has been 
deactivated by the manual cutoff switch. A list of the elements of the 
system being monitored by the indicator shall be included with the 
information furnished in accordance with S4.5.1 but need not be included 
on the label.
    S4.5.3  Automatic belts. Except as provided in S4.5.3.1, a seat belt 
assembly that requires no action by vehicle occupants (hereinafter 
referred to as an ``automatic belt'') may be used to meet the crash 
protection requirements of any option under S4. and in place of any seat 
belt assembly otherwise required by that option.
    S4.5.3.1.  An automatic belt that provides only pelvic restraint may 
not be used pursuant to S4.5.3 to meet the requirements of an option 
that requires a Type 2 seat belt assembly. An automatic belt may not be 
used pursuant to S4.5.3 to meet the requirements of S4.1.5.1(a)(3) for a 
Type 2 seat belt assembly at any seating position equipped with an 
inflatable restraint system pursuant to S4.1.5.2, S4.1.5.3, S4.2.6.1, or 
S4.2.6.2 of this standard.
    S4.5.3.2  An automatic belt, furnished pursuant to S4.5.3, that 
provides both pelvic and upper torso restraint may have either a 
detachable or nondetachable upper torso portion, notwithstanding 
provisions of the option under which it is furnished.
    S4.5.3.3  An automatic belt furnished pursuant to S4.5.3 shall:
    (a) Conform to S7.1 and have a single emergency release mechanism 
whose components are readily accessible to a seated occupant.
    (b) In place of a warning system that conforms to S7.3 of this 
standard, be equipped with the following warning system: At the left 
front designated seating position (driver's position), a warning system 
that activates a continuous or intermittent audible signal for a period 
of not less than 4 seconds and not more than 8 seconds and that 
activates a continuous or flashing

[[Page 472]]

warning light visible to the driver for not less than 60 seconds 
(beginning when the vehicle ignition switch is moved to the ``on'' or 
the ``start'' position) when condition (A) exists simultaneously with 
condition (B), and that activates a continuous or flashing warning 
light, visible to the driver, displaying the identifying symbol for the 
seat belt telltale shown in Table 2 of Standard No. 101 (49 CFR 
571.101), or, at the option of the manufacturer if permitted by Standard 
No. 101, displaying the words ``Fasten Seat Belts'' or ``Fasten Belts,'' 
for as long as condition (A) exists simultaneously with condition (C).
    (A) The vehicle's ignition switch is moved to the ``on'' position or 
to the ``start'' position.
    (B) The driver's automatic belt is not in use, as determined by the 
belt latch mechanism not being fastened, or, if the automatic belt is 
non-detachable, by the emergency release mechanism being in the released 
position. In the case of motorized automatic belts, the determination of 
use shall be made once the belt webbing is in its locked protective mode 
at the anchorage point.
    (C) The belt webbing of a motorized automatic belt system is not in 
its locked, protective mode at the anchorage point.
    S4.5.3.4  An automatic belt furnished pursuant to S4.5.3 that is not 
required to meet the perpendicular frontal crash protection requirements 
of S5.1 shall conform to the webbing, attachment hardware, and assembly 
performance requirements of Standard No. 209.
    S4.5.3.5  A replacement automatic belt shall meet the requirements 
of S4.1(k) of Standard No. 209.
    S4.5.4 Passenger Air Bag Manual Cutoff Device. Passenger cars, 
trucks, buses, and multipurpose passenger vehicles manufactured before 
September 1, 2000 may be equipped with a device that deactivates the air 
bag installed at the right front passenger position in the vehicle, if 
all the conditions in S4.5.4.1 through S4.5.4.4 are satisfied.
    S4.5.4.1  The vehicle complies with either S4.5.4.1(a) or 
S4.5.4.1(b).
    (a) The vehicle has no forward-facing designated seating positions 
to the rear of the front seating positions.
    (b) With the seats and seat backs adjusted as specified in S8.1.2 
and S8.1.3, the distance, measured along a longitudinal horizontal line 
tangent to the highest point of the rear seat bottom in the longitudinal 
vertical plane described in either S4.5.4.1(b)(1) or S4.5.4.1(b)(2), 
between the rearward surface of the front seat back and the forward 
surface of the rear seat back is less than 720 millimeters.
    (1) In a vehicle equipped with front bucket seats, the vertical 
plane at the centerline of the driver's seat cushion.
    (2) In a vehicle equipped with front bench seating, the vertical 
plane which passes through the center of the steering wheel rim.
    S4.5.4.2  The device is operable by means of the ignition key for 
the vehicle. The device shall be separate from the ignition switch for 
the vehicle, so that the driver must take some action with the ignition 
key other than inserting it or turning it in the ignition switch to 
deactivate the passenger air bag. Once deactivated, the passenger air 
bag shall remain deactivated until it is reactivated by means of the 
device.
    S4.5.4.3  A telltale light on the dashboard shall be clearly visible 
from all front seating positions and shall be illuminated whenever the 
passenger air bag is deactivated. The telltale:
    (a) Shall be yellow;
    (b) Shall have the identifying words ``AIR BAG OFF'' on the telltale 
or within 25 millimeters of the telltale;
    (c) Shall remain illuminated for the entire time that the passenger 
air bag is deactivated;
    (d) Shall not be illuminated at any time when the passenger air bag 
is not deactivated; and,
    (e) Shall not be combined with the readiness indicator required by 
S4.5.2 of this standard.
    S4.5.4.4  The vehicle owner's manual shall provide, in a readily 
understandable format:
    (a) Complete instructions on the operation of the cutoff device;
    (b) A statement that the cutoff device should only be used when a 
rear-facing infant restraint is installed in the front passenger seating 
position; and,

[[Page 473]]

    (c) A warning about the safety consequences of using the cutoff 
device at other times.
    S4.5.5 Smart passenger air bags. For purposes of this standard, a 
smart passenger air bag is a passenger air bag that:
    (a) Provides an automatic means to ensure that the air bag does not 
deploy when a child seat or child with a total mass of 30 kg or less is 
present on the front outboard passenger seat, or
    (b) Incorporates sensors, other than or in addition to weight 
sensors, which automatically prevent the air bag from deploying in 
situations in which it might have an adverse effect on infants in rear-
facing child seats, and unbelted or improperly belted children, or
    (c) Is designed to deploy in a manner that does not create a risk of 
serious injury to infants in rear-facing child seats, and unbelted or 
improperly belted children.
    S4.6  Dynamic testing of manual belt systems.
    S4.6.1  Each truck and multipurpose passenger vehicle with a GVWR of 
8,500 pounds or less and an unloaded weight of less than 5,500 pounds 
that is manufactured on or after September 1, 1991, and is equipped with 
a Type 2 seat belt assembly at a front outboard designated seating 
position pursuant to S4.1.2.3 shall meet the frontal crash protection 
requirements of S5.1 at those designated seating positions with a test 
dummy restrained by a Type 2 seat belt assembly that has been adjusted 
in accordance with S7.4.2. A vehicle shall not be deemed to be in 
noncompliance with this standard if its manufacturer establishes that it 
did not have reason to know in the exercise of due care that such 
vehicle is not in conformity with the requirement of this standard.
    S4.6.2  Any manual seat belt assembly subject to the requirements of 
S5.1 of this standard by virtue of any provision of this standard other 
than S4.1.2.1(c)(2) does not have to meet the requirements of S4.2(a)-
(f) and S4.4 of Standard No. 209 (Sec. 571.209).
    S4.6.3  Any manual seat belt assembly subject to the requirements of 
S5.1 of this standard by virtue of S4.1.2.1(c)(2) does not have to meet 
the elongation requirements of S4.2(c), S4.4(a)(2), S4.4(b)(4), and 
S4.4(b)(5) of Standard No. 209 (Sec. 571.209).
    S5.  Occupant crash protection requirements.
    S5.1  Frontal barrier crash test. Impact a vehicle traveling 
longitudinally forward at any speed, up to and including 30 mph, into a 
fixed collision barrier that is perpendicular to the line of travel of 
the vehicle, or at any angle up to 30 degrees in either direction from 
the perpendicular to the line of travel of the vehicle under the 
applicable conditions of S8. The test dummy specified in S8.1.8 placed 
in each front outboard designated seating position shall meet the injury 
criteria of S6.1, S6.2, S6.3, S6.4, and S6.5 of this standard.
    S5.2  Lateral moving barrier crash test. Impact a vehicle laterally 
on either side by a barrier moving at 20 mph under the applicable 
conditions of S8. The test dummy specified in S8.1.8 positioned in the 
front outboard designated seating position adjacent to the impacted side 
shall meet the injury criteria of S6.2 and S6.3 of this standard.
    S5.3  Rollover. Subject a vehicle to a rollover test in either 
lateral direction at 30 mph under the applicable conditions of S8 of 
this standard with a test dummy specified in S8.1.8 placed in the front 
outboard designated seating position on the vehicle's lower side as 
mounted on the test platform. The test dummy shall meet the injury 
criteria of S6.1 of this standard.
    S6  Injury criteria for the part 572, subpart E, Hybrid III test 
dummy.
    S6.1  All portions of the test dummy shall be contained within the 
outer surfaces of the vehicle passenger compartment throughout the test.
    S6.2  The resultant acceleration at the center of gravity of the 
head shall be such that the expression:
[GRAPHIC] [TIFF OMITTED] TR08NO93.001


shall not exceed 1,000 where a is the resultant acceleration expressed 
as a multiple of g (the acceleration of gravity), and t1 and 
t2 are any two points in time during the crash of the vehicle 
which are separated by not more than a 36 millisecond time interval.

[[Page 474]]

    S6.3  The resultant acceleration calculated from the output of the 
thoracic instrumentation shown in drawing 78051.218, revision R 
incorporated by reference in part 572, subpart E of this chapter shall 
not exceed 60 g's, except for intervals whose cumulative duration is not 
more than 3 milliseconds.
    S6.4  Compression deflection of the sternum relative to the spine, 
as determined by instrumentation shown in drawing 78051-317, revision A 
incorporated by reference in part 572, subpart E of this chapter, shall 
not exceed 3 inches.
    S6.5  The force transmitted axially through each upper leg shall not 
exceed 2250 pounds.
    S7.  Seat belt assembly requirements.
    S7.1  Adjustment.
    S7.1.1  Except as specified in S7.1.1.1 and S7.1.1.2, the lap belt 
of any seat belt assembly furnished in accordance with S4.1.2 shall 
adjust by means of any emergency-locking or automatic-locking retractor 
that conforms to Sec. 571.209 to fit persons whose dimensions range from 
those of a 50th percentile 6-year-old child to those of a 95th 
percentile adult male and the upper torso restraint shall adjust by 
means of an emergency-locking retractor or a manual adjusting device 
that conforms to Sec. 571.209 to fit persons whose dimensions range from 
those of a 5th percentile adult female to those of a 95th percentile 
adult male, with the seat in any position, the seat back in the 
manufacturer's nominal design riding position, and any adjustable 
anchorages adjusted to the manufacturer's nominal design position for a 
50th percentile adult male occupant. However, an upper torso restraint 
furnished in accordance with S4.1.2.3.1(a) shall adjust by means of an 
emergency-locking retractor that conforms to Sec. 571.209.
    S7.1.1.1  A seat belt assembly installed at the driver's seating 
position shall adjust to fit persons whose dimensions range from those 
of a 5th-percentile adult female to those of a 95th-percentile adult 
male.
    S7.1.1.2  (a) A seat belt assembly installed in a motor vehicle 
other than a forward control vehicle at any designated seating position 
other than the outboard positions of the front and second seats shall 
adjust either by a retractor as specified in S7.1.1 or by a manual 
adjusting device that conforms to Sec. 571.209.
    (b) A seat belt assembly installed in a forward control vehicle at 
any designated seating position other than the front outboard seating 
positions shall adjust either by a retractor as specified in S7.1.1 or 
by a manual adjusting device that conforms to Sec. 571.209.
    S7.1.1.3 A Type 1 lap belt or the lap belt portion of any Type 2 
seat belt assembly installed at any forward-facing outboard designated 
seating position of a vehicle with a gross vehicle weight rating of 
10,000 pounds or less to comply with a requirement of this standard, 
except walk-in van-type vehicles and school buses, shall meet the 
requirements of S7.1 by means of an emergency locking retractor that 
conforms to Standard No. 209 (49 CFR 571.209).
    S7.1.1.4  Notwithstanding the other provisions of S7.1--S7.1.1.3, 
emergency-locking retractors on belt assemblies located in positions 
other than front outboard designated seating postions may be equipped 
with a manual webbing adjustment device capable of causing the retractor 
that adjusts the lap belt to lock when the belt is buckled.
    S7.1.1.5  Passenger cars, and trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 10,000 pounds or less manufactured on 
or after September 1, 1995 shall meet the requirements of S7.1.1.5(a), 
S7.1.1.5(b) and S7.1.1.5(c).
    (a) Each designated seating position, except the driver's position, 
and except any right front seating position that is equipped with an 
automatic belt, that is in any motor vehicle, except walk-in van-type 
vehicles and vehicles manufactured to be sold exclusively to the U.S. 
Postal Service, and that is forward-facing or can be adjusted to be 
forward-facing, shall have a seat belt assembly whose lap belt portion 
is lockable so that the seat belt assembly can be used to tightly secure 
a child restraint system. The means provided to lock the lap belt or lap 
belt portion of the seat belt assembly shall not consist of any device 
that must be attached by the vehicle user to the seat belt webbing, 
retractor, or any other part of the

[[Page 475]]

vehicle. Additionally, the means provided to lock the lap belt or lap 
belt portion of the seat belt assembly shall not require any inverting, 
twisting or otherwise deforming of the belt webbing.
    (b) If the means provided pursuant to S7.1.1.5(a) to lock the lap 
belt or lap belt portion of any seat belt assembly makes it necessary 
for the vehicle user to take some action to activate the locking 
feature, the vehicle owner's manual shall include a description in words 
and/or diagrams describing how to activate the locking feature so that 
the seat belt assembly can tightly secure a child restraint system and 
how to deactivate the locking feature to remove the child restraint 
system.
    (c) Except for seat belt assemblies that have no retractor or that 
are equipped with an automatic locking retractor, compliance with 
S7.1.1.5(a) is demonstrated by the following procedure:
    (1) With the seat in any adjustment position, buckle the seat belt 
assembly. Complete any procedures recommended in the vehicle owner's 
manual, pursuant to S7.1.1.5(b), to activate any locking feature for the 
seat belt assembly.
    (2) Locate a reference point A on the safety belt buckle. Locate a 
reference point B on the attachment hardware or retractor assembly at 
the other end of the lap belt or lap belt portion of the seat belt 
assembly. Adjust the lap belt or lap belt portion of the seat belt 
assembly pursuant to S7.1.1.5(c)(1) as necessary so that the webbing 
between points A and B is at the maximum length allowed by the belt 
system. Measure and record the distance between points A and B along the 
longitudinal centerline of the webbing for the lap belt or lap belt 
portion of the seat belt assembly.
    (3) Readjust the belt system so that the webbing between points A 
and B is at any length that is 5 inches or more shorter than the maximum 
length of the webbing.
    (4) Apply a pre-load of 10 pounds, using the webbing tension pull 
device described in Figure 5 of this standard, to the lap belt or lap 
belt portion of the seat belt assembly in a vertical plane parallel to 
the longitudinal axis of the vehicle and passing through the seating 
reference point of the designated seating position whose belt system is 
being tested. Apply the pre-load in a horizontal direction toward the 
front of the vehicle with a force application angle of not less than 5 
degrees nor more than 15 degrees above the horizontal. Measure and 
record the length of belt between points A and B along the longitudinal 
centerline of the webbing for the lap belt or lap belt portion of the 
seat belt assembly while the pre-load is being applied.
    (5) Apply a load of 50 pounds, using the webbing tension pull device 
described in Figure 5 of this standard, to the lap belt or lap belt 
portion of the seat belt assembly in a vertical plane parallel to the 
longitudinal axis of the vehicle and passing through the seating 
reference point of the designated seating position whose belt system is 
being tested. The load is applied in a horizontal direction toward the 
front of the vehicle with a force application angle of not less than 5 
degrees nor more than 15 degrees above the horizontal at an onset rate 
of not more than 50 pounds per second. Attain the 50 pound load in not 
more than 5 seconds. If webbing sensitive emergency locking retroactive 
are installed as part of the lap belt assembly or lap belt portion of 
the seat belt assembly, apply the load at a rate less than the threshold 
value for lock-up specified by the manufacturer. Maintain the 50 pound 
load for at least 5 seconds before the measurements specified in 
S7.1.1.5(c)(6) are obtained and recorded.
    (6) Measure and record the length of belt between points A and B 
along the longitudinal centerline of the webbing for the lap belt or lap 
belt portion of the seat belt assembly.
    (7) The difference between the measurements recorded under 
S7.1.1.5(c) (6) and (4) shall not exceed 2 inches.
    (8) The difference between the measurements recorded under 
S7.1.1.5(c) (6) and (2) shall be 3 inches or more.
    S7.1.2  Except as provided in S7.1.2.1, S7.1.2.2, and S7.1.2.3, for 
each Type 2 seat belt assembly which is required by Standard No. 208 (49 
CFR 571.208), the upper anchorage, or the lower anchorage nearest the 
intersection of the torso belt and the lap belt, shall include a movable 
component which has

[[Page 476]]

a minimum of two adjustment positions. The distance between the 
geometric center of the movable component at the two extreme adjustment 
positions shall be not less than five centimeters, measured linearly. If 
the component required by this paragraph must be manually moved between 
adjustment positions, information shall be provided in the owner's 
manual to explain how to adjust the seat belt and warn that 
misadjustment could reduce the effectiveness of the safety belt in a 
crash.
    S7.1.2.1  As an alternative to meeting the requirement of S7.1.2, a 
Type 2 seat belt assembly shall provide a means of automatically moving 
the webbing in relation to either the upper anchorage, or the lower 
anchorage nearest the intersection of the torso belt and the lap belt. 
The distance between the midpoint of the webbing at the contact point of 
the webbing and the anchorage at the extreme adjustment positions shall 
be not less than five centimeters, measured linearly.
    S7.1.2.2  The requirements of S7.1.2 do not apply the anchorages of 
a Type 2 seat belt assembly installed:
    (a) At a seat which is adjustable fore and aft while the vehicle is 
in motion and whose seat frame above the fore-and-aft adjuster is part 
of each of the assembly's seat belt anchorages, as defined in S3 of 
Standard No. 210 (49 CFR 571.210).
    (b) At a seat that is not adjustable fore and aft while the vehicle 
is in motion.
    S7.1.2.3  The requirements of S7.1.2 do not apply to any truck with 
a gross vehicle weight rating of more than 8,500 pounds manufactured 
before January 1, 1998.
    S7.1.3  The intersection of the upper torso belt with the lap belt 
in any Type 2 seat belt assembly furnished in accordance with S4.1.1 or 
S4.1.2, with the upper torso manual adjusting device, if provided, 
adjusted in accordance with the manufacturer's instructions, shall be at 
least 6 inches from the front vertical centerline of a 50th-percentile 
adult male occupant, measured along the centerline of the lap belt, with 
the seat in its rearmost and lowest adjustable position and with the 
seat back in the manufacturer's nominal design riding position.
    S7.1.4  The weights and dimensions of the vehicle occupants referred 
to in this standard are as follows:

----------------------------------------------------------------------------------------------------------------
                                  50th-percentile 6-    5th-percentile      50th-percentile     95th-percentile 
                                    year old child       adult female         adult male          adult male    
----------------------------------------------------------------------------------------------------------------
Weight..........................  47.3 pounds.......  102 pounds........  164 pounds 3.                             
Erect sitting height............  25.4 inches.......  30.9 inches.......  35.7 inches.1.                            
Hip breadth (sitting)...........  8.4 inches........  12.8 inches.......  14.7 inches.7.                            
Hip circumference (sitting).....  23.9 inches.......  36.4 inches.......  42 inches.........  47.2 inches.      
Waist circumference (sitting)...  20.8 inches.......  23.6 inches.......  32 inches.6.                            
Chest depth.....................  ..................  7.5 inches........  9.3 inches.2.                            
Chest circumference:                                                                                            
  (nipple)......................  ..................  30.5 inches.......  ..................  ..................
  (upper).......................  ..................  29.8 inches.......  37.4 inches.6.                            
  (lower).......................  ..................  26.6 inches.......  ..................  ..................
----------------------------------------------------------------------------------------------------------------

    S7.2  Latch mechanism. A seat belt assembly installed in any 
vehicle, except an automatic belt assembly, shall have a latch 
mechanism--
    (a) Whose components are accessible to a seated occupant in both the 
stowed and operational positions;
    (b) That releases both the upper torso restraint and the lap belt 
simultaneously, if the assembly has a lap belt and an upper torso 
restraint that require unlatching for release of the occupant; and
    (c) That releases at a single point by a pushbutton action.
    S7.3 (a) A seat belt assembly provided at the driver's seating 
position shall be equipped with a warning system that, at the option of 
the manufacturer, either--
    (1) Activates a continuous or intermittent audible signal for a 
period of not less than 4 seconds and not more than 8 seconds and that 
activates a continuous or flashing warning light visible to the driver 
displaying the identifying symbol for the seat belt

[[Page 477]]

telltale shown in Table 2 of FMVSS 101 or, at the option of the 
manufacturer if permitted by FMVSS 101, displaying the words ``Fasten 
Seat Belts'' or ``Fasten Belts'', for not less than 60 seconds 
(beginning when the vehicle ignition switch is moved to the ``on'' or 
the ``start'' position) when condition (b) exists simultaneously with 
condition (c), or that
    (2) Activates, for a period of not less than 4 seconds and not more 
than 8 seconds (beginning when the vehicle ignition switch is moved to 
the ``on'' or the ``start'' position), a continuous or flashing warning 
light visible to the driver, displaying the identifying symbol of the 
seat belt telltale shown in Table 2 of FMVSS 101 or, at the option of 
the manufacturer if permitted by FMVSS 101, displaying the words 
``Fasten Seat Belts'' or ``Fasten Belts'', when condition (b) exists, 
and a continuous or intermittent audible signal when condition (b) 
exists simultaneously with condition (c).
    (b) The vehicle's ignition switch is moved to the ``on'' position or 
to the ``start'' position.
    (c) The driver's lap belt is not in use, as determined, at the 
option of the manufacturer, either by the belt latch mechanism not being 
fastened, or by the belt not being extended at least 4 inches from its 
stowed position.
    S7.4  Seat belt comfort and convenience.
    (a) Automatic seat belts. Automatic seat belts installed in any 
vehicle, other than walk-in van-type vehicles, which has a gross vehicle 
weight rating of 10,000 pounds or less, and which is manufactured on or 
after September 1, 1986, shall meet the requirements of S7.4.1, S7.4.2, 
and S7.4.3.
    (b) Manual seat belts.
    (1) Vehicles manufactured after September 1, 1986. Manual seat belts 
installed in any vehicle, other than manual Type 2 belt systems 
installed in the front outboard seating positions in passenger cars or 
manual belts in walk-in van-type vehicles, which have a gross vehicle 
weight rating of 10,000 pounds or less, shall meet the requirements of 
S7.4.3, S7.4.4, S7.4.5, and S7.4.6.
    (2) Vehicles manufactured after September 1, 1989.
    (i) If the automatic restraint requirement of S4.1.4 is rescinded 
pursuant to S4.1.5, then manual seat belts installed in a passenger car 
shall meet the requirements of S7.1.1.3(a), S7.4.2, S7.4.3, S7.4.4, 
S7.4.5, and S7.4.6.
    (ii) Manual seat belts installed in a bus, multipurpose passenger 
vehicle and truck with a gross vehicle weight rating of 10,000 pounds or 
less, except for walk-in van-type vehicles, shall meet the requirements 
of S7.4.3, S7.4.4, S7.4.5, and S7.4.6.
    S7.4.1  Convenience hooks. Any manual convenience hook or other 
device that is provided to stow seat belt webbing to facilitate entering 
or exiting the vehicle shall automatically release the webbing when the 
automatic belt system is otherwise operational and shall remain in the 
released mode for as long as (a) exists simultaneously with (b), or, at 
the manufacturer's option, for as long as (a) exists simultaneously with 
(c)--
    (a) The vehicle ignition switch is moved to the ``on'' or ``start'' 
position;
    (b) The vehicle's drive train is engaged;
    (c) The vehicle's parking brake is in the released mode 
(nonengaged).
    S7.4.2  Webbing tension-relieving device. Each vehicle with an 
automatic seat belt assembly or with a Type 2 manual seat belt assembly 
that must meet the occupant crash protection requirements of S5.1 of 
this standard installed at a front outboard designated seating position, 
and each vehicle with a Type 2 manual seat belt assembly installed at a 
rear outboard designated seating position in compliance with a 
requirement of this standard, that has either automatic or manual 
tension-relieving devices permitting the introduction of slack in the 
webbing of the shoulder belt (e.g., ``comfort clips'' or ``window-
shade'' devices) shall:
    (a) Comply with the requirements of S5.1 with the shoulder belt 
webbing adjusted to introduce the maximum amount of slack recommended by 
the vehicle manufacturer pursuant to S7.4.2(b).
    (b) Have a section in the vehicle owner's manual that explains how 
the tension-relieving device works and specifies the maximum amount of 
slack (in inches) recommended by the vehicle

[[Page 478]]

manufacturer to be introduced into the shoulder belt under normal use 
conditions. The explanation shall also warn that introducing slack 
beyond the amount specified by the manufacturer could significantly 
reduce the effectiveness of the shoulder belt in a crash; and
    (c) Have, except for open-body vehicles with no doors, an automatic 
means to cancel any shoulder belt slack introduced into the belt system 
by a tension-relieving device. In the case of an automatic safety belt 
system, cancellation of the tension-relieving device shall occur each 
time the adjacent vehicle door is opened. In the case of a manual seat 
belt required to meet S5.1, cancellation of the tension-relieving device 
shall occur, at the manufacturer's option, either each time the adjacent 
door is opened or each time the latchplate is released from the buckle. 
In the case of a Type 2 manual seat belt assembly installed at a rear 
outboard designated seating position, cancellation of the tension-
relieving device shall occur, at the manufacturer's option either each 
time the door designed to allow the occupant of that seating position 
entry and egress of the vehicle is opened or each time the latchplate is 
released from the buckle. In the case of open-body vehicles with no 
doors, cancellation of the tension-relieving device may be done by a 
manual means.
    S7.4.3  Belt contact force. Except for manual or automatic seat belt 
assemblies that incorporate a webbing tension-relieving device, the 
upper torso webbing of any seat belt assembly shall not exert more than 
0.7 pounds of contact force when measured normal to and one inch from 
the chest of an anthropomorphic test dummy, positioned in accordance 
with S10 of this standard in the seating position for which that seat 
belt assembly is provided, at the point where the centerline of the 
torso belt crosses the midsagittal line on the dummy's chest.
    S7.4.4  Latchplate access. Any seat belt assembly latchplate that is 
located outboard of a front outboard seating position in accordance with 
S4.1.2 shall also be located within the outboard reach envelope of 
either the outboard arm or the inboard arm described in S10.7 and Figure 
3 of this standard, when the latchplate is in its normal stowed position 
and any adjustable anchorages are adjusted to the manufacturer's nominal 
design position for a 50th percentile adult male occupant. There shall 
be sufficient clearance between the vehicle seat and the side of the 
vehicle interior to allow the test block defined in Figure 4 of this 
standard unhindered transit to the latchplate or buckle.
    S7.4.5  Retraction. When tested under the conditions of S8.1.2 and 
S8.1.3, with anthropomorphic dummies whose arms have been removed and 
which are positioned in accordance with S10 of this standard in the 
front outboard seating positions and restrained by the belt systems for 
those positions, the torso and lap belt webbing of any of those seat 
belt systems shall automatically retract to a stowed position either 
when the adjacent vehicle door is in the open position and the seat belt 
latchplate is released, or, at the option of the manufacturer, when the 
latchplate is released. That stowed position shall prevent any part of 
the webbing or hardware from being pinched when the adjacent vehicle 
door is closed. A belt system with a tension-relieving device in an 
open-bodied vehicle with no doors shall fully retract when the tension-
relieving device is deactivated. For the purposes of these retraction 
requirements, outboard armrests, which are capable of being stowed, on 
vehicle seats shall be placed in their stowed position.
    S7.4.6  Seat belt guides and hardware.
    S7.4.6.1  (a) Any manual seat belt assembly whose webbing is 
designed to pass through the seat cushion or between the seat cushion 
and seat back shall be designed to maintain one of the following three 
seat belt parts (the seat belt latchplate, the buckle, or the seat belt 
webbing) on top of or above the seat cushion under normal conditions 
(i.e., conditions other than when belt hardware is intentionally pushed 
behind the seat by a vehicle occupant). In addition, the remaining two 
seat belt parts must be accessible under normal conditions.
    (b) The requirements of S7.4.6.1(a) do not apply to: (1) seats whose 
seat cushions are movable so that the seat back

[[Page 479]]

serves a function other than seating, (2) seats which are removable, or 
(3) seats which are movable so that the space formerly occupied by the 
seat can be used for a secondary function.
    S7.4.6.2  The buckle and latchplate of a manual seat belt assembly 
subject to S7.4.6.1 shall not pass through the guides or conduits 
provided for in S7.4.6.1 and fall behind the seat when the events listed 
below occur in the order specified: (a) The belt is completely retracted 
or, if the belt is nonretractable, the belt is unlatched; (b) the seat 
is moved to any position to which it is designed to be adjusted; and (c) 
the seat back, if foldable, is folded forward as far as possible and 
then moved backward into position. The inboard receptacle end of a seat 
belt assembly installed at a front outboard designated seating position 
shall be accessible with the center arm rest in any position to which it 
can be adjusted (without having to move the armrest).
    S8. Test conditions.
    S8.1  General conditions. The following conditions apply to the 
frontal, lateral, and rollover tests. Except for S8.1.1(d), the 
following conditions apply to the alternative unbelted sled test set 
forth in S13 from March 19, 1997 until September 1, 2001.
    S8.1.1  Except as provided in paragraph (c) of S8.1.1, the vehicle, 
including test devices and instrumentation, is loaded as follows:
    (a) Passenger cars. A passenger car is loaded to its unloaded 
vehicle weight plus its rated cargo and luggage capacity weight, secured 
in the luggage area, plus the weight of the necessary anthropomorphic 
test devices.
    (b) Multipurpose passenger vehicles, trucks, and buses. A 
multipurpose passenger vehicle, truck, or bus is loaded to its unloaded 
vehicle weight plus 300 pounds or its rated cargo and luggage capacity 
weight, whichever is less, secured in the load carrying area and 
distributed as nearly as possible in proportion to its gross axle weight 
ratings, plus the weight of the necessary anthropomorphic test devices. 
For the purposes of Sec. 8.1.1, unloaded vehicle weight does not include 
the weight of work-performing accessories. Vehicles are tested to a 
maximum unloaded vehicle weight of 5,500 pounds.
    (c) Fuel system capacity. With the test vehicle on a level surface, 
pump the fuel from the vehicle's fuel tank and then operate the engine 
until it stops. Then, add Stoddard solvent to the test vehicle's fuel 
tank in an amount which is equal to not less than 92 and not more than 
94 percent of the fuel tank's usable capacity stated by the vehicle's 
manufacturer. In addition, add the amount of Stoddard solvent needed to 
fill the entire fuel system from the fuel tank through the engine's 
induction system.
    (d) Vehicle test attitude. Determine the distance between a level 
surface and a standard reference point on the test vehicle's body, 
directly above each wheel opening, when the vehicle is in its ``as 
delivered'' condition. The ``as delivered'' condition is the vehicle as 
received at the test site, with 100 percent of all fluid capacities and 
all tires inflated to the manufacturer's specifications as listed on the 
vehicle's tire placard. Determine the distance between the same level 
surface and the same standard reference points in the vehicle's ``fully 
loaded condition.'' The ``fully loaded condition'' is the test vehicle 
loaded in accordance with S8.1.1 (a) or (b), as applicable. The load 
placed in the cargo area shall be center over the longitudinal 
centerline of the vehicle. The pretest vehicle attitude shall be equal 
to either the as delivered or fully loaded attitude or between the as 
delivered attitude and the fully loaded attitude.
    S8.1.2  Adjustable seats are in the adjustment position midway 
between the forwardmost and rearmost positions, and if separately 
adjustable in a vertical direction, are at the lowest position. If an 
adjustment position does not exist midway between the forwardmost and 
rearmost positions, the closest adjustment position to the rear of the 
midpoint is used.
    S8.1.3  Place adjustable seat backs in the manufacturer's nominal 
design riding position in the manner specified by the manufacturer. 
Place any adjustable anchorages at the manufacturer's nominal design 
position for a 50th percentile adult male occupant. Place each 
adjustable head restraint in its

[[Page 480]]

highest adjustment position. Adjustable lumbar supports are positioned 
so that the lumbar support is in its lowest adjustment position.

    S8.1.4  Adjustable steering controls are adjusted so that the 
steering wheel hub is at the geometric center of the locus it describes 
when it is moved through its full range of driving positions.
    S8.1.5  Movable vehicle windows and vents are, at the manufacturer's 
option, placed in the fully closed position.
    S8.1.6  Convertibles and open-body type vehicles have the top, if 
any, in place in the closed passenger compartment configuration.
    S8.1.7  Doors are fully closed and latched but not locked.
    S8.1.8  Anthropomorphic test dummies.
    S8.1.8.1  The anthropomorphic test dummies used for evaluation of 
occupant protection systems manufactured pursuant to applicable portions 
of S4.1.2, S4.1.3, and S4.1.4 of this standard shall conform to the 
requirements of subpart E of part 572 of this chapter.
    S8.1.8.2  Each test dummy is clothed in formfitting cotton stretch 
garments with short sleeves and midcalf length pants specified in 
drawings 78051-292 and 78051-293 incorporated by reference in part 572, 
subpart E of this chapter, respectively or their equivalents. A size 
11EE shoe specified in drawings 78051-294 (left) and 78051-295 (right) 
incorporated by reference in part 572, subpart E of this chapter, or its 
equivalent is placed on each foot of the test dummy.
    S8.1.8.3  Limb joints are set at 1g, barely restraining the weight 
of the limb when extended horizontally. Leg joints are adjusted with the 
torso in the supine position.
    S8.1.8.4  Instrumentation does not affect the motion of the dummies 
during impact or rollover.
    S8.1.8.5  The stabilized test temperature of the test dummy is at 
any temperature level between 69 degrees F and 72 degrees F, inclusive.
    S8.2  Lateral moving barrier crash test conditions. The following 
conditions apply to the lateral moving barrier crash test.
    S8.2.1  The moving barrier, including the impact surface, supporting 
structure, and carriage, weighs 4,000 pounds.
    S8.2.2  The impact surface of the barrier is a vertical, rigid, flat 
rectangle, 78 inches wide and 60 inches high, perpendicular to its 
direction of movement, with its lower edge horizontal and 5 inches above 
the ground surface.
    S8.2.3  During the entire impact sequence the barrier undergoes no 
significant amount of dynamic or static deformation, and absorbs no 
significant portion of the energy resulting from the impact, except for 
energy that results in translational rebound movement of the barrier.
    S8.2.4  During the entire impact sequence the barrier is guided so 
that it travels in a straight line, with no significant lateral, 
vertical or rotational movement.
    S8.2.5  The concrete surface upon which the vehicle is tested is 
level, rigid and of uniform construction, with a skidnumber of 75 when 
measured in accordance with American Society for Testing and Materials 
Method E-274-65T at 40 m.p.h., omitting water delivery as specified in 
paragraph 7.1 of that method.
    S8.2.6  The tested vehicle's brakes are disengaged and the 
transmission is in neutral.
    S8.2.7  The barrier and the test vehicle are positioned so that at 
impact--
    (a) The vehicle is at rest in its normal attitude;
    (b) The barrier is traveling in a direction perpendicular to the 
longitudinal axis of the vehicle at 20 m.p.h.; and
    (c) A vertical plane through the geometric center of the barrier 
impact surface and perpendicular to that surface passes through the 
driver's seating reference point in the tested vehicle.
    S8.3  Rollover test conditions. The following conditions apply to 
the rollover test.
    S8.3.1  The tested vehicle's brakes are disengaged and the 
transmission is in neutral.
    S8.3.2  The concrete surface on which the test is conducted is 
level, rigid, of uniform construction, and of a sufficient size that the 
vehicle remains on it throughout the entire rollover cycle.

[[Page 481]]

It has a skid number of 75 when measured in accordance with American 
Society for Testing and Materials Method E-274-65T at 40 m.p.h. omitting 
water delivery as specified in paragraph 7.1 of that method.
    S8.3.3  The vehicle is placed on a device, similar to that 
illustrated in Figure 2, having a platform in the form of a flat, rigid 
plane at an angle of 23 deg. from the horizontal. At the lower edge of 
the platform is an unyielding flange, perpendicular to the platform with 
a height of 4 inches and a length sufficient to hold in place the tires 
that rest against it. The intersection of the inner face of the flange 
with the upper face of the platform is 9 inches above the rollover 
surface. No other restraints are used to hold the vehicle in position 
during the deceleration of the platform and the departure of the 
vehicle.
[GRAPHIC] [TIFF OMITTED] TC01AU91.084

    S8.3.4  With the vehicle on the test platform, the test devices 
remain as nearly as possible in the posture specified in S8.1.
    S8.3.5  Before the deceleration pulse, the platform is moving 
horizontally, and perpendicularly to the longitudinal axis of the 
vehicle, at a constant speed of 30 m.p.h. for a sufficient period of 
time for the vehicle to become motionless relative to the platform.
    S8.3.6  The platform is decelerated from 30 to 0 m.p.h. in a 
distance of not more than 3 feet, without change of direction and 
without transverse or rotational movement during the deceleration of the 
platform and the departure of the vehicle. The deceleration rate is at 
least 20g for a minimum of 0.04 seconds.
    S8.4  Frontal test condition. If the vehicle is equipped with a 
cutoff device permitted by S4.5.4 of this standard, the device is 
deactivated.
    S9. Pressure vessels and explosive devices.
    S9.1  Pressure vessels. A pressure vessel that is continuously 
pressurized shall conform to the requirements of Secs. 178.65-2, 178.65-
6(b), 178.65-7, 178.65-9 (a) and (b), and 178.65-10 of this title. It 
shall not leak or evidence visible distortion when tested in accordance 
with Sec. 178.65-11(a) of this title and shall not fail in any of the 
ways enumerated in Sec. 178.65-11(b) of this title when hydrostatically 
tested to destruction. It shall not crack when flattened in accordance 
with Sec. 178.65-12(a) of this title to the limit specified in 
Sec. 178.65-12(a)(4) of this title.
    S9.2  Explosive devices. An explosive device shall not exhibit any 
of the characteristics prohibited by Sec. 173.51 of this title. All 
explosive material shall be enclosed in a structure that is capable of 
containing the explosive energy

[[Page 482]]

without sudden release of pressure except through overpressure relief 
devices or parts designed to release the pressure during actuation.
    S10.  Test dummy positioning procedures.
    S10.1  Head. The transverse instrumentation platform of the head 
shall be level within \1/2\ degree. To level the head of the test dummy, 
the following sequences must be followed. First, adjust the position of 
the H point within the limits set forth in S10.4.2.1 to level the 
transverse instrumentation platform of the head of the test dummy. If 
the transverse instrumentation platform of the head is still not level, 
then adjust the pelvic angle of the test dummy within the limits 
specified in S10.4.2.2 of this standard. If the transverse 
instrumentation platform of the head is still not level, then adjust the 
neck bracket of the dummy the minimum amount necessary from the non-
adjusted ``0'' setting to ensure that the transverse instrumentation 
platform of the head is horizontal within \1/2\ degree. The test dummy 
shall remain within the limits specified in S10.4.2.1 and S10.4.2.2. 
after any adjustment of the neck bracket.
    S10.2  Upper Arms.
    S10.2.1  The driver's upper arms shall be adjacent to the torso with 
the centerlines as close to a vertical plane as possible.
    S10.2.2  The passenger's upper arms shall be in contact with the 
seat back and the sides of the torso.
    S10.3  Hands.
    S10.3.1  The palms of the drivers test dummy shall be in contact 
with the outer part of the steering wheel rim at the rim's horizontal 
centerline. The thumbs shall be over the steering wheel rim and shall be 
lightly taped to the steering wheel rim so that if the hand of the test 
dummy is pushed upward by a force of not less than 2 pounds and not more 
than 5 pounds, the tape shall release the hand from the steering wheel 
rim.
    S10.3.2  The palms of the passenger test dummy shall be in contact 
with the outside of the thigh. The little finger shall be in contact 
with the seat cushion.
    S10.4  Torso.
    S10.4.1  Upper Torso.
    S10.4.1.1  In vehicles equipped with bench seats, the upper torso of 
the driver and passenger test dummies shall rest against the seat back. 
The midsagittal plane of the driver dummy shall be vertical and parallel 
to the vehicle's longitudinal centerline, and pass through the center of 
the steering wheel rim. The midsagittal plane of the passenger dummy 
shall be vertical and parallel to the vehicle's longitudinal centerline 
and the same distance from the vehicle's longitudinal centerline as the 
midsagittal plane of the driver dummy.
    S10.4.1.2  In vehicles equipped with bucket seats, the upper torso 
of the driver and passenger test dummies shall rest against the seat 
back. The midsagittal plane of the driver and the passenger dummy shall 
be vertical and shall coincide with the longitudinal centerline of the 
bucket seat.
    S10.4.2    Lower Torso.
    S10.4.2.1  H-point. The H-points of the driver and passenger test 
dummies shall coincide within \1/2\ inch in the vertical dimension and 
\1/2\ inch in the horizontal dimension of a point \1/4\ inch below the 
position of the H-point determined by using the equipment and procedures 
specified in SAE J826 (APR 1980) except that the length of the lower leg 
and thigh segments of the H-point machine shall be adjusted to 16.3 and 
15.8 inches, respectively, instead of the 50th percentile values 
specified in Table 1 of SAE J826.
    S10.4.2.2  Pelvic angle. As determined using the pelvic angle gage 
(GM drawing 78051-532, incorporated by reference in part 572, subpart E 
of this chapter) which is inserted into the H-point gaging hole of the 
dummy, the angle measured from the horizontal on the three inch flat 
surface of the gage shall be 22\1/2\ degrees plus or minus 2\1/2\ 
degrees.
    S10.5  Legs. The upper legs of the driver and passenger test dummies 
shall rest against the seat cushion to the extent permitted by placement 
of the feet. The initial distance between the outboard knee clevis 
flange surfaces shall be 10.6 inches. To the extent practicable, the 
left leg of the driver dummy and both legs of the passenger dummy shall 
be in vertical longitudinal planes. To the extent practicable,

[[Page 483]]

the right leg of the driver dummy shall be in a vertical plane. Final 
adjustment to accommodate the placement of feet in accordance with S10.6 
for various passenger compartment configurations is permitted.
    S10.6  Feet.
    S10.6.1  Driver's position.
    S10.6.1.1  Rest the right foot of the test dummy on the undepressed 
accelerator pedal with the rearmost point of the heel on the floor pan 
in the plane of the pedal. If the foot cannot be placed on the 
accelerator pedal, set it initially perpendicular to the lower leg and 
place it as far forward as possible in the direction of the pedal 
centerline with the rearmost point of the heel resting on the floor pan.
    S10.6.1.2  Place the left foot on the toeboard with the rearmost 
point of the heel resting on the floor pan as close as possible to the 
point of intersection of the planes described by the toeboard and the 
floor pan and not on the wheelwell projection. If the foot cannot be 
positioned on the toeboard, set it initially perpendicular to the lower 
leg and place it as far forward as possible with the heel resting on the 
floor pan. If necessary to avoid contact with the vehicle's brake or 
clutch pedal, rotate the test dummy's left foot about the lower leg. If 
there is still pedal interference, rotate the left leg outboard about 
the hip the minimum distance necessary to avoid the pedal interference. 
For vehicles with a foot rest that does not elevate the left foot above 
the level of the right foot, place the left foot on the foot rest so 
that the upper and lower leg centerlines fall in a vertical plane.
    S10.6.2  Passenger's position.
    S10.6.2.1  Vehicles with a flat floor pan/toeboard. Place the right 
and left feet on the vehicle's toeboard with the heels resting on the 
floor pan as close as possible to the intersection point with the 
toeboard. If the feet cannot be placed flat on the toeboard, set them 
perpendicular to the lower leg centerlines and place them as far forward 
as possible with the heels resting on the floor pan.
    S10.6.2.2  Vehicles with wheelhouse projections in passenger 
compartment. Place the right and left feet in the well of the floor pan/
toeboard and not on the wheelhouse projection. If the feet cannot be 
placed flat on the toeboard, initially set them perpendicular to the 
lower leg centerlines and then place them as far forward as possible 
with the heels resting on the floor pan.
    S10.7  Test dummy positioning for latchplate access. The reach 
envelopes specified in S7.4.4 of this standard are obtained by 
positioning a test dummy in the driver's or passenger's seating position 
and adjusting that seating position to its forwardmost adjustment 
position. Attach the lines for the inboard and outboard arms to the test 
dummy as described in Figure 3 of this standard. Extend each line 
backward and outboard to generate the compliance arcs of the outboard 
reach envelope of the test dummy's arms.
    S10.8  Test dummy positioning for belt contact force. To determine 
compliance with S7.4.3 of this standard, position the test dummy in the 
vehicle in accordance with S10.1 through S10.6 of this standard and 
adjust the seating position in accordance with S8.1.2 and S8.1.3 of this 
standard. Pull the belt webbing three inches from the test dummy's chest 
and release until the webbing is within one inch of the test dummy's 
chest and measure the belt contact force.
    S10.9  Manual belt adjustment for dynamic testing. With the test 
dummy positioned in accordance with S10.1 through S10.6 of this standard 
and the seating position adjusted in accordance with S8.1.2 and S8.1.3 
of this standard, place the Type 2 manual belt around the test dummy and 
fasten the latch. Remove all slack from the lap belt portion. Pull the 
upper torso webbing out of the retractor and allow it to retract; repeat 
this four times. Apply a 2 to 4 pound tension load to the lap belt. If 
the belt system is equipped with a tension-relieving device, introduce 
the maximum amount of slack into the upper torso belt that is 
recommended by the vehicle manufacturer in the vehicle's owner's manual. 
If the belt system is not equipped with a tension-relieving device, 
allow the excess webbing in the upper torso belt to be retracted by the 
retractive force of the retractor.

[[Page 484]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.089



[[Page 485]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.087


    S11. [Reserved]
    S12. Temporary Exemption from Requirement for Inflatable Restraint 
System.
    S12.1  Scope. This section establishes procedures for filing and 
processing applications for temporary exemption from the requirements in 
this standard that vehicles be equipped with inflatable restraint 
systems.
    S12.2  Definitions.
    Line means a name that a manufacturer applies to a group of motor 
vehicles of the same make which have the same body or chassis, or 
otherwise are similar in construction or design. A line may, for 
example, include 2-door, 4-door, station wagon, and hatchback vehicles 
of the same make.
    S12.3  Standard of review. In order to receive a temporary exemption 
from the inflatable restraint requirement, a vehicle manufacturer must 
demonstrate in its application that there has been a disruption in the 
supply of one or more inflatable restraint system components, or a 
disruption in the use and installation by the manufacturer of any such 
component due to unavoidable events not under the control of the 
manufacturer, which will prevent a

[[Page 486]]

manufacturer from meeting its anticipated production volume of vehicles 
with inflatable restraint systems.
    S12.4  Exemption applications--General requirements. Each 
application for a temporary exemption from the inflatable restraint 
requirements must--
    (a) Be written in the English language;
    (b) Be submitted in three copies to: Administrator, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590;
    (c) State the full name and address of the manufacturer, the nature 
of its organization (individual, partnership, corporation, etc.), and 
the name of the State or country under the laws of which it is 
organized;
    (d) Identify the motor vehicle line or lines for which the temporary 
exemption is being sought;
    (e) Set forth in full the data, views, and arguments of the 
manufacturer that would support granting the temporary exemption, 
including the specific information required by S12.5; and
    (f) Specify and segregate any part of the information and data 
submitted in the application that should be withheld from public 
disclosure in accordance with part 512 of this chapter.
    S12.5  Exemption applications--Specific content requirements. Each 
application for a temporary exemption from the inflatable restraint 
requirement must include:
    (a) A clear and specific identification of any component in the 
inflatable restraint system that has become unavailable due to 
circumstances beyond the manufacturer's control, and a diagram showing 
the location of such component within the restraint system and within 
the vehicle;
    (b) A clear and specific explanation of the cause or causes of the 
disruption in the supply of the component, and a showing that such 
disruption is beyond the control of the manufacturer;
    (c) An estimate of the length of time that will be needed to correct 
the disruption and again incorporate the subject components into current 
production, or an explanation of why it is not possible to provide such 
an estimate;
    (d) A complete statement of the bases for the manufacturer's belief 
that NHTSA should grant a temporary exemption in response to this 
application;
    (e) An unconditional statement by the manufacturer that it will 
recall every vehicle for which a temporary exemption is requested in the 
application, to install all missing inflatable restraint systems;
    (f) A plan setting forth steps the manufacturer will take to ensure 
that as many exempted vehicles as possible will be returned for 
installation of missing inflatable restraint systems;
    (g) A proposed reasonable period of time after the disruption in the 
supply of inflatable restraint system components is corrected that the 
manufacturer estimates will ensure a sufficient quantity of components 
for both anticipated production and retrofit of those vehicles for which 
a temporary exemption is requested in the application, so that the 
vehicle manufacturer can recall those vehicles for which a temporary 
exemption is requested and install inflatable restraint systems in them, 
together with a demonstration of why the manufacturer believes this 
proposed period of time is reasonable for completing this recall, or an 
explanation of why it is not possible to provide such an estimate;
    (h) A proposed date for termination of the exemption;
    (i) A proposed date by which all exempted vehicles will have been 
recalled and had inflatable restraints installed (assuming owners 
returned their vehicles in a timely matter in response to a first notice 
by the manufacturer), or an explanation of why it is not possible to 
provide such an estimate.
    S12.6  Processing an application for a temporary exemption. (a) 
NHTSA will process any application for temporary exemption that contains 
the information specified in S12.4 and S12.5. If an application fails to 
provide the information specified in S12.4 and S12.5, NHTSA will not 
process the application, but will advise the manufacturer of the 
information that must be provided if the agency is to process the 
application.
    (b) Notice of each application for temporary exemption shall be 
published in the Federal Register.
    (c) NHTSA will issue its decision to grant or deny the requested 
temporary

[[Page 487]]

exemption not later than 15 days after the agency receives a complete 
petition, as defined in paragraph (a). However, a failure to issue a 
decision within this time does not result in a grant of the petition.
    (d) Notice of each decision to grant or deny a temporary exemption, 
and the reasons for granting or denying it, will be published in the 
Federal Register.
    (e) The Administrator may attach such conditions as he or she deems 
appropriate to a temporary exemption, including but not limited to 
requiring manufacturers to provide progress reports at specified times 
(including, as appropriate and to the extent possible, estimate of dates 
and times concerning when a supply disruption will be corrected and when 
recall will take place) and requiring manufacturers to take specific 
steps to ensure that as many exempted vehicles as possible will be 
returned for installation of missing inflatable restraint systems.
    (f) Unless a later effective date is specified in a notice 
announcing an agency decision to grant a temporary exemption, a 
temporary exemption from the inflatable restraint requirement will 
become effective upon the date the decision is issued.
    S12.7  Labels and written notice announcing temporary exemption.
    S12.7.1  It shall be a condition of every temporary exemption from 
the inflatable restraint requirement that the manufacturer of exempted 
vehicles comply with the provisions of S12.7.2 and S12.7.3.
    S12.7.2  (a) The manufacturer of any vehicle granted a temporary 
exemption from the inflatable restraint requirement shall affix a label 
within the passenger compartment of such vehicle. The label shall set 
forth the following information in block capital letters and numerals 
not less than three thirty-seconds of an inch high:

THIS VEHICLE DOES NOT CONTAIN AN AIR BAG IN CONFORMANCE WITH THE FEDERAL 
MOTOR VEHICLE SAFETY STANDARD FOR OCCUPANT CRASH PROTECTION. IT WAS 
EXEMPTED PURSUANT TO NHTSA EXEMPTION NO. (insert number assigned by 
NHTSA).

    (b) This label shall not be removed until after the vehicle 
manufacturer has recalled the vehicle and installed an inflatable 
restraint system at those seating positions for which it was granted an 
exemption.
    S12.7.3  The manufacturer of any vehicle that is delivered without 
an inflatable restraint system, pursuant to a temporary exemption 
granted under this section, shall, at the time of delivery of the 
vehicle, provide a written notice to the dealer to whom the vehicle is 
delivered. The manufacturer shall also provide a written notice by 
registered mail to the first purchaser of the vehicle for purposes other 
than resale, within two weeks after purchase. Unless otherwise provided 
for by the Administrator in the exemption, such notice shall provide the 
following information:
    (a) This vehicle does not conform to Federal Motor Vehicle Safety 
Standard No. 208, because it is not equipped with an inflatable 
restraint at (insert the affected seating positions).
    (b) The vehicle was allowed to be sold pursuant to NHTSA Exemption 
No. (insert appropriate exemption number).
    (c) The reason this vehicle was exempted from the requirement for an 
inflatable restraint was because of factors beyond the manufacturer's 
control.
    (d) The manufacturer will recall this vehicle not later than (insert 
the time set forth in the exemption) and install the missing inflatable 
restraint at no charge.
    (e) If the reader has any questions or would like some further 
information, he or she may contact the manufacturer at (insert an 
address and telephone number).
    S13.  Alternative unbelted test for vehicles manufactured before 
September 1, 2001.
    S13.1  Instrumentation Impact Test--Part 1--Electronic 
Instrumentation. Under the applicable conditions of S8, mount the 
vehicle on a dynamic test platform at the vehicle attitude set forth in 
S13.3, so that the longitudinal center line of the vehicle is parallel 
to the direction of the test platform travel and so that movement 
between the base of the vehicle and the test platform is prevented. The 
test platform is instrumented with an accelerometer and data processing 
system having a

[[Page 488]]

frequency response of 60 channel class as specified in Society of 
Automotive Engineers (SAE) Recommended Practice J211/1 MAR 95, 
Instrumentation for Impact Test--Part 1--Electronic Instrumentation. SAE 
J211/1 MAR 95 is incorporated by reference and thereby is made part of 
this standard. The Director of the Federal Register approved the 
material incorporated by reference in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. A copy may be obtained from SAE at Society of 
Automotive Engineers, Inc., 400 Commonwealth Drive, Warrendale, PA 
15096. A copy of the material may be inspected at NHTSA's Docket 
Section, 400 Seventh Street, S.W., room 5109, Washington, DC, or at the 
Office of the Federal Register, 800 North Capitol Street, N.W., Suite 
700, Washington, DC. The accelerometer sensitive axis is parallel to the 
direction of test platform travel. The test is conducted at a velocity 
change approximating 30 mph with acceleration of the test platform such 
that all points on the crash pulse curve within the corridor identified 
in Figure 6 are covered. An inflatable restraint is to be activated at 
20 ms +/-2 ms from the time that 0.5 g is measured on the dynamic test 
platform. The test dummy specified in S8.1.8.2, placed in each front 
outboard designated seating position as specified in S11, shall meet the 
injury criteria of S6.1, S6.2, S6.3, S6.4, S6.5, and S13.2 of this 
standard.
    S13.2  Neck injury criteria. A vehicle certified to this alternative 
test requirement shall, in addition to meeting the criteria specified in 
S13.1, meet the following injury criteria for the neck, measured with 
the six axis load cell (ref. Denton drawing C-1709) that is mounted 
between the bottom of the skull and the top of the neck as shown in 
drawing 78051-218, in the unbelted sled test:
    (a) Flexion Bending Moment--190 Nm. SAE Class 600.
    (b) Extension Bending Moment--57 Nm. SAE Class 600.
    (c) Axial Tension--3300 peak N. SAE Class 1000.
    (d) Axial Compression--4000 peak N. SAE Class 1000.
    (e) Fore-and-Aft Shear--3100 peak N. SAE Class 1000.
    S13.3 Vehicle test attitude. When the vehicle is in its ``as 
delivered'' condition, measure the angle between the driver's door sill 
and the horizontal. Mark where the angle is taken on the door sill. The 
``as delivered'' condition is the vehicle as received at the test site, 
with 100 percent of all fluid capacities and all tires inflated to the 
manufacturer's specifications as listed on the vehicle's tire placard. 
When the vehicle is in its ``fully loaded'' condition, measure the angle 
between the driver's door sill and the horizontal, at the same place the 
``as delivered'' angle was measured. The ``fully loaded'' condition is 
the test vehicle loaded in accordance with S8.1.1(a) or (b) of Standard 
No. 208, as applicable. The load placed in the cargo area shall be 
centered over the longitudinal centerline of the vehicle. The pretest 
door sill angle, when the vehicle is on the sled, (measured at the same 
location as the as delivered and fully loaded condition) shall be equal 
to or between the as delivered and fully loaded door sill angle 
measurements.
    S13.4 Tires and wheels. Remove the tires and wheels.


[[Page 489]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.088



[[Page 490]]

[GRAPHIC] [TIFF OMITTED] TR19MR97.009



[[Page 491]]

[GRAPHIC] [TIFF OMITTED] TR27NO96.010



[[Page 492]]

[GRAPHIC] [TIFF OMITTED] TR27NO96.011



[[Page 493]]

[GRAPHIC] [TIFF OMITTED] TR27NO96.012



[[Page 494]]

[GRAPHIC] [TIFF OMITTED] TR02JA97.002


[36 FR 22902, Dec. 2, 1971]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.208, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 571.209  Standard No. 209; Seat belt assemblies.

    S1. Purpose and scope. This standard specifies requirements for seat 
belt assemblies.
    S2. Application. This standard applies to seat belt assemblies for 
use in passenger cars, multipurpose passenger vehicles, trucks, and 
buses.
    S3. Definitions. Adjustment hardware means any or all hardware 
designed for adjusting the size of a seat belt assembly to fit the user, 
including such hardware that may be integral with a buckle, attachment 
hardware, or retractor.
    Attachment hardware means any or all hardware designed for securing 
the webbing of a seat belt assembly to a motor vehicle.
    Automatic-locking retractor means a retractor incorporating 
adjustment hardware by means of a positive self-locking mechanism which 
is capable when locked of withstanding restraint forces.
    Buckle means a quick release connector which fastens a person in a 
seat belt assembly.
    Emergency-locking retractor means a retractor incorporating 
adjustment hardware by means of a locking mechanism that is activated by 
vehicle acceleration, webbing movement relative to the vehicle, or other 
automatic action during an emergency and is capable when locked of 
withstanding restraint forces.
    Hardware means any metal or rigid plastic part of a seat belt 
assembly.
    Load-limiter means a seat belt assembly component or feature that 
controls tension on the seat belt to modulate the forces that are 
imparted to occupants restrained by the belt assembly during a crash.

[[Page 495]]

    Nonlocking retractor means a retractor from which the webbing is 
extended to essentially its full length by a small external force, which 
provides no adjustment for assembly length, and which may or may not be 
capable of sustaining restraint forces at maximum webbing extension.
    Pelvic restraint means a seat belt assembly or portion thereof 
intended to restrain movement of the pelvis.
    Retractor means a device for storing part or all of the webbing in a 
seat belt assembly.
    Seat back retainer means the portion of some seat belt assemblies 
designed to restrict forward movement of a seat back.
    Seat belt assembly means any strap, webbing, or similar device 
designed to secure a person in a motor vehicle in order to mitigate the 
results of any accident, including all necessary buckles and other 
fasteners, and all hardware designed for installing such seat belt 
assembly in a motor vehicle.
    Strap means a narrow nonwoven material used in a seat belt assembly 
in place of webbing.
    Type 1 seat belt assembly is a lap belt for pelvic restraint.
    Type 2 seat belt assembly is a combination of pelvic and upper torso 
restraints.
    Type 2a shoulder belt is an upper torso restraint for use only in 
conjunction with a lap belt as a Type 2 seat belt assembly.
    Upper torso restraint means a portion of a seat belt assembly 
intended to restrain movement of the chest and shoulder regions.
    Webbing means a narrow fabric woven with continuous filling yarns 
and finished selvages.
    S4. Requirements.
    S4.1 (a) Single occupancy. A seat belt assembly shall be designed 
for use by one, and only one, person at any one time.
    (b) Pelvic restraint. A seat belt assembly shall provide pelvic 
restraint whether or not upper torso restraint is provided, and the 
pelvic restraint shall be designed to remain on the pelvis under all 
conditions, including collision or roll-over of the motor vehicle. 
Pelvic restraint of a Type 2 seat belt assembly that can be used without 
upper torso restraint shall comply with requirement for Type 1 seat belt 
assembly in S4.1 to S4.4.
    (c) Upper torso restraint. A Type 2 seat belt assembly shall provide 
upper torso restraint without shifting the pelvic restraint into the 
abdominal region. An upper torso restraint shall be designed to minimize 
vertical forces on the shoulders and spine. Hardware for upper torso 
restraint shall be so designed and located in the seat belt assembly 
that the possibility of injury to the occupant is minimized.
    A Type 2a shoulder belt shall comply with applicable requirements 
for a Type 2 seat belt assembly in S4.1 to S4.4, inclusive.
    (d) Hardware. All hardware parts which contact under normal usage a 
person, clothing, or webbing shall be free from burrs and sharp edges.
    (e) Release. A Type 1 or Type 2 seat belt assembly shall be provided 
with a buckle or buckles readily accessible to the occupant to permit 
his easy and rapid removal from the assembly. Buckle release mechanism 
shall be designed to minimize the possibility of accidental release. A 
buckle with release mechanism in the latched position shall have only 
one opening in which the tongue can be inserted on the end of the buckle 
designed to receive and latch the tongue.
    (f) Attachment hardware. A seat belt assembly shall include all 
hardware necessary for installation in a motor vehicle in accordance 
with Society of Automotive Engineers Recommended Practice J800c, ``Motor 
Vehicle Seat Belt Installation,'' November 1973. However, seat belt 
assemblies designed for installation in motor vehicles equipped with 
seat belt assembly anchorages that do not require anchorage nuts, 
plates, or washers, need not have such hardware, but shall have 7/16-20 
UNF-2A or 1/2-13UNC-2A attachment bolts or equivalent hardware. The 
hardware shall be designed to prevent attachment bolts and other parts 
from becoming disengaged from the vehicle while in service. Reinforcing 
plates or washers furnished for universal floor installations shall be 
of steel, free from burrs and sharp edges on the peripheral edges 
adjacent to the vehicle, at least 0.06 inch in thickness and at least 4

[[Page 496]]

square inches in projected area. The distance between any edge of the 
plate and the edge of the bolt hole shall be at least 0.6 inch. Any 
corner shall be rounded to a radius of not less than 0.25 inch or cut so 
that no corner angle is less than 135 deg. and no side is less than 0.25 
inch in length.
    (g) Adjustment. (1) A Type 1 or Type 2 seat belt assembly shall be 
capable of adjustment to fit occupants whose dimensions and weight range 
from those of a 5th-percentile adult female to those of a 95th-
percentile adult male. The seat belt assembly shall have either an 
automatic-locking retractor, an emergency-locking retractor, or an 
adjusting device that is within the reach of the occupant.
    (2) A Type 1 or Type 2 seat belt assembly for use in a vehicle 
having seats that are adjustable shall conform to the requirements of 
S4.1(g)(1) regardless of seat position. However, if a seat has a back 
that is separately adjustable, the requirements of S4.1(g)(1) need be 
met only with the seat back in the manufacturer's nominal design riding 
position.
    (3) The adult occupants referred to in S4.1(g)(1) shall have the 
following measurements:

------------------------------------------------------------------------
                                    5th percentile      95th percentile 
                                     adult female         adult male    
------------------------------------------------------------------------
Weight..........................  102 lbs...........  215 lbs.          
Erect sitting height............  30.9 in...........  38 in.            
Hip breadth (sitting)...........  12.8 in...........  16.5 in.          
Hip circumference (sitting).....  36.4 in...........  47.2 in.          
Waist circumference (sitting)...  23.6 in...........  42.5 in.          
Chest depth.....................  7.5 in............  10.5 in.          
Chest circumference:                                                    
  Nipple........................  30.5 in...........  44.5 in.          
  Upper.........................  29.8 in...........  44.5 in.          
  Lower.........................  26.6 in...........  44.5 in.          
------------------------------------------------------------------------

    (h) Webbing. The ends of webbing in a seat belt assembly shall be 
protected or treated to prevent raveling. The end of webbing in a seat 
belt assembly having a metal-to-metal buckle that is used by the 
occupant to adjust the size of the assembly shall not pull out of the 
adjustment hardware at maximum size adjustment. Provision shall be made 
for essentially unimpeded movement of webbing routed between a seat back 
and seat cushion and attached to a retractor located behind the seat.
    (i) Strap. A strap used in a seat belt assembly to sustain restraint 
forces shall comply with the requirements for webbing in S4.2, and if 
the strap is made from a rigid material, it shall comply with applicable 
requirements in S4.2, S4.3, and S4.4.
    (j) Marking. Each seat belt assembly shall be permanently and 
legibly marked or labeled with year of manufacture, model, and name or 
trademark of manufacturer or distributor, or of importer if manufactured 
outside the United States. A model shall consist of a single combination 
of webbing having a specific type of fiber weave and construction, and 
hardware having a specific design. Webbings of various colors may be 
included under the same model, but webbing of each color shall comply 
with the requirements for webbing in S4.2.
    (k) Installation instructions. A seat belt assembly, other than a 
seat belt assembly installed in a motor vehicle by an automobile 
manufacturer, shall be accompanied by an instruction sheet providing 
sufficient information for installing the assembly in a motor vehicle. 
The installation instructions shall state whether the assembly is for 
universal installation or for installation only in specifically stated 
motor vehicles, and shall include at least those items specified in SAE 
Recommended Practice J800c, ``Motor Vehicle Seat Belt Installations,'' 
November 1973. If the assembly is for use only in specifically stated 
motor vehicles, the assembly shall either be permanently and legibly 
marked or labeled with the following statement, or the instruction sheet 
shall include the following statement:

    This seat belt assembly is for use only in [insert specific seating 
position(s), e.g., ``front right''] in [insert specific vehicle make(s) 
and model(s)].

    (l) Usage and maintenance instructions. A seat belt assembly or 
retractor shall be accompanied by written instructions for the proper 
use of the assembly, stressing particularly the importance of wearing 
the assembly snugly and properly located on the body, and on the 
maintenance of the assembly and periodic inspection of all components. 
The instructions shall show the proper manner of threading webbing in 
the hardware of seat belt assemblies in which the webbing is not 
permanently

[[Page 497]]

fastened. Instructions for a nonlocking retractor shall include a 
caution that the webbing must be fully extended from the retractor 
during use of the seat belt assembly unless the retractor is attached to 
the free end of webbing which is not subjected to any tension during 
restraint of an occupant by the assembly. Instructions for Type 2a 
shoulder belt shall include a warning that the shoulder belt is not to 
be used without a lap belt.
    (m) Workmanship. Seat belt assemblies shall have good workmanship in 
accordance with good commercial practice.
    S4.2 Requirements for webbing.
    (a) Width. The width of the webbing in a seat belt assembly shall be 
not less than 1.8 inches, except for portions that do not touch a 95th 
percentile adult male with the seat in any adjustment position and the 
seat back in the manufacturer's nominal design riding position when 
measured under the conditions prescribed in S5.1(a).
    (b) Breaking strength. The webbing in a seat belt assembly shall 
have not less than the following breaking strength when tested by the 
procedures specified in S5.1(b): Type 1 seat belt assembly--6,000 pounds 
or 2,720 kilograms; Type 2 seat belt assembly--5,000 pounds or 2,270 
kilograms for webbing pelvic restraint and 4,000 pounds or 1,810 
kilograms for webbing in upper torso restraint.
    (c) Elongation. Except as provided in S4.5, the webbing in a seat 
belt assembly shall not extend to more than the following elongation 
when subjected to the specified forces in accordance with the procedure 
specified in S5.1(c): Type 1 seat belt assembly--20 percent at 2,500 
pounds or 1,130 kilograms; Type 2 seat belt assembly--30 percent at 
2,500 pounds or 1,130 kilograms for webbing in pelvic restraint and 40 
percent at 2,500 pounds or 1,130 kilograms for webbing in upper torso 
restraint.
    (d) Resistance to abrasion. The webbing of a seat belt assembly, 
after being subjected to abrasion as specified in S5.1(d) or S5.3(c), 
shall have a breaking strength of not less than 75 percent of the 
breaking strength listed in S4.2(b) for that type of belt assembly.
    (e) Resistance to light. The webbing in a seat belt assembly after 
exposure to the light of a carbon are and tested by the procedure 
specified in S5.1(e) shall have a breaking strength not less than 60 
percent of the strength before exposure to the carbon arc and shall have 
a color retention not less than No. 2 on the Geometric Gray Scale 
published by the American Association of Textile Chemists and Colorists, 
Post Office Box 886, Durham, NC.
    (f) Resistance to micro-organisms. The webbing in a seat belt 
assembly after being subjected to micro-organisms and tested by the 
procedures specified in S5.1(f) shall have a breaking strength not less 
than 85 percent of the strength before subjection to micro-organisms.
    S4.3 Requirements for hardware.
    (a) Corrosion resistance. (1) Attachment hardware of a seat belt 
assembly after being subjected to the conditions specified in S5.2(a) 
shall be free of ferrous corrosion on significant surfaces except for 
permissible ferrous corrosion at peripheral edges or edges of holes on 
underfloor reinforcing plates and washers. Alternatively, such hardware 
at or near the floor shall be protected against corrosion by at least an 
electrodeposited coating of nickel, or copper and nickel with at least a 
service condition number of SC2, and other attachment hardware shall be 
protected by an electrodeposited coating of nickel, or copper and nickel 
with a service condition number of SC1, in accordance with American 
Society for Testing and Materials B456-79, ``Standard Specification for 
Electrodeposited Coatings of Copper Plus Nickel Plus Chromium and Nickel 
Plus Chromium,'' but such hardware shall not be racked for 
electroplating in locations subjected to maximum stress.
    (2) Surfaces of buckles, retractors and metallic parts, other than 
attachment hardware, of a seat belt assembly after subjection to the 
conditions specified in S5.2(a) shall be free of ferrous or nonferrous 
corrosion which may be transferred, either directly or by means of the 
webbing, to the occupant or his clothing when the assembly is worn. 
After test, buckles shall conform to applicable requirements in 
paragraphs (d) to (g) of this section.
    (b) Temperature resistance. Plastic or other nonmetallic hardware 
parts of a

[[Page 498]]

seat belt assembly when subjected to the conditions specified in S5.2(b) 
shall not warp or otherwise deteriorate to cause the assembly to operate 
improperly or fail to comply with applicable requirements in this 
section and S4.4.
    (c) Attachment hardware. (1) Eye bolts, shoulder bolts, or other 
bolts used to secure the pelvic restraint of a seat belt assembly to a 
motor vehicle shall withstand a force of 9,000 pounds or 4,080 kilograms 
when tested by the procedure specified in S5.2(c)(1), except that 
attachment bolts of a seat belt assembly designed for installation in 
specific models of motor vehicles in which the ends of two or more seat 
belt assemblies cannot be attached to the vehicle by a single bolt shall 
have a breaking strength of not less than 5,000 pounds or 2,270 
kilograms.
    (2) Other attachment hardware designed to receive the ends of two 
seat belt assemblies shall withstand a tensile force of at least 6,000 
pounds or 2,720 kilograms without fracture of any section when tested by 
the procedure specified in S5.2(c)(2).
    (3) A seat belt assembly having single attachment hooks of the 
quick-disconnect type for connecting webbing to an eye bolt shall be 
provided with a retaining latch or keeper which shall not move more than 
0.08 inch or 2 millimeters in either the vertical or horizontal 
direction when tested by the procedure specified in S5.2(c)(3).
    (d) Buckle release. (1) The buckle of a Type 1 or Type 2 seat belt 
assembly shall release when a force of not more than 30 pounds or 14 
kilograms is applied.
    (2) A buckle designed for pushbutton application of buckle release 
force shall have a minimum area of 0.7 square inch or 4.5 square 
centimeters with a minimum linear dimension of 0.4 inch or 10 
millimeters for applying the release force, or a buckle designed for 
lever application of buckle release force shall permit the insertion of 
a cylinder 0.4 inch or 10 millimeters in diameter and 1.5 inches or 38 
millimeters in length to at least the midpoint of the cylinder along the 
cylinder's entire length in the actuation portion of the buckle release. 
A buckle having other design for release shall have adequate access for 
two or more fingers to actuate release.
    (3) The buckle of a Type 1 or Type 2 seat belt assembly shall not 
release under a compressive force of 400 pounds applied as prescribed in 
paragraph S5.2(d)(3). The buckle shall be operable and shall meet the 
applicable requirement of paragraph S4.4 after the compressive force has 
been removed.
    (e) Adjustment force. The force required to decrease the size of a 
seat belt assembly shall not exceed 11 pounds or 5 kilograms when 
measured by the procedure specified in S5.2(e).
    (f) Tilt-lock adjustment. The buckle of a seat belt assembly having 
tilt-lock adjustment shall lock the webbing when tested by the procedure 
specified in S5.2(f) at an angle of not less than 30 degrees between the 
base of the buckle and the anchor webbing.
    (g) Buckle latch. The buckle latch of a seat belt assembly when 
tested by the procedure specified in S5.2(g) shall not fail, nor gall or 
wear to an extent that normal latching and unlatching is impaired, and a 
metal-to-metal buckle shall separate when in any position of partial 
engagement by a force of not more than 5 pounds or 2.3 kilograms.
    (h) Nonlocking retractor. The webbing of a seat belt assembly shall 
extend from a nonlocking retractor within 0.25 inch or 6 millimeters of 
maximum length when a tension is applied as prescribed in S5.2(h). A 
nonlocking retractor on upper torso restraint shall be attached to the 
nonadjustable end of the assembly, the reel of the retractor shall be 
easily visible to an occupant while wearing the assembly, and the 
maximum retraction force shall not exceed 1.1 pounds or 0.5 kilogram in 
any strap or webbing that contacts the shoulder when measured by the 
procedure specified in S5.2(h), unless the retractor is attached to the 
free end of webbing which is not subjected to any tension during 
restraint of an occupant by the assembly.
    (i) Automatic-locking retractor. The webbing of a seat belt assembly 
equipped with an automatic locking retractor, when tested by the 
procedure specified in S5.2(i), shall not move more than 1 inch or 25 
millimeters between locking positions of the retractor, and shall be 
retracted with a force

[[Page 499]]

under zero acceleration of not less than 0.6 pound or 0.27 kilogram when 
attached to pelvic restraint, and not less than 0.45 pound or 0.2 
kilogram nor more than 1.1 pounds or 0.5 kilogram in any strap or 
webbing that contacts the shoulders of an occupant when the retractor is 
attached to upper torso restraint. An automatic locking retractor 
attached to upper torso restraint shall not increase the restraint on 
the occupant of the seat belt assembly during use in a vehicle traveling 
over rough roads as prescribed in S5.2(i).
    (j) Emergency-locking retractor. An emergency-locking retractor of a 
Type 1 or Type 2 seat belt assembly, when tested in accordance with the 
procedures specified in paragraph S5.2(j)--
    (1) Shall lock before the webbing extends 1 inch when the retractor 
is subjected to an acceleration of 0.7g ;
    (2) Shall not lock, if the retractor is sensitive to webbing 
withdrawal, before the webbing extends 2 inches when the retractor is 
subjected to an acceleration of 0.3g or less;
    (3) Shall not lock, if the retractor is sensitive to vehicle 
acceleration, when the retractor is rotated in any direction to any 
angle of 15 deg. or less from its orientation in the vehicle;
    (4) Shall exert a retractive force of at least 0.6 pound under zero 
acceleration when attached only to the pelvic restraint.
    (5) Shall exert a retractive force of not less than 0.2 pound and 
not more than 1.1 pounds under zero acceleration when attached only to 
an upper torso restraint;
    (6) Shall exert a retractive force of not less than 0.2 pound and 
not more than 1.5 pounds under zero acceleration when attached to a 
strap or webbing that restrains both the upper torso and the pelvis.
    (k) Performance of retractor. A retractor used on a seat belt 
assembly after subjection to the tests specified in S5.2(k) shall comply 
with applicable requirements in paragraphs (h) to (j) of this section 
and S4.4, except that the retraction force shall be not less than 50 
percent of its original retraction force.
    S4.4  Requirements for assembly performance.
    (a) Type 1 seat belt assembly. Except as provided in S4.5, the 
complete seat belt assembly including webbing, straps, buckles, 
adjustment and attachment hardware, and retractors shall comply with the 
following requirements when tested by the procedures specified in 
S5.3(a):
    (1) The assembly loop shall withstand a force of not less than 5,000 
pounds or 2,270 kilograms; that is, each structural component of the 
assembly shall withstand a force of not less than 2,500 pounds or 1,130 
kilograms.
    (2) The assembly loop shall extend not more than 7 inches or 18 
centimeters when subjected to a force of 5,000 pounds or 2,270 
kilograms; that is, the length of the assembly between anchorages shall 
not increase more than 14 inches or 36 centimeters.
    (3) Any webbing cut by the hardware during test shall have a 
breaking strength at the cut of not less than 4,200 pounds or 1,910 
kilograms.
    (4) Complete fracture through any solid section of metal attachment 
hardware shall not occur during test.
    (b) Type 2 seat belt assembly. Except as provided in S4.5, the 
components of a Type 2 seat belt assembly including webbing, straps, 
buckles, adjustment and attachment hardware, and retractors shall comply 
with the following requirements when tested by the procedure specified 
in S5.3(b):
    (1) The structural components in the pelvic restraint shall 
withstand a force of not less than 2,500 pounds or 1,139 kilograms.
    (2) The structural components in the upper torso restraint shall 
withstand a force of not less than 1,500 pounds or 680 kilograms.
    (3) The structural components in the assembly that are common to 
pelvic and upper torso restraints shall withstand a force of not less 
than 3,000 pounds or 1,360 kilograms.
    (4) The length of the pelvic restraint between anchorages shall not 
increase more than 20 inches or 50 centimeters when subjected to a force 
of 2,500 pounds or 1,130 kilograms.
    (5) The length of the upper torso restraint between anchorages shall 
not increase more than 20 inches or 50 centimeters when subjected to a 
force of 1,500 pounds or 680 kilograms.

[[Page 500]]

    (6) Any webbing cut by the hardware during test shall have a 
breaking strength of not less than 3,500 pounds or 1,590 kilograms at a 
cut in webbing of the pelvic restraint, or not less than 2,800 pounds or 
1,270 kilograms at a cut in webbing of the upper torso restraint.
    (7) Complete fracture through any solid section of metal attachment 
hardware shall not occur during test.
    S4.5 Load-limiter. (a) A Type 1 or Type 2 seat belt assembly that 
includes a load-limiter is not required to comply with the elongation 
requirements of S4.2(c), S4.4(a)(2), S4.4(b)(4) or S4.4(b)(5).
    (b) A seat belt assembly that includes a load limiter and that does 
not comply with the elongation requirements of this standard may be 
installed in motor vehicles at any designated seating position that is 
subject to the requirements of S5.1 of Standard No. 208 (Sec. 571.208).
    S4.6  Manual belts subject to crash protection requirements of 
Standard No. 208.
    (a)(1) A manual seat belt assembly, which is subject to the 
requirements of S5.1 of Standard No. 208 (49 CFR 571.208) by virtue of 
any provision of Standard No. 208 other than S4.1.2.1(c)(2) of that 
standard, does not have to meet the requirements of S4.2(a)-(f) and S4.4 
of this standard.
    (2) A manual seat belt assembly subject to the requirements of S5.1 
of Standard No. 208 (49 CFR 571.208) by virtue of S4.1.2.1(c)(2) of 
Standard No. 208 does not have to meet the elongation requirements of 
S4.2(c), S4.4(a)(2), S4.4(b)(4), and S4.4(b)(5) of this standard.
    S5. Demonstration procedures.
    S5.1 Webbing--(a) Width. The width of webbing from three seat belt 
assemblies shall be measured after conditioning for at least 24 hours in 
an atmosphere having relative humidity between 48 and 67 percent and a 
temperature of 23 deg.plus-minus2 deg. C. or 
73.4plus-minus3.6 deg. F. The tension during measurement of 
width shall be not more than 5 pounds or 2 kilograms on webbing from a 
Type 1 seat belt assembly, and 2,200plus-minus100 pounds or 
1,000plus-minus50 kilograms on webbing from a Type 2 seat 
belt assembly. The width of webbing from a Type 2 seat belt assembly may 
be measured during the breaking strength test described in paragraph (b) 
of this section.
    (b) Breaking strength. Webbing from three seat belt assemblies shall 
be conditioned in accordance with paragraph (a) of this section and 
tested for breaking strength in a testing machine of capacity verified 
to have an error of not more than one percent in the range of the 
breaking strength of the webbing in accordance with American Society for 
Testing and Materials E4-79, ``Standard Methods of Load Verification of 
Testing Machines.''

The machine shall be equipped with split drum grips illustrated in 
Figure 1, having a diameter between 2 and 4 inches or 5 and 10 
centimeters. The rate of grip separation shall be between 2 and 4 inches 
per minute or 5 and 10 centimeters per minute. The distance between the 
centers of the grips at the start of the test shall be between 4 and 10 
inches or 10 and 25 centimeters. After placing the specimen in the 
grips, the webbing shall be stretched continuously at a uniform rate to 
failure. Each value shall be not less than the applicable breaking 
strength requirement in S4.2(b), but the median value shall be used for 
determining the retention of breaking strength in paragraphs (d), (e), 
and (f) of this section.
    (c) Elongation. Elongation shall be measured during the breaking 
strength test described in paragraph (b) of this section by the 
following procedure: A preload between 44 and 55 pounds or 20 and 25 
kilograms shall be placed on the webbing mounted in the grips of the 
testing machine and the needle points of an extensometer, in which the 
points remain parallel during test, are inserted in the center of the 
specimen. Initially the points shall be set at a known distance apart 
between 4 and 8 inches or 10 and 20 centimeters. When the force on the 
webbing reaches the value specified in S4.2(c), the increase in 
separation of the points of the extensometer shall be measured and the 
percent elongation shall be calculated to the nearest 0.5 percent. Each 
value shall be not more than the appropriate elongation requirement in 
S4.2(c).
    (d) Resistance to abrasion. The webbing from three seat belt 
assemblies shall be tested for resistance to abrasion by rubbing over 
the hexagon bar

[[Page 501]]

prescribed in Figure 2 in the following manner: The webbing shall be 
mounted in the apparatus shown schematically in Figure 2. One end of the 
webbing (A) shall be attached to a weight (B) which has a mass of 
5.2plus-minus0.1 pounds or 2.35plus-minus 0.05 
kilograms, except that a mass of 3.3plus-minus.1 pounds 
(1.5plus-minus.05 kg) shall be used for webbing in pelvic and 
upper torso restraints of a belt assembly used in a child restraint 
system. The webbing shall be passed over the two new abrading edges of 
the hexagon bar (C) and the other end attached to an oscillating drum 
(D) which has a stroke of 13 inches or 33 centimeters. Suitable guides 
shall be used to prevent movement of the webbing along the axis of 
hexagonal bar C. Drum D shall be oscillated for 5,000 strokes or 2,500 
cycles at a rate of 60plus-minus 2 strokes per minute or 
30plus-minus 1 cycles per minute. The abraded webbing shall 
be conditioned as prescribed in paragraph (a) of this section and tested 
for breaking strength by the procedure described in paragraph (b) of 
this section. The median values for the breaking strengths determined on 
abraded and unabraded specimens shall be used to calculate the 
percentage of breaking strength retained.
    (e) Resistance to light. Webbing at least 20 inches or 50 
centimeters in length from three seat belt assemblies shall be suspended 
vertically on the inside of the specimen rack in a Type E carbon-arc 
light-exposure apparatus described in Standard Practice for Operating 
Light-Exposure Apparatus (Carbon-Arc Type) With and Without Water for 
Exposure of Nonmetallic Materials, ASTM Designation: G23-81, published 
by the American Society for Testing and Materials, except that the 
filter used for 100 percent polyester yarns shall be chemically 
strengthened soda-lime glass with a transmittance of less than 5 percent 
for wave lengths equal to or less than 305 nanometers and 90 percent or 
greater transmittance for wave lengths of 375 to 800 nanometers. The 
apparatus shall be operated without water spray at an air temperature of 
60plus-minus 2 degrees Celsius or 140plus-minus 
3.6 degrees Fahrenheit measured at a point 1.0plus-minus 0.2 
inch or 25plus-minus 5 millimeters outside the specimen rack 
and midway in height. The temperature sensing element shall be shielded 
from radiation. The specimens shall be exposed to light from the carbon-
arc for 100 hours and then conditioned as prescribed in paragraph (a) of 
this section. The colorfastness of the exposed and conditioned specimens 
shall be determined on the Geometric Gray Scale issued by the American 
Association of Textile Chemists and Colorists. The breaking strength of 
the specimens shall be determined by the procedure prescribed in 
paragraph (b) of this section. The median values for the breaking 
strengths determined on exposed and unexposed specimens shall be used to 
calculate the percentage of breaking strength retained.
    (f) Resistance to microorganisms. Webbing at least 20 inches or 50 
centimeters in length from three seat belt assemblies shall first be 
preconditioned in accordance with appendix A (1) and (2) of American 
Association of Textile Chemists and Colorists Test Method 30-81, 
``Fungicides Evaluation on Textiles; Mildew and Rot Resistance of 
Textiles,'' and then subjected to Test I, ``Soil Burial Test'' of that 
test method. After soil-burial for a period of 2 weeks, the specimen 
shall be washed in water, dried and conditioned as prescribed in 
paragraph (a) of this section. The breaking strengths of the specimens 
shall be determined by the procedure prescribed in paragraph (b) of this 
section. The median values for the breaking strengths determined on 
exposed and unexposed specimens shall be used to calculate the 
percentage of breaking strength retained.

    Note: This test shall not be required on webbing made from material 
which is inherently resistant to micro-organisms.

    S5.2  Hardware. (a) Corrosion resistance. Three seat belt assemblies 
shall be tested in accordance with American Society for Testing and 
Materials B117-73, ``Standard Method of Salt Spray (Fog) Testing.'' Any 
surface coating or material not intended for permanent retention on the 
metal parts during service life shall be removed prior to preparation of 
the test specimens for testing. The period of test shall be 50 hours for 
all attachment hardware at or near the floor, consisting of two periods 
of 24 hours exposure to salt spray followed by 1 hour drying and 25 
hours for all other hardware, consisting of

[[Page 502]]

one period of 24 hours exposure to salt spray followed by 1 hour drying. 
In the salt spray test chamber, the parts from the three assemblies 
shall be oriented differently, selecting those orientations most likely 
to develop corrosion on the larger areas. At the end of test, the seat 
belt assembly shall be washed thoroughly with water to remove the salt. 
After drying for at least 24 hours under standard laboratory conditions 
specified in S5.1(a) attachment hardware shall be examined for ferrous 
corrosion on significant surfaces, that is, all surfaces that can be 
contacted by a sphere 0.75 inch or 2 centimeters in diameter, and other 
hardware shall be examined for ferrous and nonferrous corrosion which 
may be transferred, either directly or by means of the webbing, to a 
person or his clothing during use of a seat belt assembly incorporating 
the hardware.

    Note: When attachment and other hardware are permanently fastened, 
by sewing or other means, to the same piece of webbing, separate 
assemblies shall be used to test the two types of hardware. The test for 
corrosion resistance shall not be required for attachment hardware made 
from corrosion-resistant steel containing at least 11.5 percent chromium 
or for attachment hardware protected with an electrodeposited coating of 
nickel, or copper and nickel, as prescribed in S4.3(a). The assembly 
that has been used to test the corrosion resistance of the buckle shall 
be used to measure adjustment force, tilt-lock adjustment, and buckle 
latch in paragraphs (e), (f), and (g), respectively, of this section, 
assembly performance in S5.3 and buckle release force in paragraph (d) 
of this section.

    (b) Temperature resistance. Three seat belt assemblies having 
plastic or nonmetallic hardware or having retractors shall be subjected 
to the conditions prescribed in Procedure D of American Society for 
Testing and Materials D756-78, ``Standard Practice for Determination of 
Weight and Shape Changes of Plastics under Accelerated Service 
Conditions.'' The dimension and weight measurement shall be omitted. 
Buckles shall be unlatched and retractors shall be fully retracted 
during conditioning. The hardware parts after conditioning shall be used 
for all applicable tests in S4.3 and S4.4.
    (c) Attachment hardware. (1) Attachment bolts used to secure the 
pelvic restraint of a seat belt assembly to a motor vehicle shall be 
tested in a manner similar to that shown in Figure 3. The load shall be 
applied at an angle of 45 deg. to the axis of the bolt through 
attachment hardware from the seat belt assembly, or through a special 
fixture which simulates the loading applied by the attachment hardware. 
The attachment hardware or simulated fixture shall be fastened by the 
bolt to the anchorage shown in Figure 3, which has a standard \7/16\-20 
-2B or \1/2\-13 -2B threaded hole in a hardened steel plate at least 0.4 
inch or 1 centimeter in thickness. The bolt shall be installed with two 
full threads exposed from the fully seated position. The appropriate 
force required by S4.3(c) shall be applied. A bolt from each of three 
seat belt assemblies shall be tested.
    (2) Attachment hardware, other than bolts, designed to receive the 
ends of two seat belt assemblies shall be subjected to a tensile force 
of 6,000 pounds or 2,720 kilograms in a manner simulating use. The 
hardware shall be examined for fracture after the force is released. 
Attachment hardware from three seat belt assemblies shall be tested.
    (3) Single attachment hook for connecting webbing to any eye bolt 
shall be tested in the following manner: The hook shall be held rigidly 
so that the retainer latch or keeper, with cotter pin or other locking 
device in place, is in a horizontal position as shown in Figure 4. A 
force of 150plus-minus2 pounds or 68plus-minus1 
kilograms shall be applied vertically as near as possible to the free 
end of the retainer latch, and the movement of the latch by this force 
at the point of application shall be measured. The vertical force shall 
be released, and a force of 150plus-minus2 pounds or 
68plus-minus1 kilograms shall be applied horizontally as near 
as possible to the free end of the retainer latch. The movement of the 
latch by this force at the point of load application shall be measured. 
Alternatively, the hook may be held in other positions, provided the 
forces are applied and the movements of the latch are measured at the 
points indicated in Figure 4. A single attachment hook from each of 
three seat belt assemblies shall be tested.

[[Page 503]]

    (d) Buckle release. (1) Three seatbelt assemblies shall be tested to 
determine compliance with the maximum buckle release force requirements, 
following the assembly test in S5.3. After subjection to the force 
applicable for the assembly being tested, the force shall be reduced and 
maintained at 150 pounds on the assembly loop of a Type 1 seatbelt 
assembly, 75 pounds on the components of a Type 2 seatbelt assembly. The 
buckle release force shall be measured by applying a force on the buckle 
in a manner and direction typical of those which would be employed by a 
seatbelt occupant. For pushbutton-release buckles, the force shall be 
applied at least 0.125 inch from the edge of the pushbutton access 
opening of the buckle in a direction that produces maximum releasing 
effect. For lever-release buckles, the force shall be applied on the 
centerline of the buckle lever or finger tab in a direction that 
produces maximum releasing effect.
    (2) The area for application of release force on pushbutton actuated 
buckle shall be measured to the nearest 0.05 square inch or 0.3 square 
centimeter. The cylinder specified in S4.3(d) shall be inserted in the 
actuation portion of a lever released buckle for determination of 
compliance with the requirement. A buckle with other release actuation 
shall be examined for access of release by fingers.
    (3) The buckle of a Type 1 or Type 2 seatbelt assembly shall be 
subjected to a compressive force of 400 pounds applied anywhere on a 
test line that is coincident with the centerline of the belt extended 
through the buckle or on any line that extends over the center of the 
release mechanism and intersects the extended centerline of the belt at 
an angle of 60 deg.. The load shall be applied by using a curved 
cylindrical bar having a cross section diameter of 0.75 inch and a 
radius of curvature of 6 inches, placed with its longitudinal centerline 
along the test line and its center directly above the point on the 
buckle to which the load will be applied. The buckle shall be latched, 
and a tensile force of 75 pounds shall be applied to the connected 
webbing during the application of the compressive force. Buckles from 
three seatbelt assemblies shall be tested to determine compliance with 
paragraph S4.3(d)(3).
    (e) Adjustment force. Three seat belt assemblies shall be tested for 
adjustment force on the webbing at the buckle, or other manual adjusting 
device normally used to adjust the size of the assembly. With no load on 
the anchor end, the webbing shall be drawn through the adjusting device 
at a rate of 20plus-minus2 inches per minute or 
50plus-minus5 centimeters per minute and the maximum force 
shall be measured to the nearest 0.25 pound or 0.1 kilogram after the 
first 1 inch or 25 millimeters of webbing movement. The webbing shall be 
precycled 10 times prior to measurement.
    (f) Tilt-lock adjustment. This test shall be made on buckles or 
other manual adjusting devices having tilt-lock adjustment normally used 
to adjust the size of the assembly. Three buckles or devices shall be 
tested. The base of the adjustment mechanism and the anchor end of the 
webbing shall be oriented in planes normal to each other. The webbing 
shall be drawn through the adjustment mechanism in a direction to 
increase belt length at a rate of 20plus-minus2 inches per 
minute or 50plus-minus5 centimeters per minute while the 
plane of the base is slowly rotated in a direction to lock the webbing. 
Rotation shall be stopped when the webbing locks, but the pull on the 
webbing shall be continued until there is a resistance of at least 20 
pounds or 9 kilograms. The locking angle between the anchor end of the 
webbing and the base of the adjustment mechanism shall be measured to 
the nearest degree. The webbing shall be precycled 10 times prior to 
measurement.
    (g) Buckle latch. The buckles from three seat belt assemblies shall 
be opened fully and closed at least 10 times. Then the buckles shall be 
clamped or firmly held against a flat surface so as to permit normal 
movement of buckle part, but with the metal mating plate (metal-to-metal 
buckles) or of webbing end (metal-to-webbing buckles) withdrawn from the 
buckle. The release mechanism shall be moved 200 times through the 
maximum possible travel against its stop with a force of 
30plus-minus3 pounds or 14plus-minus1 kilograms at 
a rate not to exceed 30 cycles per

[[Page 504]]

minute. The buckle shall be examined to determine compliance with the 
performance requirements of S4.3(g). A metal-to-metal buckle shall be 
examined to determine whether partial engagement is possible by means of 
any technique representative of actual use. If partial engagement is 
possible, the maximum force of separation when in such partial 
engagement shall be determined.
    (h) Nonlocking retractor. After the retractor is cycled 10 times by 
full extension and retraction of the webbing, the retractor and webbing 
shall be suspended vertically and a force of 4 pounds or 1.8 kilograms 
shall be applied to extend the webbing from the retractor. The force 
shall be reduced to 3 pounds or 1.4 kilograms when attached to a pelvic 
restraint, or to 1.1 pounds or 0.5 kilogram per strap or webbing that 
contacts the shoulder of an occupant when retractor is attached to an 
upper torso restraint. The residual extension of the webbing shall be 
measured by manual rotation of the retractor drum or by disengaging the 
retraction mechanism. Measurements shall be made on three retractors. 
The location of the retractor attached to upper torso restraint shall be 
examined for visibility of reel during use of seat belt assembly in a 
vehicle.

    Note: This test shall not be required on a nonlocking retractor 
attached to the free-end of webbing which is not subjected to any 
tension during restraint of an occupant by the assembly.

    (i) Automatic-locking retractor. Three retractors shall be tested in 
a manner to permit the retraction force to be determined exclusive of 
the gravitational forces on hardware or webbing being retracted. The 
webbing shall be fully extended from the retractor. While the webbing is 
being retracted, the average force or retraction within plus or minus 2 
inches or 5 centimeters of 75 percent extension (25 percent retraction) 
shall be determined and the webbing movement between adjacent locking 
segments shall be measured in the same region of extension. A seat belt 
assembly with automatic locking retractor in upper torso restraint shall 
be tested in a vehicle in a manner prescribed by the installation and 
usage instructions. The retraction force on the occupant of the seat 
belt assembly shall be determined before and after traveling for 10 
minutes at a speed of 15 miles per hour or 24 kilometers per hour or 
more over a rough road (e.g., Belgian block road) where the occupant is 
subjected to displacement with respect to the vehicle in both horizontal 
and vertical directions. Measurements shall be made with the vehicle 
stopped and the occupant in the normal seated position.
    (j) Emergency-locking retractor. A retractor shall be tested in a 
manner that permits the retraction force to be determined exclusive of 
the gravitational forces on hardware or webbing being retracted. The 
webbing shall be fully extended from the retractor, passing over or 
through any hardware or other material specified in the installation 
instructions. While the webbing is being retracted, the lowest force of 
retraction within plus or minus 2 inches of 75 percent extension shall 
be determined. A retractor that is sensitive to webbing withdrawal shall 
be subjected to an acceleration of 0.3g within a period of 50 ms. while 
the webbing is at 75 percent extension, to determine compliance with 
S4.3(j)(2). The retractor shall be subjected to an acceleration of 0.7g 
within a period of 50 milliseconds, while the webbing is at 75 percent 
extension, and the webbing movement before locking shall be measured 
under the following conditions: For a retractor sensitive to webbing 
withdrawal, the retractor shall be accelerated in the direction of 
webbing retraction while the retractor drum's central axis is oriented 
horizontally and at angles of 45 deg., 90 deg., 135 deg., and 180 deg. 
to the horizontal plane. For a retractor sensitive to vehicle 
acceleration, the retractor shall be:
    (1) Accelerated in the horizontal plane in two directions normal to 
each other, while the retractor drum's central axis is oriented at the 
angle at which it is installed in the vehicle; and,
    (2) Accelerated in three directions normal to each other while the 
retractor drum's central axis is oriented at angles of 45 deg., 90 deg., 
135 deg., and 180 deg. from the angle at which it is installed in the 
vehicle, unless the retractor locks by gravitational force when tilted 
in any direction to any angle greater than 45 deg.

[[Page 505]]

from the angle at which it is installed in the vehicle.
    (k) Performance of retractor. After completion of the corrosion-
resistance test described in paragraph (a) of this section, the webbing 
shall be fully extended and allowed to dry for at least 24 hours under 
standard laboratory conditions specified in S5.1(a). The retractor shall 
be examined for ferrous and nonferrous corrosion which may be 
transferred, either directly or by means of the webbing, to a person or 
his clothing during use of a seat belt assembly incorporating the 
retractor, and for ferrous corrosion on significant surfaces if the 
retractor is part of the attachment hardware. The webbing shall be 
withdrawn manually and allowed to retract for 25 cycles. The retractor 
shall be mounted in an apparatus capable of extending the webbing fully, 
applying a force of 20 pounds or 9 kilograms at full extension, and 
allowing the webbing to retract freely and completely. The webbing shall 
be withdrawn from the retractor and allowed to retract repeatedly in 
this apparatus until 2,500 cycles are completed. The retractor and 
webbing shall then be subjected to the temperature resistance test 
prescribed in paragraph (b) of this section. The retractor shall be 
subjected to 2,500 additional cycles of webbing withdrawal and 
retraction. Then, the retractor and webbing shall be subjected to dust 
in a chamber similar to one illustrated in Figure 8 containing about 2 
pounds or 0.9 kilogram of coarse grade dust conforming to the 
specification given in Society of Automotive Engineering Recommended 
Practice J726, ``Air Cleaner Test Code'' Sept. 1979. The dust shall be 
agitated every 20 minutes for 5 seconds by compressed air, free of oil 
and moisture, at a gage pressure of 80plus-minus8 pounds per 
square inch or 5.6plus-minus0.6 kilograms per square 
centimeter entering through an orifice 0.060plus-minus0.004 
inch or 1.5plus-minus0.1 millimeters in diameter. The webbing 
shall be extended to the top of the chamber and kept extended at all 
times except that the webbing shall be subjected to 10 cycles of 
complete retraction and extension within 1 to 2 minutes after each 
agitation of the dust. At the end of 5 hours, the assembly shall be 
removed from the chamber. The webbing shall be fully withdrawn from the 
retractor manually and allowed to retract completely for 25 cycles. An 
automatic-locking retractor or a nonlocking retractor attached to pelvic 
restraint shall be subjected to 5,000 additional cycles of webbing 
withdrawal and retraction. An emergency-locking retractor or a 
nonlocking retractor attached to upper torso restraint shall be 
subjected to 45,000 additional cycles of webbing withdrawal and 
retraction between 50 and 100 percent extension. The locking mechanism 
of an emergency locking retractor shall be actuated at least 10,000 
times within 50 to 100 percent extension of webbing during the 50,000 
cycles. At the end of test, compliance of the retractors with applicable 
requirements in S4.3 (h), (i), and (j) shall be determined. Three 
retractors shall be tested for performance.
    S5.3  Assembly performance--(a) Type 1 seat belt assembly. Three 
complete seat belt assemblies, including webbing, straps, buckles, 
adjustment and attachment hardware, and retractors, arranged in the form 
of a loop as shown in Figure 5, shall be tested in the following manner:
    (1) The testing machine shall conform to the requirements specified 
in S5.1(b). A double-roller block shall be attached to one head of the 
testing machine. This block shall consist of two rollers 4 inches or 10 
centimeters in diameter and sufficiently long so that no part of the 
seat belt assembly touches parts of the block other than the rollers 
during test. The rollers shall be mounted on antifriction bearings and 
spaced 12 inches or 30 centimeters between centers, and shall have 
sufficient capacity so that there is no brinelling, bending or other 
distortion of parts which may affect the results. An anchorage bar shall 
be fastened to the other head of the testing machine.
    (2) The attachment hardware furnished with the seat belt assembly 
shall be attached to the anchorage bar. The anchor points shall be 
spaced so that the webbing is parallel in the two sides of the loop. The 
attaching bolts shall be parallel to, or at an angle of 45 deg. or 
90 deg. to the webbing, whichever results in an angle nearest to 90 deg. 
between webbing and attachment hardware except that eye bolts shall be 
vertical,

[[Page 506]]

and attaching bolts or nonthreaded anchorages of a seat belt assembly 
designed for use in specific models of motor vehicles shall be installed 
to produce the maximum angle in use indicated by the installation 
instructions, utilizing special fixtures if necessary to simulate 
installation in the motor vehicle. Rigid adapters between anchorage bar 
and attachment hardware shall be used if necessary to locate and orient 
the adjustment hardware. The adapters shall have a flat support face 
perpendicular to the threaded hole for the attaching bolt and adequate 
in area to provide full support for the base of the attachment hardware 
connected to the webbing. If necessary, a washer shall be used under a 
swivel plate or other attachment hardware to prevent the webbing from 
being damaged as the attaching bolt is tightened.
    (3) The length of the assembly loop from attaching bolt to attaching 
bolt shall be adjusted to about 51 inches or 130 centimeters, or as near 
thereto as possible. A force of 55 pounds or 25 kilograms shall be 
applied to the loop to remove any slack in webbing at hardware. The 
force shall be removed and the heads of the testing machine shall be 
adjusted for an assembly loop between 48 and 50 inches or 122 and 127 
centimeters in length. The length of the assembly loop shall then be 
adjusted by applying a force between 20 and 22 pounds or 9 and 10 
kilograms to the free end of the webbing at the buckle, or by the 
retraction force of an automatic-locking or emergency-locking retractor. 
A seat belt assembly that cannot be adjusted to this length shall be 
adjusted as closely as possible. An automatic-locking or emergency-
locking retractor when included in a seat belt assembly shall be locked 
at the start of the test with a tension on the webbing slightly in 
excess of the retractive force in order to keep the retractor locked. 
The buckle shall be in a location so that it does not touch the rollers 
during test, but to facilitate making the buckle release test in S5.2(d) 
the buckle should be between the rollers or near a roller in one leg.
    (4) The heads of the testing machine shall be separated at a rate 
between 2 and 4 inches per minute or 5 and 10 centimeters per minute 
until a force of 5,000plus-minus50 pounds or 
2,270plus-minus20 kilograms is applied to the assembly loop. 
The extension of the loop shall be determined from measurements of head 
separation before and after the force is applied. The force shall be 
decreased to 150plus-minus10 pounds or 
68plus-minus4 kilograms and the buckle release force measured 
as prescribed in S5.2(d).
    (5) After the buckle is released, the webbing shall be examined for 
cutting by the hardware. If the yarns are partially or completely 
severed in a line for a distance of 10 percent or more of the webbing 
width, the cut webbing shall be tested for breaking strength as 
specified in S5.1(b) locating the cut in the free length between grips. 
If there is insufficient webbing on either side of the cut to make such 
a test for breaking strength, another seat belt assembly shall be used 
with the webbing repositioned in the hardware. A tensile force of 
2,500plus-minus25 pounds or 1,135plus-minus10 
kilograms shall be applied to the components or a force of 
5,000plus-minus50 pounds or 2,270plus-minus20 
kilograms shall be applied to an assembly loop. After the force is 
removed, the breaking strength of the cut webbing shall be determined as 
prescribed above.
    (6) If a Type 1 seat belt assembly includes an automatic-locking 
retractor or an emergency-locking retractor, the webbing and retractor 
shall be subjected to a tensile force of 2,500plus-minus25 
pounds or 1,135plus-minus10 kilograms with the webbing fully 
extended from the retractor.
    (7) If a seat belt assembly has a buckle in which the tongue is 
capable of inverted insertion, one of the three assemblies shall be 
tested with the tongue inverted.
    (b) Type 2 seat belt assembly. Components of three seat belt 
assemblies shall be tested in the following manner:
    (1) The pelvic restraint between anchorages shall be adjusted to a 
length between 48 and 50 inches or 122 and 127 centimeters, or as near 
this length as possible if the design of the pelvic restraint does not 
permit its adjustment to this length. An automatic-locking or emergency-
locking retractor when included in a seat belt assembly shall be locked 
at the start of the test with

[[Page 507]]

a tension on the webbing slightly in excess of the retractive force in 
order to keep the retractor locked. The attachment hardware shall be 
oriented to the webbing as specified in paragraph (a)(2) of this section 
and illustrated in Figure 5. A tensile force of 
2,500plus-minus25 pounds or 1,135plus-minus10 
kilograms shall be applied on the components in any convenient manner 
and the extension between anchorages under this force shall be measured. 
The force shall be reduced to 75plus-minus5 pounds or 
34plus-minus2 kilograms and the buckle release force measured 
as prescribed in S5.2(d).
    (2) The components of the upper torso restraint shall be subjected 
to a tensile force of 1,500plus-minus15 pounds or 
680plus-minus5 kilograms following the procedure prescribed 
above for testing pelvic restraint and the extension between anchorages 
under this force shall be measured. If the testing apparatus permits, 
the pelvic and upper torso restraints may be tested simultaneously. The 
force shall be reduced to 75plus-minus5 pounds or 
34plus-minus2 kilograms and the buckle release force measured 
as prescribed in S5.2(d).
    (3) Any component of the seat belt assembly common to both pelvic 
and upper torso restraint shall be subjected to a tensile force of 
3,000plus-minus30 pounds or 1,360plus-minus15 
kilograms.
    (4) After the buckle is released in tests of pelvic and upper torso 
restraints, the webbing shall be examined for cutting by the hardware. 
If the yarns are partially or completely severed in a line for a 
distance of 10 percent or more of the webbing width the cut webbing 
shall be tested for breaking strength as specified in S5.1(b) locating 
the cut in the free length between grips. If there is insufficient 
webbing on either side of the cut to make such a test for breaking 
strength, another seat belt assembly shall be used with the webbing 
repositioned in the hardware. The force applied shall be 
2,500plus-minus25 pounds or 1,135plus-minus10 
kilograms for components of pelvic restraint, and 
1,500plus-minus15 pounds or 680plus-minus5 
kilograms for components of upper torso restraint. After the force is 
removed the breaking strength of the cut webbing shall be determined as 
prescribed above.
    (5) If a Type 2 seat belt assembly includes an automatic-locking 
retractor or an emergency-locking retractor the webbing and retractor 
shall be subjected to a tensile force of 2,500plus-minus25 
pounds or 1,135plus-minus10 kilograms with the webbing fully 
extended from the retractor, or to a tensile force of 
1,500plus-minus15 pounds or 680plus-minus5 
kilograms with the webbing fully extended from the retractor if the 
design of the assembly permits only upper torso restraint forces on the 
retractor.
    (6) If a seat belt assembly has a buckle in which the tongue is 
capable of inverted insertion, one of the three assemblies shall be 
tested with the tongue inverted.
    (c) Resistance to buckle abrasion. Seat belt assemblies shall be 
tested for resistance to abrasion by each buckle or manual adjusting 
device normally used to adjust the size of the assembly. The webbing of 
the assembly to be used in this test shall be exposed for 4 hours to an 
atmosphere having relative humidity of 65 percent and temperature of 70 
deg.F. The webbing shall be pulled back and forth through the buckle or 
manual adjusting device as shown schematically in Figure 7. The anchor 
end of the webbing (A) shall be attached to a weight (B) of 3 pounds. 
The webbing shall pass through the buckle (C), and the other end (D) 
shall be attached to a reciprocating device so that the webbing forms an 
angle of 8 deg. with the hinge stop (E). The reciprocating device shall 
be operated for 2,500 cycles at a rate of 18 cycles per minute with a 
stroke length of 8 inches. The abraded webbing shall be tested for 
breaking strength by the procedure described in paragraph S5.1(b).

[[Page 508]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.090



[[Page 509]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.091



[[Page 510]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.092


[GRAPHIC] [TIFF OMITTED] TC01AU91.093

[44 FR 72139, Dec. 13, 1979, as amended at 45 FR 29048, May 1, 1980; 46 
FR 2620, Jan. 12, 1981; 48 FR 30140, June 30, 1983; 49 FR 36508, Sept. 
18, 1984; 51 FR 9813, Mar. 21, 1986; 51 FR 31774, Sept. 5, 1986; 52 FR 
44912, Nov. 23, 1987; 56 FR 15299, Apr. 16, 1991; 56 FR 56325, Nov. 4, 
1991; 59 FR 17994, Apr. 15, 1994; 61 FR 20171, May 6, 1996]

[[Page 511]]



Sec. 571.210  Standard No. 210; Seat belt assembly anchorages.

    S1. Purpose and scope. This standard establishes requirements for 
seat belt assembly anchorages to insure their proper location for 
effective occupant restraint and to reduce the likelihood of their 
failure.
    S2. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3. Definition. Seat belt anchorage means any component, other than 
the webbing or straps, involved in transferring seat belt loads to the 
vehicle structure, including, but not limited to, the attachment 
hardware, seat frames, seat pedestals, the vehicle structure itself, and 
any part of the vehicle whose failure causes separation of the belt from 
the vehicle structure.
    S4. Requirements.
    S4.1  Type.
    S4.1.1  Seat belt anchorages for a Type 1 or a Type 2 seat belt 
assembly shall be installed for each designated seating position for 
which a Type 1 or a Type 2 seat belt assembly is required by Standard 
No. 208 (49 CFR 571.208). Seat belt anchorages for a Type 2 seat belt 
assembly shall be installed for each designated seating position for 
which a Type 2 seat belt assembly is required by Standard No. 208 (49 
CFR 571.208).
    S4.1.2  (a) Notwithstanding the requirement of S4.1.1, each vehicle 
manufactured on or after September 1, 1987 that is equipped with an 
automatic restraint at the front right outboard designated seating 
position, which automatic restraint cannot be used for securing a child 
restraint system or cannot be adjusted by the vehicle owner to secure a 
child restraint system solely through the use of attachment hardware 
installed as an item of original equipment by the vehicle manufacturer, 
shall have, at the manufacturer's option, either anchorages for a Type 1 
seat belt assembly installed at that position or a Type 1 or Type 2 seat 
belt assembly installed at that position. If a manufacturer elects to 
install anchorages for a Type 1 seat belt assembly to comply with this 
requiremen t, those anchorages shall consist of, at a minimum, holes 
threaded to accept bolts that comply with S4.1(f) of Standard No. 209 
(49 CFR 571.209).
    (b) The requirement in S4.1.1 of this standard that seat belt 
anchorages for a Type 1 or a Type 2 seat belt assembly shall be 
installed for certain designated seating positions does not apply to any 
such seating positions that are equipped with a seat belt assembly that 
meets the frontal crash protection requirements of S5.1 of Standard No. 
208 (49 CFR 571.208).
    S4.2  Strength.
    S4.2.1 Except as provided in S4.2.5, and except for side-facing 
seats, the anchorages, attachment hardware, and attachment bolts for any 
of the following seat belt assemblies shall withstand a 5,000-pound 
force when tested in accordance with S5.1 of this standard:
    (a) Type 1 seat belt assembly;
    (b) Lap belt portion of either a Type 2 or automatic seat belt 
assembly, if such seat belt assembly is voluntarily installed at a 
seating position; and
    (c) Lap belt portion of either a Type 2 or automatic seat belt 
assembly, if such seat belt assembly is equipped with a detachable upper 
torso belt.
    S4.2.2 Except as provided in S4.2.5, the anchorages, attachment 
hardware, and attachment bolts for all Type 2 and automatic seat belt 
assemblies that are installed to comply with Standard No. 208 (49 CFR 
571.208) shall withstand 3,000-pound forces when tested in accordance 
with S5.2.
    S4.2.3  Permanent deformation or rupture of a seat belt anchorage or 
its surrounding area is not considered to be a failure, if the required 
force is sustained for the specified time.
    S4.2.4 Anchorages, attachment hardware, and attachment bolts shall 
be tested by simultaneously loading them in accordance with the 
applicable procedures set forth in S5 of this standard if the anchorages 
are either:
    (a) For designated seating positions that are common to the same 
occupant seat and that face in the same direction, or
    (b) For laterally adjacent designated seating positions that are not 
common to the same occupant seat, but that face in the same direction, 
if the vertical centerline of the bolt hole for at least one of the 
anchorages for one of

[[Page 512]]

those designated seating positions is within 12 inches of the vertical 
centerline of the bolt hole for an anchorage for one of the adjacent 
seating positions.
    S4.2.5 The attachment hardware of a seat belt assembly, which is 
subject to the requirements of S5.1 of Standard No. 208 (49 CFR 571.208) 
by virtue of any provision of Standard No. 208 other than S4.1.2.1(c)(2) 
of that standard, does not have to meet the requirements of S4.2.1 and 
S4.2.2 of this standard.
    S4.3 Location. As used in this section, ``forward'' means the 
direction in which the seat faces, and other directional references are 
to be interpreted accordingly. Anchorages for seat belt assemblies that 
meet the frontal crash protection requirements of S5.1 of Standard No. 
208 (49 CFR 571.208) are exempt from the location requirements of this 
section.
    S4.3.1  Seat belt anchorages for Type 1 seat belt assemblies and the 
pelvic portion of Type 2 seat belt assemblies.
    S4.3.1.1 In an installation in which the seat belt does not bear 
upon the seat frame:
    (a) If the seat is a nonadjustable seat, then a line from the 
seating reference point to the nearest contact point of the belt with 
the anchorage shall extend forward from the anchorage at an angle with 
the horizontal of not less than 30 degrees and not more than 75 degrees.
    (b) If the seat is an adjustable seat, then a line from a point 2.50 
inches forward of and 0.375 inches above the seating reference point to 
the nearest contact point of the belt with the anchorage shall extend 
forward from the anchorage at an angle with the horizontal of not less 
than 30 degrees and not more than 75 degrees.
    S4.3.1.2  In an installation in which the belt bears upon the seat 
frame, the seat belt anchorage, if not on the seat structure, shall be 
aft of the rearmost belt contact point on the seat frame with the seat 
in the rearmost position. The line from the seating reference point to 
the nearest belt contact point on the seat frame, with the seat 
positioned at the seating reference point, shall extend forward from 
that contact point at an angle with the horizontal of not less than 30 
degrees and not more than 75 degrees.
    S4.3.1.3 In an installation in which the seat belt attaches to the 
seat structure, the line from the seating reference point to the nearest 
contact point of the belt with the hardware attaching it to the seat 
structure shall extend forward from that contact point at an angle with 
the horizontal of not less than 30 degrees and not more than 75 degrees.
    S4.3.1.4  Anchorages for an individual seat belt assembly shall be 
located at least 6.50 inches apart laterally, measured between the 
vertical centerline of the bolt holes or, for designs using another 
means of attachment to the vehicle structure, between the centroid of 
such means.
    S4.3.1.5 Notwithstanding the provisions of S4.3.1.1 through 
S4.3.1.4, the lap belt angle for seats behind the front row of seats 
shall be between 20 degrees and 75 degrees for vehicles manufactured 
between September 1, 1992 and September 1, 1993.
    S4.3.2  Seat belt anchorages for the upper torso portion of Type 2 
seat belt assemblies. Adjust the seat to its full rearward and downward 
position and adjust the seat back to its most upright position. With the 
seat and seat back so positioned, as specified by subsection (a) or (b) 
of this section, the upper end of the upper torso restraint shall be 
located within the acceptable range shown in Figure 1, with reference to 
a two-dimensional drafting template described in SAE Recommended 
Practice J826 (May 1987). The template's ``H'' point shall be at the 
design ``H'' point of the seat for its full rearward and full downward 
position, as defined in SAE Recommended Practice J1100 (June 1984), and 
the template's torso line shall be at the same angle from the vertical 
as the seat back.
    (a) For fixed anchorages, compliance with this section shall be 
determined at the vertical centerline of the bolt holes or, for designs 
using another means of attachment to the vehicle structure, at the 
centroid of such means.
    (b) For adjustable anchorages, compliance with this section shall be 
determined at the midpoint of the range of all adjustment positions.

[[Page 513]]

    S5. Test procedures. Each vehicle shall meet the requirements of 
S4.2 of this standard when tested according to the following procedures. 
Where a range of values is specified, the vehicle shall be able to meet 
the requirements at all points within the range. For the testing 
specified in these procedures, the anchorage shall be connected to 
material whose breaking strength is equal to or greater than the 
breaking strength of the webbing for the seat belt assembly installed as 
original equipment at that seating position. The geometry of the 
attachment duplicates the geometry, at the initiation of the test, of 
the attachment of the originally installed seat belt assembly.
    S5.1 Seats with Type 1 or Type 2 seat belt anchorages. With the seat 
in its rearmost position, apply a force of 5,000 pounds in the direction 
in which the seat faces to a pelvic body block as described in Figure 
2A, in a plane parallel to the longitudinal centerline of the vehicle, 
with an initial force application angle of not less than 5 degrees nor 
more than 15 degrees above the horizontal. Apply the force at the onset 
rate of not more than 50,000 pounds per second. Attain the 5,000 pound 
force in not more than 30 seconds and maintain it for 10 seconds. At the 
manufacturer's option, the pelvic body block described in Figure 2B may 
be substituted for the pelvic body block described in Figure 2A to apply 
the specified force to the center set(s) of anchorages for any group of 
three or more sets of anchorages that are simultaneously loaded in 
accordance with S4.2.4 of this standard.
    S5.2 Seats with Type 2 or automatic seat belt anchorages. With the 
seat in its rearmost position, apply forces of 3,000 pounds in the 
direction in which the seat faces simultaneously to a pelvic body block, 
as described in Figure 2A, and an upper torso body block, as described 
in Figure 3, in a plane parallel to the longitudinal centerline of the 
vehicle, with an initial force application angle of not less than 5 
degrees nor more than 15 degrees above the horizontal. Apply the forces 
at the onset rate of not more than 30,000 pounds per second. Attain the 
3,000 pound forces in not more than 30 seconds and maintain it for 10 
seconds. At the manufacturer's option, the pelvic body block described 
in Figure 2B may be substituted for the pelvic body block described in 
Figure 2A to apply the specified force to the center set(s) of 
anchorages for any group of three or more sets of anchorages that are 
simultaneously loaded in accordance with S4.2.4 of this standard.

[[Page 514]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.094



[[Page 515]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.095



[[Page 516]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.096


    S6. Owner's Manual Information. The owner's manual in each vehicle 
with a GVWR of 10,000 pounds or less manufactured after September 1, 
1987 shall include:
    (a) A section explaining that all child restraint systems are 
designed to be secured in vehicle seats by lap belts or the lap belt 
portion of a lap-shoulder belt. The section shall also explain that 
children could be endangered in a crash if their child restraints are 
not properly secured in the vehicle.
    (b) In a vehicle with rear designated seating positions, a statement 
alerting vehicle owners that, according to accident statistics, children 
are safer when properly restrained in the rear seating positions than in 
the front seating positions.
    S7. Installation Instructions. The owner's manual in each vehicle 
manufactured on or after September 1, 1987, with an automatic restraint 
at the front right outboard designated seating position that cannot be 
used to secure

[[Page 517]]

a child restraint system when the automatic restraint is adjusted to 
meet the performance requirements of S5.1 of Standard No. 208 shall 
have:
    (a) A statement that the automatic restraint at the front right 
outboard designated seating position cannot be used to secure a child 
restraint and, as appropriate, one of the following three statements:
    (1) A statement that the automatic restraint at the front right 
outboard designated seating position can be adjusted to secure a child 
restraint system using attachment hardware installed as original 
equipment by the vehicle manufacturer;
    (2) A statement that anchorages for installation of a lap belt to 
secure a child restraint system have been provided at the front right 
outboard designated seating position; or
    (3) A statement that a lap or manual lap or lap/shoulder belt has 
been installed by the vehicle manufacturer at the front right outboard 
designated seating position to secure a child restraint.
    (b) In each vehicle in which a lap or lap/shoulder belt is not 
installed at the front right outboard designated seating position as an 
item of original equipment, but the automatic restraint at that position 
can be adjusted by the vehicle owner to secure a child restraint system 
using an item or items of original equipment installed in the vehicle by 
the vehicle manufacturer, the owner's manual shall also have:
    (1) A diagram or diagrams showing the location of the attachment 
hardware provided by the vehicle manufacturer.
    (2) A step-by-step procedure with a diagram or diagrams showing how 
to modify the automatic restraint system to secure a child restraint 
system. The instructions shall explain the proper routing of the 
attachment hardware.
    (c) In each vehicle in which the automatic restraint at the front 
right outboard designated seating position cannot be modified to secure 
a child restraint system using attachment hardware installed as an 
original equipment by the vehicle manufacturer and a manual lap or lap/
shoulder belt is not installed as an item of original equipment by the 
vehicle manufacturer, the owner's manual shall also have:
    (1) A diagram or diagrams showing the locations of the lap belt 
anchorages for the front right outboard designated seating position.
    (2) A step-by-step procedure and a diagram or diagrams for 
installing the proper lap belt anchorage hardware and a Type 1 lap belt 
at the front right outboard designated seating position. The 
instructions shall explain the proper routing of the seat belt assembly 
and the attachment of the seat belt assembly to the lap belt anchorages.
[36 FR 22902, Dec. 2, 1971, as amended at 37 FR 9323, May 9, 1972; 43 FR 
21892, May 22, 1978; 43 FR 53442, Nov. 16, 1978; 50 FR 41359, Oct. 10, 
1985; 51 FR 9813, Mar. 21, 1986; 51 FR 29555, Aug. 19, 1986; 54 FR 
25278, June 14, 1989; 54 FR 46268, Nov. 2, 1989; 55 FR 17983, Apr. 30, 
1990; 55 FR 24241, June 15, 1990; 56 FR 63681, 63685, Dec. 5, 1991; 57 
FR 32904, July 24, 1992; 60 FR 3775, Jan. 19, 1995; 61 FR 19561, May 2, 
1996]

    Effective Date Note:  At 61 FR 19561, May 2, 1996, Sec. 571.210 was 
amended by removing S7, effective Sept. 1, 1998.



Sec. 571.211  [Reserved]



Sec. 571.212  Standard No. 212; Windshield mounting.

    S1. Scope. This standard establishes windshield retention 
requirements for motor vehicles during crashes.
    S2. Purpose. The purpose of this standard is to reduce crash 
injuries and fatalities by providing for retention of the vehicle 
windshield during a crash, thereby utilizing fully the penetration-
resistance and injury-avoidance properties of the windshield glazing 
material and preventing the ejection of occupants from the vehicle.
    S3. Application. This standard applies to passenger cars, and to 
multipurpose passenger vehicles, trucks, and buses having a gross 
vehicle weight rating of 4536 kilograms or less. However, it does not 
apply to forward control vehicles, walk-in van-type vehicles, or to 
open-body type vehicles with fold-down or removable windshields.
    S4. Definition. Passive restraint system means a system meeting the 
occupant crash protection requirements of S5. of Standard No. 208 by 
means that require no action by vehicle occupants.

[[Page 518]]

    S5. Requirements. When the vehicle travelling longitudinally forward 
at any speed up to and including 48 kilometers per hour impacts a fixed 
collision barrier that is perpendicular to the line of travel of the 
vehicle, under the conditions of S6, the windshield mounting of the 
vehicle shall retain not less than the minimum portion of the windshield 
periphery specified in S5.1 and S5.2.
    S5.1  Vehicles equipped with passive restraints. Vehicles equipped 
with passive restraint systems shall retain not less than 50 percent of 
the portion of the windshield periphery on each side of the vehicle 
longitudinal centerline.
    S5.2  Vehicles not equipped with passive restraints. Vehicles not 
equipped with passive restraint systems shall retain not less than 75 
percent of the windshield periphery.
    S6. Test conditions. The requirements of S5. shall be met under the 
following conditions:
    S6.1  The vehicle, including test devices and instrumentation, is 
loaded as follows:
    (a) Except as specified in S6.2, a passenger car is loaded to its 
unloaded vehicle weight plus its cargo and luggage capacity weight, 
secured in the luggage area, plus a 50th-percentile test dummy as 
specified in part 572 of this chapter at each front outboard designated 
seating position and at any other position whose protection system is 
required to be tested by a dummy under the provisions of Standard No. 
208. Each dummy is restrained only by means that are installed for 
protection at its seating position.
    (b) Except as specified in S6.2, a multipurpose passenger vehicle, 
truck or bus is loaded to its unloaded vehicle weight, plus 136 
kilograms or its rated cargo and luggage capacity, whichever is less, 
secured to the vehicle, plus a 50th-percentile test dummy as specified 
in part 572 of this chapter at each front outboard designated seating 
position and at any other position whose protection system is required 
to be tested by a dummy under the provisions of Standard No. 208. Each 
dummy is restrained only by means that are installed for protection at 
its seating position. The load is distributed so that the weight on each 
axle as measured at the tire-ground interface is in proportion to its 
GAWR. If the weight on any axle when the vehicle is loaded to its 
unloaded vehicle weight plus dummy weight exceeds the axle's 
proportional share of the test weight, the remaining weight is placed so 
that the weight on that axle remains the same. For the purposes of this 
section, unloaded vehicle weight does not include the weight of work-
performing accessories. Vehicles are tested to a maximum unloaded 
vehicle weight of 2,495 kilograms.
    S6.2  The fuel tank is filled to any level from 90 to 95 percent of 
capacity.
    S6.3  The parking brake is disengaged and the transmission is in 
neutral.
    S6.4  Tires are inflated to the vehicle manufacturer's 
specifications.
    S6.5  The windshield mounting material and all vehicle components in 
direct contact with the mounting material are at any temperature between 
-9 degrees Celsius and +43 degrees Celsius.
[41 FR 36494, Aug. 30, 1976, as amended at 42 FR 34289, July 5, 1977; 45 
FR 22046, Apr. 3, 1980; 60 FR 13647, Mar. 14, 1995]



Sec. 571.213  Standard No. 213; Child restraint systems.

    S1. Scope. This standard specifies requirements for child restraint 
systems used in motor vehicles and aircraft.
    S2. Purpose. The purpose of this standard is to reduce the number of 
children killed or injured in motor vehicle crashes and in aircraft.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks and buses, and to child 
restraint systems for use in motor vehicles and aircraft.
    S4. Definitions.
    Add-on child restraint system means any portable child restraint 
system.
    Backless child restraint system means a child restraint, other than 
a belt-positioning seat, that consists of a seating platform that does 
not extend up to provide a cushion for the child's back or head and has 
a structural element designed to restrain forward motion of the child's 
torso in a forward impact.
    Belt-positioning seat means a child restraint system that positions 
a child on a vehicle seat to improve the fit of a vehicle Type II belt 
system on the

[[Page 519]]

child and that lacks any component, such as a belt system or a 
structural element, designed to restrain forward movement of the child's 
torso in a forward impact.
    Booster seat means either a backless child restraint system or a 
belt-positioning seat.
    Built-in child restraint system means a child restraint system that 
is designed to be an integral part of and permanently installed in a 
motor vehicle.
    Car bed means a child restraint system designed to restrain or 
position a child in the supine or prone position on a continuous flat 
surface.
    Child restraint system means any device except Type I or Type II 
seat belts, designed for use in a motor vehicle or aircraft to restrain, 
seat, or position children who weigh 50 pounds or less.
    Contactable surface means any child restraint system surface (other 
than that of a belt, belt buckle, or belt adjustment hardware) that may 
contact any part of the head or torso of the appropriate test dummy, 
specified in S7, when a child restraint system is tested in accordance 
with S6.1.
    Factory-installed built-in child restraint system means a built-in 
child restraint system that has been or will be permanently installed in 
a motor vehicle before that vehicle is certified as a completed or 
altered vehicle in accordance with part 567 of this chapter.
    Rear-facing child restraint system means a child restraint system, 
except a car bed, that positions a child to face in the direction 
opposite to the normal direction of travel of the motor vehicle.
    Representative aircraft passenger seat means either a Federal 
Aviation Administration approved production aircraft passenger seat or a 
simulated aircraft passenger seat conforming to Figure 6.
    Seat orientation reference line or SORL means the horizontal line 
through Point Z as illustrated in Figure 1A.
    Specific vehicle shell means the actual vehicle model part into 
which the built-in child restraint system is or is intended to be 
fabricated, including the complete surroundings of the built-in system. 
If the built-in child restraint system is or is intended to be 
fabricated as part of any seat other than a front seat, these 
surroundings include the back of the seat in front, the interior rear 
side door panels and trim, the floor pan, adjacent pillars (e.g., the B 
and C pillars), and the ceiling. If the built-in system is or is 
intended to be fabricated as part of the front seat, these surroundings 
include the dashboard, the steering mechanism and its associated trim 
hardware, any levers and knobs installed on the floor or on a console, 
the interior front side door panels and trim, the front seat, the floor 
pan, the A pillars and the ceiling.
    Torso means the portion of the body of a seated anthropomorphic test 
dummy, excluding the thighs, that lies between the top of the child 
restraint system seating surface and the top of the shoulders of the 
test dummy.
    S5. Requirements. (a) Each motor vehicle with a built-in child 
restraint system shall meet the requirements in this section when, as 
specified, tested in accordance with S6.1 and this paragraph.
    (b) Each child restraint system manufactured for use in motor 
vehicles shall meet the requirements in this section when, as specified, 
tested in accordance with S6.1 and this paragraph. Each add-on system 
shall meet the requirements at each of the restraint's seat back angle 
adjustment positions and restraint belt routing positions, when the 
restraint is oriented in the direction recommended by the manufacturer 
(e.g., forward, rearward or laterally) pursuant to S5.6, and tested with 
the test dummy specified in S7.
    (c) Each child restraint system manufactured for use in aircraft 
shall meet the requirements in this section and the additional 
requirements in S8.
    S5.1 Dynamic performance.
    S5.1.1  Child restraint system integrity. When tested in accordance 
with S6.1, each child restraint system shall meet the requirements of 
paragraphs (a) through (c) of this section.
    (a) Exhibit no complete separation of any load bearing structural 
element and no partial separation exposing either surfaces with a radius 
of less than \1/4\ inch or surfaces with protrusions greater than \3/8\ 
inch above the immediate adjacent surrounding contactable surface of any 
structural element of the system.

[[Page 520]]

    (b)(1) If adjustable to different positions, remain in the same 
adjustment position during the testing that it was in immediately before 
the testing, except as otherwise specified in paragraph (b)(2).
    (2)(i) Subject to paragraph (b)(2)(ii), a rear-facing child 
restraint system may have a means for repositioning the seating surface 
of the system that allows the system's occupant to move from a reclined 
position to an upright position and back to a reclined position during 
testing.
    (ii) No opening that is exposed and is larger than \1/4\ inch before 
the testing shall become smaller during the testing as a result of the 
movement of the seating surface relative to the restraint system as a 
whole.
    (c) If a front facing child restraint system, not allow the angle 
between the system's back support surfaces for the child and the 
system's seating surface to be less than 45 degrees at the completion of 
the test.
    S5.1.2  Injury criteria. When tested in accordance with S6.1, each 
child restraint system that, in accordance with S5.5.2(f), is 
recommended for use by children whose masses are more than 10 kilograms 
(kg) shall--
    (a) Limit the resultant acceleration at the location of the 
accelerometer mounted in the test dummy head as specified in part 572 
such that the expression:
[GRAPHIC] [TIFF OMITTED] TC01AU91.097


shall not exceed 1,000, where a is the resultant acceleration expressed 
as a multiple of g (the acceleration of gravity), and t1 and 
t2 are any two moments during the impacts.
    (b) Limit the resultant acceleration at the location of the 
accelerometer mounted in the test dummy upper thorax as specified in 
part 572 to not more than 60 g's, except for intervals whose cumulative 
duration is not more than 3 milliseconds.
    S5.1.3 Occupant excursion. When tested in accordance with S6.1, each 
child restraint system shall meet the applicable excursion limit 
requirements specified in S5.1.3.1-S5.1.3.3.
    S5.1.3.1  Child restraint systems other than rear-facing ones and 
car beds. Each child restraint system, other than a rear-facing child 
restraint system or a car bed, shall retain the test dummy's torso 
within the system.
    (a) In the case of an add-on child restraint system, no portion of 
the test dummy's head shall pass through a vertical, transverse plane 
that is 813 mm forward of point Z on the standard seat assembly, 
measured along the center SORL (as illustrated in figure 1B), and 
neither knee pivot point shall pass through a vertical, transverse plane 
that is 915 mm forward of point Z on the standard seat assembly, 
measured along the center SORL.
    (b) In the case of a built-in child restraint system, neither knee 
pivot point shall, at any time during the dynamic test, pass through a 
vertical, transverse plane that is 305 mm forward of the initial pre-
test position of the respective knee pivot point, measured along a 
horizontal line that passes through the knee pivot point and is parallel 
to the vertical plane that passes through the vehicle's longitunal 
centerline.
    S5.1.3.2  Rear-facing child restraint systems. In the case of each 
rear-facing child restraint system, all portions of the test dummy's 
torso shall be retained within the system and neither of the target 
points on either side of the dummy's head and on the transverse axis 
passing through the center of mass of the dummy's head and perpendicular 
to the head's midsagittal plane, shall pass through the transverse 
orthogonal planes whose intersection contains the forward-most and top-
most points on the child restraint system surfaces (illustrated in 
Figure 1C).
    S5.1.3.3 Car beds. In the case of car beds, all portions of the test 
dummy's head and torso shall be retained within the confines of the car 
bed.
    S5.1.4 Back support angle. When a rear-facing child restraint system 
is tested in accordance with S6.1, the angle between the system's back 
support surface for the child and the vertical shall not exceed 70 
degrees.
    S5.2 Force distribution.

[[Page 521]]

    S5.2.1 Minimum head support surface--child restraints other than car 
beds.
    S5.2.1.1 Except as provided in S5.2.1.2, each child restraint system 
other than a car bed shall provide restraint against rearward movement 
of the head of the child (rearward in relation to the child) by means of 
a continuous seat back which is an integral part of the system and 
which--
    (a) Has a height, measured along the system seat back surface for 
the child in the vertical longitudinal plane passing through the 
longitudinal centerline of the child restraint systems from the lowest 
point on the system seating surface that is contacted by the buttocks of 
the seated dummy, as follows:

------------------------------------------------------------------------
                                                         Height  \2\ (in
                Weight  \1\ (in pounds)                      inches)    
------------------------------------------------------------------------
Less than 20 lb.......................................                18
20 lb or more, but not more than 40 lb................                20
More than 40 lb.......................................                22
------------------------------------------------------------------------
\1\ When a child restraint system is recommended under S5.5(f) for use  
  by children of the above weights.                                     
\2\ The height of the portion of the system seat back providing head    
  restraint shall not be less than the above.                           

    (b) Has a width of not less than 8 inches, measured in the 
horizontal plane at the height specified in paragraph (a) of this 
section. Except that a child restraint system with side supports 
extending at least 4 inches forward from the padded surface of the 
portion of the restraint system provided for support of the child's head 
may have a width of not less than 6 inches, measured in the horizontal 
plane at the height specified in paragraph (a) of this section.
    (c) Limits the rearward rotation of the test dummy head so that the 
angle between the head and torso of the dummy specified in S7. when 
tested in accordance with S6.1 is not more than 45 degrees greater than 
the angle between the head and torso after the dummy has been placed in 
the system in accordance with S6.1.2.3 and before the system is tested 
in accordance with S6.1.
    S5.2.1.2  The applicability of the requirements of S5.2.1.1 to a 
front-facing child restraint, and the conformance of any child restraint 
other than a car bed to those requirements is determined using the 
largest of the test dummies specified in S7.1 for use in testing that 
restraint; provided, that the 6-year-old dummy described in subpart I of 
part 572 of this title is not used to determine the applicability of or 
compliance with S5.2.1.1. A front-facing child restraint system is not 
required to comply with S5.2.1.1 if the target point on either side of 
the dummy's head is below a horizontal plane tangent to the top of--
    (a) The standard seat assembly, in the case of an add-on child 
restraint system, when the dummy is positioned in the system and the 
system is installed on the assembly in accordance with S6.1.2.
    (b) The vehicle seat, in the case of a built-in child restraint 
system, when the system is activated and the dummy is positioned in the 
system in accordance with S6.1.2.
    S5.2.2 Torso impact protection. Each child restraint system other 
than a car bed shall comply with the applicable requirements of S5.2.2.1 
and S5.2.2.2.
    S5.2.2.1(a) The system surface provided for the support of the 
child's back shall be flat or concave and have a continuous surface area 
of not less than 85 square inches.
    (b) Each system surface provided for support of the side of the 
child's torso shall be flat or concave and have a continuous surface of 
not less than 24 square inches for systems recommended for children 
weighing 20 pounds or more, or 48 square inches for systems recommended 
for children weighing less than 20 pounds.
    (c) Each horizontal cross section of each system surface designed to 
restrain forward movement of the child's torso shall be flat or concave 
and each vertical longitudinal cross section shall be flat or convex 
with a radius of curvature of the underlying structure of not less than 
2 inches.
    S5.2.2.2  Each forward-facing child restraint system shall have no 
fixed or movable surface--
    (a) Directly forward of the dummy and intersected by a horizontal 
line--
    (1) Parallel to the SORL, in the case of the add-on child restraint 
system, or
    (2) Parallel to a vertical plane through the longitudinal center 
line of the vehicle seat, in the case of a built-in child restraint 
system, and,
    (b) Passing through any portion of the dummy, except for surfaces 
which

[[Page 522]]

restrain the dummy when the system is tested in accordance with 
S6.1.2(a)(2), so that the child restraint system shall conform to the 
requirements of S5.1.2 and S5.1.3.1.
    S5.2.3 Head impact protection.
    S5.2.3.1  Each child restraint system, other than a child harness, 
which is recommended under S5.5.2(f) for children whose masses are less 
than 10 kg, shall comply with S5.2.3.2.
    S5.2.3.2 Each system surface, except for protrusions that comply 
with S5.2.4, which is contactable by the dummy head when the system is 
tested in accordance with S6.1 shall be covered with slow recovery, 
energy absorbing material with the following characteristics:
    (a) A 25 percent compression-deflection resistance of not less than 
0.5 and not more than 10 pounds per square inch when tested in 
accordance with S6.3.
    (b) A thickness of not less than \1/2\ inch for materials having a 
25 percent compression-deflection resistance of not less than 1.8 and 
not more than 10 pounds per square inch when tested in accordance with 
S6.3. Materials having a 25 percent compression-deflection resistance of 
less than 1.8 pounds per square inch shall have a thickness of not less 
than \3/4\ inch.
    S5.2.4 Protrusion limitation. Any portion of a rigid structural 
component within or underlying a contactable surface, or any portion of 
a child restraint system surface that is subject to the requirements of 
S5.2.3 shall, with any padding or other flexible overlay material 
removed, have a height above any immediately adjacent restraint system 
surface of not more than \3/8\ inch and no exposed edge with a radius of 
less than \1/4\ inch.
    S5.3 Installation.
    S5.3.1 Each add-on child restraint system shall have no means 
designed for attaching the system to a vehicle seat cushion or vehicle 
seat back and no component (except belts) that is designed to be 
inserted between the vehicle seat cushion and vehicle seat back.
    S5.3.2  When installed on a vehicle seat, each add-on child 
restraint system, other than child harnesses and belt-positioning seats, 
shall be capable of being restrained against forward movement solely by 
means of a Type I seat belt assembly (defined in Sec. 571.209) that 
meets Standard No. 208 (Sec. 571.208), or by means of a Type I seat belt 
assembly plus one additional anchorage strap that is supplied with the 
system and conforms to S5.4. Each belt-positioning seat shall be capable 
of being restrained against forward movement solely by means of a Type 
II seat belt assembly (defined in Sec. 571.209) that meets Standard No. 
208 (Sec. 571.208).
    S5.3.3 Car beds. Each car bed shall be designed to be installed on a 
vehicle seat so that the car bed's longitudinal axis is perpendicular to 
a vertical longitudinal plane through the longitudinal axis of the 
vehicle.
    S5.4 Belts, belt buckles, and belt webbing.
    S5.4.1 Performance requirements. The webbing of belts provided with 
a child restrain system and used to attach the system to the vehicle or 
to restrain the child within the system shall--
    (a) After being subjected to abrasion as specified in S5.1(d) or 
S5.3(c) of FMVSS 209 (Sec. 571.209), have a breaking strength of not 
less than 75 percent of the strength of the unabraded webbing when 
tested in accordance with S5.1(b) of FMVSS 209.
    (b) Meet the requirements of S4.2 (e) and (f) of FMVSS No. 209 
(Sec. 571.209); and
    (c) If contactable by the test dummy torso when the system is tested 
in accordance with S6.1, have a width of not less than 1\1/2\ inches 
when measured in accordance with S5.4.1.1.
    S5.4.1.1  Width test procedure. Condition the webbing for 24 hours 
in an atmosphere of any relative humidity between 48 and 67 percent, and 
any ambient temperature between 70 deg. and 77 deg. F. Measure belt 
webbing width under a tension of 5 pounds applied lengthwise.
    S5.4.2  Belt buckles and belt adjustment hardware. Each belt buckle 
and item of belt adjustment hardware used in a child restraint system 
shall conform to the requirements of S4.3(a) and S4.3(b) of FMVSS No. 
209 (Sec. 571.209).
    S5.4.3  Belt Restraint.
    S5.4.3.1  General. Each belt that is part of a child restraint 
system and that is designed to restrain a child using the system shall 
be adjustable to snugly fit any child whose height and

[[Page 523]]

weight are within the ranges recommended in accordance with S5.5.2(f) 
and who is positioned in the system in accordance with the instructions 
required by S5.6.
    S5.4.3.2  Direct restraint. Except for a child restraint system 
whose mass is less than 4.4 kg, each belt that is part of a child 
restraint system and that is designed to restrain a child using the 
system and to attach the system to the vehicle, and each Type I and lap 
portion of a Type II vehicle belt that is used to attach the system to 
the vehicle shall, when tested in accordance with S6.1, impose no loads 
on the child that result from the mass of the system, or
    (a) In the case of an add-on child restraint system, from the mass 
of the seat back of the standard seat assembly specified in S6.1, or
    (b) In the case of a built-in child restraint system, from the mass 
of any part of the vehicle into which the child restraint system is 
built.
    S5.4.3.3  Seating systems. Except for child restraint systems 
subject to S5.4.3.4, each child restraint system that is designed for 
use by a child in a seated position and that has belts designed to 
restrain the child, shall, with the test dummy specified in S7 
positioned in the system in accordance with S10 provide:
    (a) Upper torso restraint in the form of:
    (i) Belts passing over each shoulder of the child, or
    (ii) A fixed or movable surface that complies with S5.2.2.1(c), and
    (b) Lower torso restraint in the form of:
    (i) A lap belt assembly making an angle between 45 deg. and 90 deg. 
with the child restraint seating surface at the lap belt attachment 
points, or
    (ii) A fixed or movable surface that complies with S5.2.2.1(c), and
    (c) In the case of each seating system recommended for children 
whose masses are more than 10 kg, crotch restraint in the form of:
    (i) A crotch belt connectable to the lap belt or other device used 
to restrain the lower torso, or
    (ii) A fixed or movable surface that complies with S5.2.2.1(c).
    S5.4.3.4  Harnesses. Each child harness shall:
    (a) Provide upper torso restraint, including belts passing over each 
shoulder of the child;
    (b) Provide lower torso restraint by means of lap and crotch belt; 
and
    (c) Prevent a child of any height for which the restraint is 
recommended for use pursuant to S5.5.2(f) from standing upright on the 
vehicle seat when the child is placed in the device in accordance with 
the instructions required by S5.6.
    S5.4.3.5 Buckle release. Any buckle in a child restraint system belt 
assembly designed to restrain a child using the system shall:
    (a) When tested in accordance with S6.2.1 prior to the dynamic test 
of S6.1, not release when a force of less than 40 newtons (N) is applied 
and shall release when a force of not more than 62 N is applied;
    (b) After the dynamic test of S6.1, when tested in accordance with 
the appropriate sections of S6.2, release when a force of not more than 
71 N is applied, provided, however, that the conformance of any child 
restraint to this requirement is determined using the largest of the 
test dummies specified in S7 for use in testing that restraint when the 
restraint is facing forward, rearward, and/or laterally;
    (c) Meet the requirements of S4.3(d)(2) of FMVSS No. 209 
(Sec. 571.209), except that the minimum surface area for child restraint 
buckles designed for push button application shall be 0.6 square inch;
    (d) Meet the requirements of S4.3(g) of FMVSS No. 209 (Sec. 571.209) 
when tested in accordance with S5.2(g) of FMVSS No. 209; and
    (e) Not release during the testing specified in S6.1.
    S5.5  Labeling.
    S5.5.1  Each add-on child restraint system shall be permanently 
labeled with the information specified in S5.5.2 (a) through (m).
    S5.5.2  The information specified in paragraphs (a) through (m) of 
this section shall be stated in the English language and lettered in 
letters and numbers that are not smaller than 10 point type and are on a 
contrasting background.

[[Page 524]]

    (a) The model name or number of the system.
    (b) The manufacturer's name. A distributor's name may be used 
instead if the distributor assumes responsibility for all duties and 
liabilities imposed on the manufacturer with respect to the system by 
the National Traffic and Motor Vehicle Safety Act, as amended.
    (c) The statement: ``Manufactured in ____,'' inserting the month and 
year of manufacture.
    (d) The place of manufacture (city and State, or foreign country). 
However, if the manufacturer uses the name of the distributor, then it 
shall state the location (city and State, or foreign country) of the 
principal offices of the distributor.
    (e) The statement: ``This child restraint system conforms to all 
applicable Federal motor vehicle safety standards.''
    (f) One of the following statements, inserting the manufacturer's 
recommendations for the maximum mass and height of children who can 
safely occupy the system, except that booster seats shall not be 
recommended for children whose masses are less than 13.6 kg:
    (1) This infant restraint is designed for use by children who weigh 
____________ pounds (____________ kg) or less and whose height is 
(insert values in English and metric units; use of word ``mass'' in 
label is optional) or less; or
    (2) This child restraint is designed for use only by children who 
weigh between ____________ and ____________ pounds (insert appropriate 
metric values; use of word ``mass'' is optional) and whose height is 
(insert appropriate values in English and metric units) or less and who 
are capable of sitting upright alone; or
    (3) This child restraint is designed for use only by children who 
weigh between ____________ and ____________ pounds (insert appropriate 
metric values; use of word ``mass'' is optional) and whose height is 
between ____________ and ____________ inches (insert appropriate values 
in English and metric units).
    (g) The following statement, inserting the location of the 
manufacturer's installation instruction booklet or sheet on the 
restraint:

WARNING! FAILURE TO FOLLOW EACH OF THE FOLLOWING INSTRUCTIONS CAN RESULT 
IN YOUR CHILD STRIKING THE VEHICLE'S INTERIOR DURING A SUDDEN STOP OR 
CRASH.
SECURE THIS CHILD RESTRAINT WITH A VEHICLE BELT AS SPECIFIED IN THE 
MAUFACTURER'S INSTRUCTIONS LOCATED____.

    (h) In the case of each child restraint system that has belts 
designed to restrain children using them:

SNUGLY ADJUST THE BELTS PROVIDED WITH THIS CHILD RESTRAINT AROUND YOUR 
CHILD.

    (i)(1) For a booster seat that is recommended for use with either a 
vehicle's Type I or Type II seat belt assembly, one of the following 
statements, as appropriate:
    (i) WARNING! USE ONLY THE VEHICLE'S LAP AND SHOULDER BELT SYSTEM 
WHEN RESTRAINING THE CHILD IN THIS BOOSTER SEAT; or,
    (ii) WARNING! USE ONLY THE VEHICLE'S LAP BELT SYSTEM, OR THE LAP 
BELT PART OF A LAP/SHOULDER BELT SYSTEM WITH THE SHOULDER BELT PLACED 
BEHIND THE CHILD, WHEN RESTRAINING THE CHILD IN THIS SEAT.
    (2)(i) Except as provided in paragraph (i)(2)(ii) of this section, 
for a booster seat which is recommended for use with both a vehicle's 
Type I and Type II seat belt assemblies, the following statement:

WARNING! USE ONLY THE VEHICLE'S LAP BELT SYSTEM, OR THE LAP BELT PART OF 
A LAP/SHOULDER BELT SYSTEM WITH THE SHOULDER BELT PLACED BEHIND THE 
CHILD, WHEN RESTRAINING THE CHILD WITH THE insert description of the 
system element provided to restrain forward movement of the child's 
torso when used with a lap belt (e.g., shield), AND ONLY THE VEHICLE'S 
LAP AND SHOULDER BELT SYSTEM WHEN USING THIS BOOSTER WITHOUT THE insert 
above description.

    (ii) A booster seat which is recommended for use with both a 
vehicle's Type I and Type II seat belt assemblies is not subject to 
S5.5.2(i)(2)(i) if, when the booster is used with the shield or similar 
component, the booster will cause the shoulder belt to be located in a 
position other than in front of the child when the booster is installed. 
However, such a booster shall be labeled with a warning to use the 
booster

[[Page 525]]

with the vehicle's lap and shoulder belt system when using the booster 
without a shield.
    (j) In the case of each child restraint system equipped with an 
anchorage strap, the statement:

SECURE THE TOP ANCHORAGE STRAP PROVIDED WITH THIS CHILD RESTRAINT AS 
SPECIFIED IN THE MANUFACTURER'S INSTRUCTIONS.

    (k) At the manufacturer's option, child restraint systems 
manufactured before May 27, 1997 may comply with the requirements of 
S5.5.2(k)(4) or S5.5.2(k)(5) as appropriate, instead of the requirements 
of S5.5.2(k)(1)(ii) or S5.5.2(k)(2)(ii).
    (1) In the case of each rear-facing child restraint system that is 
designed for infants only, the following statements--

    (i) ``PLACE THIS INFANT RESTRAINT IN A REAR-FACING POSITION WHEN 
USING IT IN THE VEHICLE.''
    (ii) ``WARNING: DO NOT PLACE THIS RESTRAINT IN THE FRONT SEAT OF A 
VEHICLE THAT HAS A PASSENGER SIDE AIR BAG. (insert a statement that 
describes the consequences of not following the warning.)

    (2) In the case of a child restraint system that is designed to be 
used rearward-facing for infants and forward facing for older children, 
the following statements--

    (i) ``PLACE THIS CHILD RESTRAINT IN A REAR-FACING POSITION WHEN 
USING IT WITH AN INFANT WEIGHING LESS THAN (insert a recommended weight 
that is not less than 20 pounds).''
    (ii) ``WARNING: WHEN THIS RESTRAINT IS USED REAR-FACING, DO NOT 
PLACE IT IN THE FRONT SEAT OF A VEHICLE THAT HAS A PASSENGER SIDE AIR 
BAG. (Insert a statement that describes the consequences of not 
following the warning.)''

    (3) The statements required by paragraphs (k)(1)(ii) and (k)(2)(ii) 
shall be on a red, orange or yellow contrasting background, and placed 
on the restraint so that it is on the side of the restraint designed to 
be adjacent to the front passenger door of a vehicle and is visible to a 
person installing the rear-facing child restraint system in the front 
passenger seat.
    (4) Except as provided in (k)(5) of this section, in the case of 
each child restraint system that can be used in a rear-facing position 
and is manufactured on or after May 27, 1997, instead of the warning 
specified in S5.5.2(k)(1)(ii) or S5.5.2(k)(2)(ii) of this standard, a 
label that conforms in content to Figure 10 and to the requirements of 
S5.5.2(k)(4)(i) through S5.5.2(k)(4)(iii) of this standard shall be 
permanently affixed to the outer surface of the cushion or padding in or 
adjacent to the area where a child's head would rest, so that the label 
is plainly visible and easily readable.
    (i) The heading area shall be yellow with the word ``warning'' and 
the alert symbol in black.
    (ii) The message area shall be white with black text. The message 
area shall be no less than 30 square cm.
    (iii) The pictogram shall be black with a red circle and slash on a 
white background. The pictogram shall be no less than 30 mm in diameter.
    (5) If a child restraint system is equipped with a device that 
deactivates the passenger-side air bag in a vehicle when and only when 
the child restraint is installed in the vehicle and provides a signal, 
for at least 10 seconds after deactivation, that the air bag is 
deactivated, the label specified in Figure 10 may include the phrase 
``unless air bag is off'' after ``on front seat with air bag.''
    (l) An installation diagram showing the child restraint system 
installed in the right front outboard seating position equipped with a 
continuous-loop lap/shoulder belt and in the center rear seating 
position as specified in the manufacturer's instructions.
    (m) The following statement, inserting an address and telephone 
number: ``Child restraints could be recalled for safety reasons. You 
must register this restraint to be reached in a recall. Send your name, 
address and the restraint's model number and manufacturing date to 
(insert address) or call (insert telephone number). For recall 
information, call the U.S. Government's Auto Safety Hotline at 1-800-
424-9393 (202-366-0123 in DC area).''
    (n) Child restraint systems, other than belt-positioning seats, 
harnesses and backless child restraint systems, may be certified as 
complying with the provisions of S8. Child restraints that are so 
certified shall be labeled with

[[Page 526]]

the statement ``This Restraint is Certified for Use in Motor Vehicles 
and Aircraft.'' Belt-positioning seats, harnesses and backless child 
restraint systems shall be labeled with the statement ``This Restraint 
is Not Certified for Use in Aircraft.'' The statement required by this 
paragraph shall be in red lettering and shall be placed after the 
certification statement required by S5.5.2(e).
    S5.5.3  The information specified in S5.5.2 (g) through (k) shall be 
located on the add-on child restraint system so that it is visible when 
the system is installed as specified in S5.6.1.
    S5.5.4  (a) Each built-in child restraint system other than a 
factory-installed built-in restraint shall be permanently labeled with 
the information specified in S5.5.5 (a) through (l). The information 
specified in S5.5.5(a) through (j) and in S5.5.5(l) shall be visible 
when the system is activated for use.
    (b) Each factory-installed built-in child restraint shall be 
permanently labeled with the information specified in S5.5.5(f) through 
(j) and S5.5.5(l), so that the information is visible when the restraint 
is activated for use. The information shall also be included in the 
vehicle owner's manual.
    S5.5.5  The information specified in paragraphs (a) through (l) of 
this section that is required by S5.5.4 shall be in English and lettered 
in letters and numbers that are not smaller than 10-point type and are 
on a contrasting background.
    (a) The model name or number of the system.
    (b) The manufacturer's name. A distributor's or dealer's name may be 
used instead if the distributor or dealer assumes responsibility for all 
duties and liabilities imposed on the manufacturer with respect to the 
system by the National Traffic and Motor Vehicle Safety Act, as amended.
    (c) The statement: ``Manufactured in ______,'' inserting the month 
and year of manufacture.
    (d) The place of manufacture (city and State, or foreign country). 
However, if the manufacturer uses the name of the distributor or dealer, 
then it shall state the location (city and State, or foreign country) of 
the principal offices of the distributor or dealer.
    (e) The statement: ``This child restraint system conforms to all 
applicable Federal motor vehicle safety standards.''
    (f) One of the following statements, inserting the manufacturer's 
recommendations for the maximum mass and height of children who can 
safely occupy the system, except that booster seats shall not be 
recommended for children whose masses are less than 13.6 kg:
    (1) This infant restraint is designed for use by children who weigh 
____________ pounds (____________ kg) or less and whose height is 
(insert values in English and metric units; use of word ``mass'' in 
label is optional); or
    (2) This child restraint is designed for use only by children who 
weigh between ____________ and____________ pounds (insert appropriate 
metric values; use of word ``mass'' is optional) and whose height is 
(insert appropriate values in English and metric units) or less and who 
are capable of sitting upright alone; or
    (3) This child restraint is designed for use only by children who 
weigh between ____________ and ____________ pounds (insert appropriate 
metric values; use of word ``mass'' is optional) and whose height is 
between ____________ and ____________ inches (insert appropriate values 
in English and metric units).
    (g) The statement specified in paragraph (1), and if appropriate, 
the statement in paragraph (2):

    (1) WARNING! FAILURE TO FOLLOW THE MANUFACTURER'S INSTRUCTIONS ON 
THE USE OF THIS CHILD RESTRAINT SYSTEM CAN RESULT IN YOUR CHILD STRIKING 
THE VEHICLE'S INTERIOR DURING A SUDDEN STOP OR CRASH.

    (2) In the case of each built-in child restraint system which is not 
intended for use in the motor vehicle in certain adjustment positions or 
under certain circumstances, an appropriate statement of the 
manufacturer's restrictions regarding those positions or circumstances, 
in capitalized letters.

[[Page 527]]

    (h) In the case of each built-in child restraint system that has 
belts designed to restrain children using them:

SNUGLY ADJUST THE BELTS PROVIDED WITH THIS CHILD RESTRAINT AROUND YOUR 
CHILD.

    (i) In the case of each built-in child restraint which can be used 
in a rear-facing position, the following statement:

PLACE AN INFANT IN A REAR-FACING POSITION IN THIS CHILD RESTRAINT.

    (j) A diagram or diagrams showing the fully activated child 
restraint system in infant and/or child configurations.
    (k) The following statement, inserting an address and telephone 
number: ``Child restraints could be recalled for safety reasons. You 
must register this restraint to be reached in a recall. Send your name, 
address and the restraint's model number and manufacturing date to 
(insert address) or call (insert telephone number). For recall 
information, call the U.S. Government's Auto Safety Hotline at 1-800-
424-9393 (202-366-0123 in DC area).''
    (l) In the case of a built-in belt-positioning seat that uses either 
the vehicle's Type I or Type II belt systems or both, a statement 
describing the manufacturer's recommendations for the maximum height and 
weight of children who can safely occupy the system and how the booster 
should be used (e.g., with or without shield) with the different vehicle 
belt systems.
    S5.6  Printed Instructions for Proper Use.
    S5.6.1  Add-on child restraint systems. Each add-on child restraint 
system shall be accompanied by printed installation instructions in the 
English language that provide a step-by-step procedure, including 
diagrams, for installing the system in motor vehicles, securing the 
system in the vehicles, positioning a child in the system, and adjusting 
the system to fit the child.
    S5.6.1.1  In a vehicle with rear designated seating positions, the 
instructions shall alert vehicle owners that, according to accident 
statistics, children are safer when properly restrained in the rear 
seating positions than in the front seating positions.
    S5.6.1.2  The instructions shall specify in general terms the types 
of vehicles, the types of seating positions, and the types of vehicle 
safety belts with which the add-on child restraint system can or cannot 
be used.
    S5.6.1.3  The instructions shall explain the primary consequences of 
not following the warnings required to be labeled on the child restraint 
system in accordance with S5.5.2 (g) through (k).
    S5.6.1.4  The instructions for each car bed shall explain that the 
car bed should position in such a way that the child's head is near the 
center of the vehicle.
    S5.6.1.5  The instructions shall state that add-on child restraint 
systems should be securely belted to the vehicle, even when they are not 
occupied, since in a crash an unsecured child restraint system may 
injure other occupants.
    S5.6.1.6  Each add-on child restraint system shall have a location 
on the restraint for storing the manufacturer's instructions.
    S5.6.1.7  The instructions shall include the following statement, 
inserting an address and telephone number: ``Child restraints could be 
recalled for safety reasons. You must register this restraint to be 
reached in a recall. Send your name, address and the restraint's model 
number and manufacturing date to (insert address) or call (insert 
telephone number). For recall information, call the U.S. Government's 
Auto Safety Hotline at 1-800-424-9393 (202-366-0123 in DC area).''
    S5.6.1.8  In the case of each child restraint system that can be 
used in a position so that it is facing the rear of the vehicle, the 
instructions shall provide a warning against using rear-facing 
restraints at seating positions equipped with air bags, and shall 
explain the reasons for, and consequences of not following the warning. 
The instructions shall also include a statement that owners of vehicles 
with front passenger side air bags should refer to their vehicle owner's 
manual for child restraint installation instructions.
    S5.6.1.9  In the case of each rear-facing child restraint system 
that has a means for repositioning the seating surface of the system 
that allows the

[[Page 528]]

system's occupant to move from a reclined position to an upright 
position during testing, the instructions shall include a warning 
against impeding the ability of the restraint to change adjustment 
position.
    S5.6.1.10(a)  For instructions for a booster seat that is 
recommended for use with either a vehicle's Type I or Type II seat belt 
assembly, one of the following statements, as appropriate, and the 
reasons for the statement:

    (i) WARNING! USE ONLY THE VEHICLE'S LAP AND SHOULDER BELT SYSTEM 
WHEN RESTRAINING THE CHILD IN THIS BOOSTER SEAT; or,
    (ii) WARNING! USE ONLY THE VEHICLE'S LAP BELT SYSTEM, OR THE LAP 
BELT PART OF A LAP/SHOULDER BELT SYSTEM WITH THE SHOULDER BELT PLACED 
BEHIND THE CHILD, WHEN RESTRAINING THE CHILD IN THIS SEAT.

    (b)(i) Except as provided in S5.6.1.10(b)(ii), the instructions for 
a booster seat that is recommended for use with both a vehicle's Type I 
and Type II seat belt assemblies shall include the following statement 
and the reasons therefor:

WARNING! USE ONLY THE VEHICLE'S LAP BELT SYSTEM, OR THE LAP BELT PART OF 
A LAP/SHOULDER BELT SYSTEM WITH THE SHOULDER BELT PLACED BEHIND THE 
CHILD, WHEN RESTRAINING THE CHILD WITH THE insert description of the 
system element provided to restrain forward movement of the child's 
torso when used with a lap belt (e.g., shield), AND ONLY THE VEHICLE'S 
LAP AND SHOULDER BELT SYSTEM WHEN USING THIS BOOSTER WITHOUT THE insert 
above description.

    (b)(ii) A booster seat which is recommended for use with both a 
vehicle's Type I and Type II seat belt assemblies is not subject to 
S5.6.1.10(b)(i) if, when the booster is used with the shield or similar 
component, the booster will cause the shoulder belt to be located in a 
position other than in front of the child when the booster is installed. 
However, the instructions for such a booster shall include a warning to 
use the booster with the vehicle's lap and shoulder belt system when 
using the booster without a shield.
    (c) The instructions for belt-positioning seats shall include the 
statement, ``This restraint is not certified for aircraft use,'' and the 
reasons for this statement.
    S5.6.2  Built-in child restraint systems. (a) Each built-in child 
restraint system shall be accompanied by printed instructions in English 
that provide a step-by-step procedure, including diagrams, for 
activating the restraint system, positioning a child in the system, 
adjusting the restraint and, if provided, the restraint harness to fit 
the child. The instructions for each built-in car bed shall explain that 
the child should be positioned in the bed in such a way that the child's 
head is near the center of the vehicle.
    (b) Each motor vehicle equipped with a factory-installed built-in 
child restraint shall have the information specified in paragraph (a) of 
this section included in its vehicle owner's manual.
    S5.6.2.1 The instructions shall explain the primary consequences of 
not following the manufacturer's warnings for proper use of the child 
restraint system in accordance with S5.5.5 (f) through (i).
    S5.6.2.2 The instructions for each built-in child restraint system 
other than a factory-installed restraint, shall include the following 
statement, inserting an address and telephone number: ``Child restraints 
could be recalled for safety reasons. You must register this restraint 
to be reached in a recall. Send your name, address and the restraint's 
model number and manufacturing date to (insert address) or call (insert 
telephone number). For recall information, call the U.S. Government's 
Auto Safety Hotline at 1-800-424-9393 (202-366-0123 in DC area).''
    S5.6.2.3.  Each built-in child restraint system other than a 
factory-installed built-in restraint, shall have a location on the 
restraint for storing the instructions.
    S5.6.3  Each built-in child restraint system, other than a system 
that has been installed in a vehicle or a factory-installed built-in 
system that is designed for a specific vehicle model and seating 
position, shall be accompanied by instructions in English that provide a 
step-by-step procedure for installing the system in a motor vehicle. The 
instructions shall specify the types of vehicles and the seating 
positions into which the restraint can or cannot be installed. The 
instructions for each car

[[Page 529]]

bed shall explain that the bed should be installed so that the child's 
head will be near the center of the vehicle.
    S5.6.4  In the case of a built-in belt-positioning seat that uses 
either the vehicle's Type I or Type II belt systems or both, the 
instructions shall include a statement describing the manufacturer's 
recommendations for the maximum height and weight of children who can 
safely occupy the system and how the booster must be used with the 
vehicle belt systems appropriate for the booster seat. The instructions 
shall explain the consequences of not following the directions. The 
instructions shall specify that, if the booster seat is recommended for 
use with only the lap-belt part of a Type II assembly, the shoulder belt 
portion of the assembly must be placed behind the child.
    S5.7 Flammability. Each material used in a child restraint system 
shall conform to the requirements of S4 of FMVSS No. 302 (571.302). In 
the case of a built-in child restraint system, the requirements of S4 of 
FMVSS No. 302 shall be met in both the ``in-use'' and ``stowed'' 
positions.
    S5.8  Information requirements--registration form.
    (a) Each child restraint system, except a factory-installed built-in 
restraint system, shall have a registration form attached to any surface 
of the restraint that contacts the dummy when the dummy is positioned in 
the system in accordance with S6.1.2 of Standard 213.
    (b) Each form shall:
    (1) Consist of a postcard that is attached at a perforation to an 
informational card;
    (2) Conform in size, content and format to Figures 9a and 9b of this 
section; and
    (3) Have a thickness of at least 0.007 inches and not more than 
0.0095 inches.
    (c) Each postcard shall provide the model name or number and date of 
manufacture (month, year) of the child restraint system to which the 
form is attached, shall contain space for the purchaser to record his or 
her name and mailing address, shall be addressed to the manufacturer, 
and shall be postage paid. No other information shall appear on the 
postcard, except identifying information that distinguishes a particular 
child restraint system from other systems of that model name or number 
may be preprinted in the shaded area of the postcard, as shown in figure 
9a.
    S6.  Test conditions and procedures.
    S6.1  Dynamic systems test for child restraint systems.
    The test conditions described in S6.1.1 apply to the dynamic systems 
test. The test procedure for the dynamic systems test is specified in 
S6.1.2. The test dummy specified in S7 is placed in the test specimen 
(child restraint), clothed as described in S9 and positioned according 
to S10.
    S6.1.1  Test conditions.
    (a) Test devices
    (1) The test device for add-on restraint systems is a standard seat 
assembly consisting of a simulated vehicle bench seat, with three 
seating positions, which is described in Drawing Package SAS-100-1000 
(consisting of drawings and a bill of materials) with addendum A, Seat 
Base Weldment, dated July 1, 1993 (incorporated by reference; see 
Sec. 571.5). The assembly is mounted on a dynamic test platform so that 
the center SORL of the seat is parallel to the direction of the test 
platform travel and so that movement between the base of the assembly 
and the platform is prevented.
    (2) The test device for built-in child restraint systems is either 
the specific vehicle shell or the specific vehicle.
    (i) Specific vehicle shell.
    (A) The specific vehicle shell, if selected for testing, is mounted 
on a dynamic test platform so that the longitudinal center line of the 
shell is parallel to the direction of the test platform travel and so 
that movement between the base of the shell and the platform is 
prevented. Adjustable seats are in the adjustment position midway 
between the forwardmost and rearmost positions, and if separately 
adjustable in a vertical direction, are at the lowest position. If an 
adjustment position does not exist midway between the forwardmost and 
rearmost position, the closest adjustment position to the rear of the 
midpoint is used. Adjustable seat backs are in the manufacturer's 
nominal design riding position. If such a position is not specified, the 
seat

[[Page 530]]

back is positioned so that the longitudinal center line of the child 
test dummy's neck is vertical, and if an instrumented test dummy is 
used, the accelerometer surfaces in the dummy's head and thorax, as 
positioned in the vehicle, are horizontal. If the vehicle seat is 
equipped with adjustable head restraints, each is adjusted to its 
highest adjustment position.
    (B) The platform is instrumented with an accelerometer and data 
processing system having a frequency response of 60 Hz channel class as 
specified in Society of Automotive Engineers Recommended Practice J211 
JUN80 ``Instrumentation for Impact Tests.'' The accelerometer sensitive 
axis is parallel to the direction of test platform travel.
    (ii) Specific vehicle. For built-in child restraint systems, an 
alternate test device is the specific vehicle into which the built-in 
system is fabricated. The following test conditions apply to this 
alternate test device.
    (A) The vehicle is loaded to its unloaded vehicle weight plus its 
rated cargo and luggage capacity weight, secured in the luggage area, 
plus the appropriate child test dummy and, at the vehicle manufacturer's 
option, an anthropomorphic test dummy which conforms to the requirements 
of subpart B or subpart E of part 572 of this title for a 50th 
percentile adult male dummy placed in the front outboard seating 
position. If the built-in child restraint system is installed at one of 
the seating positions otherwise requiring the placement of a part 572 
test dummy, then in the frontal barrier crash specified in (c), the 
appropriate child test dummy shall be substituted for the part 572 adult 
dummy, but only at that seating position. The fuel tank is filled to any 
level from 90 to 95 percent of capacity.
    (B) Adjustable seats are in the adjustment position midway between 
the forward-most and rearmost positions, and if separately adjustable in 
a vehicle direction, are at the lowest position. If an adjustment 
position does not exist midway between the forward-most and rearmost 
positions, the closest adjustment position to the rear of the midpoint 
is used.
    (C) Adjustable seat backs are in the manufacturer's nominal design 
riding position. If a nominal position is not specified, the seat back 
is positioned so that the longitudinal center line of the child test 
dummy's neck is vertical, and if an anthropomorphic test dummy is used, 
the accelerometer surfaces in the test dummy's head and thorax, as 
positioned in the vehicle, are horizontal. If the vehicle is equipped 
with adjustable head restraints, each is adjusted to its highest 
adjustment position.
    (D) Movable vehicle windows and vents are, at the manufacturer's 
option, placed in the fully closed position.
    (E) Convertibles and open-body type vehicles have the top, if any, 
in place in the closed passenger compartment configuration.
    (F) Doors are fully closed and latched but not locked.
    (G) All instrumentation and data reduction is in conformance with 
SAE J211 JUN80.
    (b) The tests are frontal barrier impact simulations of the test 
platform or frontal barrier crashes of the specific vehicles as 
specified in S5.1 of Sec. 571.208 and for:
    (1) Test Configuration I, are at a velocity change of 48 km/h with 
the acceleration of the test platform entirely within the curve shown in 
Figure 2, or for the specific vehicle test with the deceleration 
produced in a 48 km/h frontal barrier crash.
    (2) Test Configuration II, are set at a velocity change of 32 km/h 
with the acceleration of the test platform entirely within the curve 
shown in Figure 3, or for the specific vehicle test, with the 
deceleration produced in a 32 km/h frontal barrier crash.
    (c) Attached to the seat belt anchorage points provided on the 
standard seat assembly (illustrated in Figures 1A and 1B) are Type I 
seat belt assemblies in the case of add-on child restraint systems other 
than belt-positioning seats, or Type II seat belt assemblies in the case 
of belt-positioning seats. These seat belt assemblies meet the 
requirements of Standard No. 209 (Sec. 571.209) and have webbing with a 
width of not more than 50 mm, and are

[[Page 531]]

attached to the anchorage points without the use of retractors or reels 
of any kind.
    (d) Performance tests under S6.1 are conducted at any ambient 
temperature from 19  deg.C to 26  deg.C and at any relative humidity 
from 10 percent to 70 percent.
    (e) In the case of add-on child restraint systems, the restraint 
shall meet the requirements of S5 at each of its seat back angle 
adjustment positions and restraint belt routing positions, when the 
restraint is oriented in the direction recommended by the manufacturer 
(e.g., forward, rearward or laterally) pursuant to S5.6, and tested with 
the test dummy specified in S7.
    S6.1.2  Dynamic test procedure.
    (a) Activate the built-in child restraint or attach the add-on child 
restraint to the seat assembly as described below:
    (1) Test configuration I. (i) In the case of each add-on child 
restraint system other than a belt-positioning seat, a child harness, a 
backless child restraint system with a top anchorage strap, or a 
restraint designed for use by physically handicapped children, install 
the add-on child restraint system at the center seating position of the 
standard seat assembly in accordance with the manufacturer's 
instructions provided with the system pursuant to S5.6.1, except that 
the add-on restraint shall be secured to the standard vehicle seat using 
only the standard vehicle lap belt. A child harness, a backless child 
restraint system with a top anchorage strap, or a restraint designed for 
use by physically handicapped children shall be installed at the center 
seating position of the standard seat assembly in accordance with the 
manufacturer's instructions provided with the system pursuant to S5.6.1. 
An add-on belt-positioning seat shall be installed at either outboard 
seating position of the standard seat assembly in accordance with the 
manufacturer's instructions provided with the system pursuant to S5.6.1, 
except that the belt-positioning seat shall be secured to the standard 
vehicle seat using only the standard vehicle lap and shoulder belt.
    (ii) In the case of each built-in child restraint system, activate 
the restraint in the specific vehicle shell or the specific vehicle, in 
accordance with the manufacturer's instructions provided in accordance 
with S5.6.2.
    (2) Test configuration II. (i) In the case of each add-on child 
restraint system which is equipped with a fixed or movable surface 
described in S5.2.2.2, or a backless child restraint system with a top 
anchorage strap, install the add-on child restraint system at the center 
seating position of the standard seat assembly using only the standard 
seat lap belt to secure the system to the standard seat.
    (ii) In the case of each built-in child restraint system which is 
equipped with a fixed or movable surface described in S5.2.2.2, or a 
built-in booster seat with a top anchorage strap, activate the system in 
the specific vehicle shell or the specific vehicle in accordance with 
the manufacturer's instructions provided in accordance with S5.6.2.
    (b) Select any dummy specified in S7 for testing systems for use by 
children of the heights and weights for which the system is recommended 
in accordance with S5.5. The dummy is assembled, clothed and prepared as 
specified in S7 and S9 and Part 572 of this chapter, as appropriate.
    (c) Place the dummy in the child restraint. Position it, and attach 
the child restraint belts, if appropriate, as specified in S10.
    (d) Belt adjustment.
    (1) Add-on systems other than belt-positioning seats.
    (i) If appropriate, shoulder and pelvic belts that directly restrain 
the dummy shall be adjusted as follows: Tighten the belts until a 9 N 
force applied (as illustrated in figure 5) to the webbing at the top of 
each dummy shoulder and to the pelvic webbing 50 mm on either side of 
the torso midsagittal plane pulls the webbing 7 mm from the dummy.
    (ii) All Type I belt systems used to attach an add-on child 
restraint system to the standard seat assembly, and any provided 
additional anchorage belt (tether), are tightened to a tension of not 
less than 53.5 N and not more than 67 N, as measured by a load cell used 
on the webbing portion of the belt.
    (2) Add-on belt-positioning seats.

[[Page 532]]

    (i) The lap portion of Type II belt systems used to attach the child 
restraint to the standard seat assembly is tightened to a tension of not 
less than 53.5 N and not more than 67 N, as measured by a load cell used 
on the webbing portion of the belt.
    (ii) The shoulder portion of Type II belt systems used to restrain 
the dummy is tightened to a tension of not less than 9 N and not more 
than 18 N, as measured by a load cell used on the webbing portion of the 
belt.
    (3) Built-in child restraint systems.
    (i) The lap portion of Type II belt systems used to secure a dummy 
to the built-in child restraint system is tightened to a tension of not 
less than 53.5 N and not more than 67 N, as measured by a load cell used 
on the webbing portion of the belt.
    (ii) The shoulder portion of Type II belt systems used to secure a 
child is tightened to a tension of not less than 9 N and not more than 
18 N, as measured by a load cell used on the webbing portion of the 
belt.
    (iii) If provided, and if appropriate to attach the child restraint 
belts under S10, shoulder (other than the shoulder portion of a Type II 
vehicle belt system) and pelvic belts that directly restrain the dummy 
shall be adjusted as follows: Tighten the belts until a 9 N force 
applied (as illustrated in figure 5) to the webbing at the top of each 
dummy shoulder and to the pelvic webbing 50 mm on either side of the 
torso midsagittal plane pulls the webbing 7 mm from the dummy.
    (e) Accelerate the test platform to simulate frontal impact in 
accordance with Test Configuration I or II, as appropriate.
    (f) Determine conformance with the requirements in S5.1.
    S6.2  Buckle release test procedure.
    The belt assembly buckles used in any child restraint system shall 
be tested in accordance with S6.2.1 through S6.2.4 inclusive.
    S6.2.1  Before conducting the testing specified in S6.1, place the 
loaded buckle on a hard, flat, horizontal surface. Each belt end of the 
buckle shall be pre-loaded in the following manner. The anchor end of 
the buckle shall be loaded with a 9 N force in the direction away from 
the buckle. In the case of buckles designed to secure a single latch 
plate, the belt latch plate end of the buckle shall be pre-loaded with a 
9 N force in the direction away from the buckle. In the case of buckles 
designed to secure two or more latch plates, the belt latch plate ends 
of the buckle shall be loaded equally so that the total load is 9 N, in 
the direction away from the buckle. For pushbutton-release buckles, the 
release force shall be applied by a conical surface (cone angle not 
exceeding 90 degrees). For pushbutton-release mechanisms with a fixed 
edge (referred to in Figure 7 as ``hinged button''), the release force 
shall be applied at the centerline of the button, 3 mm away from the 
movable edge directly opposite the fixed edge, and in the direction that 
produces maximum releasing effect. For pushbutton-release mechanisms 
with no fixed edge (referred to in Figure 7 as ``floating button''), the 
release force shall be applied at the center of the release mechanism in 
the direction that produces the maximum releasing effect. For all other 
buckle release mechanisms, the force shall be applied on the centerline 
of the buckle lever or finger tab in the direction that produces the 
maximum releasing effect. Measure the force required to release the 
buckle. Figure 7 illustrates the loading for the different buckles and 
the point where the release force should be applied, and Figure 8 
illustrates the conical surface used to apply the release force to 
pushbutton-release buckles.
    S6.2.2  After completion of the testing specified in S6.1 and before 
the buckle is unlatched, tie a self-adjusting sling to each wrist and 
ankle of the test dummy in the manner illustrated in Figure 4, without 
disturbing the belted dummy and the child restraint system.
    S6.2.3  Pull the sling tied to the dummy restrained in the child 
restraint system and apply a force whose magnitude is: 50 N for a system 
tested with a newborn dummy; 90 N for a system tested with a 9-month-old 
dummy; 200 N for a system tested with a 3-year-old dummy; or 270 N for a 
system tested with a 6-year-old dummy. The force is applied in the 
manner illustrated in Figure 4 and as follows:

[[Page 533]]

    (a) Add-on Child Restraints. For an add-on child restraint other 
than a car bed, apply the specified force by pulling the sling 
horizontally and parallel to the SORL of the standard seat assembly. For 
a car bed, apply the force by pulling the sling vertically.
    (b) Built-in Child Restraints. For a built-in child restraint other 
than a car bed, apply the force by pulling the sling parallel to the 
longitudinal center line of the specific vehicle shell or the specific 
vehicle. In the case of a car bed, apply the force by pulling the sling 
vertically.
    S6.2.4  While applying the force specified in S6.2.3, and using the 
device shown in Figure 8 for pushbutton-release buckles, apply the 
release force in the manner and location specified in S6.2.1, for that 
type of buckle. Measure the force required to release the buckle.
    S6.3  Head impact protection--energy absorbing material test 
procedure.
    S6.3.1  Prepare and test specimens of the energy absorbing material 
used to comply with S5.2.3 in accordance with the applicable 25 percent 
compression-deflection test described in the American Society for 
Testing and Materials (ASTM) Standard D1056-73, ``Standard Specification 
for Flexible Cellular Materials--Sponge or Expanded Rubber,'' or D1564-
71 ``Standard Method of Testing Flexible Cellular Materials--Slab 
Urethane Foam'' or D1565-76 ``Standard Specification for Flexible 
Cellular Materials--Vinyl Chloride Polymer and Copolymer open-cell 
foams.''
    S7  Test dummies. (Subparts referenced in this section are of part 
572 of this chapter.)
    S7.1  Dummy selection.
    (a) A child restraint that is recommended by its manufacturer in 
accordance with S5.5 for use either by children in a specified mass 
range that includes any children having a mass of not greater than 5 kg, 
or by children in a specified height range that includes any children 
whose height is not greater than 650 mm, is tested with a newborn test 
dummy conforming to part 572 subpart K.
    (b) A child restraint that is recommended by its manufacturer in 
accordance with S5.5 for use either by children in a specified mass 
range that includes any children having a mass greater than 5 but not 
greater than 10 kg, or by children in a specified height range that 
includes any children whose height is greater than 650 mm but not 
greater than 850 mm, is tested with a newborn test dummy conforming to 
part 572 subpart K, and a 9-month-old test dummy conforming to part 572 
subpart J.
    (c) A child restraint that is recommended by its manufacturer in 
accordance with S5.5 for use either by children in a specified mass 
range that includes any children having a mass greater than 10 kg but 
not greater than 18 kg, or by children in a specified height range that 
includes any children whose height is greater than 850 mm but not 
greater than 1100 mm, is tested with a 9-month-old test dummy conforming 
to part 572 subpart J, and a 3-year-old test dummy conforming to part 
572 subpart C and S7.2, provided, however, that the 9-month-old dummy is 
not used to test a booster seat.
    (d) A child restraint that is recommended by its manufacturer in 
accordance with S5.5 for use either by children in a specified mass 
range that includes any children having a mass greater than 18 kg, or by 
children in a specified height range that includes any children whose 
height is greater than 1100 mm, is tested with a 6-year-old child dummy 
conforming to part 572 subpart I.
    (e) A child restraint that meets the criteria in two or more of the 
preceding paragraphs in S7.1 is tested with each of the test dummies 
specified in those paragraphs.
    S7.2  Three-year-old dummy head. Effective September 1, 1993, this 
dummy is assembled with the head assembly specified in section 
572.16(a)(1) of this chapter.
    S8  Requirements, test conditions, and procedures for child 
restraint systems manufactured for use in aircraft.
    Each child restraint system manufactured for use in both motor 
vehicles and aircraft must comply with all of the applicable 
requirements specified in Section S5 and with the additional 
requirements specified in S8.1 and S8.2.
    S8.1  Installation instructions. Each child restraint system 
manufactured for use in aircraft shall be accompanied

[[Page 534]]

by printed instructions in English that provide a step-by-step 
procedure, including diagrams, for installing the system in aircraft 
passenger seats, securing a child in the system when it is installed in 
aircraft, and adjusting the system to fit the child.
    S8.2  Inversion test. When tested in accordance with S8.2.1 through 
S8.2.5, each child restraint system manufactured for use in aircraft 
shall meet the requirements of S8.2.1 through S8.2.6. The manufacturer 
may, at its option, use any seat which is a representative aircraft 
passenger seat within the meaning of S4. Each system shall meet the 
requirements at each of the restraint's seat back angle adjustment 
positions and restraint belt routing positions, when the restraint is 
oriented in the direction recommended by the manufacturer (e.g., facing 
forward, rearward or laterally) pursuant to S8.1, and tested with the 
test dummy specified in S7. If the manufacturer recommendations do not 
include instructions for orienting the restraint in aircraft when the 
restraint seat back angle is adjusted to any position, position the 
restraint on the aircraft seat by following the instructions (provided 
in accordance with S5.6) for orienting the restraint in motor vehicles.
    S8.2.1  A standard seat assembly consisting of a representative 
aircraft passenger seat shall be positioned and adjusted so that its 
horizontal and vertical orientation and its seat back angle are the same 
as shown in Figure 6.
    S8.2.2  The child restraint system shall be attached to the 
representative aircraft passenger seat using, at the manufacturer's 
option, any Federal Aviation Administration approved aircraft safety 
belt, according to the restraint manufacturer's instructions for 
attaching the restraint to an aircraft seat. No supplementary anchorage 
belts or tether straps may be attached; however, Federal Aviation 
Administration approved safety belt extensions may be used.
    S8.2.3  In accordance with S10, place in the child restraint any 
dummy specified in S7 for testing systems for use by children of the 
heights and weights for which the system is recommended in accordance 
with S5.5 and S8.1.
    S8.2.4  If provided, shoulder and pelvic belts that directly 
restrain the dummy shall be adjusted in accordance with S6.1.2.
    S8.2.5  The combination of representative aircraft passenger seat, 
child restraint, and test dummy shall be rotated forward around a 
horizontal axis which is contained in the median transverse vertical 
plane of the seating surface portion of the aircraft seat and is located 
25 mm below the bottom of the seat frame, at a speed of 35 to 45 degrees 
per second, to an angle of 180 degrees. The rotation shall be stopped 
when it reaches that angle and the seat shall be held in this position 
for three seconds. The child restraint shall not fall out of the 
aircraft safety belt nor shall the test dummy fall out of the child 
restraint at any time during the rotation or the three second period. 
The specified rate of rotation shall be attained in not less than one 
half second and not more than one second, and the rotating combination 
shall be brought to a stop in not less than one half second and not more 
than one second.
    S8.2.6  Repeat the procedures set forth in S8.2.1 through S8.2.4. 
The combination of the representative aircraft passenger seat, child 
restraint, and test dummy shall be rotated sideways around a horizontal 
axis which is contained in the median longitudinal vertical plane of the 
seating surface portion of the aircraft seat and is located 25 mm below 
the bottom of the seat frame, at a speed of 35 to 45 degrees per second, 
to an angle of 180 degrees. The rotation shall be stopped when it 
reaches that angle and the seat shall be held in this position for three 
seconds. The child restraint shall not fall out of the aircraft safety 
belt nor shall the test dummy fall out of the child restraint at any 
time during the rotation or the three second period. The specified rate 
of rotation shall be attained in not less than one half second and not 
more than one second, and the rotating combination shall be brought to a 
stop in not less than one half second and not more than one second.
    S9  Dummy clothing and preparation.
    S9.1  Type of clothing.

[[Page 535]]

    (a) Newborn dummy. When used in testing under this standard, the 
dummy is unclothed.
    (b) Nine-month-old dummy. When used in testing under this standard, 
the dummy is clothed in terry cloth polyester and cotton size 1 long 
sleeve shirt and size 1 long pants, with a total mass of 0.136 kg.
    (c) Three-year-old and six-year-old dummies. When used in testing 
under this standard, the dummy is clothed in thermal knit, waffle-weave 
polyester and cotton underwear or equivalent, a size 4 long-sleeved 
shirt (3-year-old dummy) or a size 5 long-sleeved shirt (6-year-old 
dummy) having a mass of 0.090 kg, a size 4 pair of long pants having a 
mass of 0.090 kg, and cut off just far enough above the knee to allow 
the knee target to be visible, and size 7M sneakers (3-year-old dummy) 
or size 12 \1/2\M sneakers (6-year-old dummy) with rubber toe caps, 
uppers of dacron and cotton or nylon and a total mass of 0.453 kg.
    S9.2  Preparing clothing. Clothing other than the shoes is machined-
washed in 71  deg.C to 82  deg.C and machine-dried at 49  deg.C to 60 
deg.C for 30 minutes.
    S9.3  Preparing dummies. Before being used in testing under this 
standard, dummies must be conditioned at any ambient temperature from 19 
 deg.C to 25.5  deg.C and at any relative humidity from 10 percent to 70 
percent for at least 4 hours.
    S10  Positioning the dummy and attaching the system belts.
    S10.1  Car beds.
    Place the test dummy in the car bed in the supine position with its 
midsagittal plane perpendicular to the center SORL of the standard seat 
assembly, in the case of an add-on car bed, or perpendicular to the 
longitudinal axis of the specific vehicle shell or the specific vehicle, 
in the case of a built-in car bed. Position the dummy within the car bed 
in accordance with the instructions for child positioning that the bed 
manufacturer provided with the bed in accordance with S5.6.
    S10.2  Restraints other than car beds.
    S10.2.1  Newborn dummy and nine-month-old dummy. Position the test 
dummy according to the instructions for child positioning that the 
manufacturer provided with the system under S5.6.1 or S5.6.2, while 
conforming to the following:
    (a) Prior to placing the 9-month-old test dummy in the child 
restraint system, place the dummy in the supine position on a horizontal 
surface. While placing a hand on the center of the torso to prevent 
movement of the dummy torso, rotate the dummy legs upward by lifting the 
feet 90 degrees. Slowly release the legs but do not return them to the 
flat surface.
    (b)(1) When testing forward-facing child restraint systems, holding 
the 9-month-old test dummy torso upright until it contacts the system's 
design seating surface, place the 9-month-old test dummy in the seated 
position within the system with the mid-sagittal plane of the dummy 
head--
    (i) Coincident with the center SORL of the standard seating 
assembly, in the case of the add-on child restraint system, or
    (ii) Vertical and parallel to the longitudinal center line of the 
specific vehicle shell or the specific vehicle, in the case of a built-
in child restraint system.
    (b)(2) When testing rear-facing child restraint systems, place the 
newborn or 9-month old dummy in the child restraint system so that the 
back of the dummy torso contacts the back support surface of the system. 
For a child restraint system which is equipped with a fixed or movable 
surface described in S5.2.2.2 which is being tested under the conditions 
of test configuration II, do not attach any of the child restraint belts 
unless they are an integral part of the fixed or movable surface. For 
all other child restraint systems and for a child restraint system with 
a fixed or movable surface which is being tested under the conditions of 
test configuration I, attach all appropriate child restraint belts and 
tighten them as specified in S6.1.2. Attach all appropriate vehicle 
belts and tighten them as specified in S6.1.2. Position each movable 
surface in accordance with the instructions that the manufacturer 
provided under S5.6.1 or S5.6.2. If the dummy's head does not remain in 
the proper position, it shall be taped against the front of the seat 
back surface of the system by means of a single thickness of 6 mm-wide 
paper masking

[[Page 536]]

tape placed across the center of the dummy's face.
    (c)(1)(i) When testing forward-facing child restraint systems, 
extend the arms of the 9-month-old test dummy as far as possible in the 
upward vertical direction. Extend the legs of the 9-month-old dummy as 
far as possible in the forward horizontal direction, with the dummy feet 
perpendicular to the centerline of the lower legs. Using a flat square 
surface with an area of 2,580 square mm, apply a force of 178 N, 
perpendicular to:
    (A) The plane of the back of the standard seat assembly, in the case 
of an add-on system, or
    (B) The back of the vehicle seat in the specific vehicle shell or 
the specific vehicle, in the case of a built-in system, first against 
the dummy crotch and then at the dummy thorax in the midsagittal plane 
of the dummy. For a child restraint system with a fixed or movable 
surface described in S5.2.2.2, which is being tested under the 
conditions of test configuration II, do not attach any of the child 
restraint belts unless they are an integral part of the fixed or movable 
surface. For all other child restraint systems and for a child restraint 
system with a fixed or movable surface which is being tested under the 
conditions of test configuration I, attach all appropriate child 
restraint belts and tighten them as specified in S6.1.2. Attach all 
appropriate vehicle belts and tighten them as specified in S6.1.2. 
Position each movable surface in accordance with the instructions that 
the manufacturer provided under S5.6.1 or S5.6.2.
    (ii) After the steps specified in paragraph (c)(1)(i) of this 
section, rotate each dummy limb downwards in the plane parallel to the 
dummy's midsagittal plane until the limb contacts a surface of the child 
restraint system or the standard seat assembly, in the case of an add-on 
system, or the specific vehicle shell or specific vehicle, in the case 
of a built-in system, as appropriate. Position the limbs, if necessary, 
so that limb placement does not inhibit torso or head movement in tests 
conducted under S6.
    (2) When testing rear-facing child restraints, position the newborn 
and 9-month-old dummy arms vertically upwards and then rotate each arm 
downward toward the dummy's lower body until the arm contacts a surface 
of the child restraint system or the standard seat assembly in the case 
of an add-on child restraint system, or the specific vehicle shell or 
the specific vehicle, in the case of a built-in child restraint system. 
Ensure that no arm is restrained from movement in other than the 
downward direction, by any part of the system or the belts used to 
anchor the system to the standard seat assembly, the specific shell, or 
the specific vehicle.
    (c)(2) When testing rear-facing child restraints, position the 
newborn and 9-month-old dummy arms and legs vertically upwards and then 
rotate each arm and leg downward toward the dummy's lower body until the 
arm contacts a surface of the child restraint system or the standard 
seat assembly in the case of an add-on child restraint system, or the 
specific vehicle shell or the specific vehicle, in the case of a built-
in child restraint system. Ensure that no arm is restrained from 
movement in other than the downward direction, by any part of the system 
or the belts used to anchor the system to the standard seat assembly, 
the specific shell, or the specific vehicle.
    S10.2.2  Three-year-old and six-year-old test dummy. Position the 
test dummy according to the instructions for child positioning that the 
restraint manufacturer provided with the system in accordance with 
S5.6.1 or S5.6.2, while conforming to the following:
    (a) Holding the test dummy torso upright until it contacts the 
system's design seating surface, place the test dummy in the seated 
position within the system with the midsagittal plane of the test dummy 
head--
    (1) Coincident with the center SORL of the standard seating 
assembly, in the case of the add-on child restraint system, or
    (2) Vertical and parallel to the longitudinal center line of the 
specific vehicle, in the case of a built-in child restraint system.
    (b) Extend the arms of the test dummy as far as possible in the 
upward vertical direction. Extend the legs of the dummy as far as 
possible in the forward horizontal direction, with the

[[Page 537]]

dummy feet perpendicular to the center line of the lower legs.
    (c) Using a flat square surface with an area of 2580 square 
millimeters, apply a force of 178 N, perpendicular to:
    (1) The plane of the back of the standard seat assembly, in the case 
of an add-on system, or
    (2) The back of the vehicle seat in the specific vehicle shell or 
the specific vehicle, in the case of a built-in system, first against 
the dummy crotch and then at the dummy thorax in the midsagittal plane 
of the dummy. For a child restraint system with a fixed or movable 
surface described in S5.2.2.2, which is being tested under the 
conditions of test configuration II, do not attach any of the child 
restraint belts unless they are an integral part of the fixed or movable 
surface. For all other child restraint systems and for a child restraint 
system with a fixed or movable surface which is being tested under the 
conditions of test configuration I, attach all appropriate child 
restraint belts and tighten them as specified in S6.1.2. Attach all 
appropriate vehicle belts and tighten them as specified in S6.1.2. 
Position each movable surface in accordance with the instructions that 
the manufacturer provided under S5.6.1 or S5.6.2.
    (d) After the steps specified in paragraph (c) of this section, 
rotate each dummy limb downwards in the plane parallel to the dummy's 
midsagittal plane until the limb contacts a surface of the child 
restraint system or the standard seat assembly, in the case of an add-on 
system, or the specific vehicle shell or specific vehicle, in the case 
of a built-in system, as appropriate. Position the limbs, if necessary, 
so that limb placement does not inhibit torso or head movement in tests 
conducted under S6.

[[Page 538]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.098



[[Page 539]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.099



[[Page 540]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.100



[[Page 541]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.101



[[Page 542]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.102



[[Page 543]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.103



[[Page 544]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.104



[[Page 545]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.105



[[Page 546]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.106



[[Page 547]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.107



[[Page 548]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.108



[[Page 549]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.109



[[Page 550]]

[GRAPHIC] [TIFF OMITTED] TR27NO96.014


[44 FR 72147, Dec. 13, 1979]

    Editorial Note: For Federal Register citations affecting 
Sec. 571.213, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.



Sec. 571.214  Standard No. 214; Side impact protection.

    S1. Scope and purpose.
    (a) Scope. This standard specifies performance requirements for 
protection of occupants in side impact crashes.
    (b) Purpose. The purpose of this standard is to reduce the risk of 
serious and fatal injury to occupants of passenger cars in side impact 
crashes by specifying vehicle crashworthiness requirements in terms of 
accelerations measured on anthropomorphic dummies in test crashes, by 
specifying strength requirements for side doors, and by other means.
    S2. Applicability. This standard applies to passenger cars. 
Effective September 1, 1993, sections S3(a), S3(e), S3.1 through S3.2.3, 
and S4 of the standard apply to multipurpose passenger vehicles, trucks, 
and buses with a GVWR of 10,000 pounds or less, except for walk-in vans.
    S2.1  Definitions.
    Contoured means, with respect to a door, that the lower portion of 
its front or rear edge is curved upward, typically to conform to a wheel 
well.
    Double side doors means a pair of hinged doors with the lock and 
latch mechanisms located where the door lips overlap.
    Walk-in van means a van in which a person can enter the occupant 
compartment in an upright position.
    S3. Requirements. (a)(1) Except as provided in section S3(e), each 
passenger car shall be able to meet the requirements of either, at the 
manufacturer's option, S3.1 or S3.2, when any of its side doors that can 
be used for occupant egress is tested according to S4.

[[Page 551]]

    (2) Except as provided in section S3(e), each multipurpose passenger 
vehicle, truck and bus manufactured on or after September 1, 1994 shall 
be able to meet the requirements of either, at the manufacturer's 
option, S3.1 or S3.2, when any of its side doors that can be used for 
occupant egress is tested according to S4.
    (b) When tested under the conditions of S6, each pasenger car 
manufactured on or after September 1, 1996 shall meet the requirements 
of S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car 
is struck on either side by a moving deformable barrier. Part 572, 
subpart F test dummies are placed in the front and rear outboard seating 
positions on the struck side of the car. However, the rear seat 
requirements do not apply to passenger cars with a wheelbase greater 
than 130 inches, or to passenger cars which have rear seating areas that 
are so small that the part 572, subpart F dummies cannot be accommodated 
according to the positioning procedure specified in S7.
    (c) Except as provided in paragraph (d) of this section, from 
September 1, 1993 to August 31, 1996, a specified percentage of each 
manufacturer's yearly passenger car production, as set forth in S8, 
shall, when tested under the conditions of S6, meet the requirements of 
S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is 
struck on either side by a moving deformable barrier. Part 572, subpart 
F test dummies are placed in the front and rear outboard seating 
positions on the struck side of the car. However, the rear seat 
requirements do not apply to passenger cars with a wheelbase greater 
than 130 inches, or to passenger cars which have rear seating areas that 
are so small that the part 572, subpart F dummies cannot be accommodated 
according to the positioning procedure specified in S7.
    (d) A manufacturer may, at its option, comply with the requirements 
of this paragraph instead of paragraph (c) of this section. When tested 
under the conditions of S6, each passenger car manufactured from 
September 1, 1994 to August 31, 1996 shall meet the requirements of 
S5.1, S5.2, and S5.3 in a 33.5 miles per hour impact in which the car is 
struck on either side by a moving deformable barrier. Part 572, subpart 
F test dummies are placed in the front and rear outboard seating 
positions on the struck side of the car. However, the rear seat 
requirements do not apply to passenger cars with a wheelbase greater 
than 130 inches, or to passenger cars which have rear seating areas that 
are so small that the part 572, subpart F dummies cannot be accommodated 
according to the positioning procedure specified in S7.
    (e) A vehicle need not meet the requirements of sections S3.1 or 
S3.2 for--
    (1) Any side door located so that no point on a ten-inch horizontal 
longitudinal line passing through and bisected by the H-point of a 
manikin placed in any seat, with the seat adjusted to any position and 
the seat back adjusted as specified in Section S6.4, falls within the 
transverse, horizontal projection of the door's opening,
    (2) Any side door located so that no point on a ten-inch horizontal 
longitudinal line passing through and bisected by the H-point of a 
manikin placed in any seat recommended by the manufacturer for 
installation in a location for which seat anchorage hardware is 
provided, with the seat adjusted to any position and the seat back 
adjusted as specified in section S6.4, falls within the transverse, 
horizontal projection of the door's opening,
    (3) Any side door located so that a portion of a seat, with the seat 
adjusted to any position and the seat back adjusted as specified in 
section S6.4, falls within the transverse, horizontal protection of the 
door's opening, but a longitudinal vertical plane tangent to the 
outboard side of the seat cushion is more than 10 inches from the 
innermost point on the inside surface of the door at a height between 
the H-point and shoulder reference point (as shown in figure 1 of the 
Federal Motor Vehicle Safety Standard No. 210) and longitudinally 
between the front edge of the cushion with the seat adjusted to its 
forwardmost position and the rear edge of the cushion with the seat 
adjusted to its rearmost position.
    (4) Any side door that is designed to be easily attached to or 
removed (e.g., using simple hand tools such as pliers

[[Page 552]]

and/or a screw driver) from a motor vehicle manufactured for operation 
without doors.
    S3.1  With any seats that may affect load upon or deflection of the 
side of the vehicle removed from the vehicle, each vehicle must be able 
to meet the requirements of S3.1.1 through S3.1.3.
    S3.1.1  Initial crush resistance. The initial crush resistance shall 
not be less than 2,250 pounds.
    S3.1.2  Intermediate crush resistance. The intermediate crush 
resistance shall not be less than 3,500 pounds.
    S3.1.3  Peak crush resistance. The peak crush resistance shall not 
be less than two times the curb weight of the vehicle or 7,000 pounds, 
whichever is less.
    S3.2 With seats installed in the vehicle, and located in any 
horizontal or vertical position to which they can be adjusted and at any 
seat back angle to which they can be adjusted, each vehicle must be able 
to meet the requirements of S3.2.1 through S3.2.3.
    S3.2.1  Initial crush resistance. The initial crush resistance shall 
not be less than 2,250 pounds.
    S3.2.2  Intermediate crush resistance. The intermediate crush 
resistance shall not be less than 4,375 pounds.
    S3.2.3  Peak crush resistance. The peak crush resistance shall not 
be less than three and one half times the curb weight of the vehicle or 
12,000 pounds, whichever is less.
    S4. Test procedures. The following procedures apply to determining 
compliance with paragraph S3:
    (a) Place side windows in their uppermost position and all doors in 
locked position. Place the sill of the side of the vehicle opposite to 
the side being tested against a rigid unyielding vertical surface. Fix 
the vehicle rigidly in position by means of tiedown attachments located 
at or forward of the front wheel centerline and at or rearward of the 
rear wheel centerline.
    (b) Prepare a loading device consisting of a rigid steel cylinder or 
semicylinder 305 mm (12 inches) in diameter with an edge radius of 13 mm 
(\1/2\ inch). The length of the loading device shall be such that--
    (1) For doors with windows, the top surface of the loading device is 
at least 13 mm (\1/2\ inch) above the bottom edge of the door window 
opening but not of a length that will cause contact with any structure 
above the bottom edge of the door window opening during the test.
    (2) For doors without windows, the top surface of the loading device 
is at the same height above the ground as when the loading device is 
positioned in accordance with paragraph (b)(1) of this section for 
purposes of testing a front door with windows on the same vehicle.
    (c) Locate the loading device as shown in Figure 1 (side view) of 
this section so that--
    (1) Its longitudinal axis is vertical.
    (2) Except as provided in paragraphs (c)(2) (i) and (ii) of this 
section, its longitudinal axis is laterally opposite the midpoint of a 
horizontal line drawn across the outer surface of the door 127 mm (5 
inches) above the lowest point of the door, exclusive of any decorative 
or protective molding that is not permanently affixed to the door panel.
    (i) For contoured doors on trucks, buses, and multipurpose passenger 
vehicles with a GVWR of 4,545 kg (10,000 pounds) or less, if the length 
of the horizontal line specified in (c)(2) is not equal to or greater 
than 559 mm (22 inches), the line is moved vertically up the side of the 
door to the point at which the line is 559 mm (22 inches) long. The 
longitudinal axis of the loading device is then located laterally 
opposite the midpoint of that line.
    (ii) For double side doors on trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 4,545 kg (10,000 pounds) or less, its 
longitudinal axis is laterally opposite the midpoint of a horizontal 
line drawn across the outer surface of the double door span, 127 mm (5 
inches) above the lowest point on the doors, exclusive of any decorative 
or protective molding that is not permanently affixed to the door panel.
    (3) Except as provided in paragraphs (c)(3) (i) and (ii) of this 
section, its bottom surface is in the same horizontal plane as the 
horizontal line drawn across the outer surface of the door 127 mm (5 
inches) above the lowest point of the door, exclusive of any decorative 
or protective molding that is not permanently affixed to the door panel.

[[Page 553]]

    (i) For contoured doors on trucks, buses, and multipurpose passenger 
vehicles with a GVWR of 4,545 kg (10,000 pounds) or less, its bottom 
surface is in the lowest horizontal plane such that every point on the 
lateral projection of the bottom surface of the device on the door is at 
least 127 mm (5 inches), horizontally and vertically, from any edge of 
the door panel, exclusive of any decorative or protective molding that 
is not permanently affixed to the door panel.
    (ii) For double side doors, its bottom surface is in the same 
horizontal plane as a horizontal line drawn across the outer surface of 
the double door span, 127 mm (5 inches) above the lowest point of the 
doors, exclusive of any decorative or protective molding that is not 
permanently affixed to the door panel.
    (d) Using the loading device, apply a load to the outer surface of 
the door in an inboard direction normal to a vertical plane along the 
vehicle's longitudinal centerline. Apply the load continuously such that 
the loading device travel rate does not exceed one-half inch per second 
until the loading device travels 18 inches. Guide the loading device to 
prevent it from being rotated or displaced from its direction of travel. 
The test must be completed within 120 seconds.
    (e) Record applied load versus displacement of the loading device, 
either continuously or in increments of not more than 1 inch or 200 
pounds for the entire crush distance of 18 inches.
    (f) Determine the initial crush resistance, intermediate crush 
resistance, and peak crush resistance as follows:
    (1) From the results recorded in paragraph (e) of this section, plot 
a curve of load versus displacement and obtain the integral of the 
applied load with respect to the crush distances specified in paragraphs 
(f) (2) and (3) of this section. These quantities, expressed in inch-
pounds and divided by the specified crush distances, represent the 
average forces in pounds required to deflect the door those distances.
    (2) The initial crush resistance is the average force required to 
deform the door over the initial 6 inches of crush.
    (3) The intermediate crush resistance is the average force required 
to deform the door over the initial 12 inches of crush.
    (4) The peak crush resistance is the largest force recorded over the 
entire 18-inch crush distance.

[[Page 554]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.110


    S5. Dynamic performance requirements.
    S5.1  Thorax. The Thoracic Trauma Index (TTI(d)) shall not exceed 85 
g for passenger cars with four side doors, and shall not exceed 90 g for 
passenger cars with two side doors, when calculated in accordance with 
the following formula:

TTI(d) = \1/2\(GR + GLS)

The term ``GR'' is the greater of the peak accelerations of 
either the upper or lower rib, expressed in g's and the term 
``GLS'' is the lower spine (T12) peak acceleration, expressed 
in g's. The peak acceleration values are obtained in accordance with the 
procedure specified in S6.13.5.
    S5.2  Pelvis. The peak lateral acceleration of the pelvis, as 
measured in accordance with S6.13.5, shall not exceed 130 g's.
    S5.3  Door opening.
    S5.3.1  Any side door, which is struck by the moving deformable 
barrier, shall not separate totally from the car.
    S5.3.2   Any door (including a rear hatchback or tailgate), which is 
not

[[Page 555]]

struck by the moving deformable barrier, shall meet the following 
requirements:
    S5.3.2.1  The door shall not disengage from the latched position;
    S5.3.2.2  The latch shall not separate from the striker, and the 
hinge components shall not separate from each other or from their 
attachment to the vehicle.
    S5.3.2.3  Neither the latch nor the hinge systems of the door shall 
pull out of their anchorages.
    S6. Test conditions.
    S6.1  Test weight. Each passenger car is loaded to its unloaded 
vehicle weight, plus its rated cargo and luggage capacity, secured in 
the luggage area, plus the weight of the necessary anthropomorphic test 
dummies. Any added test equipment is located away from impact areas in 
secure places in the vehicle. The car's fuel system is filled in 
accordance with the following procedure. With the test vehicle on a 
level surface, pump the fuel from the vehicle's fuel tank and then 
operate the engine until it stops. Then, add Stoddard solvent to the 
test vehicle's fuel tank in an amount which is equal to not less than 92 
percent and not more than 94 percent of the fuel tank's usable capacity 
stated by the vehicle's manufacturer. In addition, add the amount of 
Stoddard solvent needed to fill the entire fuel system from the fuel 
tank through the engine's induction system.
    S6.2  Vehicle test attitude. Determine the distance between a level 
surface and a standard reference point on the test vehicle's body, 
directly above each wheel opening, when the vehicle is in its ``as 
delivered'' condition. The ``as delivered'' condition is the vehicle as 
received at the test site, filled to 100 percent of all fluid capacities 
and with all tires inflated to the manufacturer's specifications listed 
on the vehicle's tire placard. Determine the distance between the same 
level surface and the same standard reference points in the vehicle's 
``fully loaded condition.'' The ``fully loaded condition'' is the test 
vehicle loaded in accordance with S6.1. The load placed in the cargo 
area is centered over the longitudinal centerline of the vehicle. The 
pretest vehicle attitude is equal to either the as delivered or fully 
loaded attitude or between the as delivered attitude and the fully 
loaded attitude.
    S6.3  Adjustable seats. Adjustable seats are placed in the 
adjustment position midway between the forward most and rearmost 
positions, and if separately adjustable in a vertical direction, are at 
the lowest position. If an adjustment position does not exist midway 
between the forwardmost and rearmost positions, the closest adjustment 
position to the rear of the midpoint is used.
    S6.4  Adjustable seat back placement. Place adjustable seat backs in 
the manufacturer's nominal design riding position in the manner 
specified by the manufacturer. If the position is not specified, set the 
seat back at the first detent rearward of 25 deg. from the vertical. 
Place each adjustable head restraint in its highest adjustment position. 
Position adjustable lumbar supports so that they are set in their 
released, i.e., full back position.
    S6.5  Adjustable steering wheels. Adjustable steering controls are 
adjusted so that the steering wheel hub is at the geometric center of 
the locus it describes when it is moved through its full range of 
driving positions.
    S6.6  Windows. Movable vehicle windows and vents are placed in the 
fully closed position on the struck side of the vehicle.
    S6.7  Convertible tops. Convertibles and open-body type vehicles 
have the top, if any, in place in the closed passenger compartment 
configuration.
    S6.8  Doors. Doors, including any rear hatchback or tailgate, are 
fully closed and latched but not locked.
    S6.9  Transmission and brake engagement. For a vehicle equipped with 
a manual transmission, the transmission is placed in second gear. For a 
vehicle equipped with an automatic transmission, the transmission is 
placed in neutral. For all vehicles, the parking brake is engaged.
    S6.10  Moving deformable barrier. The moving deformable barrier 
conforms to the dimensions shown in Figure 2 and specified in part 587.
    6.11  Impact reference line. For vehicles with a wheelbase of 114 
inches or less, on the side of the vehicle that will be struck by the 
moving deformable

[[Page 556]]

barrier, place a vertical reference line which is 37 inches forward of 
the center of the vehicle's wheelbase. For vehicles with a wheelbase 
greater than 114 inches, on the side of the vehicle that will be struck 
by the moving deformable barrier, place a vertical reference line which 
is 20 inches rearward of the centerline of the vehicle's front axle.
    S6.12  Impact configuration. The test vehicle (vehicle A in Figure 
3) is stationary. The line of forward motion of the moving deformable 
barrier (vehicle B in Figure 3) forms an angle of 63 degrees with the 
centerline of the test vehicle. The longitudinal centerline of the 
moving deformable barrier is perpendicular to the longitudinal 
centerline of the test vehicle when the barrier strikes the test 
vehicle. In a test in which the test vehicle is to be struck on its left 
(right) side: All wheels of the moving deformable barrier are positioned 
at an angle of 27  1 degrees to the right (left) of the 
centerline of the moving deformable barrier; and the left (right) 
forward edge of the moving deformable barrier is aligned so that a 
longitudinal plane tangent to that side passes through the impact 
reference line within a tolerance of  2 inches when the 
barrier strikes the test vehicle.
    S6.13  Anthropomorphic test dummies.
    S6.13.1  The anthropomorphic test dummies used for evaluation of a 
vehicle's side impact protection conform to the requirements of subpart 
F of part 572 of this chapter. In a test in which the test vehicle is to 
be struck on its left side, each dummy is to be configured and 
instrumented to be struck on its left side, in accordance with subpart F 
of part 572. In a test in which the test vehicle is to be struck on its 
right side, each dummy is to be configured and instrumented to be struck 
on its right side, in accordance with subpart F of part 572.
    S6.13.2  Each part 572, subpart F test dummy specified is clothed in 
formfitting cotton stretch garments with short sleeves and midcalf 
length pants. Each foot of the test dummy is equipped with a size 11EEE 
shoe, which meets the configuration size, sole, and heel thickness 
specifications of MIL-S-13192 (1976) and weighs 1.25 0.2 
pounds.
    S6.13.3  Limb joints are set at between 1 and 2 g's. Leg joints are 
adjusted with the torso in the supine position.
    S6.13.4  The stabilized temperature of the test dummy at the time of 
the side impact test shall be at any temperature between 66 degrees F. 
and 78 degrees F.
    S6.13.5  The acceleration data from the accelerometers mounted on 
the ribs, spine and pelvis of the test dummy are processed with the 
FIR100 software specified in 49 CFR 572.44(d). The data are processed in 
the following manner:
    S6.13.5.1  Filter the data with a 300 Hz, SAE Class 180 filter;
    S6.13.5.2  Subsample the data to a 1600 Hz sampling rate;
    S6.13.5.3  Remove the bias from the subsampled data, and
    S6.13.5.4  Filter the data with the FIR100 software specified in 49 
CFR 572.44(d), which has the following characteristics--
    S6.13.5.4.1  Passband frequency 100 Hz.
    S6.13.5.4.2  Stopband frequency 189 Hz.
    S6.13.5.4.3  Stopband gain -50 db.
    S6.13.5.4.4  Passband ripple 0.0225 db.

[[Page 557]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.111



[[Page 558]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.112



[[Page 559]]

    S7. Positioning procedure for the part 572 subpart F test dummy. 
Position a correctly configured test dummy, conforming to subpart F of 
part 572 of this chapter, in the front outboard seating position on the 
side of the test vehicle to be struck by the moving deformable barrier 
and position another conforming test dummy in the rear outboard position 
on the same side of the vehicle, as specified in S7.1 through S7.4. Each 
test dummy is restrained using all available belt systems in all seating 
positions where such belt restraints are provided. In addition, any 
folding armrest is retracted.
    S7.1  Torso.
    S7.1.1  For a test dummy in the driver position.
    (a) For a bench seat. The upper torso of the test dummy rests 
against the seat back. The midsagittal plane of the test dummy is 
vertical and parallel to the vehicle's longitudinal centerline, and 
passes through the center of the steering wheel.
    (b) For a bucket seat. The upper torso of the test dummy rests 
against the seat back. The midsagittal plane of the test dummy is 
vertical and parallel to the vehicle's longitudinal centerline, and 
coincides with the longitudinal centerline of the bucket seat.
    S7.1.2  For a test dummy in the front outboard passenger position.
    (a) For a bench seat. The upper torso of the test dummy rests 
against the seat back. The midsagittal plane of the test dummy is 
vertical and parallel to the vehicle's longitudinal centerline, and the 
same distance from the vehicle's longitudinal centerline as would be the 
midsagittal plane of a test dummy positioned in the driver position 
under S7.1.1.
    (b) For a bucket seat. The upper torso of the test dummy rests 
against the seat back. The midsagittal plane of the test dummy is 
vertical and parallel to the vehicle's longitudinal centerline, and 
coincides with the longitudinal centerline of the bucket seat.
    S7.1.3  For a test dummy in either of the rear outboard passenger 
positions.
    (a) For a bench seat. The upper torso of the test dummy rests 
against the seat back. The midsagittal plane of the test dummy is 
vertical and parallel to the vehicle's longitudinal centerline, and, if 
possible, the same distance from the vehicle's longitudinal centerline 
as the midsagittal plane of a test dummy positioned in the driver 
position under S7.1.1. If it is not possible to position the test dummy 
so that its midsagittal plane is parallel to the vehicle longitudinal 
centerline and is at this distance from the vehicle's longitudinal 
centerline, the test dummy is positioned so that some portion of the 
test dummy just touches, at or above the seat level, the side surface of 
the vehicle, such as the upper quarter panel, an armrest, or any 
interior trim (i.e., either the broad trim panel surface or a smaller, 
localized trim feature).
    (b) For a bucket or contoured seat. The upper torso of the test 
dummy rests against the seat back. The midsagittal plane of the test 
dummy is vertical and parallel to the vehicle's longitudinal centerline, 
and coincides with the longitudinal centerline of the bucket or 
contoured seat.
    S7.2  Pelvis.
    S7.2.1  H-point. The H-points of each test dummy coincide within \1/
2\ inch in the vertical dimension and \1/2\ inch in the horizontal 
dimension of a point \1/4\ inch below the position of the H-point 
determined by using the equipment for the 50th percentile and procedures 
specified in SAE J826 (1980) (incorporated by reference; see 
Sec. 571.5), except that Table 1 of SAE J826 is not applicable. The 
length of the lower leg and thigh segments of the H-point machine are 
adjusted to 16.3 and 15.8 inches, respectively.
    S7.2.2  Pelvic angle. As determined using the pelvic angle gauge (GM 
drawing 78051-532 incorporated by reference in part 572, subpart E of 
this chapter) which is inserted into the H-point gauging hole of the 
dummy, the angle of the plane of the surface on the lumbar-pelvic 
adaptor on which the lumbar spine attaches is 23 to 25 degrees from the 
horizontal, sloping upward toward the front of the vehicle.
    S7.3  Legs.
    S7.3.1  For a test dummy in the driver position. The upper legs of 
each test dummy rest against the seat cushion to the extent permitted by 
placement of the feet. The left knee of the dummy is positioned such 
that the distance from the outer surface of the knee

[[Page 560]]

pivot bolt to the dummy's midsagittal plane is six inches. To the extent 
practicable, the left leg of the test dummy is in a vertical 
longitudinal plane.
    S7.3.2  For a test dummy in the outboard passenger positions. The 
upper legs of each test dummy rest against the seat cushion to the 
extent permitted by placement of the feet. The initial distance between 
the outboard knee clevis flange surfaces is 11.5 inches. To the extent 
practicable, both legs of the test dummies in outboard passenger 
positions are in vertical longitudinal planes. Final adjustment to 
accommodate placement of feet in accordance with S7.4 for various 
passenger compartment configurations is permitted.
    S7.4  Feet.
    S7.4.1  For a test dummy in the driver position. The right foot of 
the test dummy rests on the undepressed accelerator with the heel 
resting as far forward as possible on the floorpan. The left foot is set 
perpendicular to the lower leg with the heel resting on the floorpan in 
the same lateral line as the right heel.
    S7.4.2  For a test dummy in the front outboard passenger position. 
The feet of the test dummy are placed on the vehicle's toeboard with the 
heels resting on the floorpan as close as possible to the intersection 
of the toeboard and floorpan. If the feet cannot be placed flat on the 
toeboard, they are set perpendicular to the lower legs and placed as far 
forward as possible so that the heels rest on the floorpan.
    S7.4.3  For a test dummy in either of the rear outboard passenger 
positions. The feet of the test dummy are placed flat on the floorpan 
and beneath the front seat as far as possible without front seat 
interference. If necessary, the distance between the knees can be 
changed in order to place the feet beneath the seat.
    S8.  Phase-in of dynamic test and performance requirements.
    S8.1  [Reserved]
    S8.2  [Reserved]
    S8.3  Passenger cars manufactured on or after September 1, 1995 and 
before September 1, 1996.
    S8.3.1  The number of passenger cars complying with the requirements 
of S3(c) shall be not less than 40 percent of:
    (a) The average annual production of passenger cars manufactured on 
or after September 1, 1992, and before September 1, 1995, by each 
manufacturer, or
    (b) The manufacturer's annual production of passenger cars during 
the period specified in S8.3.
    S8.4  Passenger cars produced by more than one manufacturer.
    S8.4.1  For the purposes of calculating average annual production of 
passenger cars for each manufacturer and the number of passenger cars 
manufactured by each manufacturer under S8.1, S8.2, and S8.3, a 
passenger car produced by more than one manufacturer shall be attributed 
to a single manufacturer as follows, subject to S8.4.2:
    (a) A passenger car which is imported shall be attributed to the 
importer.
    (b) A passenger car manufactured in the United States by more than 
one manufacturer, one of which also markets the vehicle, shall be 
attributed to the manufacturer which markets the vehicle.
    S8.4.2  A passenger car produced by more than one manufacturer shall 
be attributed to any one of the vehicle's manufacturers specified by an 
express written contract, reported to the National Highway Traffic 
Safety Administration under 49 CFR part 586, between the manufacturer so 
specified and the manufacturer to which the vehicle would otherwise be 
attributed under S8.4.1.
[36 FR 22902, Dec. 2, 1971, as amended at 45 FR 17018, Mar. 17, 1980; 55 
FR 45752, Oct. 30, 1990; 56 FR 27437, June 14, 1991; 56 FR 47011, Sept. 
17, 1991; 57 FR 21615, May 21, 1992; 57 FR 30921 and 30922, July 13, 
1992; 58 FR 14169, Mar. 16, 1993; 60 FR 38761, July 28, 1995; 60 FR 
57839, Nov. 22, 1995]

    Effective Date Note:  At 60 FR 38761, July 28, 1995, in 
Sec. 571.214, S1(b), S2, S5.1, S6.1, S6.11 and S7 were revised and 
S3(f), S6.11.1, and S6.11.2 were added, effective September 1, 1998. For 
the convenience of the user, the revised text is set forth as follows:

517.214  Standard No. 214; Side Impact Protection

    S1. Scope and purpose. * * *

                                * * * * *

    (b) Purpose. The purpose of this standard is to reduce the risk of 
serious and fatal injury to occupants of passenger cars, multipurpose

[[Page 561]]

passenger vehicles, trucks and buses in side impact crashes by 
specifying vehicle crashworthiness requirements in terms of 
accelerations measured on anthropomorphic dummies in test crashes, by 
specifying strength requirements for side doors, and by other means.
    S2. This standard applies to--
    (a) Passenger cars;
    (b) Effective September 1, 1993, sections S3(a), S3(e), S3.1 through 
S3.2.3, and S4 of the standard apply to multipurpose passenger vehicles, 
trucks, and buses with a GVWR of 10,000 pounds or less, except for walk-
in vans; and
    (c) Effective September 1, 1998, sections S3(f) and S5 of the 
standard apply to multipurpose passenger vehicles, trucks and buses with 
a GVWR of 6,000 pounds or less, except for walk-in vans, motor homes, 
tow trucks, dump trucks, ambulances and other emergency rescue/medical 
vehicles (including vehicles with fire-fighting equipment), vehicles 
equipped with wheelchair lifts, and vehicles which have no doors or 
exclusively have doors that are designed to be easily attached or 
removed so the vehicle can be operated without doors.

                                * * * * *

    S3. * * *
    (f) When tested according to the conditions of S6, each multipurpose 
passenger vehicle, truck and bus manufactured on or after September 1, 
1998, shall meet the requirements of S5.1, S5.2, and S5.3 in a 33.5 
miles per hour impact in which the vehicle is struck on either side by a 
moving deformable barrier. A part 572, subpart F test dummy is placed in 
the front outboard seating position on the struck side of the vehicle, 
and if the vehicle is equipped with rear seats, then another part 572, 
subpart F test dummy is placed on the outboard seating position of the 
second seat on the struck side of the vehicle. However, the second seat 
requirements do not apply to side-facing seats or to vehicles that have 
second seating areas that are so small that the part 572, subpart F 
dummy can not be accommodated according to the positioning procedure 
specified in S7.

                                * * * * *

    S5.1  Thorax. The Thoracic Trauma Index (TTI(d)) shall not exceed:
    (a) 85 g for a passenger car with four side doors, and for any 
multipurpose passenger vehicle, truck, or bus; and,
    (b) 90 g for a passenger car with two side doors, when calculated in 
accordance with the following formula:

TTI(d) = 1/2 (GR + GLS)


The term ``GR'' is the greater of the peak accelerations of 
either the upper or lower rib, expressed in g's and the term 
``GLS'' is the lower spine (T12) peak acceleration, expressed 
in g's. The peak acceleration values are obtained in accordance with the 
procedure specified in S6.13.5.

                                * * * * *

    S6.1  Test weight. Each vehicle is loaded to its unloaded vehicle 
weight, plus 300 pounds or its rated cargo and luggage capacity 
(whichever is less), secured in the luggage or load-carrying area, plus 
the weight of the necessary anthropomorphic test dummies. Any added test 
equipment is located away from impact areas in secure places in the 
vehicle. The vehicle's fuel system is filled in accordance with the 
following procedure. With the test vehicle on a level surface, pump the 
fuel from the vehicle's fuel tank and then operate the engine until it 
stops. Then, add Stoddard solvent to the test vehicle's fuel tank in an 
amount which is equal to not less than 92 percent and not more than 94 
percent of the fuel tank's usable capacity stated by the vehicle's 
manufacturer. In addition, add the amount of Stoddard solvent needed to 
fill the entire fuel system from the fuel tank through the engine's 
induction system.

                                * * * * *

    S6.11  Impact reference line. Place a vertical reference line at the 
location described below on the side of the vehicle that will be struck 
by the moving deformable barrier:
    S6.11.1  Passenger cars.
    (a) For vehicles with a wheelbase of 114 inches or less, 37 inches 
forward of the center of the vehicle's wheelbase.
    (b) For vehicles with a wheelbase greater than 114 inches, 20 inches 
rearward of the centerline of the vehicle's front axle.
    S6.11.2  Multipurpose passenger vehicles, trucks and buses.
    (a) For vehicles with a wheelbase of 98 inches or less, 12 inches 
rearward of the centerline of the vehicle's front axle, except as 
otherwise specified in paragraph (d) of this section.
    (b) For vehicles with a wheelbase of greater than 98 inches but not 
greater than 114 inches, 37 inches forward of the center of the 
vehicle's wheelbase, except as otherwise specified in paragraph (d) of 
this section.
    (c) For vehicles with a wheelbase greater than 114 inches, 20 inches 
rearward of the centerline of the vehicle's front axle, except as 
otherwise specified in paragraph (d) of this section.
    (d) At the manufacturer's option, for different wheelbase versions 
of the same model vehicle, the impact reference line may be located by 
the following:
    (1) Select the shortest wheelbase vehicle of the different wheelbase 
versions of the same

[[Page 562]]

model and locate on it the impact reference line at the location 
described in (a), (b) or (c) of this section, as appropriate;
    (2) Measure the distance between the seating reference point (SgRP) 
and the impact reference line;
    (3) Maintain the same distance between the SgRP and the impact 
reference line for the version being tested as that between the SgRP and 
the impact reference line for the shortest wheelbase version of the 
model.
    (e) For the compliance test, the impact reference line will be 
located using the procedure used by the manufacturer as the basis for 
its certification of compliance with the requirements of this standard. 
If the manufacturer did not use any of the procedures in this section, 
or does not specify a procedure when asked by the agency, the agency may 
locate the impact reference line using either procedure.

                                * * * * *

    S7. Positioning procedure for the part 572 subpart F test dummy. 
Position a correctly configured test dummy, conforming to subpart F of 
part 572 of this chapter, in the front outboard seating position on the 
side of the test vehicle to be struck by the moving deformable barrier 
and, if the vehicle has a second seat, position another conforming test 
dummy in the second seat outboard position on the same side of the 
vehicle, as specified in S7.1 through S7.4. Each test dummy is 
restrained using all available belt systems in all seating positions 
where such belt restraints are provided. In addition, any folding 
armrest is retracted.

                                * * * * *



Sec. 571.215  [Reserved]



Sec. 571.216  Standard No. 216; Roof crush resistance.

    S1. Scope. This standard establishes strength requirements for the 
passenger compartment roof.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries due to the crushing of the roof into the passenger compartment 
in rollover accidents.
    S3. Application. This standard applies to passenger cars, and to 
multipurpose passenger vehicles, trucks and buses with a GVWR of 2722 
kilograms or less. However, it does not apply to--
    (a) School buses;
    (b) Vehicles that conform to the rollover test requirements (S5.3) 
of Standard No. 208 (Sec. 571.208) by means that require no action by 
vehicle occupants; or
    (c) Convertibles, except for optional compliance with the standard 
as an alternative to the rollover test requirements in S5.3 of Standard 
No. 208.
    S4. Requirements.
    (a) Passenger cars. A test device as described in S5 shall not move 
more than 125 millimeters, measured in accordance with S6.4, when it is 
used to apply a force in newtons equal to 1\1/2\ times the unloaded 
vehicle weight of the vehicle, measured in kilograms and multiplied by 
9.8 or 22,240 newtons, whichever is less, to either side of the forward 
edge of a vehicle's roof in accordance with the procedures of S6. Both 
the left and right front portions of the vehicle's roof structure shall 
be capable of meeting the requirements, but a particular vehicle need 
not meet further requirements after being tested at one location.
    (b) Multipurpose passenger vehicles, trucks and buses with a GVWR of 
2,722 kilograms or less, manufactured on or after September 1, 1994. For 
multipurpose passenger vehicles, trucks and buses with a GVWR of 2,722 
kilograms or less, manufactured on or after September 1, 1994, a test 
device as described in S5 shall not move more than 125 millimeters, 
measured in accordance with S6.4, when it is used to apply a force in 
newtons equal to 1\1/2\ times the unloaded vehicle weight of the 
vehicle, measured in kilograms and multiplied by 9.8, to either side of 
the forward edge of a vehicle's roof in accordance with the procedures 
of S6. Both the left and right front portions of the vehicle's roof 
structure shall be capable of meeting the requirements, but a particular 
vehicle need not meet further requirements after being tested at one 
location.
    S5. Test device. The test device is a rigid unyielding block with 
its lower surface formed as a flat rectangle 762 millimeters  x  1829 
millimeters.
    S6. Test procedure. Each vehicle shall be capable of meeting the 
requirements of S4 when tested in accordance with the following 
procedure.
    S6.1  Place the sills or the chassis frame of the vehicle on a rigid 
horizontal surface, fix the vehicle rigidly in position, close all 
windows, close and

[[Page 563]]

lock all doors, and secure any convertible top or removable roof 
structure in place over the passenger compartment.
    S6.2  Orient the test device as shown in Figure 1, so that--
    (a) Its longitudinal axis is at a forward angle (side view) of 
5 deg. below the horizontal, and is parallel to the vertical plane 
through the vehicle's longitudinal centerline;
    (b) Its lateral axis is at a lateral outboard angle, in the front 
view projection, of 25 deg. below the horizontal;
    (c) Its lower surface is tangent to the surface of the vehicle; and
    (d) The initial contact point, or center of the initial contact 
area, is on the longitudinal centerline of the lower surface of the test 
device and 254 millimeters from the forwardmost point of that 
centerline.
    6.3 (a) Passenger cars. Apply force in a downward direction 
perpendicular to the lower surface of the test device at a rate of not 
more than 13 millimeters per second until reaching a force in newtons of 
1\1/2\ times the unloaded vehicle weight of the tested vehicle, measured 
in kilograms and multiplied by 9.8 or 22,240 newtons, whichever is less. 
Complete the test within 120 seconds. Guide the test device so that 
throughout the test it moves, without rotation, in a straight line with 
its lower surface oriented as specified in S6.2(a) through S6.2(d).
    (b) Multipurpose passenger vehicles, trucks and buses with a GVWR of 
2,722 kilograms or less, manufactured on or after September 1, 1994. For 
multipurpose passenger vehicles, trucks and buses with a GVWR of 2,722 
kilograms or less, manufactured on or after September 1, 1994, apply 
force in a downward direction perpendicular to the lower surface of the 
test device at a rate of not more than 13 millimeters per second until 
reaching a force in newtons of 1\1/2\ times the unloaded vehicle weight 
of the tested vehicle, measured in kilograms and multiplied by 9.8. 
Complete the test within 120 seconds. Guide the test device so that 
throughout the test it moves, without rotation, in a straight line with 
its lower surface oriented as specified in S6.2(a) through S6.2(d).
    S6.4  Measure the distance that the test device moves, i.e., the 
distance between the original location of the lower surface of the test 
device and its location as the force level specified in S6.3 is reached.

[[Page 564]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.113


[36 FR 23300, Dec. 8, 1971, as amended at 38 FR 21930, Aug. 14, 1973; 56 
FR 15517, Apr. 17, 1991; 58 FR 5633, Jan. 22, 1993; 60 FR 13647, Mar. 
14, 1995]



Sec. 571.217  Standard No. 217; Bus emergency exits and window retention and release.

    S1. Scope. This standard establishes requirements for the retention 
of windows other than windshields in buses, and establishes operating 
forces, opening dimensions, and markings for bus emergency exits.
    S2. Purpose. The purpose of this standard is to minimize the 
likelihood of occupants being thrown from the bus and to provide a means 
of readily accessible emergency egress.
    S3. Application. This standard applies to buses, except buses 
manufactured for the purpose of transporting persons under physical 
restraint.
    S4. Definitions. Adjacent seat means a designated seating position 
located so that some portion of its occupant space is not more than 10 
inches from an emergency exit, for a distance of at least 15 inches 
measured horizontally and parallel to the exit.
    Daylight opening means the maximum unobstructed opening of an 
emergency exit when viewed from a direction perpendicular to the plane 
of the opening.
    Mid-point of the passenger compartment means any point on a vertical 
transverse plane bisecting the vehicle longitudinal centerline that 
extends between the two vertical transverse planes which define the 
foremost and rearmost limits of the passenger compartment.
    Occupant space means the space directly above the seat and footwell, 
bounded vertically by the ceiling and horizontally by the normally 
positioned seat back and the nearest obstruction of occupant motion in 
the direction the seat faces.
    Passenger compartment means space within the school bus interior 
that is between a vertical transverse plane located 76 centimeters in 
front of the forwardmost passenger seating reference point and a 
vertical transverse plane tangent to the rear interior wall of the bus 
at the vehicle centerline.
    Post and roof bow panel space means the area between two adjacent 
post and roof bows.
    Push-out window means a vehicle window designed to open outward to 
provide for emergency egress.

[[Page 565]]

    Sliding window means a bus window designed to open by moving 
vertically or horizontally to provide emergency egress.
    S5. Requirements.
    S5.1  Window retention. Except as provided in S5.1.2, each piece of 
window glazing and each surrounding window frame when tested in 
accordance with the procedure in S5.1.1 under the conditions of S6.1 
through S6.3, shall be retained by its surrounding structure in a manner 
that prevents the formation of any opening large enough to admit the 
passage of a 4-inch diameter sphere under a force, including the weight 
of the sphere, of 5 pounds until any one of the following events occurs:
    (a) A force of 1,200 pounds is reached.
    (b) At least 80 percent of the glazing thickness has developed 
cracks running from the load contact region to the periphery at two or 
more points, or shattering of the glazing occurs.
    (c) The inner surface of the glazing at the center of force 
application has moved relative to the window frame, along a line 
perpendicular to the undisturbed inner surface, a distance equal to one-
half of the square root of the minimum surface dimension measured 
through the center of the area of the entire sheet of window glazing.
    S5.1.1  An increasing force shall be applied to the window glazing 
through the head form specified in Figure 4, outward and perpendicular 
to the undisturbed inside surface at the center of the area of each 
sheet of window glazing, with a head form travel of 2 inches per minute.
    S5.1.2  The requirements of this standard do not apply to a window 
whose minimum surface dimension measured through the center of its area 
is less than 8 inches.
    S5.2  Provision of emergency exits.
    S5.2.1  Buses other than school buses shall meet the requirements of 
either S5.2.2 or S5.2.3. School buses shall meet the requirements of 
S5.2.3.
    S5.2.1.1  A bus with GVWR of more than 10,000 pounds may satisfy the 
unobstructed openings requirement by providing at least one side door 
for each three passenger seating positions in the vehicle.
    S5.2.2  Buses other than school buses.
    S5.2.2.1  Buses other than school buses shall provide unobstructed 
openings for emergency exit which collectively amount, in total square 
centimeters, to at least 432 times the number of designated seating 
positions on the bus. At least 40 percent of the total required area of 
unobstructed openings, computed in the above manner, shall be provided 
on each side of a bus. However, in determining the total unobstructed 
openings provided by a bus, no emergency exit, regardless of its area, 
shall be credited with more than 3,458 square centimeters of the total 
area requirement.
    S5.2.2.2  Buses with GVWR of more than 10,000 pounds. Buses with a 
GVWR of more than 10,000 pounds shall meet the unobstructed openings 
requirements in S5.2.2.1 by providing side exits and at least one rear 
exit that conforms to S5.3 through S5.5. The rear exit shall meet the 
requirements of S5.3 through S5.5 when the bus is upright and when the 
bus is overturned on either side, with the occupant standing facing the 
exit. When the bus configuration precludes installation of an accessible 
rear exit, a roof exit that meets the requirements of S5.3 through S5.5 
when the bus is overturned on either side, with the occupant standing 
facing the exit, shall be provided in the rear half of the bus.
    S5.2.2.3  Buses with GVWR of 10,000 pounds or less. Buses other than 
school buses with GVWR of 10,000 pounds or less may meet the 
unobstructed openings requirement in S5.2.2.1 by providing:
    (a) Devices that meet the requirements of S5.3 through S5.5 without 
using remote controls or central power systems;
    (b) Windows that can be opened manually to a position that provides 
an opening large enough to admit unobstructed passage, keeping a major 
axis horizontal at all times, of an ellipsoid generated by rotating 
about its minor axis an ellipse having a major axis of 50 centimeters 
and a minor axis of 33 centimeters; or
    (c) Doors.
    S5.2.3  School buses. Except as provided in S5.2.3.4, each school 
bus shall comply with S5.2.3.1 through S5.2.3.3.

[[Page 566]]

    S5.2.3.1.  Each school bus shall be equipped with the exits 
specified in either S5.2.3.1(a) or S5.2.3.1(b), chosen at the option of 
the manufacturer.
    (a) One rear emergency door that opens outward and is hinged on the 
right side (either side in the case of a bus with a GVWR of 10,000 
pounds or less), and the additional exits, if any, specified by Table 1.
    (b) One emergency door on the vehicle's left side that is hinged on 
its forward side and meets the requirements of S5.2.3.2(a), and a push-
out rear window that provides a minimum opening clearance 41 centimeters 
high and 122 centimeters wide and meets the requirements of S5.2.3.2(c), 
and the additional exits, if any, specified by Table 2.

                                 Table 1                                
------------------------------------------------------------------------
            Seating capacity               Additional exits required *  
------------------------------------------------------------------------
1-45...................................  None.                          
46-62..................................  1 left side exit door or 2 exit
                                          windows.                      
63-70..................................  1 left side exit door or 2 exit
                                          windows, and 1 roof exit.     
71 and above...........................  1 left side exit door or 2 exit
                                          windows, and 1 roof exit, and 
                                          any combination of door, roof,
                                          or windows such that the total
                                          capacity credit specified in  
                                          Table 3 for these exits, plus 
                                          70, is greater than the       
                                          seating capacity of the bus.  
------------------------------------------------------------------------
* Side emergency exit doors must meet the requirements of S5.2.3.2(a),  
  emergency roof exits must meet the requirements of S5.2.3.2(b),       
  emergency window exits must meet the requirements of S5.2.3.2(c).     


                                 Table 2                                
------------------------------------------------------------------------
            Seating capacity               Additional exits required *  
------------------------------------------------------------------------
1-57...................................  None.                          
58-74..................................  1 right side exit door or 2    
                                          exit windows.                 
75-82..................................  1 right side exit door or 2    
                                          exit windows, and 1 roof exit.
83 and above...........................  1 right side exit door or 2    
                                          windows, and 1 roof exit, and 
                                          any combination of door, roof,
                                          or windows such that the total
                                          capacity credit specified in  
                                          Table 3 for these exits plus  
                                          82 is greater than the        
                                          capacity of the bus.          
------------------------------------------------------------------------
* Side emergency exit doors must meet the requirements of S5.2.3.2(a),  
  emergency roof exits must meet the requirements of S5.2.3.2(b),       
  emergency window exits must meet the requirements of S5.2.3.2(c).     


                                 Table 3                                
------------------------------------------------------------------------
                                                                Capacity
                           Exit Type                             Credit 
------------------------------------------------------------------------
Side Door.....................................................        16
Window........................................................         8
Roof Exit.....................................................         8
------------------------------------------------------------------------

    (c) The area of an opening equipped with a wheelchair lift may be 
credited toward the required additional exits if it meets the 
requirements of paragraphs (a) or (b) of S5.2.3.1 and if the lift folds 
or stows in such a manner that the area is available for use by persons 
not needing the lift. With the lift in the folded or stowed position, 
such opening is considered a side emergency exit door.
    S5.2.3.2  All emergency exits required by S5.2.3.1(a) and 
S5.2.3.1(b) shall meet the following criteria:
    (a) Side emergency exit doors.
    (1) Each side emergency exit door shall be hinged on its forward 
side.
    (2) The first side emergency exit door installed pursuant to Table 
1, shall be located on the left side of the bus and as near as 
practicable to the mid-point of the passenger compartment. A second side 
emergency exit door installed pursuant to Table 1 shall be located on 
the right side of the bus. In the case of a bus equipped with three side 
emergency door exits pursuant to Table 1, the third shall be located on 
the left side of the bus.
    (3) The first side emergency exit door installed pursuant to Table 2 
shall be located on the right side of the bus. A second side emergency 
door exit installed pursuant to Table 2 shall be located on the left 
side of the bus. In the case of a bus equipped with three side emergency 
door exits pursuant to Table 2, the third shall be located on the right 
side of the bus.
    (4) No two side emergency exit doors shall be located, in whole or 
in part, within the same post and roof bow panel space.
    (b) Emergency roof exit. (1) Each emergency roof exit shall be 
hinged on its forward side, and shall be operable from both inside and 
outside the vehicle.
    (2) In a bus equipped with a single emergency roof exit, the exit 
shall be located as near as practicable to the midpoint of the passenger 
compartment.
    (3) In a bus equipped with two emergency roof exits, one shall be 
located as near as practicable to a point equidistant between the 
midpoint of the

[[Page 567]]

passenger compartment and the foremost limit of the passenger 
compartment and the other shall be located as near as practicable to a 
point equidistant between the midpoint of the passenger compartment and 
the rearmost point of the passenger compartment.
    (4) In a bus equipped with three or more emergency roof exits, the 
roof exits shall be installed so that, to the extent practicable, the 
longitudinal distance between each pair of adjacent roof exits is the 
same and equal to the distance from the foremost point of the passenger 
compartment to the foremost roof exit and to the distance from the 
rearmost point of that compartment to the rearmost roof exit.
    (5) Except as provided in paragraph (b)(6) of this section, each 
emergency roof exit shall be installed with its longitudinal centerline 
coinciding with a longitudinal vertical plane passing through the 
longitudinal centerline of the school bus.
    (6) In a bus equipped with two or more emergency roof exits, for 
each roof exit offset from the longitudinal vertical plane specified in 
paragraph (b)(5) of this section, there shall be another roof exit 
offset from that plane an equal distance to the other side.
    (c) Emergency exit windows. A bus equipped with emergency exit 
windows shall have an even number of such windows, not counting the 
push-out rear window required by S5.2.3.1(b). Any side emergency exit 
windows shall be evenly divided between the right and left sides of the 
bus. School buses shall not be equipped with horizontally-sliding 
emergency exit windows. Further, except for buses equipped with rear 
push-out emergency exit windows in accordance with S5.2.3.1(b), school 
buses shall not be equipped with both sliding and push-out emergency 
exit windows.
    S5.2.3.3 The engine starting system of a bus shall not operate if 
any emergency exit is locked from either inside or outside the bus. For 
purposes of this requirement, ``locked'' means that the release 
mechanism cannot be activated and the exit opened by a person at the 
exit without a special device such as a key or special information such 
as a combination.
    S5.2.3.4  Each school bus manufactured before September 1, 1994 may, 
at the manufacturer's option, comply with either S5.2.3.4(a) or 
S5.2.3.4(b) instead of S5.2.3.1 through S5.2.3.3.
    (a) Each bus shall be equipped with one rear emergency door that 
opens outward and is hinged on the right side (either side in the case 
of a bus with a GVWR of 4,536 kilograms or less); or
    (b) Each bus shall be equipped with one emergency door on the 
vehicle's left side that is hinged on its forward side and meets the 
requirements of S5.2.3.2(a), and a push-out rear window that provides a 
minimum opening clearance 41 centimeters high and 122 centimeters wide 
and meets the requirements of S5.2.3.2(c).
    S5.3  Emergency exit release.
    S5.3.1  Each emergency exit not required by S5.2.3 shall be 
releasable by operating one or two mechanisms located within the regions 
specified in Figure 1, Figure 2, or Figure 3. The lower edge of the 
region in Figure 1, and Region B in Figure 2, shall be located 13 
centimeters above the adjacent seat, or 5 centimeters above the arm 
rest, if any, whichever is higher.
    S5.3.2  When tested under the conditions of S6., both before and 
after the window retention test required by S5.1, each emergency exit 
not required by S5.2.3 shall allow manual release of the exit by a 
single occupant using force applications each of which conforms, at the 
option of the manufacturer, either to S5.3.2 (a) or (b) of this section. 
Each exit shall have not more than two release mechanisms. In the case 
of exits with one release mechanism, the mechanism shall require two 
force applications to release the exit. In the case of exits with two 
release mechanisms, each mechanism shall require one force application 
to release the exit. At least one of the force applications for each 
exit shall differ from the direction of the initial motion to open the 
exit by not less than 90 deg. and no more than 180 deg..
    (a) Low-force application.
    (1) Location. As shown in Figure 1 or Figure 3.
    (2) Type of motion. Rotary or straight.
    (3) Magnitude. Not more than 20 pounds.
    (b) High force application.

[[Page 568]]

    (1) Location. As shown in Figure 2 or Figure 3.
    (2) Type of motion. Straight, perpendicular to the undisturbed exit 
surface.
    (3) Magnitude. Not more than 60 pounds.
    S5.3.3 School bus emergency exit release.
    S5.3.3.1  When tested under the conditions of S6., both before and 
after the window retention test required by S5.1, each school bus 
emergency exit door shall allow manual release of the door by a single 
person, from both inside and outside the passenger compartment, using a 
force application that conforms to S5.3.3.1 (a) through (c) of this 
section, except a school bus with a GVWR of 10,000 pounds or less is not 
required to conform to S5.3.3.1 (a). The release mechanism shall operate 
without the use of remote controls or tools, and notwithstanding any 
failure of the vehicle's power system. When the release mechanism is not 
in the position that causes an emergency exit door to be closed and the 
vehicle's ignition is in the ``on'' position, a continuous warning sound 
shall be audible at the driver's seating position and in the vicinity of 
the emergency exit door.
    (a) Location: Within the high force access region shown in Figure 3A 
for a side emergency exit door, and in figure 3D for a rear emergency 
exit door.
    (b) Type of motion: Upward from inside the bus and, at the 
discretion of the manufacturer, from outside the bus. Buses with a GVWR 
of 10,000 pounds or less shall provide interior release mechanisms that 
operate by either an upward or pull-type motion. The pull-type motion 
shall be used only when the release mechanism is recessed in such a 
manner that the handle, level, or other activating device, before being 
activated, does not protrude beyond the rim of the recessed receptacle.
    (c) Magnitude of force: Not more than 178 newtons.
    S5.3.3.2  When tested under the conditions of S6., both before and 
after the window retention test required by S5.1, each school bus 
emergency exit window shall allow manual release of the exit by a single 
person, from inside the passenger compartment, using not more than two 
release mechanisms located in specified low-force or high-force regions 
(at the option of the manufacturer) with force applications and types of 
motions that conform to either S5.3.3.2 (a) or (b) of this section. In 
the case of windows with one release mechanism, the mechanism shall 
require two force applications to release the exit. In the case of 
windows with two release mechanisms, each mechanism shall require one 
application to release the exit. At least one of the force applications 
for each window shall differ from the direction of the initial motion to 
open the exit by no less than 90 deg. and no more than 180 deg.. Each 
release mechanism shall operate without the use of remote controls or 
tools, and notwithstanding any failure of the vehicle's power system. 
When a release mechanism is open and the vehicle's ignition is in the 
``on'' position, a continuous warning shall be audible at the drivers 
seating position and in the vicinity of that emergency exit.
    (a) Emergency exit windows--Low-force application.
    (1) Location: Within the low-force access regions shown in Figures 1 
and 3 for an emergency exit window.
    (2) Type of motion: Rotary or straight.
    (3) Magnitude: Not more than 89 newtons.
    (b) Emergency exit windows--High-force application.
    (1) Location: Within the high-force access regions shown in Figures 
2 and 3 for an emergency exit window.
    (2) Type of motion: Straight and perpendicular to the undisturbed 
exit surface.
    (3) Magnitude: Not more than 178 newtons.
    S5.3.3.3  When tested under the conditions of S6., both before and 
after the window retention test required by S5.1, each school bus 
emergency roof exit shall allow manual release of the exit by a single 
person from both inside and outside the passenger compartment, using not 
more than two release mechanisms located at specified low-force or high-
force regions (at the option of the manufacturer) with force 
applications and types of motions that conform either to S5.3.3.3 (a) or 
(b) of this section. In the case of roof exits with one release 
mechanism, the mechanism shall

[[Page 569]]

require two force applications to release the exit. In the case of roof 
exits with two release mechanisms, each mechanism shall require one 
application to release the exit. At least one of the force applications 
for each roof exit shall differ from the direction of the initial push-
out motion of the exit by no less than 90 deg. and no more than 
180 deg..
    (a) Emergency roof exits--Low-force application.
    (1) Location: Within the low force access regions shown in Figure 
3B, in the case of buses whose roof exits are not offset from the plane 
specified in S5.2.3.2(b)(5). In the case of buses which have roof exits 
offset from the plane specified in S5.2.3.2(b)(5), the amount of offset 
shall be used to recalculate the dimensions in Figure 3B for the offset 
exits.
    (2) Type of motion: Rotary or straight.
    (3) Magnitude: Not more than 89 newtons.
    (b) Emergency roof exits--High-force application.
    (1) Location: Within the high force access regions shown in Figure 
3B, in the case of buses whose roof exits are not offset from the plane 
specified in S5.2.3.2(b)(5). In the case of buses which have roof exits 
offset from the plane specified in S5.2.3.2(b)(5), the amount of offset 
shall be used to recalculate the dimensions in Figure 3B for the offset 
exits.
    (2) Type of motion: Straight and perpendicular to the undisturbed 
exit surface.
    (3) Magnitude: Not more than 178 newtons.
    S5.4  Emergency exit opening.
    S5.4.1  After the release mechanism has been operated, each 
emergency exit not required by S5.2.3 shall, under the conditions of 
S6., both before and after the window retention test required by S5.1, 
using the reach distances and corresponding force levels specified in 
S5.3.2, allow manual opening by a single occupant to a position that 
provides an opening large enough to admit unobstructed passage, keeping 
a major axis horizontal at all times, of an ellipsoid generated by 
rotating about its minor axis an ellipse having a major axis of 50 
centimeters and a minor axis of 33 centimeters.
    S5.4.2  School bus emergency exit opening.
    S5.4.2.1  School buses with a GVWR of more than 10,000 pounds.
    (a) Emergency exit doors. After the release mechanism has been 
operated, each emergency exit door of a school bus shall, under the 
conditions of S6., before and after the window retention test required 
by S5.1, using the force levels specified in S5.3.3, be manually 
extendable by a single person to a position that permits:
    (1) In the case of a rear emergency exit door, an opening large 
enough to permit unobstructed passage of a rectangular parallelepiped 
114 centimeters high, 61 centimeters wide, and 30 centimeters deep, 
keeping the 114 centimeter dimension vertical, the 61 centimeter 
dimension parallel to the opening, and the lower surface in contact with 
the floor of the bus at all times; and
    (2) In the case of a side emergency exit door, an opening at least 
114 centimeters high and 61 centimeters wide.
    (i) Except as provided in paragraph (a)(2)(ii) of this section, no 
portion of a seat or a restraining barrier shall be installed within the 
area bounded by the opening of a side emergency exit door, a vertical 
transverse plane tangent to the rearward edge of the door opening frame, 
a vertical transverse plane parallel to that plane at a distance of 30 
centimeters forward of that plane, and a longitudinal vertical plane 
passing through the longitudinal centerline of the bus. (See Figure 5A).
    (ii) A seat bottom may be located within the area described in 
paragraph (a)(2)(i) of this section if the seat bottom pivots and 
automatically assumes and retains a vertical position when not in use, 
so that no portion of the seat bottom is within the area described in 
paragraph (i) when the seat bottom is vertical. (See Figure 5B).
    (iii) No portion of a seat or restraining barrier located forward of 
the area described in paragraph (a)(2)(i) of this section and between 
the door opening and a longitudinal vertical plane passing through the 
longitudinal centerline of the bus shall extend rearward of a vertical 
transverse plane tangent to the forwardmost portion of a latch

[[Page 570]]

mechanism on the door. (See Figures 5B and 5C.)
    (3)(i) Each emergency exit door of a school bus shall be equipped 
with a positive door opening device that, after the release mechanism 
has been operated, under the conditions of S6, before and after the 
window retention test required by S5.1--
    (A) Bears the weight of the door;
    (B) Keeps the door from closing past the point at which the door is 
perpendicular to the side of the bus body, regardless of the body's 
orientation; and
    (C) Provides a means for release or override.
    (ii) The positive door opening device shall perform the functions 
specified in paragraph (a)(3)(i) (A) and (B) of this section without the 
need for additional action beyond opening the door past the point at 
which the door is perpendicular to the side of the bus body.
    (b) Emergency roof exits. After the release mechanism has been 
operated, each emergency roof exit of a school bus shall, under the 
conditions of S6, before and after the window retention test required by 
S5.1, using the force levels specified in S5.3.3, be manually extendable 
by a single person to a position that permits an opening at least 41 
centimeters high and 41 centimeters wide.
    (c) Emergency exit windows. After the release mechanism has been 
operated, each emergency exit window of a school bus shall, under the 
conditions of S6., both before and after the window retention test of 
S5.1, using force levels specified in S5.3.3.2, be manually extendable 
by a single occupant to a position that provides an opening large enough 
to admit unobstructed passage, keeping a major axis horizontal at all 
times, of an ellipsoid generated by rotating about its minor axis an 
ellipse having a major axis of 50 centimeters and a minor axis of 33 
centimeters.
    S5.4.2.2  School buses with a GVWR of 10,000 pounds or less. A 
school bus with a GVWR of 10,000 pounds or less shall conform to all the 
provisions of S5.4.2, except that the parallelepiped dimension for the 
opening of the rear emergency door or doors shall be 45 inches high, 22 
inches wide, and six inches deep.
    S5.5  Emergency exit identification.
    S5.5.1  In buses other than school buses, and except for windows 
serving as emergency exits in accordance with S5.2.2.3(b) and doors in 
buses with a GVWR of 10,000 pounds or less, each emergency exit door 
shall have the designation ``Emergency Door'' or ``Emergency Exit,'' and 
every other emergency exit shall have the designation ``Emergency Exit'' 
followed by concise operating instructions describing each motion 
necessary to unlatch and open the exit, located within 16 centimeters of 
the release mechanism.

    Examples:

    (1) Lift to Unlatch, Push to Open
    (2) Lift Handle and Push out to Open

When a release mechanism is not located within an occupant space of an 
adjacent seat, a label meeting the requirements of S5.5.2 that indicates 
the location of the nearest release mechanism shall be placed within the 
occupant space.

    Example: ``Emergency Exit Instructions Located Next to Seat Ahead''

    S5.5.2  In buses other than school buses. Except as provided in 
S5.5.2.1, each marking shall be legible, when the only source of light 
is the normal nighttime illumination of the bus interior, to occupants 
having corrected visual acuity of 20/40 (Snellen ratio) seated in the 
adjacent seat, seated in the seat directly adjoining the adjacent seat, 
and standing in the aisle location that is closest to that adjacent 
seat. The marking shall be legible from each of these locations when the 
other two corresponding locations are occupied.
    S5.5.2.1  If the exit has no adjacent seat, the marking must meet 
the legibility requirements of S5.5.2 for occupants standing in the 
aisle location nearest to the emergency exit, except for a roof exit, 
which must meet the legibility requirements for occupants positioned 
with their backs against the floor opposite the roof exit.
    S5.5.3 School Bus.
    (a) Each school bus emergency exit provided in accordance with 
S5.2.3.1 shall have the designation ``Emergency Door'' or ``Emergency 
Exit,'' as appropriate, in letters at least 5 centimeters high, of a 
color that contrasts with its

[[Page 571]]

background. For emergency exit doors, the designation shall be located 
at the top of, or directly above, the emergency exit door on both the 
inside and outside surfaces of the bus. The designation for roof exits 
shall be located on an inside surface of the exit, or within 30 
centimeters of the roof exit opening. For emergency window exits, the 
designation shall be located at the top of, or directly above, or at the 
bottom of the emergency window exit on both the inside and outside 
surfaces of the bus.
    (b) Concise operating instructions describing the motions necessary 
to unlatch and open the emergency exit shall be located within 15 
centimeters of the release mechanism on the inside surface of the bus. 
These instructions shall be in letters at least 1 centimeter high and of 
a color that contrasts with its background.

    Examples:

    (1) Lift to Unlatch, Push to Open
    (2) Turn Handle, Push Out to Open

    (c) Each opening for a required emergency exit shall be outlined 
around its outside perimeter with a retroreflective tape with a minimum 
width of 2.5 centimeters and either red, white, or yellow in color, that 
when tested under the conditions specified in S6.1 of Standard No. 131 
(49 CFR 571.131), meets the criteria specified in Table 1 of that 
section.
    S6. Test conditions.
    S6.1  The vehicle is on a flat, horizontal surface.
    S6.2  The inside of the vehicle and the outside environment are kept 
at any temperature from 70 deg. to 85 deg. Fahrenheit for 4 hours 
immediately preceding the tests, and during the tests.
    S6.3  For the window retention test, windows are installed, closed, 
and latched (where latches are provided) in the condition intended for 
normal bus operation.
    S6.4  For the emergency exit release and extension tests, windows 
are installed as in S6.3, seats, armrests, and interior objects near the 
windows are installed as for normal use, and seats are in the upright 
position.

[[Page 572]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.114



[[Page 573]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.115



[[Page 574]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.116



[[Page 575]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.117



[[Page 576]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.118



[[Page 577]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.119



[[Page 578]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.120



[[Page 579]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.121



[[Page 580]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.122


[37 FR 9395, May 10, 1972, as amended at 37 FR 18035, Sept. 6, 1972; 38 
FR 6070, Mar. 6, 1973; 38 FR 7562, Mar. 28, 1973; 39 FR 15274, May 2, 
1974; 40 FR 48512, Oct. 16, 1975; 41 FR 3872, Jan. 27, 1976; 41 FR 
22357, June 3, 1976; 41 FR 24592, June 17, 1976; 41 FR 36027, Aug. 26, 
1976; 47 FR 7256, Feb. 18, 1982; 47 FR 37555, Aug. 26, 1982; 57 FR 
49423, Nov. 2, 1992; 57 FR 57020, Dec. 2, 1992; 59 FR 22999, May 4, 
1994; 60 FR 24570, May 9, 1995]

[[Page 581]]



Sec. 571.218  Standard No. 218; Motorcycle helmets.

    S1. Scope. This standard establishes minimum performance 
requirements for helmets designed for use by motorcyclists and other 
motor vehicle users.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries to motorcyclists and other motor vehicle users resulting from 
head impacts.
    S3. Application. This standard applies to all helmets designed for 
use by motorcyclists and other motor vehicle users.
    S4. Definitions.
    Basic plane means a plane through the centers of the right and left 
external ear openings and the lower edge of the eye sockets (Figure 1) 
of a reference headform (Figure 2) or test headform.
    Helmet positioning index means the distance in inches, as specified 
by the manufacturer, from the lowest point of the brow opening at the 
lateral midpoint of the helmet to the basic plane of a reference 
headform, when the helmet is firmly and properly positioned on the 
reference headform.
    Midsagittal plane means a longitudinal plane through the apex of a 
reference headform or test headform that is perpendicular to the basic 
plane (Figure 3).
    Reference headform means a measuring device contoured to the 
dimensions of one of the three headforms described in Table 2 and 
Figures 5 through 8 with surface markings indicating the locations of 
the basic, mid-sagittal, and reference planes, and the centers of the 
external ear openings.
    Reference plane means a plane above and parallel to the basic plane 
on a reference headform or test headform (Figure 2) at the distance 
indicated in Table 2.
    Retention system means the complete assembly by which the helmet is 
retained in position on the head during use.
    Test headform means a test device contoured to the dimensions of one 
of the three headforms described in Table 2 and Figures 5 through 8 with 
surface markings indicating the locations of the basic, mid-sagittal, 
and reference planes.
    S5. Requirements. Each helmet shall meet the requirements of S5.1, 
S5.2, and S5.3 when subjected to any conditioning procedure specified in 
S6.4, and tested in accordance with S7.1, S7.2, and S7.3.
    S5.1  Impact attenuation. When an impact attenuation test is 
conducted in accordance with S7.1, all of the following requirements 
shall be met:
    (a) Peak accelerations shall not exceed 400g;
    (b) Accelerations in excess of 200g shall not exceed a cumulative 
duration of 2.0 milliseconds; and
    (c) Accelerations in excess of 150g shall not exceed a cumulative 
duration of 4.0 milliseconds.
    S5.2  Penetration. When a penetration test is conducted in 
accordance with S7.2, the striker shall not contact the surface of the 
test headform.
    S5.3  Retention system.
    S5.3.1  When tested in accordance with S7.3:
    (a) The retention system or its components shall attain the loads 
specified without separation; and
    (b) The adjustable portion of the retention system test device shall 
not move more than 1 inch (2.5 cm) measured between preliminary and test 
load positions.
    S5.3.2  Where the retention system consists of components which can 
be independently fastened without securing the complete assembly, each 
such component shall independently meet the requirements of S5.3.1.
    S5.4 Configuration. Each helmet shall have a protective surface of 
continuous contour at all points on or above the test line described in 
S6.2.3. The helmet shall provide peripheral vision clearance of at least 
105 deg. to each side of the mid-sagittal plane, when the helmet is 
adjusted as specified in S6.3. The vertex of these angles, shown in 
Figure 3, shall be at the point on the anterior surface of the reference 
headform at the intersection of the mid-sagittal and basic planes. The 
brow opening of the helmet shall be at least 1 inch (2.5 cm) above all 
points in the basic plane that are within the angles of peripheral 
vision (see Figure 3).
    S5.5 Projections. A helmet shall not have any rigid projections 
inside its shell. Rigid projections outside any

[[Page 582]]

helmet's shell shall be limited to those required for operation of 
essential accessories, and shall not protrude more than 0.20 inch (5 
mm).
    S5.6  Labeling.
    S5.6.1 Each helmet shall be labeled permanently and legibly, in a 
manner such that the label(s) can be read easily without removing 
padding or any other permanent part, with the following:
    (a) Manufacturer's name or identification.
    (b) Precise model designation.
    (c) Size.
    (d) Month and year of manufacture. This may be spelled out (for 
example, June 1988), or expressed in numerals (for example, 6/88).
    (e) The symbol DOT, constituting the manufacturer's certification 
that the helmet conforms to the applicable Federal motor vehicle safety 
standards. This symbol shall appear on the outer surface, in a color 
that contrasts with the background, in letters at least \3/8\ inch (1 
cm) high, centered laterally with the horizontal centerline of the 
symbol located a minimum of 1\1/8\ inches (2.9 cm) and a maximum of 1\3/
8\ inches (3.5 cm) from the bottom edge of the posterior portion of the 
helmet.
    (f) Instructions to the purchaser as follows:
    (1) ``Shell and liner constructed of (identify type(s) of 
materials).
    (2) ``Helmet can be seriously damaged by some common substances 
without damage being visible to the user. Apply only the following: 
(Recommended cleaning agents, paints, adhesives, etc., as appropriate).
    (3) ``Make no modifications. Fasten helmet securely. If helmet 
experiences a severe blow, return it to the manufacturer for inspection, 
or destory it and replace it.''
    (4) Any additional relevant safety information should be applied at 
the time of purchase by means of an attached tag, brochure, or other 
suitable means.
    S5.7  Helmet positioning index. Each manufacturer of helmets shall 
establish a positioning index for each helmet he manufactures. This 
index shall be furnished immediately to any person who requests the 
information, with respect to a helmet identified by manufacturer, model 
designation, and size.
    S6. Preliminary test procedures. Before subjecting a helmet to the 
testing sequence specified in S7., prepare it according to the 
procedures in S6.1, S6.2, and S6.3.
    S6.1 Selection of appropriate headform.
    S6.1.1 A helmet with a manufacturer's designated discrete size or 
size range which does not exceed 6\3/4\ (European size: 54) is tested on 
the small headform. A helmet with a manufacturer's designated discrete 
size or size range which exceeds 6\3/4\, but does not exceed 7\1/2\ 
(European size: 60) is tested on the medium headform. A helmet with a 
manufacturer's designated discrete size or size range which exceeds 7\1/
2\ is tested on the large headform.
    S6.1.2 A helmet with a manufacturer's designated size range which 
includes sizes falling into two or all three size ranges described in 
S6.1.1 is tested on each headform specified for each size range.
    S6.2 Reference marking.
    S6.2.1 Use a reference headform that is firmly seated with the basic 
and reference planes horizontal. Place the complete helmet to be tested 
on the appropriate reference headform, as specified in S6.1.1 and 
S6.1.2.
    S6.2.2 Apply a 10-pound (4.5 kg) static verticle load through the 
helmet's apex. Center the helmet laterally and seat it firmly on the 
reference headform according to its helmet positioning index.
    S6.2.3 Maintaining the load and position described in S6.2.2, draw a 
line (hereinafter referred to as ``test line'') on the outer surface of 
the helmet coinciding with portions of the intersection of that service 
with the following planes, as shown in Figure 2:
    (a) A plane 1 inch (2.5 cm) above and parallel to the reference 
plane in the anterior portion of the reference headform;
    (b) A vertical transverse plane 2.5 inches (6.4 cm) behind the point 
on the anterior surface of the reference headform at the intersection of 
the mid-sagittal and reference planes;
    (c) The reference plane of the reference headform;
    (d) A vertical transverse plane 2.5 inches (6.4. cm) behind the 
center of

[[Page 583]]

the external ear opening in a side view; and
    (e) A plane 1 inch (2.5 cm) below and parallel to the reference 
plane in the posterior portion of the reference headform.
    S6.3 Helmet positioning.
    S6.3.1 Before each test, fix the helmet on a test headform in the 
position that conforms to its helmet positioning index. Secure the 
helmet so that it does not shift position before impact or before 
application of force during testing.
    S6.3.2 In testing as specified in S7.1 and S7.2, place the retention 
system in a position such that it does not interfere with free fall, 
impact or penetration.
    S6.4 Conditioning.
    S6.4.1 Immediately before conducting the testing sequence specified 
in S7, condition each test helmet in accordance with any one of the 
following procedures:
    (a) Ambient conditions. Expose to a temperature of 
70 deg.F(21 deg.C) and a relative humidity of 50 percent for 12 hours.
    (b) Low temperature. Expose to a temperature of 14 deg.F(-10 deg.C) 
for 12 hours.
    (c) High temperature. Expose to a temperature of 122 deg.F(50 deg.C) 
for 12 hours.
    (d) Water immersion. Immerse in water at a temperature of 
77 deg.F(25 deg.C) for 12 hours.
    S6.4.2 If during testing, as specified in S7.1.3 and S7.2.3, a 
helmet is returned to the conditioning environment before the time out 
of that environment exceeds 4 minutes, the helmet is kept in the 
environment for a minimum of 3 minutes before resumption of testing with 
that helmet. If the time out of the environment exceeds 4 minutes, the 
helmet is returned to the environment for a minimum of 3 minutes for 
each minute or portion of a minute that the helmet remained out of the 
environment in excess of 4 minutes or for a maximum of 12 hours, 
whichever is less, before the resumption of testing with that helmet.
    S7. Test conditions.
    S7.1  Impact attenuation test.
    S7.1.1 Impact attenuation is measured by determining acceleration 
imparted to an instrumented test headform on which a complete helmet is 
mounted as specified in S6.3, when it is dropped in guided free fall 
upon a fixed hemispherical anvil and a fixed flat steel anvil.
    S7.1.2 Each helmet is impacted at four sites with two successive 
identical impacts at each site. Two of these sites are impacted upon a 
flat steel anvil and two upon a hemispherical steel anvil as specified 
in S7.1.10 and S7.1.11. The impact sites are at any point on the area 
above the test line described in paragraph S6.2.3, and separated by a 
distance not less than one-sixth of the maximum circumference of the 
helmet in the test area.
    S7.1.3 Impact testing at each of the four sites, as specified in 
S7.1.2, shall start at two minutes, and be completed by four minutes, 
after removal of the helmet from the conditioning environment.
    S7.1.4 (a) The guided free fall drop height for the helmet and test 
headform combination onto the hemispherical anvil shall be such that the 
minimum impact speed is 17.1 feet/second (5.2 m/sec). The minimum drop 
height is 54.5 inches (138.4 cm). The drop height is adjusted upward 
from the minimum to the extent necessary to compensate for friction 
losses.
    (b) The guided free fall drop height for the helmet and test 
headform combination onto the flat anvil shall be such that the minimum 
impact speed is 19.7 ft./sec (6.0 m/sec). The minimum drop height is 72 
inches (182.9 cm). The drop height is adjusted upward from the minimum 
to the extent necessary to compensate for friction losses.
    S7.1.5 Test headforms for impact attenuation testing are constructed 
of magnesium alloy (K-1A), and exhibit no resonant frequencies below 
2,000 Hz.
    S7.1.6 The monorail drop test system is used for impact attenuation 
testing.
    S7.1.7 The weight of the drop assembly, as specified in Table 1, is 
the combined weight of the test headform and the supporting assembly for 
the drop test. The weight of the supporting assembly is not less than 
2.0 lbs. and not more than 2.4 lbs. (0.9 to 1.1 kg). The supporting 
assembly weight for the monorail system is the drop assembly weight 
minus the combined weight of the test headform, the headform's

[[Page 584]]

clamp down ring, and its tie down screws.
    S7.1.8 The center of gravity of the test headform is located at the 
center of the mounting ball on the supporting assembly and lies within a 
cone with its axis vertical and forming a 10 deg. included angle with 
the vertex at the point of impact. The center of gravity of the drop 
assembly lies within the rectangular volume bounded by x = -0.25 inch 
(-0.64 cm), x = 0.85 inch (2.16 cm), y = 0.25 inch (0.64 cm), and y = 
-0.25 inch (-0.64 cm) with the origin located at the center of gravity 
of the test headform. The rectangular volume has no boundary along the 
z-axis. The x-y-z axes are mutually perpendicular and have positive or 
negative designations in accordance with the right-hand rule (See Figure 
5). The origin of the coordinate axes also is located at the center of 
the mounting ball on the supporting assembly (See Figures 6, 7, and 8). 
The x-y-z axes of the test headform assembly on a monorail drop test 
equipment are oriented as follows: From the origin, the x-axis is 
horizontal with its positive direction going toward and passing through 
the vertical centerline of the monorail. The positive z-axis is 
downward. The y-axis also is horizontal and its direction can be decided 
by the z- and x-axes, using the right-hand rule.
    S7.1.9 The acceleration transducer is mounted at the center of 
gravity of the test headform with the sensitive axis aligned to within 
5 deg. of vertical when the test headform assembly is in the impact 
position. The acceleration data channel complies with SAE Recommended 
Practice J211 JUN 80, Instrumentation for Impact Tests, requirements for 
channel class 1,000.
    S7.1.10 The flat anvil is constructed of steel with a 5-inch (12.7 
cm) minimum diameter impact face, and the hemispherical anvil is 
constructed of steel with a 1.9 inch (4.8 cm) radius impact face.
    S7.1.11 The rigid mount for both of the anvils consists of a solid 
mass of at least 300 pounds (136.1 kg), the outer surface of which 
consists of a steel plate with minimum thickness of 1 inch (2.5 cm) and 
minimum surface area of 1 ft \2\ (929 cm \2\ ).
    S7.1.12 The drop system restricts side movement during the impact 
attenuation test so that the sum of the areas bounded by the 
acceleration-time response curves for both the x- and y-axes (horizontal 
axes) is less than five percent of the area bounded by the acceleration-
time response curve for the vertical axis.
    S7.2 Penetration test.
    S7.2.1 The penetration test is conducted by dropping the penetration 
test striker in guided free fall, with its axis aligned vertically, onto 
the outer surface of the complete helmet, when mounted as specified in 
S6.3, at any point above the test line, described in S6.2.3, except on a 
fastener or other rigid projection.
    S7.2.2 Two penetration blows are applied at least 3 inches (7.6 cm) 
apart, and at least 3 inches (7.6 cm) from the centers of any impacts 
applied during the impact attenuation test.
    S7.2.3 The application of the two penetration blows, specified in 
S7.2.2, starts at two minutes and is completed by four minutes, after 
removal of the helmet from the conditioning environment.
    S7.2.4 The height of the guided free fall is 118.1 inches (3 m), as 
measured from the striker point to the impact point on the outer surface 
of the test helmet.
    S7.2.5 The contactable surface of the penetration test headform is 
constructed of a metal or metallic alloy having a Brinell hardness 
number no greater than 55, which will permit ready detection should 
contact by the striker occur. The surface is refinished if necessary 
before each penetration test blow to permit detection of contact by the 
striker.
    S7.2.6 The weight of the penetration striker is 6 pounds, 10 ounces 
(3 kg).
    S7.2.7 The point of the striker has an included angle of 60 deg., a 
cone height of 1.5 inches (3.8 cm), a tip radius of 0.02 inch (standard 
0.5 millimeter radius) and a minimum hardness of 60 Rockwell, C-scale.
    S7.2.8 The rigid mount for the penetration test headform is as 
described in S7.1.11.
    S7.3 Retention system test.
    S7.3.1 The retention system test is conducted by applying a static 
tensile

[[Page 585]]

load to the retention assembly of a complete helmet, which is mounted, 
as described in S6.3, on a stationary test headform as shown in Figure 
4, and by measuring the movement of the adjustable portion of the 
retention system test device under tension.
    S7.3.2 The retention system test device consists of both an 
adjustable loading mechanism by which a static tensile load is applied 
to the helmet retention assembly and a means for holding the test 
headform and helmet stationary. The retention assembly is fastened 
around two freely moving rollers, both of which have a 0.5 inch (1.3 cm) 
diameter and a 3-inch (7.6 cm) center-to-center separation, and which 
are mounted on the adjustable portion of the tensile loading device 
(Figure 4). The helmet is fixed on the test headform as necessary to 
ensure that it does not move during the application of the test loads to 
the retention assembly.
    S7.3.3 A 50-pound (22.7 kg) preliminary test load is applied to the 
retention assembly, normal to the basic plane of the test headform and 
symmetrical with respect to the center of the retention assembly for 30 
seconds, and the maximum distance from the extremity of the adjustable 
portion of the retention system test device to the apex of the helmet is 
measured.
    S7.3.4 An additional 250-pound (113.4 kg) test load is applied to 
the retention assembly, in the same manner and at the same location as 
described in S7.3.3, for 120 seconds, and the maximum distance from the 
extremity of the adjustable portion of the retention system test device 
to the apex of the helmet is measured.

                        Appendix to Sec. 571.218

       Table 1--Weights for Impact Attenuation Test Drop Assembly       
------------------------------------------------------------------------
           Test headform size                   Weight \1\--1b(kg)      
------------------------------------------------------------------------
Small...................................  7.8 (3.5 kg).                 
Medium..................................  11.0 (5.0 kg).                
Large...................................  13.4 (6.1 kg).                
------------------------------------------------------------------------
\1\ Combined weight of instrumented test headform and supporting        
  assembly for drop test.                                               

  [GRAPHIC] [TIFF OMITTED] TC01AU91.123
  

[[Page 586]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.124


[[Page 587]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.125


[[Page 588]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.126


[[Page 589]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.127


[[Page 590]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.128


[[Page 591]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.129


[[Page 592]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.130


[[Page 593]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.131


[[Page 594]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.132


[[Page 595]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.133


[[Page 596]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.134


[38 FR 22391, Aug. 20, 1973, as amended at 39 FR 3554, Jan. 28, 1974; 45 
FR 15181, Mar. 10, 1980; 53 FR 11288, Apr. 6, 1988; 53 FR 12529, Apr. 
15, 1988]

[[Page 597]]



Sec. 571.219  Standard No. 219; Windshield zone intrusion.

    S1. Scope. This standard specifies limits for the displacement into 
the windshield area of motor vehicle components during a crash.
    S2. Purpose. The purpose of this standard is to reduce crash 
injuries and fatalities that result from occupants contacting vehicle 
components displaced near or through the windshield.
    S3. Application. This standard applies to passenger cars and to 
multipurpose passenger vehicles, trucks and buses of 10,000 pounds or 
less gross vehicle weight rating. However, it does not apply to forward 
control vehicles, walk-in van-type vehicles, or to open-body-type 
vehicles with fold-down or removable windshields.
    S4. Definitions. Daylight Opening (DLO) means the maximum 
unobstructed opening through the glazing surface, including reveal or 
garnish moldings adjoining the surface, as measured parallel to the 
outer surface of the glazing material.
    S5. Requirement. When the vehicle traveling longitudinally forward 
at any speed up to and including 30 mph impacts a fixed collision 
barrier that is perpendicular to the line of travel of the vehicle, 
under the conditions of S7., no part of the vehicle outside the occupant 
compartment, except windshield molding and other components designed to 
be normally in contact with the windshield, shall penetrate the 
protected zone template, affixed according to S6., to a depth of more 
than one-quarter inch, and no such part of a vehicle shall penetrate the 
inner surface of that portion of the windshield, within the DLO, below 
the protected zone defined in S6.
    S6.  Protected zone template.
    S6.1  The lower edge of the protected zone is determined by the 
following procedure (see Figure 1).
    (a) Place a 6.5-inch diameter rigid sphere, weighing 15 pounds, in a 
position such that it simultaneously contacts the inner surface of the 
windshield glazing and the surface of the instrument panel, including 
padding. If any accessories or equipment such as the steering control 
system obstruct positioning of the sphere, remove them for the purposes 
of this procedure.
    (b) Draw the locus of points on the inner surface of the windshield 
contactable by the sphere across the width of the instrument panel. From 
the outermost contactable points, extend the locus line horizontally to 
the edges of the glazing material.
    (c) Draw a line on the inner surface of the windshield below and 
one-half inch distant from the locus line.
    (d) The lower edge of the protected zone is the longitudinal 
projection onto the outer surface of the windshield of the line 
determined in S6.1(c).
    S6.2  The protected zone is the space enclosed by the following 
surfaces, as shown in Figure 1:
    (a) The outer surface of the windshield in its precrash 
configuration.
    (b) The locus of points 3 inches outward along perpendiculars drawn 
to each point on the outer surface of the windshield.
    (c) The locus of lines forming a 45 deg. angle with the outer 
surface of the windshield at each point along the top and side edges of 
the outer surface of the windshield and the lower edge of the protected 
zone determined in S6.1, in the plane perpendicular to the edge at that 
point.
    S6.3  A template is cut or formed from Styrofoam, type DB, cut cell, 
to the dimensions of the zone as determined in S6.2. The template is 
affixed to the windshield so that it delineates the protected zone and 
remains affixed throughout the crash test.
    S7. Test conditions. The requirement of S5. shall be met under the 
following conditions:
    S7.1  The protected zone template is affixed to the windshield in 
the manner described in S6.
    S7.2  The hood, hood latches, and any other hood retention 
components are engaged prior to the barrier crash.
    S7.3  Adjustable cowl tops or other adjustable panels in front of 
the windshield are in the position used under normal operating 
conditions when windshield wiping systems are not in use.
    S7.4  The parking brake is disengaged and the transmission is in 
neutral.
    S7.5  Tires are inflated to the vehicle manufacturer's 
specifications.

[[Page 598]]

    S7.6  The fuel tank is filled to any level from 90 to 95 per cent of 
capacity.
    S7.7  The vehicle, including test devices and instrumentation, is 
loaded as follows:
    (a) Except as specified in S7.6, a passenger car is loaded to its 
unloaded vehicle weight plus its rated cargo and luggage capacity 
weight, secured in the luggage area, plus a 50th-percentile test dummy 
as specified in part 572 of this chapter at each front outboard 
designated seating position and at any other position whose protection 
system is required to be tested by a dummy under the provisions of 
Standard No. 208. Each dummy is restrained only by means that are 
installed for protection at its seating position.
    (b) Except as specified in S7.6, a multipurpose passenger vehicle, 
truck or bus is loaded to its unloaded vehicle weight, plus 300 pounds 
or its rated cargo and luggage capacity, whichever is less, secured to 
the vehicle, plus a 50th-percentile test dummy as specified in part 572 
of this chapter at each front outboard designated seating position and 
at any other position whose protection system is required to be tested 
by a dummy under the provisions of Standard No. 208. Each dummy is 
restrained only by means that are installed for protection at its 
seating position. The load is distributed so that the weight on each 
axle as measured at the tire-ground interface is in proportion to its 
GAWR. If the weight on any axle when the vehicle is loaded to its 
unloaded vehicle weight plus dummy weight exceeds the axle's 
proportional share of the test weight, the remaining weight is placed so 
that the weight on that axle remains the same. For the purposes of this 
section, unloaded vehicle weight does not include the weight of work-
performing accessories. Vehicles are tested to a maximum unloaded 
vehicle weight of 5,500 pounds.
[GRAPHIC] [TIFF OMITTED] TC01AU91.135

[40 FR 25462, June 16, 1975, as amended at 40 FR 53033, Nov. 14, 1975; 
41 FR 54946, Dec. 16, 1976; 45 FR 22046, Apr. 3, 1980]

[[Page 599]]



Sec. 571.220  Standard No. 220; School bus rollover protection.

    S1. Scope. This standard establishes performance requirements for 
school bus rollover protection.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths and the severity of injuries that result from failure of the 
school bus body structure to withstand forces encountered in rollover 
crashes.
    S3. Applicability. This standard applies to school buses.
    S4. Requirements. When a force equal to 1\1/2\ times the unloaded 
vehicle weight is applied to the roof of the vehicle's body structure 
through a force application plate as specified in S5., Test procedures--
    (a) The downward vertical movement at any point on the application 
plate shall not exceed 5\1/8\ inches; and
    (b) Each emergency exit of the vehicle provided in accordance with 
Standard No. 217 (Sec. 571.217) shall be capable of opening as specified 
in that standard during the full application of the force and after 
release of the force, except that an emergency exit located in the roof 
of the vehicle is not required to be capable of being opened during the 
application of the force. A particular vehicle (i.e., test specimen) 
need not meet the emergency exit opening requirement after release of 
force if it is subjected to the emergency exit opening requirements 
during the full application of the force.
    S5. Test procedures. Each vehicle shall be capable of meeting the 
requirements of S4. when tested in accordance with the procedures set 
forth below.
    S5.1  With any non-rigid chassis-to-body mounts replaced with 
equivalent rigid mounts, place the vehicle on a rigid horizontal surface 
so that the vehicle is entirely supported by means of the vehicle frame. 
If the vehicle is constructed without a frame, place the vehicle on its 
body sills. Remove any components which extend upward from the vehicle 
roof.
    S5.2  Use a flat, rigid, rectangular force application plate that is 
measured with respect to the vehicle roof longitudinal and lateral 
centerlines,
    (a) In the case of a vehicle with a GVWR of more than 10,000 pounds, 
12 inches shorter than the vehicle roof and 36 inches wide; and
    (b) In the case of a vehicle with a GVWR of 10,000 pounds or less, 5 
inches longer and 5 inches wider than the vehicle roof. For purposes of 
these measurements, the vehicle roof is that structure, seen in the top 
projected view, that coincides with the passenger and driver compartment 
of the vehicle.
    S5.3  Position the force application plate on the vehicle roof so 
that its rigid surface is perpendicular to a vertical longitudinal plane 
and it contacts the roof at not less than two points, and so that, in 
the top projected view, its longitudinal centerline coincides with the 
longitudinal centerline of the vehicle, and its front and rear edges are 
an equal distance inside the front and rear edges of the vehicle roof at 
the centerline.
    S5.4  Apply an evenly-distributed vertical force in the downward 
direction to the force application plate at any rate not more than 0.5 
inch per second, until a force of 500 pounds has been applied.
    S5.5  Apply additional vertical force in the downward direction to 
the force application plate at a rate of not more than 0.5 inch per 
second until the force specified in S4. has been applied, and maintain 
this application of force.
    S5.6  Measure the downward movement of any point on the force 
application plate which occurred during the application of force in 
accordance with S5.5.
    S5.7  To test the capability of the vehicle's emergency exits to 
open in accordance with S4.(b)--
    (a) In the case of testing under the full application of force, open 
the emergency exits as specified in S4.(b) while maintaining the force 
applied in accordance with S5.4 and S5.5; and
    (b) In the case of testing after the release of all force, release 
all downward force applied to the force application plate and open the 
emergency exits as specified in S4.(b).
    S6. Test conditions. The following conditions apply to the 
requirements specified in S4.
    S6.1  Temperature. The ambient temperature is any level between 
32 deg. F. and 90 deg. F.

[[Page 600]]

    S6.2  Windows and doors. Vehicle windows, doors, and emergency exits 
are in the fully-closed position, and latched but not locked.
[41 FR 3875, Jan. 27, 1976, as amended at 41 FR 36026, 36027, Aug. 26, 
1976]



Sec. 571.221  Standard No. 221; School bus body joint strength.

    S1. Scope. This standard establishes requirements for the strength 
of the body panel joints in school bus bodies.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries resulting from the structural collapse of school bus bodies 
during crashes.
    S3. Application. This standard applies to school buses with gross 
vehicle weight ratings of more than 10,000 pounds.
    S4. Definitions. Body component means a part of a bus body made from 
a single piece of homogeneous material or from a single piece of 
composite material such as plywood.
    Body panel means a body component used on the exterior or interior 
surface to enclose the bus' occupant space.
    Body panel joint means the area of contact or close proximity 
between the edges of a body panel and another body component, excluding 
spaces designed for ventilation or another functional purpose, and 
excluding doors, windows, and maintenance access panels.
    Bus body means the portion of a bus that encloses the bus's occupant 
space, exclusive of the bumpers, the chassis frame, and any structure 
forward of the forwardmost point of the windshield mounting.
    S5. Requirement. When tested in accordance with the procedure of 
S6., each body panel joint shall be capable of holding the body panel to 
the member to which it is joined when subjected to a force of 60% of the 
tensile strength of the weakest joined body panel determined pursuant to 
S6.2.
    S6. Procedure.
    S6.1  Preparation of the test specimen.
    S6.1.1  If a body panel joint is 8 inches long or longer, cut a test 
specimen that consists of any randomly selected 8-inch segment of the 
joint, together with a portion of the bus body whose dimensions, to the 
extent permitted by the size of the joined parts, are those specified in 
Figure 1, so that the specimen's centerline is perpendicular to the 
joint at the midpoint of the joint segment. Where the body panel joint 
is not fastened continuously, select the segment so that it does not 
bisect a spot weld or a discrete fastener.
    S6.1.2  If a joint is less than 8 inches long, cut a test specimen 
with enough of the adjacent material to permit it to be held in the 
tension testing machine specified in S6.3.
    S6.1.3  Prepare the test specimen in accordance with the preparation 
procedures specified in the 1973 edition of the Annual Book of ASTM 
Standards, published by the American Society for Testing and Materials, 
1916 Race Street, Philadelphia, Pennsylvania 19103.
    S6.2  Determination of minimum allowable strength. For purposes of 
determining the minimum allowable joint strength, determine the tensile 
strengths of the joined body components as follows:

[[Page 601]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.136


    (a) If the mechanical properties of a material are specified by the 
American Society for Testing and Materials, the relative tensile 
strength for such a material is the minimum tensile strength specified 
for that material in the 1973 edition of the Annual Book of ASTM 
Standards.
    (b) If the mechanical properties of a material are not specified by 
the American Society for Testing and Materials, determine its tensile 
strength by cutting a specimen from the bus body outside the area of the 
joint and by testing it in accordance with S6.3.
    S6.3  Strength test.
    S6.3.1  Grip the joint specimen on opposite sides of the joint in a 
tension testing machine calibrated in accordance with Method E4, 
Verification of Testing Machines, of the American Society for Testing 
and Materials (1973 Annual Book of ASTM Standards).
    S6.3.2  Adjust the testing machine grips so that the joint, under 
load, will be in stress approximately perpendicular to the joint.
    S6.3.3  Apply a tensile force to the specimen by separating the 
heads of the testing machine at any uniform rate not less than \1/8\ 
inch and not more than \3/8\-inch per minute until the specimen 
separates.
[41 FR 3872, Jan. 27, 1976, as amended at 41 FR 36027, Aug. 26, 1976]



Sec. 571.222  Standard No. 222; School bus passenger seating and crash protection.

    S1. Scope. This standard establishes occupant protection 
requirements for school bus passenger seating and restraining barriers.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths and the severity of injuries that result from the impact of 
school bus occupants against structures within the vehicle during 
crashes and sudden driving maneuvers.
    S3. Application. This standard applies to school buses.
    S4. Definitions. Contactable surface means any surface within the 
zone specified in S.5.3.1.1 that is contactable from any direction by 
the test device described in S6.6, except any surface on the front of a 
seat back or restraining barrier 3 inches or more below the top of the 
seat back or restraining barrier.
    School bus passenger seat means a seat in a school bus, other than 
the driver's seat.
    Wheelchair means a wheeled seat frame for the support and conveyance 
of a physically disabled person, comprised of at least a frame, seat, 
and wheels.
    Wheelchair occupant restraint anchorage means the provision for 
transferring wheelchair occupant restraint system loads to the vehicle 
structure.
    Wheelchair securement anchorage means the provision for transferring

[[Page 602]]

wheelchair securement device loads to the vehicle structure.
    Wheelchair securement device means a strap, webbing or other device 
used for securing a wheelchair to the school bus, including all 
necessary buckles and other fasteners.
    S4.1  The number of seating positions considered to be in a bench 
seat is expressed by the symbol W, and calculated as the bench width in 
inches divided by 15 and rounded to the nearest whole number.
    S5. Requirements. (a) Each vehicle with a gross vehicle weight 
rating of more than 10,000 pounds shall be capable of meeting any of the 
requirements set forth under this heading when tested under the 
conditions of S6. However, a particular school bus passenger seat (i.e., 
test specimen) in that weight class need not meet further requirements 
after having met S5.1.2 and S5.1.5, or having been subjected to either 
S5.1.3, S5.1.4, or S5.3.
    (b) Each vehicle with a gross vehicle weight rating of 10,000 pounds 
or less shall be capable of meeting the following requirements at all 
seating positions other than the driver's seat:
    (1)(A) In the case of vehicles manufactured before September 1, 
1991, the requirements of Secs. 571.208, 571.209, and 571.210 as they 
apply to multipurpose passenger vehicles; or
    (B) In the case of vehicles manufactured on or after September 1, 
1991, the requirements of S4.4.3.3 of Sec. 571.208 and the requirements 
of Secs. 571.209 and 571.210 as they apply to school buses with a gross 
vehicle weight rating of 10,000 pounds or less; and
    (2) The requirements of S5.1.2, S5.1.3, S5.1.4, S5.1.5, S5.3, and 
S5.4 of this standard. However, the requirements of Secs. 571.208 and 
571.210 shall be met at W seating positions in a bench seat using a body 
block as specified in Figure 2 of this standard, and a particular school 
bus passenger seat (i.e., a test specimen) in that weight class need not 
meet further requirements after having met S5.1.2 and S5.1.5, or after 
having been subjected to either S5.1.3, S5.1.4, or S5.3 of this standard 
or Sec. 571.210.
    S5.1  Seating requirements. School bus passenger seats shall be 
forward facing.
    S5.1.1  [Reserved]
    S5.1.2  Seat back height and surface area. Each school bus passenger 
seat shall be equipped with a seat back that, in the front projected 
view, has a front surface area above the horizontal plane that passes 
through the seating reference point, and below the horizontal plane 20 
inches above the seating reference point, of not less than 90 percent of 
the sea bench width in inches multiplied by 20.
    S5.1.3  Seat performance forward. When a school bus passenger seat 
that has another seat behind it is subjected to the application of force 
as specified in S5.1.3.1 and S5.1.3.2, and subsequently, the application 
of additional force to the seat back as specified in S5.1.3.3 and 
S5.1.3.4:
    (a) The seat back force/deflection curve shall fall within the zone 
specified in Figure 1;
    (b) Seat back deflection shall not exceed 14 inches; (for 
determination of (a) and (b) the force/deflection curve describes only 
the force applied through the upper loading bar, and only the forward 
travel of the pivot attachment point of the upper loading bar, measured 
from the point at which the initial application of 10 pounds of force is 
attained.)
    (c) The seat shall not deflect by an amount such that any part of 
the seat moves to within 4 inches of any part of another school bus 
passenger seat or restraining barrier in its originally installed 
position;
    (d) The seat shall not separate from the vehicle at any attachment 
point; and
    (e) Seat components shall not separate at any attachment point.
    S5.1.3.1  Position the loading bar specified in S6.5 so that it is 
laterally centered behind the seat back with the bar's longitudinal axis 
in a transverse plane of the vehicle and in any horizontal plane between 
4 inches above and 4 inches below the seating reference point of the 
school bus passenger seat behind the test specimen.
    S5.1.3.2  Apply a force of 700W pounds horizontally in the forward 
direction through the loading bar at the pivot attachment point. Reach 
the specified load in not less than 5 nor more than 30 seconds.

[[Page 603]]

    S5.1.3.3  No sooner than 1.0 second after attaining the required 
force, reduce that force to 350W pounds and, while maintaining the pivot 
point position of the first loading bar at the position where the 350W 
pounds is attained, position a second loading bar described in S6.5 so 
that it is laterally centered behind the seat back with the bar's 
longitudinal axis in a transverse plane of the vehicle and in the 
horizontal plane 16 inches above the seating reference point of the 
school bus passenger seat behind the test specimen, and move the bar 
forward against the seat back until a force of 10 pounds has been 
applied.
    S5.1.3.4  Apply additional force horizontally in the forward 
direction through the upper bar until 4,000W inch-pounds of energy have 
been absorbed in deflecting the seat back (or restraining barrier). 
Apply the additional load in not less than 5 seconds nor more than 30 
seconds. Maintain the pivot attachment point in the maximum forward 
travel position for not less than 5 seconds nor more than 10 seconds and 
release the load in not less than 5 nor more than 30 seconds. (For the 
determination of S5.1.3.4 the force/deflection curve describes only the 
force applied through the upper loading bar, and the forward and 
rearward travel distance of the upper loading bar pivot attachment point 
measured from the position at which the initial application of 10 pounds 
of force is attained.)
    S5.1.4  Seat performance rearward. When a school bus passenger seat 
that has another seat behind it is subjected to the application of force 
as specified in S5.1.4.1 and S5.1.4.2:
    (a) Seat back force shall not exceed 2,200 pounds;
    (b) In the case of a school bus manufactured on or after April 1, 
1978, seat back deflection shall not exceed 10 inches; (For 
determination of (a) and (b) the force/deflection curve describes only 
the force applied through the loading bar, and only the rearward travel 
of the pivot attachment point of the loading bar, measured from the 
point at which the initial application of 50 pounds of force is 
attained.
    (c) The seat shall not deflect by an amount such that any part of 
the seat moves to within 4 inches of any part of another passenger seat 
in its originally installed position;
    (d) The seat shall not separate from the vehicle at any attachment 
point; and
    (e) Seat components shall not separate at any attachment point.
    S5.1.4.1  Position the loading bar described in S6.5 so that it is 
laterally centered forward of the seat back with the bar's longitudinal 
axis in a transverse plane of the vehicle and in the horizontal plane 
13.5 inches above the seating reference point of the test specimen, and 
move the loading bar rearward against the seat back until a force of 50 
pounds has been applied.
    S5.1.4.2  Apply additional force horizontally rearward through the 
loading bar until 2,800W inch-pounds of energy has been absorbed in 
deflecting the seat back. Apply the additional load in not less than 5 
seconds nor more than 30 seconds. Maintain the pivot attachment point in 
the maximum rearward travel position for not less than 5 seconds nor 
more than 10 seconds and release the load in not less than 5 seconds nor 
more than 30 seconds. (For determination of S5.1.4.2 the force/
deflection curve describes the force applied through the loading bar and 
the rearward and forward travel distance of the loading bar pivot 
attachment point measured from the position at which the initial 
application of 50 pounds of force is attained.)
    S5.1.5  Seat cushion retention. In the case of school bus passenger 
seats equipped with seat cushions, with all manual attachment devices 
between the seat and the seat cushion in the manufacturer's designed 
position for attachment, the seat cushion shall not separate from the 
seat at any attachment point when subjected to an upward force of five 
times the seat cushion weight, applied in any period of not less than 1 
nor more than 5 seconds, and maintained for 5 seconds.
    S5.2   Restraining barrier requirements. Each vehicle shall be 
equipped with a restraining barrier forward of any designated seating 
position that does not have the rear surface of another school bus 
passenger seat within 24 inches of its seating reference point, measured 
along a horizontal longitudinal line

[[Page 604]]

through the seating reference point in the forward direction.
    S5.2.1  Barrier-seat separation. The horizontal distance between the 
restraining barrier's rear surface and the seating reference point of 
the seat in front of which the barrier is required shall not be more 
than 24 inches measured along a horizontal longitudinal line through the 
seating reference point in the forward direction.
    S5.2.2  Barrier position and rear surface area. The position and 
rear surface area of the restraining barrier shall be such that, in a 
front projected view of the bus, each point of the barrier's perimeter 
coincides with or lies outside of the perimeter of the seat back of the 
seat for which it is required.
    S5.2.3  Barrier performance forward. When force is applied to the 
restraining barrier in the same manner as specified in S5.1.3.1 through 
S5.1.3.4 for seating performance tests:
    (a) The restraining barrier force/deflection curve shall fall within 
the zone specified in Figure 1;
    (b) Restraining barrier deflection shall not exceed 14 inches; (For 
computation of (a) and (b) the force/deflection curve describes only the 
force applied through the upper loading bar, and only the forward travel 
of the pivot attachment point of the loading bar, measured from the 
point at which the initial application of 10 pounds of force is 
attained.)
    (c) Restraining barrier deflection shall not interfere with normal 
door operation;
    (d) The restraining barrier shall not separate from the vehicle at 
any attachment point; and
    (e) Restraining barrier components shall not separate at any 
attachment point.
    S5.3  Impact zone requirements.
    S5.3.1  Head protection zone. Any contactable surface of the vehicle 
within any zone specified in S5.3.1.1 shall meet the requirements of 
S5.3.1.2 and S5.3.1.3. However, a surface area that has been contacted 
pursuant to an impact test need not meet further requirements contained 
in S5.3.
    S5.3.1.1  The head protection zones in each vehicle are the spaces 
in front of each school bus passenger seat which are not occupied by bus 
sidewall, window, or door structure and which, in relation to that seat 
and its seating reference point, are enclosed by the following planes;
    (a) Horizontal planes 12 inches and 40 inches above the seating 
reference point;
    (b) A vertical longitudinal plane tangent to the inboard (aisle 
side) edge of the seat;
    (c) A vertical longitudinal plane 3.25 inches inboard of the 
outboard edge of the seat, and
    (d) Vertical transverse planes through and 30 inches forward of the 
reference point.
    S5.3.1.2  Head form impact requirement. When any contactable surface 
of the vehicle within the zones specified in S5.3.1.1 is impacted from 
any direction at 22 feet per second by the head form described in S6.6, 
the axial acceleration at the center of gravity of the head form shall 
be such that the expression
[GRAPHIC] [TIFF OMITTED] TC01AU91.137


shall not exceed 1,000 where a is the axial acceleration expressed as a 
multiple of g (the acceleration due to gravity), and t1 and 
t2 are any two points in time during the impact.
    S5.3.1.3  Head form force distribution. When any contactable surface 
of the vehicle within the zones specified in S5.3.1.1 is impacted from 
any direction at 22 feet per second by the head form described in S6.6, 
the energy necessary to deflect the impacted material shall be not less 
than 40 inch-pounds before the force level on the head form exceeds 150 
pounds. When any contactable surface within such zones is impacted by 
the head form from any direction at 5 feet per second, the contact area 
on the head form surface shall be not less than 3 square inches.
    S5.3.2  Leg protection zone. Any part of the seat backs or 
restraining barriers in the vehicle within any zone specified in 
S5.3.2.1 shall meet the requirements of S5.3.2.2.
    S5.3.2.1  The leg protection zones of each vehicle are those parts 
of the

[[Page 605]]

school bus passenger seat backs and restraining barriers bounded by 
horizontal planes 12 inches above and 4 inches below the seating 
reference point of the school bus passenger seat immediately behind the 
seat back or restraining barrier.
    S5.3.2.2  When any point on the rear surface of that part of a seat 
back or restraining barrier within any zone specified in S5.3.2.1 is 
impacted from any direction at 16 feet per second by the knee form 
specified in S6.7, the resisting force of the impacted material shall 
not exceed 600 pounds and the contact area on the knee form surface 
shall not be less than 3 square inches.
    S5.4  Each school bus having one or more locations designed for 
carrying a person seated in a wheelchair shall comply with S5.4.1 
through S5.4.4 at each such wheelchair location.
    S5.4.1  Wheelchair securement anchorages. Each wheelchair location 
shall have not less than four wheelchair securement anchorages complying 
with S5.4.1.1 through S5.4.1.3.
    S5.4.1.1  Each wheelchair securement anchorage shall have a 
wheelchair securement device complying with S5.4.2 attached to it.
    S5.4.1.2  The wheelchair securement anchorages at each wheelchair 
location shall be situated so that--
    (a) A wheelchair can be secured in a forward-facing position.
    (b) The wheelchair can be secured by wheelchair securement devices 
at two locations in the front and two locations in the rear.
    (c) The front wheel of a three-wheeled wheelchair can be secured.
    S5.4.1.3  Each wheelchair securement anchorage shall be capable of 
withstanding a force of 13,344 Newtons applied as specified in 
paragraphs (a) through (d) of this section. When more than one 
securement device share a common anchorage, the anchorage shall be 
capable of withstanding a force of 13,344 Newtons multiplied by the 
number of securement devices sharing that anchorage.
    (a) The initial application force shall be applied at an angle of 
not less than 30 degrees, but not more than 60 degrees, measured from 
the horizontal. (See Figure 4.)
    (b) The horizontal projection of the force direction shall be within 
a horizontal arc of 45 degrees relative to a longitudinal 
line which has its origin at the anchorage location and projects 
rearward for an anchorage whose wheelchair securement device is intended 
to secure the front of the wheelchair and forward for an anchorage whose 
wheelchair securement device is intended to secure the rear of the 
wheelchair. (See Figure 4.)
    (c) The force shall be applied at the onset rate of not more than 
133,440 Newtons per second.
    (d) The 13,344 Newton force shall be attained in not more than 30 
seconds, and shall be maintained for 10 seconds.
    S5.4.2  Wheelchair securement devices. Each wheelchair securement 
device shall--
    (a) If incorporating webbing or a strap--
    (1) Comply with the requirements for Type 1 safety belt systems in 
S4.2, S4.3, and S4.4(a) of FMVSS No. 209, Seat Belt Assemblies; and
    (2) Provide a means of adjustment to remove slack from the device.
    (b) If not incorporating webbing or a strap, limit movement of the 
wheelchair through either the equipment design or a means of adjustment.
    S5.4.3  Wheelchair occupant restraint anchorages.
    S5.4.3.1  Each wheelchair location shall have:
    (a) Not less than one anchorage for the upper end of the upper torso 
restraint; and
    (b) Not less than two floor anchorages for wheelchair occupant 
pelvic and upper torso restraint.
    S5.4.3.2  Each wheelchair occupant restraint floor anchorage shall 
be capable of withstanding a force of 13,344 Newtons applied as 
specified in paragraphs (a) through (d). When more than one wheelchair 
occupant restraint share a common anchorage, the anchorage shall be 
capable of withstanding a force of 13,344 Newtons multiplied by the 
number of occupant restraints sharing that anchorage.
    (a) The initial application force shall be applied at a angle of not 
less than 45 degrees, but not more than 80 degrees, measured from the 
horizontal. (See Figure 5.)

[[Page 606]]

    (b) The horizontal projection of the force direction shall be within 
a horizontal arc of 45 degrees relative to a longitudinal 
line which has its origin at the anchorage and projects forward. (See 
Figure 5.)
    (c) The force shall be applied at an onset rate of not more than 
133,440 Newtons per second.
    (d) The 13,344 Newton force shall be attained in not more than 30 
seconds, and shall be maintained for 10 seconds.
    (e) When a wheelchair securement device and an occupant restraint 
share a common anchorage, including occupant restraint designs that 
attach the occupant restraint to the securement device or the 
wheelchair, the loads specified by S5.4.1.3 and S5.4.3.2 shall be 
applied simultaneously, under the conditions specified in S5.4.3.2 (a) 
and (b). (See Figure 6.)
    S5.4.3.3  Each anchorage for a wheelchair occupant upper torso 
restraint shall be capable of withstanding a force of 6,672 Newtons 
applied as specified in paragraphs (a) through (d).
    (a) The initial application force shall be applied at a vertical 
angle of not less than zero degrees, but not more than 40 degrees, below 
a horizontal plane which passes through the anchorage. (See Figure 7.)
    (b) The projection of the force direction onto the horizontal plane 
shall be within zero degrees and 45 degrees as measured from a 
longitudinal line with its origin at the anchorage and projecting 
forward. (See Figure 7.)
    (c) The force shall be applied at the onset rate of not more than 
66,720 Newtons per second.
    (d) The 6,672 Newton force shall be attained in not more than 30 
seconds, and shall be maintained for 10 seconds.
    S5.4.4  Wheelchair occupant restraints.
    (a) Each wheelchair location shall have wheelchair occupant pelvic 
and upper torso restraints attached to the anchorages required by 
S5.4.3.
    (b) Each wheelchair occupant restraint shall comply with the 
requirements for Type 2 safety belt systems in S4.2, S4.3, and S4.4(b) 
of FMVSS No. 209, Seat Belt Assemblies.
    S6. Test conditions. The following conditions apply to the 
requirements specified in S5.
    S6.1  Test surface. The bus is at rest on a level surface.
    S6.2  Tires. Tires are inflated to the pressure specified by the 
manufacturer for the gross vehicle weight rating.
    S6.3  Temperature. The ambient temperature is any level between 32 
degrees F. and 90 degrees F.
    S6.4  Seat back position. If adjustable, a seat back is adjusted to 
its most upright position.
    S6.5  Loading bar. The loading bar is a rigid cylinder with an 
outside diameter of 6 inches that has hemispherical ends with radii of 3 
inches and with a surface roughness that does not exceed 63 micro-
inches, root mean square. The length of the loading bar is 4 inches less 
than the width of the seat back in each test. The stroking mechanism 
applies force through a pivot attachment at the centerpoint of the 
loading bar which allows the loading bar to rotate in a horizontal plane 
30 degrees in either direction from the transverse position.
    S6.5.1  A vertical or lateral force of 4,000 pounds applied 
externally through the pivot attachment point of the loading bar at any 
position reached during a test specified in this standard shall not 
deflect that point more than 1 inch.
    S6.6  Head form. The head form for the measurement of acceleration 
is a rigid surface comprised of two hemispherical shapes, with total 
equivalent weight of 11.5 pounds. The first of the two hemispherical 
shapes has a diameter of 6.5 inches. The second of the two hemispherical 
shapes has a 2 inch diameter and is centered as shown in Figure 3 to 
protrude from the outer surface of the first hemispherical shape. The 
surface roughness of the hemispherical shapes does not exceed 63 micro-
inches, root mean square.
    S6.6.1  The direction of travel of the head form is coincidental 
with the straight line connecting the centerpoints of the two spherical 
outer surfaces which constitute the head form shape.
    S6.6.2  The head form is instrumented with an acceleration sensing 
device whose output is recorded in a data channel that conforms to the 
requirements for a 1,000 Hz channel class as specified in SAE 
Recommended

[[Page 607]]

Practice J211a, December 1971. The head form exhibits no resonant 
frequency below three times the frequency of the channel class. The axis 
of the acceleration sensing device coincides with the straight line 
connecting the centerpoints of the two hemispherical outer surfaces 
which constitute the head form shape.
    S6.6.3  The head form is guided by a stroking device so that the 
direction of travel of the head form is not affected by impact with the 
surface being tested at the levels called for in the standard.
    S6.7  Knee form. The knee form for measurement of force is a rigid 
3-inch-diameter cylinder, with an equivalent weight of 10 pounds, that 
has one rigid hemispherical end with a 1\1/2\ inch radius forming the 
contact surface of the knee form. The hemispherical surface roughness 
does not exceed 63 micro-inches, root mean square.
    S6.7.1  The direction of travel of the knee form is coincidental 
with the centerline of the rigid cylinder.
    S6.7.2  The knee form is instrumented with an acceleration sensing 
device whose output is recorded in a data channel that conforms to the 
requirements of a 600 Hz channel class as specified in the SAE 
Recommended Practice J211a, December 1971. The knee form exhibits no 
resonant frequency below three times the frequency of the channel class. 
The axis of the acceleration sensing device is aligned to measure 
acceleration along the centerline of the cylindrical knee form.
    S6.7.3  The knee form is guided by a stroking device so that the 
direction of travel of the knee form is not affected by impact with the 
surface being tested at the levels called for in the standard.
    S6.8  The head form, knee form, and contactable surfaces are clean 
and dry during impact testing.

[[Page 608]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.138



[[Page 609]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.139



[[Page 610]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.140



[[Page 611]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.141



[[Page 612]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.142



[[Page 613]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.143



[[Page 614]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.144



[[Page 615]]

[41 FR 4018, Jan. 28, 1976, as amended at 41 FR 28528, July 12, 1976; 41 
FR 36027, Aug. 26, 1976; 41 FR 54945, Dec. 16, 1976; 42 FR 64120, Dec. 
22, 1977; 43 FR 9150, Mar. 6, 1978; 44 FR 18675, Mar. 29, 1979; 48 FR 
12386, Mar. 24, 1983; 54 FR 46268, Nov. 2, 1989; 58 FR 4593, Jan. 15, 
1993; 58 FR 46876, Sept. 3, 1993]



Sec. 571.223  Standard No. 223; rear impact guards.

    S1. Scope. This standard specifies requirements for rear impact 
guards for trailers and semitrailers.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths and serious injuries that occur when light duty vehicles collide 
with the rear end of trailers and semitrailers.
    S3. Application. This standard applies to rear impact guards for 
trailers and semitrailers subject to Federal Motor Safety Standard No. 
224, Rear Impact Protection (Sec. 571.224).
    S4. Definitions.
    In this standard, directional terms such as bottom, center, height, 
horizontal, longitudinal, transverse, and rear refer to directions 
relative to the vehicle orientation when the guard is oriented as if it 
were installed on a vehicle according to the installation instructions 
in S5.5 of this section.
    Chassis means the load supporting frame structure of a motor 
vehicle.
    Guard width means the maximum horizontal guard dimension that is 
perpendicular to the longitudinal vertical plane passing through the 
longitudinal centerline of the vehicle when the guard is installed on 
the vehicle according to the installation instructions in S5.5 of this 
section.
    Horizontal member means the structural member of the guard that 
meets the configuration requirements of S5.1.1 through 5.1.3 of 
Sec. 571.224, Rear Impact Protection, when the guard is installed on a 
vehicle according to the guard manufacturer's installation instructions.
    Hydraulic guard means a guard designed to use fluid properties to 
provide resistance force to deformation.
    Rear impact guard means a device installed on or near the rear of a 
vehicle so that when the vehicle is struck from the rear, the device 
limits the distance that the striking vehicle's front end slides under 
the rear end of the impacted vehicle.
    Rigid test fixture means a supporting structure on which a rear 
impact guard can be mounted in the same manner it is mounted to a 
vehicle. The rigid text fixture is designed to resist the forces applied 
to the rear impact guard without significant deformation, such that a 
performance requirement of this standard must be met no matter how small 
an amount of energy is absorbed by the rigid test fixture.
    S5. Requirements.
    S5.1 Cross-Sectional Vertical Height. The horizontal member of each 
guard shall have a cross sectional vertical height of at least 100 mm at 
any point across the guard width. See Figure 1 of this section.
    S5.2 Strength and Energy Absorption. When tested under the 
procedures of S6 of this section, each guard shall comply with the 
strength requirements of S5.2.1 of this section at each test location 
and the energy absorption requirements of S5.2.2 of this section at test 
location P3, as specified in S6.4 of this section. However, a particular 
guard (i.e., test specimen) need not be tested at more than one 
location.
    S5.2.1 Guard Strength. The guard must resist the force levels 
specified in S5.2.1 (a) through (c) of this section without deflecting 
by more than 125 mm.
    (a) A force of 50,000 N at test location P1 on either the left or 
the right side of the guard as defined in S6.4(a) of this section.
    (b) A force of 50,000 N at test location P2 as defined in S6.4(b) of 
this section.
    (c) A force of 100,000 N at test location P3 on either the left or 
the right side of the guard as defined in S6.4(c) of this section.
    S5.2.2 Guard Energy Absorption. A guard, other than a hydraulic 
guard, shall absorb by plastic deformation within the first 125 mm of 
deflection at least 5,650 J of energy at each test location P3. See 
Figure 2 of this section.
    S5.3 Labeling. Each guard shall be permanently labeled with the 
information specified in S5.3 (a) through (c) of this section. The 
information shall be in English and in letters that are at least 2.5 mm 
high. The label shall be placed on the forward-facing surface of the 
horizontal member of the guard,

[[Page 616]]

305 mm inboard of the right end of the guard.
    (a) The guard manufacturer's name and address.
    (b) The statement: ``Manufactured in ________'' (inserting the month 
and year of guard manufacture).
    (c) The letters ``DOT'', constituting a certification by the guard 
manufacturer that the guard conforms to all requirements of this 
standard.
    S5.4 Guard Attachment Hardware. Each guard, other than a guard that 
is to be installed on a vehicle manufactured by the manufacturer of the 
guard, shall be accompanied by all attachment hardware necessary for 
installation of the guard on the chassis of the motor vehicle for which 
it is intended.
    S5.5 Installation Instructions. The manufacturer of rear impact 
guards for sale to vehicle manufacturers shall include with each guard 
printed instructions in English for installing the guard, as well as a 
diagram or schematic depicting proper guard installation. The 
manufacturer of a rear impact guard for one of its own vehicles shall 
prepare and keep a copy of installation procedures applicable to each 
vehicle/guard combination for a period of one year from the date of 
vehicle manufacture and provide them to NHTSA on request. The 
instructions or procedures shall specify:
    (a) Vehicles on which the guard can be installed. Vehicles may be 
designated by listing the make and model of the vehicles for which the 
guard is suitable, or by specifying the design elements that would make 
any vehicle an appropriate host for the particular guard (e.g., vehicles 
with frame rails of certain spacing and gauge of steel).
    (b) A description of the chassis surface to which the guard will be 
attached, including frame design types with dimensions, material 
thickness, and tire track width. This description shall be detailed 
enough to permit the agency to locate and duplicate the chassis surface 
during compliance testing.
    (c) An explanation of the method of attaching the guard to the 
chassis of each vehicle make and model listed or to the design elements 
specified in the instructions or procedures. The principal aspects of 
vehicle chassis configuration that are necessary to the proper 
functioning of the guard shall be specified. If the chassis strength is 
inadequate for the guard design, the instructions or procedures shall 
specify methods for adequately reinforcing the vehicle chassis. 
Procedures for properly installing any guard attachment hardware shall 
be provided.
    S6. Guard Test Procedures. The procedures for determining compliance 
with S5.2 of this section are specified in S6.1 through S6.6 of this 
section.
    S6.1 Preparation of Hydraulic Guards. For hydraulic guards, the 
horizontal member of the guard is deflected in a forward direction until 
the hydraulic unit(s) have reached the full extent of their designed 
travel or 610 mm, whichever occurs first. The hydraulic units are 
compressed before the application of force to the guard in accordance 
with S6.6 of this section and maintained in this condition throughout 
the testing under S6.6 of this section.
    S6.2 Guard Installation for Strength and Energy Absorption Tests.
    (a) The rear impact guard is attached to a test device.
    (b) The test device for the compliance test will be whichever of the 
following devices, if either was used, the manufacturer used as a basis 
for its certification of the guard in S5.3(c) of this section. If the 
manufacturer did not use one of these devices or does not specify a 
device when asked by the agency, the agency may choose either of the 
following devices--
    (1) A rigid test fixture. In the case of testing on a rigid test 
fixture NHTSA will consult the installation instructions or procedures 
to determine the surface or structure that the guard is supposed to be 
mounted to and mount it to the rigid test fixture in the same way.
    (2) A complete trailer for which installation of the guard is 
suitable, as provided in the manufacturer's installation instructions or 
procedures required by S5.5 of this section. The trailer chassis is 
secured so that it behaves essentially as a fixed object during the 
test, such that the test must be passed no matter how little it moves 
during the test.

[[Page 617]]

    (c) The guard is attached in accordance with the instructions or 
procedures for guard attachment provided by the guard manufacturer for 
that guard as required by S5.5 of this section.
    S6.3 Force Application Device. The force application device employed 
in S6.6 of this section consists of a rectangular solid made of rigid 
steel. The steel solid is 203 mm in height, 203 mm in width, and 25 mm 
in thickness. The 203 mm by 203 mm face of the block is used as the 
contact surface for application of the forces specified in S5.2.1 (a) 
through (c) of this section. Each edge of the contact surface of the 
block has a radius of curvature of 5 mm plus or minus 1 mm.
    S6.4 Test Locations. With the guard mounted to the rigid test 
fixture or to a complete trailer, determine the test locations P1, P2, 
and P3 in accordance with the procedure set forth in S6.4 (a) through 
(c) of this section. See Figure 1 of this section.
    (a) Test location P1 is the point on the rearmost surface of the 
horizontal member of the guard that:
    (1) Is located at a distance of \3/8\ of the guard width from the 
vertical longitudinal plane passing through center of the guard;
    (2) Lies on either side of the center of the guard's horizontal 
member; and
    (3) Is 50 mm above the bottom of the guard.
    (b) Test location P2 is the point on the rearmost surface of the 
horizontal member of the guard that:
    (1) Lies in the longitudinal vertical plane passing through the 
center of the guard's horizontal member; and
    (2) Is 50 mm above the bottom of the guard.
    (c) Test location P3 is any point on the rearmost surface of the 
horizontal member of the guard that:
    (1) Is not less than 355 mm and not more than 635 mm from the 
vertical longitudinal plane passing through center of the guard;
    (2) Lies on either the right or left side of the horizontal member 
of the guard; and
    (3) Is 50 mm above the bottom of the guard.
    S6.5 Positioning of Force Application Device. Before applying any 
force to the guard, locate the force application device such that:

    (a) The center point of the contact surface of the force application 
device is aligned with and touching the guard test location, as defined 
by the specifications of S6.4 of this section.

    (b) The longitudinal axis of the force application device passes 
through the test location and is perpendicular to the transverse 
vertical plane that is tangent to the rearmost surface of the guard's 
horizontal member.

    S6.6 Force Application. After the force application device has been 
positioned according to S6.5 of this section, apply the loads specified 
in S5.2.1 of this section. Load application procedures are specified in 
the S6.6 (a) through (d) of this section.

    (a) Using the force application device, apply force to the guard in 
a forward direction such that the displacement rate of the force 
application device is constant and not less than 1 mm and not more than 
1.5 mm per second.

    (b) If conducting a strength test to satisfy the requirement of 
S5.2.1 of this section, the force is applied until the forces specified 
in S5.2.1 of this section have been exceeded, or until the displacement 
of the force application device has reached at least 125 mm, whichever 
occurs first.

    (c) If conducting a test to be used for the calculation of energy 
absorption levels to satisfy the requirement of S5.2.2 of this section, 
apply the force to the guard until displacement of the force application 
device has reached 125 mm. For calculation of guard energy absorption, 
the value of force is recorded at least ten times per 25 mm of 
displacement of the contact surface of the loading device. Reduce the 
force until the guard no longer offers resistance to the force 
application device. Produce a force vs. deflection diagram of the type 
shown in Figure 2 of this section using this information. Determine the 
energy absorbed by the guard by calculating the shaded area bounded by 
the curve in the force vs. deflection diagram and the abscissa (X-axis).

[[Page 618]]

    (d) During each force application, the force application device is 
guided so that it does not rotate. At all times during the application 
of force, the location of the longitudinal axis of the force application 
device remains constant.
[GRAPHIC] [TIFF OMITTED] TC01AU91.145


[[Page 619]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.146



[[Page 620]]

[61 FR 2030, Jan. 24, 1996]

    Effective Date Note:  At 61 FR 2030, Jan. 24, 1996, Sec. 571.223 was 
added, effective Jan. 26, 1998.



Sec. 571.224  Standard No. 224; rear impact protection.

    S1. Scope. This standard establishes requirements for the 
installation of rear impact guards on trailers and semitrailers with a 
gross vehicle weight rating (GVWR) of 4,536 kg or more.
    S2. Purpose. The purpose of this standard is to reduce the number of 
deaths and serious injuries occurring when light duty vehicles impact 
the rear of trailers and semitrailers with a GVWR of 4,536 kg or more.
    S3. Application. This standard applies to trailers and semitrailers 
with a GVWR of 4,536 kg or more. The standard does not apply to pole 
trailers, low chassis vehicles, special purpose vehicles, wheels back 
vehicles, or temporary living quarters as defined in 49 CFR 529.2
    S4. Definitions.
    Chassis means the load supporting frame structure of a motor 
vehicle.
    Horizontal member means the structural member of the guard that 
meets the configuration requirements of S5.1 of this section when the 
guard is installed on the vehicle according to the installation 
instructions or procedures required by S5.5 of Sec. 571.223, Rear Impact 
Guards.
    Low chassis vehicle means a trailer or semitrailer having a chassis 
that extends behind the rearmost point of the rearmost tires and a lower 
rear surface that meets the configuration requirements of S5.1.1 through 
5.1.3 of this section.
    Outer or Outboard means away from the trailer centerline and toward 
the side extremities of the trailer.
    Rear extremity means the rearmost point on a vehicle that is above a 
horizontal plane located 560 mm above the ground and below a horizontal 
plane located 1,900 mm above the ground when the vehicle is configured 
as specified in S5.1 of this section and when the vehicle's cargo doors, 
tailgate, or other permanent structures are positioned as they normally 
are when the vehicle is in motion. Nonstructural protrusions such as 
taillights, rubber bumpers, hinges and latches are excluded from the 
determination of the rearmost point.
    Rounded corner means a guard's outermost end that curves upward or 
forward toward the front of the vehicle, or both.
    Side extremity means the outermost point on a vehicle's side that is 
located above a horizontal plane 560 mm above the ground, below a 
horizontal plane located 190 cm above the ground, and between a 
transverse vertical plane tangent to the rear extremity of the vehicle 
and a transverse vertical plane located 305 mm forward of that plane 
when the vehicle is configured as specified in S5.1 of this section. 
Non-structural protrusions such as taillights, hinges, rubber bumpers, 
and latches are excluded from the determination of the outermost point.
    Special purpose vehicle means a trailer or semitrailer having work-
performing equipment (including any pipe equipment that would hold 
hazardous materials in transit and require rear-end protection under 49 
CFR 178.345-8(d)) that, while the vehicle is in transit, resides in or 
moves through the area that could be occupied by the horizontal member 
of the rear underride guard, as defined by S5.1.1 through S5.1.3 of this 
section.
    Wheels back vehicle means a trailer or semitrailer whose rearmost 
axle is permanently fixed and is located such that the rearmost surface 
of tires of the size recommended by the vehicle manufacturer for the 
vehicle on that axle is not more than 305 mm forward of the transverse 
vertical plane tangent to the rear extremity of the vehicle.
    S5. Requirements.
    S5.1 Installation; vehicle configuration. Each vehicle shall be 
equipped with a rear impact guard certified as meeting Federal Motor 
Vehicle Safety Standard No. 223, Rear Impact Guards (Sec. 571.223). When 
the vehicle to which the guard is attached is resting on level ground, 
unloaded, with its full capacity of fuel, and with its tires inflated 
and air suspension, if so equipped, pressurized in accordance with the 
manufacturer's recommendations, the guard shall comply with the 
requirements of S5.1.1

[[Page 621]]

through S5.1.3 of this section. See Figure 1 of this section.
    S5.1.1 Guard width. The outermost surfaces of the horizontal member 
of the guard shall extend outboard to within 100 mm of the longitudinal 
vertical planes that are tangent to the side extremities of the vehicle, 
but shall not extend outboard of those planes. See Figure 1 of this 
section.
    S5.1.2 Guard height. The vertical distance between the bottom edge 
of the horizontal member of the guard and the ground shall not exceed 
560 mm at any point across the full width of the member. Notwithstanding 
this requirement, guards with rounded corners may curve upward within 
255 mm of the longitudinal vertical planes that are tangent to the side 
extremities of the vehicle. See Figure 1 of this section.
    S5.1.3 Guard rear surface. At any height 560 mm or more above the 
ground, the rearmost surface of the horizontal member of the guard shall 
be located as close as practical to a transverse vertical plane tangent 
to the rear extremity of the vehicle, but no more than 305 mm forward of 
that plane. Notwithstanding this requirement, the horizontal member may 
extend rearward of the plane, and guards with rounded corners may curve 
forward within 255 mm of the longitudinal vertical planes that are 
tangent to the side extremities of the vehicle.
    S5.2 Installation Requirements. Guards shall be attached to the 
vehicle's chassis by the vehicle manufacturer in accordance with the 
installation instructions or procedures provided pursuant to S5.5 of 
Standard No. 223, Rear Impact Guards (Sec. 571.223). The vehicle must be 
of a type identified in the installation instructions as appropriate for 
the guard.

[[Page 622]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.147



[61 FR 2035, Jan. 24, 1996]

    Effective Date Note:  At 61 FR 2035, Jan. 24, 1996, Sec. 571.224 was 
added, effective Jan. 26, 1998.



Sec. 571.301  Standard No. 301; Fuel system integrity.

    S1. Scope. This standard specifies requirements for the integrity of 
motor vehicle fuel systems.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries occurring from fires that result from fuel spillage during and 
after motor vehicle crashes, and resulting from ingestion of fuels 
during siphoning.
    S3. Application. This standard applies to passenger cars, and to 
multipurpose passenger vehicles, trucks and buses that have a GVWR of 
10,000 pounds or less and use fuel with a boiling point above 32 deg. F, 
and to school buses that have a GVWR greater than 10,000

[[Page 623]]

pounds and use fuel with a boiling point above 32 deg. F.
    S4. Definition. Fuel spillage means the fall, flow, or run of fuel 
from the vehicle but does not include wetness resulting from capillary 
action.
    S5. General requirements.
    S5.1  Passenger cars, and multipurpose passenger vehicles, trucks, 
and buses with a GVWR of 10,000 pounds or less. Each passenger car and 
each multipurpose passenger vehicle, truck, and bus with a GVWR of 
10,000 pounds or less shall meet the requirements of S6.1 through S6.4. 
Each of these types of vehicles that is manufactured to use alcohol 
fuels shall also meet the requirements of S6.6.
    S5.2  [Reserved]
    S5.3  [Reserved]
    S5.4  Schoolbuses with a GVWR greater than 10,000 pounds. Each 
schoolbus with a GVWR greater than 10,000 pounds shall meet the 
requirements of S6.5. Each schoolbus with a GVWR greater than 10,000 
pounds that is manufactured to use alcohol fuels shall meet the 
requirements of S6.6.
    S5.5  Fuel Spillage: Barrier Crash. Fuel spillage for each vehicle 
in any fixed or moving barrier crash test shall not exceed 1 ounce by 
weight from impact until motion of the vehicle has ceased, and shall not 
exceed a total of 5 ounces by weight in the 5-minute period following 
cessation of motion. For the subsequent 25-minute period, fuel spillage 
during any 1-minute interval shall not exceed 1 ounce by weight.
    S5.6  Fuel spillage: Rollover. Fuel spillage in any rollover test, 
from the onset of rotational motion, shall not exceed a total of 5 
ounces by weight for the first 5 minutes of testing at each successive 
90 deg. increment. For the remaining testing period, at each increment 
of 90 deg. fuel spillage during any 1-minute interval shall not exceed 1 
ounce by weight.
    S5.7. Alcohol fuel vehicles. Each vehicle manufactured to operate on 
an alcohol fuel (e.g., methanol, ethanol) or a fuel blend containing at 
least 20 percent alcohol fuel shall meet the requirements of S6.6.
    S6. Test requirements. Each vehicle with a GVWR of 10,000 pounds or 
less shall be capable of meeting the requirements of any applicable 
barrier crash test followed by a static rollover, without alteration of 
the vehicle during the test sequence. A particular vehicle need not meet 
further requirements after having been subjected to a single barrier 
crash test and a static rollover test.
    S6.1  Frontal barrier crash. When the vehicle traveling 
longitudinally forward at any speed up to and including 30 mph impacts a 
fixed collision barrier that is perpendicular to the line of travel of 
the vehicle, or at any angle up to 30 deg. in either direction from the 
perpendicular to the line of travel of the vehicle, with 50th-percentile 
test dummies as specified in part 572 of this chapter at each front 
outboard designated seating position and at any other position whose 
protection system is required to be tested by a dummy under the 
provisions of Standard No. 208, under the applicable conditions of S7., 
fuel spillage shall not exceed the limits of S5.5.
    S6.2  Rear moving barrier crash. When the vehicle is impacted from 
the rear by a barrier moving at 30 mph, with test dummies as specified 
in part 572 of this chapter at each front outboard designated seating 
position, under the applicable conditions of S7., fuel spillage shall 
not exceed the limits of S5.5.
    S6.3  Lateral moving barrier crash. When the vehicle is impacted 
laterally on either side by a barrier moving at 20 mph with 50th-
percentile test dummies as specified in part 572 of this chapter at 
positions required for testing to Standard No. 208, under the applicable 
conditions of S7., fuel spillage shall not exceed the limits of S5.5.
    S6.4  Static rollover. When the vehicle is rotated on its 
longitudinal axis to each successive increment of 90 deg., following an 
impact crash of S6.1, S6.2, or S6.3, fuel spillage shall not exceed the 
limits of S5.6.
    S6.5  Moving contoured barrier crash. When the moving contoured 
barrier assembly traveling longitudinally forward at any speed up to and 
including 30 mph impacts the test vehicle (schoolbus with a GVWR 
exceeding 10,000 pounds) at any point and angle, under the applicable 
conditions of S7.1 and S7.5, fuel spillage shall not exceed the limits 
of S5.5.

[[Page 624]]

    S6.6  Anti-siphoning test for alcohol fuel vehicles. Each vehicle 
shall have means that prevent any hose made of vinyl plastic or rubber, 
with a length of not less than 120 centimeters (cm) (47.2 inches) and an 
outside diameter of not less than 5.2 millimeters (mm) (0.20 inches), 
from contacting the level surface of the liquid fuel in the vehicle's 
fuel tank or fuel system, when the hose is inserted into the filler neck 
attached to the fuel tank with the fuel tank filled to any level from 90 
to 95 percent of capacity.
    S7. Test conditions. The requirements of S5.1 through S5.6 and S6.1 
through S6.5 shall be met under the following conditions. Where a range 
is specified, the vehicle must be capable of meeting the requirements at 
all points within the range.
    S7.1  General test conditions. The following conditions apply to all 
tests.
    S7.1.1  The fuel tank is filled to any level from 90 to 95 percent 
of capacity with Stoddard solvent, having the physical and chemical 
properties of type 1 solvent, Table I ASTM Standard D484-71, ``Standard 
Specifications for Hydrocarbon Dry Cleaning Solvents.''
    S7.1.2  The fuel system other than the fuel tank is filled with 
Stoddard solvent to its normal operating level.
    S7.1.3  In meeting the requirements of S6.1 through S6.3, if the 
vehicle has an electrically driven fuel pump that normally runs when the 
vehicle's electrical system is activated, it is operating at the time of 
the barrier crash.
    S7.1.4  The parking brake is disengaged and the transmission is in 
neutral, except that in meeting the requirements of S6.5 the parking 
brake is set.
    S7.1.5  Tires are inflated to manufacturer's specifications.
    S7.1.6  The vehicle, including test devices and instrumentation, is 
loaded as follows:
    (a) Except as specified in S7.1.1, a passenger car is loaded to its 
unloaded vehicle weight plus its rated cargo and luggage capacity 
weight, secured in the luggage area, plus the necessary test dummies as 
specified in S6., restrained only by means that are installed in the 
vehicle for protection at its seating position.
    (b) Except as specified in S7.1.1, a multipurpose passenger vehicle, 
truck, or bus with a GVWR of 10,000 pounds or less is loaded to its 
unloaded vehicle weight, plus the necessary test dummies, as specified 
in S6., plus 300 pounds or its rated cargo and luggage capacity weight, 
whichever is less, secured to the vehicle and distributed so that the 
weight on each axle as measured at the tire-ground interface is in 
proportion to its GAWR. If the weight on any axle, when the vehicle is 
loaded to unloaded vehicle weight plus dummy weight, exceeds the axle's 
proportional share of the test weight, the remaining weight shall be 
placed so that the weight on that axle remains the same. Each dummy 
shall be restrained only by means that are installed in the vehicle for 
protection at its seating position.
    (c) Except as specified in S7.1.1, a schoolbus with a GVWR greater 
than 10,000 pounds is loaded to its unloaded vehicle weight, plus 120 
pounds of unsecured weight at each designated seating position.
    S7.2  Lateral moving barrier crash test conditions. The lateral 
moving barrier crash test conditions are those specified in S8.2 of 
Standard No. 208, 49 CFR 571.208.
    S7.3  Rear moving barrier test conditions. The rear moving barrier 
test conditions are those specified in S8.2 of Standard No. 208, 49 CFR 
571.208, except for the positioning of the barrier and the vehicle. The 
barrier and test vehicle are positioned so that at impact--
    (a) The vehicle is at rest in its normal attitude:
    (b) The barrier is traveling at 30 mph with its face perpendicular 
to the longitudinal centerline of the vehicle; and
    (c) A vertical plane through the geometric center of the barrier 
impact surface and perpendicular to that surface coincides with the 
longitudinal centerline of the vehicle.
    S7.4  Static rollover test conditions. The vehicle is rotated about 
its longitudinal axis, with the axis kept horizontal, to each successive 
increment of 90 deg., 180 deg., and 270 deg. at a uniform rate, with 
90 deg. of rotation taking place in any time interval from 1 to 3 
minutes. After reaching each 90 deg. increment the

[[Page 625]]

vehicle is held in that position for 5 minutes.
    S7.5  Moving contoured barrier test conditions. The following 
conditions apply to the moving contoured barrier crash test.
    S7.5.1  The moving barrier, which is mounted on a carriage as 
specified in figure 1, is of rigid construction, symmetrical about a 
vertical longitudinal plane. The contoured impact surface, which is 
24.75 inches high and 78 inches wide, conforms to the dimensions shown 
in Figure 2, and is attached to the carriage as shown in that figure. 
The ground clearance to the lower edge of the impact surface is 5.25 
plus-minus 0.5 inches. The wheelbase is 120 plus-minus 
2 inches.
    S7.5.2  The moving contoured barrier, including the impact surface, 
supporting structure, and carriage, weighs 4,000 plus-minus 
50 pounds with the weight distributed so that 900 plus-minus 
25 pounds is at each rear wheel and 1100 plus-minus 25 pounds 
is at each front wheel. The center of gravity is located 54.0 
plus-minus 1.5 inches rearward of the front wheel axis, in 
the vertical longitudinal plane of symmetry, 15.8 inches above the 
ground. The moment of inertia about the center of gravity is:

    Ix =271plus-minus13.6 slug ft. 2
    Iz =3475plus-minus 174 slug ft. 2

    S7.5.3  The moving contoured barrier has a solid nonsteerable 
front axle and fixed rear axle attached directly to the frame rails with 
no spring or other type of suspension system on any wheel. (The moving 
barrier assembly is equipped with a braking device capable of stopping 
its motion.)
    S7.5.4  The moving barrier assembly is equipped with G78-15 
pneumatic tires with a tread width of 6.0 plus-minus1 inch, 
inflated to 24 psi.
    S7.5.5  The concrete surface upon which the vehicle is tested is 
level, rigid, and of uniform construction, with a skid number of 75 when 
measured in accordance with American Society of Testing and Materials 
Method E-274-65T at 40 mph, omitting water delivery as specified in 
paragraph 7.1 of that method.
    S7.5.6  The barrier assembly is released from the guidance mechanism 
immediately prior to impact with the vehicle.

[[Page 626]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.148



[[Page 627]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.149



[40 FR 48353, Oct. 15, 1975. Redesignated and amended at 41 FR 9350, 
Mar. 4, 1976; 41 FR 36026, 36027, Aug. 26, 1976; 53 FR 8204, Mar. 14, 
1988; 53 FR 49990, Dec. 13, 1988; 58 FR 5638, Jan. 22, 1993; 61 FR 
19202, May 1, 1996]

[[Page 628]]



Sec. 571.302  Standard No. 302; Flammability of interior materials.

    S1. Scope. This standard specifies burn resistance requirements for 
materials used in the occupant compartments of motor vehicles.
    S2. Purpose. The purpose of this standard is to reduce the deaths 
and injuries to motor vehicle occupants caused by vehicle fires, 
especially those originating in the interior of the vehicle from sources 
such as matches or cigarettes.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks, and buses.
    S3A. Definitions. Occupant compartment air space means the space 
within the occupant compartment that normally contains refreshable air.
    S4. Requirements.
    S4.1  The portions described in S4.2 of the following components of 
vehicle occupant compartments shall meet the requirements of S4.3: Seat 
cushions, seat backs, seat belts, headlining, convertible tops, arm 
rests, all trim panels including door, front, rear, and side panels, 
compartment shelves, head restraints, floor coverings, sun visors, 
curtains, shades, wheel housing covers, engine compartment covers, 
mattress covers, and any other interior materials, including padding and 
crash-deployed elements, that are designed to absorb energy on contact 
by occupants in the event of a crash.
    S4.1.1  [Reserved]
    S4.2  Any portion of a single or composite material which is within 
\1/2\ inch of the occupant compartment air space shall meet the 
requirements of S4.3.
    S4.2.1  Any material that does not adhere to other material(s) at 
every point of contact shall meet the requirements of S4.3 when tested 
separately.
    S4.2.2  Any material that adheres to other material(s) at every 
point of contact shall meet the requirements of S4.3 when tested as a 
composite with the other material(s).

                          Illustrative Example
[GRAPHIC] [TIFF OMITTED] TC01AU91.150

    Material A has a non-adhering interface with material B and is 
tested separately. Part of material B is within \1/2\ inch of the 
occupant compartment air space, and materials B and C adhere at every 
point of contact; therefore B and C are tested as a composite. The cut 
is in material C as shown, to make a specimen \1/2\ inch thick.
    S4.3(a)  When tested in accordance with S5, material described in 
S4.1 and S4.2 shall not burn, nor transmit a flame front across its 
surface, at a rate of more than 4 inches per minute. However, the 
requirement concerning transmission of a flame front shall not apply to 
a surface created by the cutting of a test specimen for purposes of 
testing pursuant to S5.
    (b) If a material stops burning before it has burned for 60 seconds 
from the start of timing, and has not burned more than 2 inches from the 
point where timing was started, it shall be considered to meet the burn-
rate requirement of S4.3(a).
    S5. Test procedure.
    S5.1  Conditions.
    S5.1.1  The test is conducted in a metal cabinet for protecting the 
test specimens from drafts. The interior of the cabinet is 15 inches 
long, 8 inches deep, and 14 inches high. It has a glass observation 
window in the front, a closable opening to permit insertion of the 
specimen holder, and a hole to accommodate tubing for a gas burner. For 
ventilation, it has a \1/2\-inch clearance space around the top of the 
cabinet, ten \3/4\-inch-diameter holes in the base of the cabinet, and 
legs to elevate the bottom of the cabinet by three-eighths of an inch, 
all located as shown in Figure 1.

[[Page 629]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.151


    S5.1.2  Prior to testing, each specimen is conditioned for 24 hours 
at a temperature of 70 deg. F. and a relative humidity of 50 percent, 
and the test is conducted under those ambient conditions.
    S5.1.3  The test specimen is inserted between two matching U-shaped 
frames of metal stock 1-inch wide and \3/8\ of an inch high. The 
interior dimensions of the U-shaped frames are 2 inches wide by 13 
inches long. A specimen that softens and bends at the flaming end so as 
to cause erratic burning is kept horizontal by supports consisting of 
thin, heat-resistant wires, spanning the width of the U-shaped frame 
under the specimen at 1-inch intervals. A device that may be used for 
supporting this type of material is an additional U-shaped frame, wider 
than the U-shaped frame containing the specimen, spanned by 10-mil wires 
of heat-resistant composition at 1-inch intervals, inserted over the 
bottom U-shaped frame.
    S5.1.4  A bunsen burner with a tube of \3/8\-inch inside diameter is 
used. The gas adjusting valve is set to provide a flame, with the tube 
vertical, of 1\1/2\ inches in height. The air inlet to the burner is 
closed.
    S5.1.5  The gas supplied to the burner has a flame temperature 
equivalent to that of natural gas.
    S5.2  Preparation of specimens.
    S5.2.1  Each specimen of material to be tested shall be a rectangle 
4 inches wide by 14 inches long, wherever possible. The thickness of the 
specimen is that of the single or composite material used in the 
vehicle, except that if the material's thickness exceeds \1/2\ inch, the 
specimen is cut down to that thickness measured from the surface of the 
specimen closest to the occupant compartment air space. Where it is not 
possible to obtain a flat specimen because of surface curvature, the 
specimen is cut to not more than \1/2\ inch in thickness at any point. 
The maximum available length or width of a specimen is used where either 
dimension is less than 14 inches or 4 inches, respectively,

[[Page 630]]

unless surrogate testing is required under S4.1.1.
    S5.2.2  The specimen is produced by cutting the material in the 
direction that provides the most adverse test results. The specimen is 
oriented so that the surface closest to the occupant compartment air 
space faces downward on the test frame.
    S5.2.3  Material with a napped or tufted surface is placed on a flat 
surface and combed twice against the nap with a comb having seven to 
eight smooth, rounded teeth per inch.
    S5.3  Procedure.
    (a) Mount the specimen so that both sides and one end are held by 
the U-shaped frame, and one end is even with the open end of the frame. 
Where the maximum available width of a specimen is not more than 2 
inches, so that the sides of the specimen cannot be held in the U-shaped 
frame, place the specimen in position on wire supports as described in 
S5.1.3, with one end held by the closed end of the U-shaped frame.
    (b) Place the mounted specimen in a horizontal position, in the 
center of the cabinet.
    (c) With the flame adjusted according to S5.1.4, position the bunsen 
burner and specimen so that the center of the burner tip is three-
fourths of an inch below the center of the bottom edge of the open end 
of the specimen.
    (d) Expose the specimen to the flame for 15 seconds.
    (e) Begin timing (without reference to the period of application of 
the burner flame) when the flame from the burning specimen reaches a 
point 1\1/2\ inches from the open end of the specimen.
    (f) Measure the time that it takes the flame to progress to a point 
1\1/2\ inches from the clamped end of the specimen. If the flame does 
not reach the specified end point, time its progress to the point where 
flaming stops.
    (g) Calculate the burn rate from the formula

                              B=60 x (D/T)

Where:

B=Burn rate in inches per minute,
D=Length the flame travels in inches, and
T=Time in seconds for the flame to travel D inches.
[36 FR 22902, Dec. 2, 1971, as amended at 40 FR 14319, Mar. 31, 1975; 40 
FR 42747, Sept. 16, 1975; 40 FR 56667, Dec. 4, 1975]



Sec. 571.303  Standard No. 303; Fuel system integrity of compressed natural gas vehicles.

    S1. Scope. This standard specifies requirements for the integrity of 
motor vehicle fuel systems using compressed natural gas (CNG), including 
the CNG fuel systems of bi-fuel, dedicated, and dual fuel CNG vehicles.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries occurring from fires that result from fuel leakage during and 
after motor vehicle crashes.
    S3. Application. This standard applies to passenger cars, 
multipurpose passenger vehicles, trucks and buses that have a gross 
vehicle weight rating (GVWR) of 10,000 pounds or less and use CNG as a 
motor fuel. This standard also applies to school buses regardless of 
weight that use CNG as a motor fuel.
    S4. Definitions.
    Bi-fuel CNG vehicle means a vehicle equipped with two independent 
fuel systems, one of which is designed to supply CNG and the second to 
supply a fuel other than CNG.
    CNG fuel container means a container designed to store CNG as motor 
fuel onboard a motor vehicle.
    CNG fuel system means all components used to store or supply CNG to 
a vehicle's engine.
    Dedicated CNG vehicle means a vehicle equipped with one fuel system 
and designed to operate on CNG.
    Dual-fuel CNG vehicle means a vehicle which is fueled by two fuels 
simultaneously, one of which is CNG and the second is a fuel other than 
CNG.
    High pressure portion of a fuel system means all the components from 
and including each CNG fuel container up to, but not including, the 
first pressure regulator.
    Service pressure means the internal pressure of a CNG fuel container 
when filled to design capacity with CNG at 20 deg. Celsius (68 deg. 
Fahrenheit).
    S5. General requirements.
    S5.1  Vehicle requirements.

[[Page 631]]

    S5.1.1  Vehicles with GVWR of 10,000 pounds or less. Each passenger 
car, multipurpose passenger vehicle, truck, and bus with a GVWR of 
10,000 pounds or less that uses CNG as a motor fuel and that is 
manufactured on or after September 1, 1995 shall meet the requirements 
of S6, except S6.4.
    S5.1.2  Schoolbuses with a GVWR greater than 10,000 pounds. Each 
schoolbus with a GVWR greater than 10,000 pounds that uses CNG as a 
motor fuel and that is manufactured on or after September 1, 1995 shall 
meet the requirements of S6.4.
    S5.2  Fuel system pressure drop: barrier crash.
    (a) For all vehicles, the pressure drop in the high pressure portion 
of the fuel system, expressed in kiloPascals (kPa), in any fixed or 
moving barrier crash from vehicle impact through the 60 minute period 
following cessation of motion shall not exceed:
    (1) 1062 kPa (154 psi), or
    (2) 895 (T/VFS); whichever is higher

where T is the average temperature of the test gas in degrees Kelvin, 
stabilized to ambient temperature before testing, where average 
temperature (T) is calculated by measuring ambient temperature at the 
start of the test time and then every 15 minutes until the test time of 
60 minutes is completed; the sum of the ambient temperatures is then 
divided by five to yield the average temperature (T); and where 
VFS is the internal volume in liters of the fuel container 
and the fuel lines up to the first pressure regulator.
    (b) For bi-fuel or dual fuel CNG vehicles, the test requirement in 
S5.2(a) shall apply to the CNG fuel system, and the test requirement of 
Standard No. 301 shall apply to the other fuel system, if that standard 
is applicable.
    S5.3  Each CNG vehicle shall be permanently labeled, near the 
vehicle refueling connection, with the information specified in S5.3.1 
and S5.3.2 of this section. The information shall be visible to a person 
standing next to the vehicle during refueling, in English, and in 
letters and numbers that are not less than 4.76 mm (3/16 inch) high.
    S5.3.1  The statement: ``Service pressure ____________ kPa 
(____________ psig).''
    S5.3.2  The statement ``See instructions on fuel container for 
inspection and service life.''
    S5.4  When a motor vehicle is delivered to the first purchaser for 
purposes other than resale, the manufacturer shall provide the purchaser 
with a written statement of the information in S5.3.1 and S5.3.2 in the 
owner's manual, or, if there is no owner's manual, on a one-page 
document. The information shall be in English and in not less than 10 
point type.
    S6.  Test requirements: fuel system integrity. Each vehicle with a 
GVWR of 10,000 pounds or less shall meet the requirements of any 
applicable barrier crash test. A particular vehicle need not meet 
further requirements after having been subjected to a single barrier 
crash test.
    S6.1  Frontal barrier crash. When the vehicle traveling 
longitudinally forward at any speed up to and including 30 mph impacts a 
fixed collision barrier that is perpendicular to the line of travel of 
the vehicle, or at any angle up to 30 degrees in either direction from 
the perpendicular to the line of travel of the vehicle, with 50th 
percentile test dummies as specified in part 572 of this chapter at each 
front outboard designated seating position and at any other position 
whose protection system is required to be tested by a dummy under the 
provisions of Standard No. 208, under the applicable conditions of S7, 
the fuel pressure drop shall not exceed the limits of S5.2.
    S6.2  Rear moving barrier crash. When the vehicle is impacted from 
the rear by a barrier moving at any speed up to and including 30 mph, 
with test dummies as specified in part 572 of this chapter at each front 
outboard designated seating position, under the applicable conditions of 
S7, the fuel pressure drop shall not exceed the limits of S5.2.
    S6.3  Lateral moving barrier crash. When the vehicle is impacted 
laterally on either side by a barrier moving at any speed up to and 
including 20 mph with 50th percentile test dummies as specified in part 
572 of this chapter at positions required for testing to Standard No. 
208, under the applicable conditions of S7, the fuel pressure drop shall 
not exceed the limits of S5.2.

[[Page 632]]

    S6.4  Moving contoured barrier crash. When the moving contoured 
barrier assembly traveling longitudinally forward at any speed up to and 
including 30 mph impacts the test vehicle (schoolbus with a GVWR 
exceeding 10,000 pounds) at any point and angle, under the applicable 
conditions of S7, the fuel pressure drop shall not exceed the limits of 
S5.2.
    S7.  Test conditions. The requirements of S5 and S6 shall be met 
under the following conditions. Where a range of conditions is 
specified, the vehicle must be capable of meeting the requirements at 
all points within the range.
    S7.1  General test conditions. The following conditions apply to all 
tests.
    S7.1.1  Each fuel storage container is filled to 100 percent of 
service pressure with nitrogen, N2. The gas pressure shall 
stabilize to ambient temperature before testing may be conducted.
    S7.1.2  After each fuel storage container is filled as specified in 
S7.1.1, the fuel system other than each fuel storage container is filled 
with nitrogen, N2, to normal operating pressures. All manual 
shutoff valves are to be in the open position.
    S7.1.3  In meeting the requirements of S6.1 through S6.4, if the 
vehicle has an electrically driven fuel pump that normally runs when the 
vehicle's electrical system is activated, it is operating at the time of 
the barrier crash. If the vehicle has any high pressure electric shutoff 
valve that is normally open when the electrical system is activated, it 
is open at the time of the barrier crash. Furthermore, if any electric 
shutoff valve prevents sensing of system pressure by the pressure 
transducer when closed, it must be open for both the initial pressure 
measurement and the pressure measurement 60 minutes after the vehicle 
ceases motion from impact. Any valve shall be open for a period of one 
minute to equalize the system pressure.
    S7.1.4  The parking brake is disengaged and the transmission is in 
neutral, except that in meeting the requirements of S6.4, the parking 
brake is set.
    S7.1.5  Tires are inflated to manufacturer's specifications.
    S7.1.6  The vehicle, including test devices and instrumentation, is 
loaded as follows:
    (a) A passenger car, with its fuel system filled as specified in 
S7.1.1 and S7.1.2, is loaded to its unloaded vehicle weight plus its 
rated cargo and luggage capacity weight, secured in the luggage area, 
plus the necessary test dummies as specified in S6, restrained only by 
means that are installed in the vehicle for protection at its seating 
position.
    (b) A multipurpose passenger vehicle, truck, or bus with a GVWR of 
10,000 pounds or less, whose fuel system is filled as specified in 
S7.1.1 and S7.1.2, is loaded to its unloaded vehicle weight, plus the 
necessary test dummies as specified in S6, plus 136.1 kilograms (kg.) 
(300 pounds (lb.)), or its rated cargo and luggage capacity weight, 
whichever is less, secured to the vehicle and distributed so that the 
weight on each axle as measured at the tire-ground interface is in 
proportion to its GAWR. Each dummy shall be restrained only by means 
that are installed in the vehicle for protection at its seating 
position.
    (c) A schoolbus with a GVWR greater than 10,000 pounds, whose fuel 
system is filled as specified in S7.1.1 and S7.1.2, is loaded to its 
unloaded vehicle weight, plus 54.4 kg. (120 lb.) of unsecured weight at 
each designated seating position.
    S7.1.7  The ambient temperature is not to vary more than 5.6  deg.C 
(10  deg.F) during the course of the test.
    S7.1.8  The pressure drop measurement specified in S5.2 is to be 
made using a location on the high pressure side of the fuel system in 
accordance with the vehicle manufacturer's recommendation.
    S7.2  Lateral moving barrier crash test conditions. The lateral 
moving barrier crash test conditions are those specified in S8.2 of 
Standard No. 208, 49 CFR 571.208.
    S7.3  Rear moving barrier test conditions. The rear moving barrier 
test conditions are those specified in S8.2 of Standard No. 208, 49 CFR 
571.208, except for the positioning of the barrier and the vehicle. The 
barrier and test vehicle are positioned so that at impact--
    (a) The vehicle is at rest in its normal attitude;

[[Page 633]]

    (b) The barrier is traveling at any speed up to and including 30 mph 
with its face perpendicular to the longitudinal centerline of the 
vehicle; and
    (c) A vertical plane through the geometric center of the barrier 
impact surface and perpendicular to that surface coincides with the 
longitudinal centerline of the vehicle.
    S7.4  Moving contoured barrier test conditions. The moving contoured 
barrier crash test conditions are those specified in S7.5 of Standard 
No. 301, 49 CFR 571.301.
[59 FR 19659, Apr. 25, 1994; as amended at 60 FR 2543, Jan. 10, 1995; 60 
FR 57948, Nov. 24, 1995]



Sec. 571.304  Standard No. 304; Compressed natural gas fuel container integrity.

    S1. Scope. This standard specifies requirements for the integrity of 
compressed natural gas (CNG), motor vehicle fuel containers.
    S2. Purpose. The purpose of this standard is to reduce deaths and 
injuries occurring from fires that result from fuel leakage during and 
after motor vehicle crashes.
    S3. Application. This standard applies to containers designed to 
store CNG as motor fuel on-board any motor vehicle.
    S4. Definitions.
    Brazing means a group of welding processes wherein coalescence is 
produced by heating to a suitable temperature above 800  deg. F and by 
using a nonferrous filler metal, having a melting point below that to 
the base metals. The filler metal is distributed between the closely 
fitted surfaces of the joint by capillary attraction.
    Burst pressure means the highest internal pressure reached in a CNG 
fuel container during a burst test at a temperature of 21  deg. C (70 
deg. F).
    CNG fuel container means a container designed to store CNG as motor 
fuel on-board a motor vehicle.
    Fill pressure means the internal pressure of a CNG fuel container 
attained at the time of filling. Fill pressure varies according to the 
gas temperature in the container which is dependent on the charging 
parameters and the ambient conditions.
    Full wrapped means applying the reinforcement of a filament or resin 
system over the entire liner, including the domes.
    Hoop wrapped means winding of filament in a substantially 
circumferential pattern over the cylindrical portion of the liner so 
that the filament does not transmit any significant stresses in a 
direction parallel to the cylinder longitudinal axis.
    Hydrostatic pressure means the internal pressure to which a CNG fuel 
container is taken during testing set forth in S5.4.1.
    Liner means the inner gas tight container or gas cylinder to which 
the overwrap is applied.
    Service pressure means the internal settled pressure of a CNG fuel 
container at a uniform gas temperature of 21  deg. C (70  deg. F) and 
full gas content. It is the pressure for which the container has been 
constructed under normal conditions.
    Stress ratio means the stress in the fiber at minimum burst pressure 
divided by the stress in the fiber at service pressure.
    S5  Container and material requirements.
    S5.1  Container designations. Container designations are as follows:
    S5.1.1  Type 1--Non-composite metallic container means a metal 
container.
    S5.1.2  Type 2--Composite metallic hoop wrapped container means a 
metal liner reinforced with resin impregnated continuous filament that 
is ``hoop wrapped.''
    S5.1.3  Type 3--Composite metallic full wrapped container means a 
metal liner reinforced with resin impregnated continuous filament that 
is ``full wrapped.''
    S5.1.4  Type 4--Composite non-metallic full wrapped container means 
resin impregnated continuous filament with a non-metallic liner ``full 
wrapped.''
    S5.2  Material designations.
    S5.2.1  Steel containers and liners.
    (a) Steel containers and liners shall be of uniform quality. Only 
the basic oxygen or electric furnace processes are authorized. The steel 
shall be aluminum killed and produced to predominantly fine grain 
practice. The steel heat analysis shall be in conformance with one of 
the following grades:

[[Page 634]]



                                         Table One--Steel Heat Analysis                                         
----------------------------------------------------------------------------------------------------------------
          Grade element           Chrome-Molybdenum percent     Carbon-Boron percent    Carbon-Manganese percent
----------------------------------------------------------------------------------------------------------------
Carbon..........................  0.25 to 0.38.............  0.27 to 0.37.............  0.40 max.               
Manganese.......................  0.40 to 1.05.............  0.80 to 1.40.............  1.65 max.               
Phosphorus......................  0.015 max................  0.015 max................  0.025 max.              
Sulfur..........................  0.010 max................  0.010 max................  0.010 max.              
Silicon.........................  0.15 to 0.35.............  0.30 max.................  0.10/0.30               
Chromium........................  0.80 to 1.15.............  N/A......................  N/A                     
Molybdenum......................  0.15 to 0.25.............  N/A......................  N/A                     
Boron...........................  N/A......................  0.0005 to 0.003..........  N/A                     
Aluminum........................  0.02 to 0.07.............  0.02 to 0.07.............  0.02/0.07               
----------------------------------------------------------------------------------------------------------------
\1\ ``N/A'' means not applicable.                                                                               

    (b) Incidental elements shall be within the limits specified in the 
Standard Specification for Steel, Sheet and Strip, Alloy, Hot-Rolled and 
Cold-Rolled, General Requirements for ASTM A 505 (1987).
    S5.2.1.1  When carbon-boron steel is used, the test specimen is 
subject to a hardenability test in accordance with the Standard Method 
for End-Quench Test For Hardenability of Steel, ASTM A 255 (1989). The 
hardness evaluation is made 7.9 mm (\5/16\ inch) from the quenched end 
of the Jominy quench bar.
    S5.2.1.2  The test specimen's hardness shall be at least Rc 
(Rockwell Hardness) 33 and no more than Rc 53.
    S5.2.2 Aluminum containers and aluminum liners. (Type 1, Type 2 and 
Type 3) shall be 6010 alloy, 6061 alloy, and T6 temper. The aluminum 
heat analysis shall be in conformance with one of the following grades:

                    Table Two--Aluminum Heat Analysis                   
------------------------------------------------------------------------
                                                          6061 alloy    
         Grade  element          6010 alloy  percent        percent     
------------------------------------------------------------------------
Magnesium......................  0.6 to 1.0.........  0.8 to 1.2.       
Silicon........................  0.8 to 1.2.........  0.40 to 0.8.      
Copper.........................  0.15 to 0.6........  0.15 to 0.40.     
Chromium.......................  0.10 max...........  0.04 to 0.35.     
Iron...........................  0.50 max...........  0.7 max.          
Titanium.......................  0.10 max...........  0.15 max.         
Manganese......................  0.20 to 0.8........  0.15 max.         
Zinc...........................  0.25 max...........  0.25 max.         
Others, Each \1\...............  0.05 max...........  0.05 max.         
Others, Total \1\ \2\..........  0.15 max...........  0.15 max.         
Aluminum min...................  Remainder..........  Remainder.        
------------------------------------------------------------------------
\1\ ``Others'' includes listed elements for which no specific limit is  
  shown as well as unlisted metallic elements. The producer may analyze 
  samples for trace elements not specified in the registration or       
  specification. However, such analysis is not required and may not     
  cover all metallic ``other'' elements. Should any analysis by the     
  producer or purchaser establish that an ``others'' element exceeds the
  limit of ``Each'' or that the aggregate of several ``others'' elements
  exceeds the limit of ``Total,'' the material shall be considered non- 
  conforming.                                                           
\2\ The sum of those ``Others'' metallic elements 0.010 percent or more 
  each, expressed to the second decimal before determining the sum.     
                                                                        

(Registration Record of Aluminum Association Designations and Chemical 
Composition Limits for Wrought Aluminum and Wrought Aluminum Alloys, The 
Aluminum Association, Inc. Rev. Dec. 1993)

    S5.2.3  Structural reinforcing filament material shall be commercial 
grade E-glass, commercial grade S-glass, aramid fiber or carbon fiber. 
Filament strength shall be tested in accordance with the Standard Test 
Method for Tensile Properties of Glass Fiber Strands, Yarns, and Rovings 
Used in Reinforced Plastics, ASTM D 2343 (1967, Reapproved 1985), or 
SACMA Recommended Test Method for Tow Tensile Testing of Carbon Fibers, 
SRM 16-90, 1990. Fiber coupling agents (sizing) shall be compatible with 
the resin system. If carbon fiber reinforcement is used the design shall 
incorporate means to prevent galvanic corrosion of metallic components 
of the fuel container.
    S5.2.4  The resin system shall be epoxy, modified epoxy, polyester, 
vinyl ester or thermoplastic.
    S5.2.4.1  The resin system is tested on a sample coupon 
representative of the composite overwrap in accordance with the Standard 
Test Method for Apparent Interlaminar Shear Strength of Parallel Fiber 
Composites by Short-Beam Method, ASTM D 2344, (1984, Reapproved 1989) 
following a 24-hour water boil.
    S5.2.4.2  The test specimen shall have a shear strength of at least 
13.8 MPa (2,000 psi).
    S5.2.5  For nonmetallic liners, the permeation of CNG through the 
finished container's wall at service pressure is less than 0.25 normal 
cubic centimeters per hour per liter water capacity of the container.

[[Page 635]]

    S5.3  Manufacturing processes for composite containers.
    S5.3.1  Composite containers with metallic liners. The CNG fuel 
container shall be manufactured from a metal liner overwrapped with 
resin impregnated continuous filament windings, applied under controlled 
tension to develop the design composite thickness. After winding is 
complete, composites using thermoset resins shall be cured by a 
controlled temperature process.
    S5.3.1.1  Type 2 containers. Type 2 containers shall have a hoop 
wrapped winding pattern.
    S5.3.1.2  Type 3 containers. Type 3 containers shall have a full 
wrapped ``helical or in plane'' and a ``hoop'' wrap winding pattern.
    S5.3.2  Type 4 containers. Composite containers with nonmetallic 
liners shall be fabricated from a nonmetallic liner overwrapped with 
resin impregnated continuous filament windings. The winding pattern 
shall be ``helical or in plane'' and ``hoop'' wrap applied pattern under 
controlled tension to develop the design composite thickness. After 
winding is complete, the composite shall be cured by a controlled 
temperature process.
    S5.3.3  Brazing. Brazing is prohibited.
    S5.3.4  Welding. Welding shall be done in accordance with the 
American Society of Mechanical Engineers (ASME) Boiler and Pressure 
Vessel Code, Section IX, Article II, QW-304 and QW-305 (1992). Weld 
efficiencies shall be in accordance with ASME Boiler and Pressure Vessel 
Code, Section VIII, UW-12 (1989). Any weld shall be subject to full 
radiographic requirements in accordance with ASME Boiler and Pressure 
Vessel Code, Section VIII, UW-51 thru UW-53 (1989). For Type 2 and Type 
3 liners, longitudinal welds and nonconsumable backing strips or rings 
shall be prohibited.
    S5.4  Wall thickness.
    S5.4.1  Type 1 Containers.
    (a) The wall thickness of a Type 1 container shall be at least an 
amount such that the wall stress at the minimum prescribed hydrostatic 
test presure does not exceed 67 percent of the minimum tensile strength 
of the metal as determined by the mechanical properties specified in 
S5.7 and S5.7.1.
    (b) For minimum wall thickness calculations, the following formula 
is used:
[GRAPHIC] [TIFF OMITTED] TR24JY95.004

    Where:
    S = Wall stress in MPa (psi).
    P = Minimum hydrostatic test pressure in Mpa (psi).
    D = Outside diameter in mm (inches).
    d = Inside diameter in mm (inches).

    S5.4.2  Type 2 containers.
    S5.4.2.1  The wall thickness of a liner to a Type 2 container shall 
be at least an amount such that the longitudinal tensile stress at the 
minimum design burst pressure does not exceed the ultimate tensile 
strength of the liner material as determined in S5.7 and S5.7.1.
    S5.4.2.2   The wall thickness of a liner to a Type 2 container shall 
be at least an amount such that the compressive stress in the sidewall 
of the finished container at zero pressure shall not exceed 95 percent 
of the yield strength of the liner as determined in S5.7 and S5.7.1 or 
95 percent of the minimum design yield strength shown in S5.7.3. The 
maximum tensile stress in the liner at service pressure shall not exceed 
66 percent of the yield strength.
    S5.4.2.3  Stresses at the end designs at internal pressures between 
no more than 10 percent of service pressure and service pressure shall 
be less than the maximum stress limits in the sidewall as prescribed 
above.
    S5.4.3  Type 3 containers. The wall thickness of a liner to a Type 3 
container shall be such that the compressive stress in the sidewall of 
the finished container at zero pressure shall not exceed 95 percent of 
the minimum yield strength of the liner as determined in S5.7 and S5.7.1 
or 95 percent of the minimum design yield strength shown in S5.7.3
    S5.4.4  Type 4 containers. The wall thickness of a liner to a Type 4 
container shall be such that the permeation rate requirements of this 
specification are met.
    S5.5  Composite reinforcement for Type 2, Type 3, and Type 4 
Containers.

[[Page 636]]

    S5.5.1  Compute stresses in the liner and composite reinforcement 
using National Aeronautics and Space Administration (NASA), Computer 
Program for the Analysis of Filament Reinforced Metal-Wound Pressure 
Vessels, N67-12097 (NASA CR-72124) (May 1966), or its equivalent.
    S5.5.2  The composite overwrap shall meet or exceed the following 
composite reinforcement stress ratio values shown in Table 3.
    S5.6  Thermal treatment.
    S5.6.1   Steel containers or liners.
    S5.6.1.1  After all metal forming and welding operations, completed 
containers or liners shall be uniformly and properly heat treated under 
the same conditions of time, temperature and atmosphere prior to all 
tests.
    S5.6.1.2  All containers or liners of steel grades ``Chrome-
Molybdenum'' or ``Carbon Boron'' shall be quenched in a medium having a 
cooling rate not in excess of 80 percent that of water. ``Carbon-
Manganese'' steel grades shall be normalized and do not require 
tempering after normalizing.
    S5.6.1.3  All steel temperature on quenching shall not exceed 
926 deg. C (1700 deg. F).
    S5.6.1.4  All containers or liners or steel grades ``Chrome-
Molybdenum'' or ``Carbon Boron'' shall be tempered after quenching at a 
temperature below the transformation ranges, but not less than 482 deg. 
C (900 deg. F) for ``Carbon-Boron'' steel or 565 deg. C (1050 deg. F) 
for ``Chrome-Molybdenum'' steel. ``Carbon Manganese'' steel grades do 
not require tempering after normalizing.
    S5.6.2  Aluminum containers or liners (seamless and welded). After 
all forming and welding operations, aluminum containers or liners shall 
be solution heat treated and aged to the T6 temper. The liner and 
composite overwrap shall meet the cycle life and strength requirements 
set forth in S7.1 and S7.2 of this standard.
    S5.7  Yield strength, tensile strength, material elongation (metal 
containers and metal liners only). To determine yield strength, tensile 
strength, and elongation of the material, cut two specimens from one 
container or liner. The specimen either has (a) a gauge length of 50 mm 
(2 inches) and a width not over 38 mm (1.5 inches), or (b) a gauge 
length of four times the specimen diameter, provided that a gauge length 
which is at least 24 times the thickness with a width not over 6 times 
the thickness is permitted when the liner wall is not over 5 mm (3/16 
inch) thick. The specimen shall not be flattened, except that grip ends 
may be flattened to within 25 mm (1 inch) of each end of the reduced 
section. Heating of specimens is prohibited.
    S5.7.1  Yield strength. The yield strength in tension shall be the 
stress corresponding to a permanent strain of 0.2 percent based on the 
gauge length.
    S5.7.1.1  The yield strength shall be determined by either the 
``offset'' method or the ``extension under load'' method as prescribed 
by Standard Test Methods for Tension Testing of Metallic Materials, ASTM 
E8 1993.
    S5.7.1.2  In using the ``extension under load'' method, the total 
strain or ``extension under load'' corresponding to the stress at which 
the 0.2 percent permanent strain occurs may be determined by calculating 
the elastic extension of the gauge length under appropriate load and 
adding thereto 0.2 percent of the gauge length. Elastic extension 
calculations shall be based on an elastic modulus of 69 GPa (10,000,000 
psi) for aluminum, or 207 GPa (30,000,000 psi) for steel. If the elastic 
extension calculation does not provide a conclusive result, the entire 
stress strain diagram shall be plotted and the yield strength determined 
from the 0.2 percent offset.
    S5.7.1.3  For the purpose of strain measurement, the initial strain 
is set while the test specimen is under a stress of 41 MPa (6,000 psi) 
for aluminum, and 83 MPa (12,000 psi) for steel. The strain indicator 
reading is set at the calculated corresponding strain.
    S5.7.1.4  Cross-head speed of the testing machine is 3.2 mm (1/8 
inch) per minute or less during yield strength determination.
    S5.7.2  Elongation. Elongation of material, when tested in 
accordance with S5.7, shall be at least 14 percent for aluminum or at 
least 20 percent for steel; except that an elongation of 10 percent is 
acceptable for both aluminum and steel when the authorized specimen size 
is 24t gauge length x 6t

[[Page 637]]

wide, where ``t'' equals specimen thickness.
    S5.7.3  Tensile strength. Tensile strength shall not exceed 725 MPa 
(105,000 psi) for ``Carbon Manganese'' and 966 MPa (140,000 psi) for 
``Chrome-Molybdenum'' and ``Carbon-Boron.''
    S6  General requirements.
    S6.1  Each passenger car, multipurpose passenger vehicle, truck, and 
bus that uses CNG as a motor fuel shall be equipped with a CNG fuel 
container that meets the requirements of S7 through S7.4.
    S6.2  Each CNG fuel container manufactured on or after March 27, 
1995 shall meet the requirements of S7 through S7.4.
    S7  Test requirements. Each CNG fuel container shall meet the 
applicable requirements of S7 through S7.4.
    S7.1  Pressure cycling test at ambient temperature. Each CNG fuel 
container shall not leak when tested in accordance with S8.1.
    S7.2  Hydrostatic burst test.
    S7.2.1  Each Type 1 CNG fuel container shall not leak when subjected 
to burst pressure and tested in accordance with S8.2. Burst pressure 
shall be not less than 2.25 times the service pressure for non-welded 
containers when analyzed in accordance with the stress ratio 
requirements of S5.4.1, and shall not be less than 3.5 times the service 
pressure for welded containers.
    S7.2.2  Each Type 2, Type 3, or Type 4 CNG fuel container shall not 
leak when subjected to burst pressure and tested in accordance with 
S8.2. Burst pressure shall be no less than the value necessary to meet 
the stress ratio requirements of Table 3, when analyzed in accordance 
with the requirements of S5.5.1.

                       Table Three.--Stress Ratios                      
------------------------------------------------------------------------
                 Material                    Type 2    Type 3    Type 4 
------------------------------------------------------------------------
E-Glass...................................      2.65       3.5       3.5
S-Glass...................................      2.65       3.5       3.5
Aramid....................................      2.25       3.0       3.0
Carbon....................................      2.25      2.25      2.25
------------------------------------------------------------------------

    S7.3  Bonfire test. Each CNG fuel container shall be equipped with a 
pressure relief device. Each CNG fuel container shall completely vent 
its contents through a pressure relief device or shall not burst while 
retaining its entire contents when tested in accordance with S8.3.
    S7.4 Labeling. Each CNG fuel container shall be permanently labeled 
with the information specified in paragraphs (a) through (h) of this 
section. Any label affixed to the container in compliance with this 
section shall remain in place and be legible for the manufacturer's 
recommended service life of the container. The information shall be in 
English and in letters and numbers that are at least 6.35 mm (\1/4\ 
inch) high.
    (a) The statement: ``If there is a question about the proper use, 
installation, or maintenance of this container, 
contact____________________,'' inserting the CNG fuel container 
manufacturer's name, address, and telephone number.
    (b) The statement: ``Manufactured in ____________,'' inserting the 
month and year of manufacture of the CNG fuel container.
    (c) The statement: ``Service pressure ____________ kPa, 
(____________ psig).''
    (d) The symbol DOT, constituting a certification by the CNG 
container manufacturer that the container complies with all requirements 
of this standard.
    (e) The container designation (e.g., Type 1, 2, 3, 4).
    (f) The statement: ``CNG Only.''
    (g) The statement: ``This container should be visually inspected 
after a motor vehicle accident or fire and at least every 36 months or 
36,000 miles, whichever comes first, for damage and deterioration.
    (h) The statement: ``Do Not Use After ____________'' inserting the 
month and year that mark the end of the manufacturer's recommended 
service life for the container.
    S8  Test conditions: fuel container integrity.
    S8.1  Pressure cycling test. The requirements of S7.1 shall be met 
under the conditions of S8.1.1 through S8.1.4.
    S8.1.1  Hydrostatically pressurize the CNG container to the service 
pressure, then to not more than 10 percent of the service pressure, for 
13,000 cycles.
    S8.1.2  After being pressurized as specified in S8.1.1, 
hydrostatically pressurize the CNG container to 125 percent of the 
service pressure, then to not

[[Page 638]]

more than 10 percent of the service pressure, for 5,000 cycles.
    S8.1.3  The cycling rate for S8.1.1 and S8.1.2 shall be any value up 
to and including 10 cycles per minute.
    S8.1.4  The cycling is conducted at ambient temperature.
    S8.2  Hydrostatic burst test. The requirements of S7.2 shall be met 
under the conditions of S8.2.1 through S8.2.2.
    S8.2.1  Hydrostatically pressurize the CNG fuel container, as 
follows: The pressure is increased up to the minimum prescribed burst 
pressure determined in S7.2.1 or S7.2.2, and held constant at the 
minimum burst pressure for 10 seconds.
    S8.2.2  The pressurization rate throughout the test shall be any 
value up to and including 1,379 kPa (200 psi) per second.
    S8.3  Bonfire test. The requirements of S7.3 shall be met under the 
conditions of S8.3.1 through S8.3.10.
    S8.3.1  The CNG fuel container is filled with compressed natural gas 
and tested at (1) 100 percent of service pressure and (2) 25 percent of 
service pressure. Manufacturers may conduct these tests using the same 
container or with separate containers.
    S8.3.2  The CNG fuel container is positioned so that its 
longitudinal axis is horizontal. Attach three thermocouples to measure 
temperature on the container's bottom side along a line parallel to the 
container longitudinal centerline. Attach one at the midpoint of the 
container, and one at each end at the point where the dome end 
intersects the container sidewall. Subject the entire length to flame 
impingement, except that the flame shall not be allowed to impinge 
directly on any pressure relief device. Shield the pressure relief 
device with a metal plate.
    S8.3.3  If the test container is 165 cm (65 inches) in length or 
less, place it in the upright position. Attach three thermocouples to 
measure temperature on the container's bottom side along a line which 
intersects the container longitudinal centerline. Attach one at the 
midpoint of the bottom of the container, and one each at the point where 
the dome end intersects the container sidewall. Subject the container to 
total fire engulfment in the vertical. The flame shall not be allowed to 
impinge directly on any pressure relief device. For containers equipped 
with a pressure relief device on one end, the container is positioned 
with the relief device on top. For containers equipped with pressure 
relief devices on both ends, the bottom pressure relief device shall be 
shielded with a metal plate.
    S8.3.4  The lowest part of the container is suspended at a distance 
above the fire such that the container bottom surface temperatures 
specified in S8.3.6 are achieved.
    S8.3.5  The CNG fuel container is tested with the valve and pressure 
relief device or devices in place.
    S8.3.6  The fire is generated by any fuel that maintains a flame 
temperature between 850 and 900 C for the duration of the test, as 
verified by each of the three thermocouples in S8.3.2 or S8.3.3.
    S8.3.7  The fuel specified in S8.3.6 is such that there is 
sufficient fuel to burn for at least 20 minutes. To ensure that the 
sides of the fuel container are exposed to the flame, the surface area 
of the fire on a horizontal plane is such that it exceeds the fuel 
container projection on a horizontal plane by at least 20 cm (8 inches) 
but not more than 50 cm (20 inches).
    S8.3.8  Time-pressure readings are recorded at 30 second intervals, 
beginning when the fire is lighted and continuing until the container is 
completely tested.
    S8.3.9  The CNG fuel container is exposed to the bonfire for 20 
minutes or until its contents are completely vented.
    S8.3.10  The average wind velocity at the container is any velocity 
up to and including 2.24 meters/second (5 mph).
[59 FR 49021, Sept. 26, 1994; 59 FR 66776, Dec. 28, 1994; 60 FR 37843, 
July 24, 1995; 60 FR 57948, Nov. 24, 1995; 61 FR 19204, May 1, 1996; 61 
FR 47089, Sept. 6, 1996]



PART 572--ANTHROPOMORPHIC TEST DEVICES--Table of Contents




                           Subpart A--General

Sec.
572.1  Scope.
572.2  Purpose.
572.3  Application.
572.4  Terminology.

[[Page 639]]

                     Subpart B--50th Percentile Male

572.5  General description.
572.6  Head.
572.7  Neck.
572.8  Thorax.
572.9  Lumbar spine, abdomen, and pelvis.
572.10  Limbs.
572.11  Test conditions and instrumentation.

                       Subpart C--3-Year-Old Child

572.15  General description.
572.16  Head.
572.17  Neck.
572.18  Thorax.
572.19  Lumbar, spine, abdomen and pelvis.
572.20  Limbs.
572.21  Test conditions and instrumentation.

                      Subpart D--6-Month-Old Infant

572.25  General description.

                    Subpart E--Hybrid III Test Dummy

572.30  Incorporated materials.
572.31  General description.
572.32  Head.
572.33  Neck.
572.34  Thorax.
572.35  Limbs.
572.36  Test conditions and instrumentation.

            Subpart F--Side Impact Dummy 50th Percentile Male

572.40  Incorporated materials.
572.41  General description.
572.42  Thorax.
572.43  Lumbar spine and pelvis.
572.44  Instrumentation and test conditions.


Appendix A to Subpart F

                        Subparts G-H--[Reserved]

                       Subpart I--6-Year-Old Child

572.70  Incorporation by reference.
572.71  General description.
572.72  Head assembly and test procedure.
572.73  Neck assembly and test procedure.
572.74  Thorax assembly and test procedure.
572.75  Lumbar spine, abdomen, and pelvis assembly and test procedure.
572.76  Limbs assembly and test procedure.
572.77  Instrumentation.
572.78  Performance test conditions.


Figures to subpart I

                      Subpart J--9-Month Old Child

572.80  Incorporated materials.
572.81  General description.
572.82  Head.
572.83  Head-neck.
572.84  Thorax.
572.85  Lumbar spine flexure.
572.86  Test conditions and dummy adjustment.

                        Subpart K--Newborn Infant

572.90  Incorporation by reference.
572.91  General description.

                     Subpart L--Free Motion Headform

572.100  Incorporation by reference.
572.101  General description.
572.102  Drop test.
572.103  Test conditions and instrumentation.

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

    Editorial Note: For compliance provisions relating to a vehicle's 
conformance with the performance requirements of Standard No. 208 
(Sec. 571.208) relating to the part 572 test dummy, see the ``Effective 
Date Note'' at subpart E of this part.



                           Subpart A--General



Sec. 572.1  Scope.

    This part describes the anthropomorphic test devices that are to be 
used for compliance testing of motor vehicles and motor vehicle 
equipment with motor vehicle safety standards.
[60 FR 43058, Aug. 18, 1995]



Sec. 572.2  Purpose.

    The design and performance criteria specified in this part are 
intended to describe measuring tools with sufficient precision to give 
repetitive and correlative results under similar test conditions and to 
reflect adequately the protective performance of a vehicle or item of 
motor vehicle equipment with respect to human occupants.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7151, Feb. 7, 1977]



Sec. 572.3  Application.

    This part does not in itself impose duties or liabilities on any 
person. It is a description of tools that measure the performance of 
occupant protection systems required by the safety standards that 
incorporate it. It is designed to be referenced by, and become a part 
of, the test procedures specified in motor vehicle safety standards such 
as

[[Page 640]]

Standard No. 208, Occupant Crash Protection.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977]



Sec. 572.4  Terminology.

    (a) The term dummy, when used in this subpart A, refers to any test 
device described by this part. The term dummy, when used in any other 
subpart of this part, refers to the particular dummy described in that 
part.
    (b) Terms describing parts of the dummy, such as head, are the same 
as names for corresponding parts of the human body.
    (c) The term unimodal, when used in subparts C and I, refers to an 
acceleration-time curve which has only one prominent peak.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977; 44 
FR 76530, Dec. 27, 1979; 56 FR 57836, Nov. 14, 1991]



                     Subpart B--50th Percentile Male



Sec. 572.5  General description.

    (a) The dummy consists of the component assemblies specified in 
Figure 1, which are described in their entirety by means of 
approximately 250 drawings and specifications that are grouped by 
component assemblies under the following nine headings:

SA 150 M070--Right arm assembly
SA 150 M071--Left arm assembly
SA 150 M050--Lumbar spine assembly
SA 150 M060--Pelvis and abdomen assembly
SA 150 M080--Right leg assembly
SA 150 M081--Left leg assembly
SA 150 M010--Head assembly
SA 150 M020--Neck assembly
SA 150 M030--Shoulder-thorax assembly.

    (b) The drawings and specifications referred to in this regulation 
that are not set forth in full are hereby incorporated in this part by 
reference. These materials are thereby made part of this regulation. The 
Director of the Federal Register has approved the materials incorporated 
by reference. For materials subject to change, only the specific version 
approved by the Director of the Federal Register and specified in the 
regulation are incorporated. A notice of any change will be published in 
the Federal Register. As a convenience to the reader, the materials 
incorporated by reference are listed in the Finding Aid Table found at 
the end of this volume of the Code of Federal Regulations.
    (c) The materials incorporated by reference are available for 
examination in Docket 73-08, Docket Section, National Highway Traffic 
Safety Administration, Room 5109, 400 Seventh Street SW., Washington, 
DC, 20590. Copies may be obtained from Rowley-Scher Reprographics, Inc., 
1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The drawings 
and specifications are also on file in the reference library of the 
Office of the Federal Register, National Archives and Records 
Administration, Washington, DC.
    (d) Adjacent segments are joined in a manner such that throughout 
the range of motion and also under crash impact conditions there is no 
contact between metallic elements except for contacts that exist under 
static conditions.
    (e) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in vehicle tests specified in Standard No. 208 of this chapter 
(571.208).
    (f) A specimen of the dummy is available for surface measurements 
and access can be arranged by contacting: Office of Vehicle Safety 
Standards, National Highway Traffic Safety Administration, 400 Seventh 
Street, SW., Washington, DC 20590.
[50 FR 25423, June 19, 1985]



Sec. 572.6  Head.

    (a) The head consists of the assembly shown as number SA 150 M010 in 
Figure 1 and conforms to each of the drawings subtended by number SA 150 
M010.
    (b) When the head is dropped from a height of 10 inches in 
accordance with paragraph (c) of this section, the peak resultant 
accelerations at the location of the accelerometers mounted in the head 
form in accordance with Sec. 572.11(b) shall be not less than 210g, and 
not more than 260g. The acceleration/time curve for the test shall be 
unimodal and shall lie at or above the 100g level

[[Page 641]]

for an interval not less than 0.9 milliseconds and not more than 1.5 
milliseconds. The lateral acceleration vector shall not exceed 10g.
    (c) Test procedure:
    (1) Suspend the head as shown in Figure 2, so that the lowest point 
on the forehead is 0.5 inches below the lowest point on the dummy's nose 
when the midsagittal plane is vertical.
    (2) Drop the head from the specified height by means that ensures 
instant release onto a rigidly supported flat horizontal steel plate, 2 
inches thick and 2 feet square, which has a clean, dry surface and any 
microfinish of not less than 8 microinches (rms) and not more than 80 
microinches (rms).
    (3) Allow a time period of at least 2 hours between successive tests 
on the same head.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977]



Sec. 572.7  Neck.

    (a) The neck consists of the assembly shown as number SA 150 M020 in 
Figure 1 and conforms to each of the drawings subtended by number SA 150 
M020.
    (b) When the neck is tested with the head in accordance with 
paragraph (c) of this section, the head shall rotate in reference to the 
pendulum's longitudinal centerline a total of 
68 deg.plus-minus5 deg. about its center of gravity, rotating 
to the extent specified in the following table at each indicated point 
in time, measured from impact, with a chordal displacement measured at 
its center of gravity that is within the limits specified. The chordal 
displacement at time T is defined as the straight line distance between 
(1) the position relative to the pendulum arm of the head center of 
gravity at time zero, and (2) the position relative to the pendulum arm 
of the head center of gravity at time T as illustrated by Figure 3. The 
peak resultant acceleration recorded at the location of the 
accelerometers mounted in the head form in accordance with 
Sec. 572.11(b) shall not exceed 26g. The pendulum shall not reverse 
direction until the head's center of gravity returns to the original 
zero time position relative to the pendulum arm.

------------------------------------------------------------------------
                                   Time (ms)plus-                       
        Rotation (degrees)         minus (2+.08T)   Chordal Displacement
                                                   (inchesplus-minus0.5)
------------------------------------------------------------------------
0................................              0                0.0     
30...............................             30                2.6     
60...............................             46                4.8     
Maximum..........................             60                5.5     
60...............................             75                4.8     
30...............................             95                2.6     
0................................            112                0.0     
------------------------------------------------------------------------

    (c) Test procedure: (1) Mount the head and neck on a rigid pendulum 
as specified in Figure 4, so that the head's midsagittal plane is 
vertical and coincides with the plane of motion of the pendulum's 
longitudinal centerline. Mount the neck directly to the pendulum as 
shown in Figure 4.
    (2) Release the pendulum and allow it to fall freely from a height 
such that the velocity at impact is 23.5plus-minus2.0 feet 
per second (fps), measured at the center of the accelerometer specified 
in Figure 4.
    (3) Decelerate the pendulum to a stop with an acceleration-time 
pulse described as follows:
    (i) Establish 5g and 20g levels on the a-t curve.
    (ii) Establish t1 at the point where the rising a-t curve 
first crosses the 5g level, t2 at the point where the rising 
a-t curve first crosses the 20g level, t!2 at the point where 
the decaying a-t curve last crosses the 20g level, and t4 at 
the point where the decaying a-t curve first crosses the 5g level.
    (iii) t2-t1 shall be not more than 3 
milliseconds.
    (iv) t3-t2 shall be not less than 25 
milliseconds and not more than 30 milliseconds.
    (v) t4-t3 shall be not more than 10 
milliseconds.
    (vi) The average deceleration between t2 and t3 
shall be not less than 20g and not more than 24g.
    (4) Allow the neck to flex without impact of the head or neck with 
any object other than the pendulum arm.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977; 42 
FR 12176, Mar. 3, 1977; 45 FR 40596, June 16, 1980]



Sec. 572.8  Thorax.

    (a) The thorax consists of the assembly shown as number SA 150 M030 
in Figure 1, and conforms to each of the

[[Page 642]]

drawings subtended by number SA 150 M030.
    (b) The thorax contains enough unobstructed interior space behind 
the rib cage to permit the midpoint of the sternum to be depressed 2 
inches without contact between the rib cage and other parts of the dummy 
or its instrumentation, except for instruments specified in paragraph 
(d)(7) of this section.
    (c) When impacted by a test probe conforming to Sec. 572.11(a) at 14 
fps and at 22 fps in accordance with paragraph (d) of this section, the 
thorax shall resist with forces measured by the test probe of not more 
than 1450 pounds and 2250 pounds, respectively, and shall deflect by 
amounts not greater than 1.1 inches and 1.7 inches, respectively. The 
internal hysteresis in each impact shall not be less than 50 percent and 
not more than 70 percent.
    (d) Test procedure: (1) With the dummy seated without back support 
on a surface as specified in Sec. 572.11(i) and in the orientation 
specified in Sec. 572.11(i), adjust the dummy arms and legs until they 
are extended horizontally forward parallel to the midsagittal plane.
    (2) Place the longitudinal center line of the test probe so that it 
is 17.7plus-minus0.1 inches above the seating surface at 
impact.
    (3) Align the test probe specified in Sec. 572.11(a) so that at 
impact its longitudinal centerline coincides within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (4) Adjust the dummy so that the surface area on the thorax 
immediately adjacent to the projected longitudinal center line of the 
test probe is vertical. Limb support, as needed to achieve and maintain 
this orientation, may be provided by placement of a steel rod of any 
diameter not less than one-quarter of an inch and not more than three-
eighths of an inch, with hemispherical ends, vertically under the limb 
at its projected geometric center.
    (5) Impact the thorax with the test probe so that its longitudinal 
centerline falls within 2 degrees of a horizontal line in the dummy's 
midsagittal plane at the moment of impact.
    (6) Guide the probe during impact so that it moves with no 
significant lateral, vertical, or rotational movement.
    (7) Measure the horizontal deflection of the sternum relative to the 
thoracic spine along the line established by the longitudinal centerline 
of the probe at the moment of impact, using a potentiometer mounted 
inside the sternum.
    (8) Measure hysteresis by determining the ratio of the area between 
the loading and unloading portions of the force deflection curve to the 
area under the loading portion of the curve.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7152, Feb. 7, 1977]



Sec. 572.9  Lumbar spine, abdomen, and pelvis.

    (a) The lumbar spine, abdomen, and pelvis consist of the assemblies 
designated as numbers SA 150 M050 and SA 150 M060 in Figure 1 and 
conform to the drawings subtended by these numbers.
    (b) When subjected to continuously applied force in accordance with 
paragraph (c) of this section, the lumbar spine assembly shall flex by 
an amount that permits the rigid thoracic spine to rotate from its 
initial position in accordance with Figure 11 by the number of degrees 
shown below at each specified force level, and straighten upon removal 
of the force to within 12 degrees of its initial position in accordance 
with Figure 11.

------------------------------------------------------------------------
                                                            Force (plus-
                     Flexion (degrees)                         minus6   
                                                               pounds)  
------------------------------------------------------------------------
0.........................................................            0 
20........................................................           28 
30........................................................           40 
40........................................................           52 
------------------------------------------------------------------------

    (c) Test procedure: (1) Assemble the thorax, lumbar spine, pelvic, 
and upper leg assemblies (above the femur force transducers), ensuring 
that all component surfaces are clean, dry, and untreated unless 
otherwise specified, and attach them to the horizontal fixture shown in 
Figure 5 at the two link rod pins and with the mounting brackets for the 
lumbar test fixtures illustrated in Figures 6 to 9.
    (2) Attach the rear mounting of the pelvis to the pelvic instrument 
cavity rear face at the four \1/4\' cap screw holes and attach the front 
mounting at the femur axial rotation joint. Tighten the

[[Page 643]]

mountings so that the pelvic-lumbar adapter is horizontal and adjust the 
femur friction plungers at each hip socket joint to 240 inch-pounds 
torque.
    (3) Flex the thorax forward 50 deg. and then rearward as necessary 
to return it to its initial position in accordance with Figure 11 
unsupported by external means.
    (4) Apply a forward force perpendicular to the thorax instrument 
cavity rear face in the midsagittal plane 15 inches above the top 
surface of the pelvic-lumbar adapter. Apply the force at any torso 
deflection rate between .5 and 1.5 degrees per second up to 40 deg. of 
flexion but no further, continue to apply for 10 seconds that force 
necessary to maintain 40 deg. of flexion, and record the force with an 
instrument mounted to the thorax as shown in Figure 5. Release all force 
as rapidly as possible and measure the return angle 3 minutes after the 
release.
    (d) When the abdomen is subjected to continuously applied force in 
accordance with paragraph (e) of this section, the abdominal force-
deflection curve shall be within the two curves plotted in Figure 10.
    (e) Test procedure: (1) Place the assembled thorax, lumbar spine and 
pelvic assemblies in a supine position on a flat, rigid, smooth, dry, 
clean horizontal surface, ensuring that all component surfaces are 
clean, dry, and untreated unless otherwise specified.
    (2) Place a rigid cylinder 6 inches in diameter and 18 inches long 
transversely across the abdomen, so that the cylinder is symmetrical 
about the midsagittal plane, with its longitudinal centerline horizontal 
and perpendicular to the midsagittal plane at a point 9.2 inches above 
the bottom line of the buttocks, measured with the dummy positioned in 
accordance with Figure 11.
    (3) Establish the zero deflection point as the point at which a 
force of 10 pounds has been reached.
    (4) Apply a vertical downward force through the cylinder at any rate 
between 0.25 and 0.35 inches per second.
    (5) Guide the cylinder so that it moves without significant lateral 
or rotational movement.
[42 FR 7152, Feb. 7, 1977]



Sec. 572.10  Limbs.

    (a) The limbs consist of the assemblies shown as numbers SA 150 
M070, SA 150 M071, SA 150 M080, and SA 150 M081 in Figure 1 and conform 
to the drawings subtended by these numbers.
    (b) When each knee is impacted at 6.9 ft/sec. in accordance with 
paragraph (c) of this section, the maximum force on the femur shall be 
not more than 2500 pounds and not less than 1850 pounds, with a duration 
above 1000 pounds of not less than 1.7 milliseconds.
    (c) Test procedure: (1) Seat the dummy without back support on a 
surface as specified in Sec. 572.11(i) that is 
17.3plus-minus0.2 inches above a horizontal surface, oriented 
as specified in Sec. 572.11(i), and with the hip joint adjustment at any 
setting between 1g and 2g. Place the dummy legs in planes parallel to 
its midsagittal plane (knee pivot centerline perpendicular to the 
midsagittal plane) and with the feet flat on the horizontal surface. 
Adjust the feet and lower legs until the lines between the midpoints of 
the knee pivots and the ankle pivots are at any angle not less than 2 
degrees and not more than 4 degrees rear of the vertical, measured at 
the centerline of the knee pivots.
    (2) Reposition the dummy if necessary so that the rearmost point of 
the lower legs at the level one inch below the seating surface remains 
at any distance not less than 5 inches and not more than 6 inches 
forward of the forward edge of the seat.
    (3) Align the test probe specified in Sec. 572.11(a) so that at 
impact its longitudinal centerline coincides within 
plus-minus2 deg. with the longitudinal centerline of the 
femur.
    (4) Impact the knee with the test probe moving horizontally and 
parallel to the midsagittal plane at the specified velocity.
    (5) Guide the probe during impact so that it moves with no 
significant lateral, vertical, or rotational movement.
[38 FR 20451, Aug. 1, 1973, as amended at 42 FR 7153, Feb. 7, 1977]



Sec. 572.11  Test conditions and instrumentation.

    (a) The test probe used for thoracic and knee impact tests is a 
cylinder 6

[[Page 644]]

inches in diameter that weighs 51.5 pounds including instrumentation. 
Its impacting end has a flat right face that is rigid and that has an 
edge radius of 0.5 inches.
    (b) Accelerometers are mounted in the head on the horizontal 
transverse bulkhead shown in the drawings subreferenced under assembly 
No. SA 150 M010 in Figure 1, so that their sensitive axes intersect at a 
point in the midsagittal plane 0.5 inches above the horizontal bulkhead 
and 1.9 inches ventral of the vertical mating surface of the skull with 
the skull cover. One accelerometer is aligned with its sensitive axis 
perpendicular to the horizontal bulkhead in the midsagittal plane and 
with its seismic mass center at any distance up to 0.3 inches superior 
to the axial intersection point. Another accelerometer is aligned with 
its sensitive axis parallel to the horizontal bulkhead and perpendicular 
to the midsagittal plane, and with its seismic mass center at any 
distance up to 1.3 inches to the left of the axial intersection point 
(left side of dummy is the same as that of man). A third accelerometer 
is aligned with its sensitive axis parallel to the horizontal bulkhead 
in the midsagittal plane, and with its seismic mass center at any 
distance up to 1.3 inches dorsal to the axial intersection point.
    (c) Accelerometers are mounted in the thorax by means of a bracket 
attached to the rear vertical surface (hereafter ``attachment surface'') 
of the thoracic spine so that their sensitive axes intersect at a point 
in the midsagittal plane 0.8 inches below the upper surface of the plate 
to which the neck mounting bracket is attached and 3.2 inches 
perpendicularly forward of the surface to which the accelerometer 
bracket is attached. One accelerometer has its sensitive axis oriented 
parallel to the attachment surface in the midsagittal plane, with its 
seismic mass center at any distance up to 1.3 inches inferior to the 
intersection of the sensitive axes specified above. Another 
accelerometer has its sensitive axis oriented parallel to the attachment 
surface and perpendicular to the midsagittal plane, with its seismic 
mass center at any distance up to 0.2 inches to the right of the 
intersection of the sensitive axes specified above. A third 
accelerometer has its sensitive axis oriented perpendicular to the 
attachment surface in the midsagittal plane, with its seismic mass 
center at any distance up to 1.3 inches dorsal to the intersection of 
the sensitive axes specified above. Accelerometers are oriented with the 
dummy in the position specified in Sec. 572.11(i).
    (d) A force-sensing device is mounted axially in each femur shaft so 
that the transverse centerline of the sensing element is 4.25 inches 
from the knee's center of rotation.
    (e) The outputs of acceleration and force-sensing devices installed 
in the dummy and in the test apparatus specified by this part are 
recorded in individual data channels that conform to the requirements of 
SAE Recommended Practice J211a, December 1971, with channel classes as 
follows:

    (1) Head acceleration--Class 1000.
    (2) Pendulum acceleration--Class 60.
    (3) Thorax acceleration--Class 180.
    (4) Thorax compression--Class 180.
    (5) Femur force--Class 600.

    (f) The mountings for sensing devices have no resonance frequency 
within a range of 3 times the frequency range of the applicable channel 
class.
    (g) Limb joints are set at 1g, barely restraining the weight of the 
limb when it is extended horizontally. The force required to move a limb 
segment does not exceed 2g throughout the range of limb motion.
    (h) Performance tests are conducted at any temperature from 66 deg.F 
to 78 deg.F and at any relative humidity from 10 percent to 70 percent 
after exposure of the dummy to these conditions for a period of not less 
than 4 hours.
    (i) For the performance tests specified in Secs. 572.8, 572.9, and 
572.10, the dummy is positioned in accordance with Figure 11 as follows:
    (1) The dummy is placed on a flat, rigid, smooth, clean, dry, 
horizontal, steel test surface whose length and width dimensions are not 
less than 16 inches, so that the dummy's midsagittal plane is vertical 
and centered on the test surface and the rearmost points on its lower 
legs at the level of the test surface are at any distance not less than 
5 inches and not

[[Page 645]]

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

[[Page 646]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.152



[[Page 647]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.153



[[Page 648]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.154



[[Page 649]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.155



[[Page 650]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.156



[[Page 651]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.157



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

[[Page 652]]



                       Subpart C--3-Year-Old Child

    Source:  44 FR 76530, Dec. 27, 1979, unless otherwise noted.



Sec. 572.15  General description.

    (a) The dummy consists of the component assemblies specified in 
drawing SA 103C 001, which are described in their entirety by means of 
approximately 122 drawings and specifications and an Operation and 
Maintenance Manual, dated May 28, 1976. The drawings and specifications 
are grouped by component assemblies under the following thirteen 
headings:

SA 103C 010 Head Assembly
SA 103C 020 Neck Assembly
SA 103C 030 Torso Assembly
SA 103C 041 Upper Arm Assembly Left
SA 103C 042 Upper Arm Assembly Right
SA 103C 051 Forearm Hand Assembly Left
SA 103C 052 Forearm Hand Assembly Right
SA 103C 061Upper Leg Assembly Left
SA 103C 062 Upper Leg Assembly Right
SA 103C 071 Lower Leg Assembly Left
SA 103C 072 Lower Leg Assembly Right
SA 103C 081 Foot Assembly left
SA 103C 082 Foot Assembly Right.

    (b) The drawings, specifications, and operation and maintenance 
manual referred to in this regulation that are not set forth in full are 
hereby incorporated in this part by reference. These materials are 
thereby made part of this regulation. The Director of the Federal 
Register has approved the materials incorporated by reference. For 
materials subject to change, only the specific version approved by the 
Director of the Federal Register and specified in the regulation are 
incorporated. A notice of any change will be published in the Federal 
Register. As a convenience to the reader, the materials incorporated by 
reference are listed in the Finding Aid Table found at the end of this 
volume of the Code of Federal Regulations.
    (c) The materials incorporated by reference are available for 
examination in Docket 78-09, Room 5109, Docket Section, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590. Copies may be obtained from Rowley-Scher Reprographics, Inc., 
1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The materials 
are also on file in the reference library of the Office of the Federal 
Register, National Archives and Records Administration, Washington, DC.
    (d) Adjacent segments are joined in a manner such that throughout 
the range of motion and also under simulated crash-impact conditions 
there is no contact between metallic elements except for contacts that 
exist under static conditions.
    (e) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in vehicle tests specified in Standard No. 213 of this chapter 
(Sec. 571.213).
    (f) The patterns of all cast and molded parts for reproduction of 
the molds needed in manufacturing of the dummies can be obtained on a 
loan basis by manufacturers of the testes dummies, or others if need is 
shown, from: Office of Vehicle Safety Standards, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590.
[50 FR 25423, June 19, 1985]



Sec. 572.16  Head.

    (a) The head consists of the assembly designated as SA 103C 010 on 
drawing No. SA 103C 001, and conforms to either--
    (1) Each item specified on drawing SA 103C 002(B), sheet 8; or
    (2) Each item specified on drawing SA 103C 002, sheet 8.
    (b) When the head is impacted by a test probe specified in 
Sec. 572.21(a)(1) at 7 fps, then the peak resultant acceleration 
measured at the location of the accelerometer mounted in the headform 
according to Sec. 572.21(b) is not less than 95g and not more than 118g.
    (1) The recorded acceleration-time curve for this test is unimodal 
at or above the 50g level, and lies at or above that level for 
intervals:
    (i) In the case of the head assembly specified in paragraph (a)(1) 
of this section, not less than 1.3 milliseconds and not more than 2.0 
milliseconds;
    (ii) In the case of the head assembly specified in paragraph (a)(2) 
of this section, not less than 2.0 milliseconds and not more than 3.0 
milliseconds.
    (2) The lateral acceleration vector does not exceed 7g.

[[Page 653]]

    (c) Test procedure. (1) Seat the dummy on a seating surface having a 
back support as specified in Sec. 572.21(h) and orient the dummy in 
accordance with Sec. 572.21(h) and adjust the joints of the limbs at any 
setting between 1g and 2g, which just supports the limbs' weight when 
the limbs are extended horizontally forward.
    (2) Adjust the test probe so that its longitudinal centerline is at 
the forehead at the point of orthogonal intersection of the head 
midsagittal plane and the transverse plane which is perpendicular to the 
``Z'' axis of the head (longitudinal centerline of the skull anchor) and 
is located 0.6 plus-minus 0.1 inches above the centers of the 
head center of gravity reference pins and coincides within 2 degrees 
with the line made by the intersection of horizontal and midsagittal 
planes passing through this point.
    (3) Adjust the dummy so that the surface area on the forehead 
immediately adjacent to the projected longitudinal centerline of the 
test probe is vertical.
    (4) Impact the head with the test probe so that at the moment of 
impact the probe's longitudinal centerline falls within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (5) Guide the probe during impact so that it moves with no 
significant lateral, vertical, or rotational movement.
    (6) Allow a time period of at least 20 minutes between successive 
tests of the head.
[44 FR 76530, Dec. 27, 1979; 45 FR 43353, June 26, 1980, as amended at 
45 FR 82267, Dec. 15, 1980; 55 FR 30468, July 26, 1990]



Sec. 572.17  Neck.

    (a)(1) The neck for use with the head assembly described in 
Sec. 572.16(a)(1) consists of the assembly designated as SA 103C 020 on 
drawing No. SA 103C 001, conforms to each item specified on drawing No. 
SA 103C 002(B), sheet 9.
    (2) The neck for use with the head assembly described in 
Sec. 572.16(a)(2) consists of the assembly designated as SA 103C 020 on 
drawing No. SA 103C 001, and conforms to each item specified on drawing 
No. SA 103C 002, sheet 9.
    (b) When the head-neck assembly is tested in accordance with 
paragraph (c) of this section, the head shall rotate in reference to the 
pendulum's longitudinal centerline a total of 84 degrees plus-minus 
8 degrees about its center of gravity, rotating to the extent specified 
in the following table at each indicated point in time, measured from 
impact, with the chordal displacement measured at its center of gravity. 
The chordal displacement at time T is defined as the straight line 
distance between (1) the position relative to the pendulum arm of the 
head center of gravity at time zero, and (2) the position relative to 
the pendulum arm of the head center of gravity at time T as illustrated 
by figure 3. The peak resultant acceleration recorded at the location of 
the accelerometers mounted in the headform in accordance with 
Sec. 572.21(b) shall not exceed 30g. The pendulum shall not reverse 
direction until the head's center of gravity returns to the original 
zero time position relative to the pendulum arm.

------------------------------------------------------------------------
                                                            Chordal     
                                     Time (ms) plus-      displacement  
        Rotation (degrees)            minus(2+.08T)      (inches plus-  
                                                           minus0.8)    
------------------------------------------------------------------------
0................................                 0                    0
30...............................                21                  2.2
60...............................                36                  4.3
Maximum..........................                62                  5.8
60...............................                91                  4.3
30...............................               108                  2.2
0................................               123                    0
------------------------------------------------------------------------

    (c) Test procedure. (1) Mount the head and neck on a rigid pendulum 
as specified in Figure 4, so that the head's midsagittal plane is 
vertical and coincides with the plane of motion of the pendulum's 
longitudinal centerline. Mount the neck directly to the pendulum as 
shown in Figure 15.
    (2) Release the pendulum and allow it to fall freely from a height 
such that the velocity at impact is 17.00 plus-minus 1.0 feet 
per second (fps), measured at the center of the accelerometer specified 
in figure 4.
    (3) Decelerate the pendulum to a stop with an acceleration-time 
pulse described as follows:
    (i) Establish 5g and 20g levels on the a-t curve.
    (ii) Establish t1 at the point where the a-t curve first 
crosses the 5g level, t2 at the point where the rising a-t 
curve first crosses the 20g level, t3 at the point where the 
decaying a-t curve last crosses the 20g level, and t4 at the

[[Page 654]]

point where the decaying a-t curve first crosses the 5g level.
    (iii) t2-t1, shall be not more than 4 
milliseconds.
    (iv) t3-t2, shall be not less than 18 and not 
more than 21 milliseconds.
    (v) t4-t3, shall be not more than 5 
milliseconds.
    (vi) The average deceleration between t2 and t3 
shall be not less than 20g and not more then 34g.
    (4) Allow the neck to flex without contact of the head or neck with 
any object other than the pendulum arm.
    (5) Allow a time period of at least 1 hour between successive tests 
of the head and neck.
[44 FR 76530, Dec. 27, 1979; 45 FR 43353, June 26, 1980, as amended at 
55 FR 30468, July 26, 1990]



Sec. 572.18  Thorax.

    (a) The thorax consists of the part of the torso shown in assembly 
drawing SA 103C 001 by number SA 103C 030 and conforms to each of the 
applicable drawings listed under this number on drawing SA 103C 002, 
sheets 10 and 11.
    (b) When impacted by a test probe conforming to Sec. 572.21(a) at 13 
fps. in accordance with paragraph (c) of this section, the peak 
resultant accelerations at the location of the accelerometers mounted in 
the chest cavity in accordance with Sec. 572.21(c) shall be not less 
than 50g and not more than 70g. The acceleration-time curve for the test 
shall be unimodal at or above the 30g level and shall lie at or above 
the 30g level for an interval not less than 2.5 milliseconds and not 
more than 4.0 milliseconds. The lateral acceleration shall not exceed 
5g.
    (c) Test procedure. (1) With the dummy seated without back support 
on a surface as specified in Sec. 572.21(h) and oriented as specified in 
Sec. 572.21(h), adjust the dummy arms and legs until they are extended 
horizontally forward parallel to the midsagittal plane. The joints of 
the limbs are adjusted at any setting between 1g and 2g, which just 
supports the limbs' weight when the limbs are extended horizontally 
forward.
    (2) Establish the impact point at the chest midsagittal plane so 
that it is 1.5 inches below the longitudinal centerline of the bolt that 
attaches the top of the ribcage sternum to the thoracic spine box.
    (3) Adjust the dummy so that the tangent plane at the surface on the 
thorax immediately adjacent to the designated impact point is vertical 
and parallel to the face of the test probe.
    (4) Place the longitudinal centerline of the test probe to coincide 
with the designated impact point and align the test probe so that at 
impact its longitudinal centerline coincides within 2 degrees with the 
line formed by intersection of the horizontal and midsagittal planes 
passing through the designated impact point.
    (5) Impact the thorax with the test probe so that at the moment of 
impact the probe's longitudinal centerline falls within 2 degrees of a 
horizontal line in the dummy midsagittal plane.
    (6) Guide the probe during impact so that it moves with no 
significant lateral, vertical or rotational movement.
    (7) Allow a time period of at least 20 minutes between successive 
tests of the chest.



Sec. 572.19  Lumbar spine, abdomen and pelvis.

    (a) The lumbar spine, abdomen, and pelvis consist of the part of the 
torso assembly shown by number SA 103C 030 on drawing SA 103C 001 and 
conform to each of the applicable drawings listed under this number on 
drawing SA 103C 002, sheets 10 and 11.
    (b) When subjected to continuously applied force in accordance with 
paragraph (c) of this section, the lumbar spine assembly shall flex by 
an amount that permits the rigid thoracic spine to rotate from its 
initial position in accordance with Figure 18 of this subpart by 40 
degrees at a force level of not less than 34 pounds and not more than 47 
pounds, and straighten upon removal of the force to within 5 degrees of 
its initial position.
    (c) Test procedure. (1) The dummy with lower legs removed is 
positioned in an upright seated position on a seat as indicated in 
Figure 18, ensuring that all dummy component surfaces are clean, dry and 
untreated unless otherwise specified.
    (2) Attach the pelvis to the seating surface by a bolt C/328, 
modified as shown in Figure 18, and the upper legs

[[Page 655]]

at the knee axial rotation joints by the attachments shown in Figure 18. 
Tighten the mountings so that the pelvis-lumbar joining surface is 
horizontal and adjust the femur ball-flange screws at each hip socket 
joint to 50 inch pounds torque. Remove the head and the neck and install 
a cylindrical aluminum adapter 2.0 inches in diameter and 2.80 inches 
long in place of the neck.
    (3) Flex the thorax forward 50 degrees and then rearward as 
necessary to return to its initial position in accordance with Figure 18 
unsupported by external means.
    (4) Apply a forward pull force in the midsagittal plane at the top 
of the neck adapter, so that at 40 degrees of the lumbar spine flexion 
the applied force is perpendicular to the thoracic spine box. Apply the 
force at any torso deflection rate between 0.5 and 1.5 degrees per 
second up to 40 degrees of flexion but no further; continue to apply for 
10 seconds the force necessary to maintain 40 degrees of flexion, and 
record the highest applied force at that time. Release all force as 
rapidly as possible and measure the return angle 3 minutes after the 
release.



Sec. 572.20  Limbs.

    The limbs consist of the assemblies shown on drawing SA 103C 001 as 
Nos. SA 103C 041, SA 103C 042, SA 103C 051, SA 103C 052, SA 103C 061, SA 
103C 062, SA 103C 071, SA 103C 072, SA 103C 081, SA 103C 082, and 
conform to each of the applicable drawings listed under their respective 
numbers of the drawing SA 103C 002, sheets 12 through 21.



Sec. 572.21  Test conditions and instrumentation.

    (a)(1) The test probe used for head and thoracic impact tests is a 
cylinder 3 inches in diameter, 13.8 inches long, and weighing 10 lbs., 6 
ozs. Its impacting end has a flat right face that is rigid and that has 
an edge radius of 0.5 inches.
    (2) The head and thorax assembly may be instrumented with a Type A 
or Type C accelerometer.
    (i) Type A accelerometer is defined in drawing SA-572 S1.
    (ii) Type C accelerometer is defined in drawing SA-572 S2.
    (b) Head Accelerometers. Install one of the triaxial accelerometers 
specified in Sec. 572.21(a)(2) on a mounting block located on the 
horizontal transverse bulkhead as shown in the drawings subreferenced 
under assembly SA 103C 010 so that the seismic mass centers of each 
sensing element are positioned as specified in this paragraph, relative 
to the head accelerometer reference point located at the intersection of 
a line connecting the longitudinal centerlines of the transfer pins in 
the side of the dummy head with the midsagittal plane of the dummy head.
    (1) The sensing elements of the Type C triaxial accelerometer are 
aligned as follows:
    (i) Align one sensitive axis parallel to the vertical bulkhead and 
coincident with the midsagittal plane, with the seismic mass center 
located 0.2 inches dorsal to, and 0.1 inches inferior to the head 
accelerometer reference point.
    (ii) Align the second sensitive axis with the horizontal plane, 
perpendicular to the midsagittal plane, with the seismic mass center 
located 0.1 inches inferior, 0.4 inches to the right of, and 0.9 inches 
dorsal to the head accelerometer reference point.
    (iii) Align the third sensitive axis so that it is parallel to the 
midsagittal and horizontal planes, with the seismic mass center located 
0.1 inches inferior to, 0.6 inches dorsal to, and 0.4 inches to the 
right of the head accelerometer reference point.
    (iv) All seismic mass centers are positioned with 0.05 
inches of the specified locations.
    (2) The sensing elements of the Type A triaxial accelerometer are 
aligned as follows:
    (i) Align one sensitive axis parallel to the vertical bulkhead and 
coincident with midsagittal planes, with the seismic mass center located 
from 0.2 to 0.47 inches dorsal to, from 0.01 inches inferior to 0.21 
inches superior, and from 0.0 to 0.17 inches left of the head 
accelerometer reference point.
    (ii) Align the second sensitive axis with the horizontal plane, 
perpendicular to the midsagittal plane, with the seismic mass center 
located 0.1 to 0.13 inches inferior to, 0.17 to 0.4 inches to

[[Page 656]]

the right of, and 0.47 to 0.9 inches dorsal of the head accelerometer 
reference point.
    (iii) Align the third sensitive axis so that it is parallel to the 
midsagittal and horizontal planes, with the seismic mass center located 
0.1 to 0.13 inches inferior to, 0.6 to 0.81 inches dorsal to, and from 
0.17 inches left to 0.4 inches right of the head accelerometer reference 
point.
    (c) Thorax Accelerometers. Install one of the triaxial 
accelerometers specified in Sec. 572.21(a)(2) on a mounting plate 
attached to the vertical transverse bulkhead shown in the drawing 
subreferenced under assembly No. SA 103C 030 in drawing SA 103C 001, so 
that the seismic mass centers of each sensing element are positioned as 
specified in this paragraph, relative to the thorax accelerometer 
reference point located in the midsagital plane 3 inches above the top 
surface of the lumbar spine, and 0.3 inches dorsal to the accelerometer 
mounting plate surface.
    (1) The sensing elements of the Type C triaxial accelerometer are 
aligned as follows:
    (i) Align one sensitive axis parallel to the vertical bulkhead and 
midsagittal planes, with the seismic mass center located 0.2 inches to 
the left of, 0.1 inches inferior to, and 0.2 inches ventral to the 
thorax accelerometer reference point.
    (ii) Align the second sensitive axis so that it is in the horizontal 
transverse plane, and perpendicular to the midsagittal plane, with the 
seismic mass center located 0.2 inches to the right of, 0.1 inches 
inferior to, and 0.2 inches ventral to the thorax accelerometer 
reference point.
    (iii) Align the third sensitive axis so that it is parallel to the 
midsagittal and horizontal planes, with the seismic mass center located 
0.2 inches superior to, 0.5 inches to the right of, and 0.1 inches 
ventral to the thorax accelerometer reference points.
    (iv) All seismic mass centers shall be positioned within 
0.05 inches of the specified locations.
    (2) The sensing elements of the Type A triaxial accelerometer are 
aligned as follows:
    (i) Align one sensitive axis parallel to the vertical bulkhead and 
midsagittal planes, with the seismic mass center located from 0.2 inches 
left to 0.28 inches right, from 0.5 to 0.15 inches inferior to, and from 
0.15 to 0.25 inches ventral of the thorax accelerometer reference point.
    (ii) Align the second sensitive axis so that it is in the horizontal 
transverse plane and perpendicular to the midsagital plane, with the 
seismic mass center located from 0.06 inches left to 0.2 inches right 
of, from 0.1 inches inferior to 0.24 inches superior, and 0.15 to 0.25 
inches ventral to the thorax accelerometer reference point.
    (iii) Align the third sensitive axis so that it is parallel to the 
midsagital and horizontal planes, with the seismic mass center located 
0.15 to 0.25 inches superior to, 0.28 to 0.5 inches to the right of, and 
from 0.1 inches ventral to 0.19 inches dorsal to the thorax 
accelerometer reference point.
    (d) The outputs of accelerometers installed in the dummy, and of 
test apparatus specified by this part, are recorded in individual data 
channels that conform to the requirements of SAE Recommended Practice 
J211a, December 1971, with channel classes as follows:
    (1) Head acceleration--Class 1000.
    (2) Pendulum acceleration--Class 60.
    (3) Thorax acceleration--Class 180.
    (e) The mountings for accelerometers have no resonance frequency 
less than cut-off 3 times the cut-off frequency of the applicable 
channel class.
    (f) Limb joints are set at the force between 1-2g, which just 
supports the limbs' weight when the limbs are extended horizontally 
forward. The force required to move a limb segment does not exceed 2g 
throughout the range of limb motion.
    (g) Performance tests are conducted at any temperature from 66 deg. 
F to 78 deg. F and at any relative humidity from 10 percent to 70 
percent after exposure of the dummy to these conditions for a period of 
not less than 4 hours.
    (h) For the performance tests specified in Secs. 572.16, 572.18, and 
572.19, the dummy is positioned in accordance with Figures 16, 17, and 
18 as follows:
    (1) The dummy is placed on a flat, rigid, clean, dry, horizontal 
surface of teflon sheeting with a smoothness of 40 microinches and whose 
length and

[[Page 657]]

width dimensions are not less than 16 inches, so that the dummy's 
midsagittal plane is vertical and centered on the test surface. For head 
tests, the seat has a vertical back support whose top is 
12.4plus-minus0.2 inches above the seating surface. The rear 
surfaces of the dummy's shoulders and buttocks are touching the back 
support as shown in Figure 16. For thorax and lumbar spine tests, the 
seating surface is without the back support as shown in Figures 17 and 
18, respectively.
    (2) The shoulder yokes are adjusted so that they are at the midpoint 
of their anterior-posterior travel with their upper surfaces horizontal.
    (3) The dummy is adjusted for head impact and lumbar flexion tests 
so that the rear surfaces of the shoulders and buttocks are tangent to a 
transverse vertical plane.
    (4) The arms and legs are positioned so that their centerlines are 
in planes parallel to the midsagittal plane.
    (i) The dummy's dimensions are specified in drawings No. SA 103C 
002, sheets 22 through 26.
    (j) Performance tests of the same component, segment, assembly or 
fully assembled dummy are separated in time by a period of not less than 
20 minutes unless otherwise specified.
    (k) Surfaces of the dummy components are not painted except as 
specified in this part or in drawings subtended by this part.

[[Page 658]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.158



[[Page 659]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.159



[[Page 660]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.160



[[Page 661]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.161



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

[[Page 662]]



                      Subpart D--6-Month-Old Infant



Sec. 572.25  General description.

    (a) The infant dummy is specified in its entirety by means of 5 
drawings (No. SA 1001) and a construction manual, dated July 2, 1974, 
which describe in detail the materials and the procedures involved in 
the manufacturing of this dummy.
    (b) The drawings, specifications, and construction manual referred 
to in this regulation that are not set forth in full are hereby 
incorporated in this part by reference. These materials are thereby made 
part of this regulation. The Director of the Federal Register has 
approved the materials incorporated by reference. For materials subject 
to change, only the specific version approved by the Director of the 
Federal Register and specified in the regulation are incorporated. A 
notice of any change will be published in the Federal Register. As a 
convenience to the reader, the materials incorporated by reference are 
listed in the Finding Aid Table found at the end of this volume of the 
Code of Federal Regulations.
    (c) The materials incorporated by reference are available for 
examination in Docket 78-09, Room 5109, Docket Section, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC, 
20590. Copies may be obtained from Rowley-Scher Reprographics, Inc., 
1216 K Street NW., Washington, DC 20005 ((202) 628-6667). The materials 
are also on file in the reference library of the Office of the Federal 
Register, National Archives and Records Administration, Washington, DC.
    (d) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in vehicle tests specified in Standard No. 213 of this chapter 
(Sec. 571.213).
[50 FR 25424, June 19, 1985]



                    Subpart E--Hybrid III Test Dummy

    Source:  51 FR 26701, July 25, 1986, unless otherwise noted.



Sec. 572.30  Incorporated materials.

    (a) The drawings and specifications referred to in this regulation 
that are not set forth in full are hereby incorporated in this part by 
reference. The Director of the Federal Register has approved the 
materials incorporated by reference. For materials subject to change, 
only the specific version approved by the Director of the Federal 
Register and specified in the regulation are incorporated. A notice of 
any change will be published in the Federal Register. As a convenience 
to the reader, the materials incorporated by reference are listed in the 
Finding Aid Table found at the end of this volume of the Code of Federal 
Regulations.
    (b) The materials incorporated by reference are available for 
examination in the general reference section of docket 74-14, Docket 
Section, National Highway Traffic Safety Administration, Room 5109, 400 
Seventh Street, SW., Washington, DC 20590. Copies may be obtained from 
Reprographic Technologies, 9000 Virginia Manor Road, Beltsville, MD 
20705, Telephone (301) 210-5600, Facsimile (301) 419-5069, Attn. Mr. Jay 
Wall. Drawings and specifications are also on file in the reference 
library of the Office of the Federal Register, 800 N. Capitol Street, 
NW., suite 700, Washington, DC.
[51 FR 26701, July 25, 1986, as amended at 61 FR 67955, Dec. 26, 1996]



Sec. 572.31  General description.

    (a) The Hybrid III 50th percentile size dummy consists of components 
and assemblies specified in the Anthropomorphic Test Dummy drawing and 
specifications package which consists of the following six items:
    (1) The Anthropomorphic Test Dummy Parts List, dated September 9, 
1996, and containing 16 pages.
    (2) A listing of Hybrid III Dummy Transducers-reference document 
AGARD-AR-330, ``Anthropomorphic Dummies for Crash and Escape System

[[Page 663]]

Testing'', Chapter 6, Table 6-2, North Atlantic Treaty Organization, 
July, 1996.
    (3) A General Motors Drawing No. 78051-218, revision S, titled 
``Hybrid III Anthropomorphic Test Dummy,'' dated May 20, 1978, the 
following component assemblies, and subordinate drawings:

------------------------------------------------------------------------
                Drawing No.                           Revision          
------------------------------------------------------------------------
78051-61X head assembly--complete, (May     (T)                         
 20, 1978).                                                             
78051-90 neck assembly--complete, dated     (A)                         
 May 20, 1978.                                                          
78051-89 upper torso assembly--complete,    (K)                         
 dated May 20, 1978.                                                    
78051-70 lower torso assembly--complete,    (E)                         
 dated August 20, 1996, except for drawing                              
 No. 78051-55, ``Instrumentation Assembly--                             
 Pelvic Accelerometer,'' dated August 2,                                
 1979.                                                                  
86-5001-001 leg assembly--complete (LH),    (A)                         
 dated March 26, 1996.                                                  
86-5001-002 leg assembly--complete (RH),    (A)                         
 dated March 26, 1996.                                                  
78051-123 arm assembly--complete (LH),      (D)                         
 dated May 20, 1996.                                                    
78051-124 arm assembly--complete (RH),      (D)                         
 dated May 20, 1978.                                                    
------------------------------------------------------------------------

    (4) Disassembly, Inspection, Assembly and Limbs Adjustment 
Procedures for the Hybrid III dummy, dated September 1996.
    (5) Sign Convention for signal outputs--reference document SAE J1733 
Information Report, titled ``Sign Convention for Vehicle Crash 
Testing'', dated 1994-12.
    (6) Exterior dimensions of the Hybrid III dummy, dated July 15, 
1986.
    (b) Any specifications and requirements set forth in this part 
supercede those contained in General Motors Drawing No. 78051-218, 
revision P.
    (c) Adjacent segments are joined in a manner such that throughout 
the range of motion and also under crash-impact conditions, there is no 
contact between metallic elements except for contacts that exist under 
static conditions.
    (d) The weights, inertial properties and centers of gravity location 
of component assemblies shall conform to those listed in drawing 78051-
338, revision S, titled ``Segment Weights, Inertial Properties, Center 
of Gravity Location--Hybrid III,'' dated May 20, 1978 of drawing No. 
78051-218.
    (e) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in vehicle test specified in Standard No. 208 of this chapter 
(Sec. 571.208).
[51 FR 26701, July 25, 1986, as amended at 53 FR 8764, Mar. 17, 1988; 57 
FR 47010, Oct. 14, 1992; 61 FR 67955, Dec. 26, 1996; 62 FR 27514, May 
20, 1997]



Sec. 572.32  Head.

    (a) The head consists of the assembly shown in drawing 78051-61X, 
revision C, and conforms to each of the drawings subtended therein.
    (b) When the head (Drawing number 78051-61X, titled ``head 
assembly--complete,'' dated March 28, 1997 (Revision C) with six axis 
neck transducer structural replacement (Drawing number 78051-383X, 
Revision P, titled ``Neck Transducer Structural Replacement,'' dated 
November 1, 1995) is dropped from a height of 14.8 inches in accordance 
with paragraph (c) of this section, the peak resultant accelerations at 
the location of the accelerometers mounted in the head in accordance 
with Sec. 572.36(c) shall not be less than 225g, and not more than 275g. 
The acceleration/time curve for the test shall be unimodal to the extent 
that oscillations occurring after the main acceleration pulse are less 
than ten percent (zero to peak) of the main pulse. The lateral 
acceleration vector shall not exceed 15g (zero to peak).
    (c) Test procedure. (1) Soak the head assembly in a test environment 
at any temperature between 66 degrees F to 78 degrees F and at a 
relative humidity from 10% to 70% for a period of at least four hours 
prior to its application in a test.
    (2) Clean the head's skin surface and the surface of the impact 
plate with 1,1,1 Trichlorethane or equivalent.
    (3) Suspend the head, as shown in Figure 19, so that the lowest 
point on the forehead is 0.5 inches below the lowest point on the 
dummy's nose when the midsagittal plane is vertical.

[[Page 664]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.162



[[Page 665]]

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



Sec. 572.33  Neck.

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

[[Page 666]]

[GRAPHIC] [TIFF OMITTED] TR20MY97.000



[[Page 667]]

[GRAPHIC] [TIFF OMITTED] TR20MY97.001


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

[[Page 668]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.165



[[Page 669]]

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

          Table A--Flexion Pendulum Deceleration vs. Time Pulse         
------------------------------------------------------------------------
                                                               Flexion  
                         Time (ms)                          deceleration
                                                              level (g) 
------------------------------------------------------------------------
10........................................................   22.50-27.50
20........................................................   17.60-22.60
30........................................................   12.50-18.50
Any other time above 30 ms................................   29 maximum.
------------------------------------------------------------------------


         Table B--Extension Pendulum Deceleration vs. Time Pulse        
------------------------------------------------------------------------
                                                              Extension 
                         Time (ms)                          deceleration
                                                              level (g) 
------------------------------------------------------------------------
10........................................................   17.20-21.20
20........................................................   14.00-19.00
30........................................................   11.00-16.00
Any other time above 30 ms................................   22 maximum.
------------------------------------------------------------------------

    (5) Allow the neck to flex without impact of the head or neck with 
any object during the test.
[51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988; 62 
FR 27514, May 20, 1997]



Sec. 572.34  Thorax.

    (a) The thorax consists of the upper torso assembly in drawing 
78051-89, revision K and shall conform to each of the drawings subtended 
therein.
    (b) When impacted by a test probe conforming to 572.36(a) at 22 fps 
plus-minus 0.40 fps in accordance with paragraph (c) of this 
section, the thorax of a complete dummy assembly (78051-218, revision T) 
with left and right shoes (78051-294 and -295) removed, shall resist 
with a force of 1242.5 pounds +/- 82.5 pounds measured by the test probe 
and shall have a sternum displacement measured relative to spine of 2.68 
inches plus-minus 0.18 inches. The internal hysteresis on 
each impact shall be more than 69% but less than 85%. The force measured 
is the product of pendulum mass and deceleration.
    (c) Test procedure. (1) Soak the test dummy in an environment with a 
relative humidity from 10% to 70% until the temperature of the ribs of 
the test dummy have stabilized at a temperature between 69 degrees F and 
72 degrees F.
    (2) Seat the dummy without back and arm supports on a surface as 
shown in Figure 23, and set the angle of the pelvic bone at 13 degrees 
plus or minus 2 degrees, using the procedure described in S11.4.3.2 of 
Standard No. 208 (Sec. 571.208 of this chapter).

[[Page 670]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.166



[[Page 671]]

    (3) Place the longitudinal centerline of the test probe so that it 
is .5  .04 in. below the horizontal centerline of the No. 3 
Rib (reference drawing number 79051-64, revision A-M) as shown in Figure 
23.
    (4) Align the test probe specified in Sec. 572.36(a) so that at 
impact its longitudinal centerline coincides within .5 degree of a 
horizontal line in the dummy's midsagittal plane.
    (5) Impact the thorax with the test probe so that the longitudinal 
centerline of the test probe falls within 2 degrees of a horizontal line 
in the dummy midsagittal plane at the moment of impact.
    (6) Guide the probe during impact so that it moves with no 
significant lateral, vertical, or rotational movement.
    (7) Measure the horizontal deflection of the sternum relative to the 
thoracic spine along the line established by the longitudinal centerline 
of the probe at the moment of impact, using a potentiometer (ref. 
drawing 78051-317, revision A) mounted inside the sternum as shown in 
drawing 78051-89, revision I.
    (8) Measure hysteresis by determining the ratio of the area between 
the loading and unloading portions of the force deflection curve to the 
area under the loading portion of the curve.
[51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988; 62 
FR 27518, May 20, 1997]



Sec. 572.35  Limbs.

    (a) The limbs consist of the following assemblies: leg assemblies 
86-5001-001, revision A and -002, revision A, and arm assemblies 78051-
123, revision D and -124, revision D, and shall conform to the drawings 
subtended therein.
    (b) Femur impact response. (1) When each knee of the leg assemblies 
is impacted in accordance with paragraph (b)(2) of this section, at 6.9 
ft/sec 0.10 ft/sec by the pendulum defined in 
Sec. 572.36(b), the peak knee impact force, which is a product of 
pendulum mass and acceleration, shall have a minimum value of not less 
than 1060 pounds and a maximum value of not more than 1300 pounds.
    (2) Test procedure. (i) The test material consists of leg assemblies 
(86-5001-001, revision A) left and (-002, revision A) right with upper 
leg assemblies (78051-46) left and (78051-47) right removed. The load 
cell simulator (78051-319, revision A) is used to secure the knee cap 
assemblies (79051-16, revision B) as shown in Figure 24).
    (ii) Soak the test material in a test environment at any temperature 
between 66 degrees F to 78 degrees F and at a relative humidity from 10% 
to 70% for a period of at least four hours prior to its application in a 
test.
    (iii) Mount the test material with the leg assembly secured through 
the load cell simulator to a rigid surface as shown in Figure 24. No 
contact is permitted between the foot and any other exterior surfaces.
    (iv) Place the longitudinal centerline of the test probe so that at 
contact with the knee it is collinear within 2 degrees with the 
longitudinal centerline of the femur load cell simulator.
    (v) Guide the pendulum so that there is no significant lateral, 
vertical or rotational movement at time zero.
    (vi) Impact the knee with the test probe so that the longitudinal 
centerline of the test probe at the instant of impact falls within .5 
degrees of a horizontal line parallel to the femur load cell simulator 
at time zero.
    (vii) Time zero is defined as the time of contact between the test 
probe and the knee.
    (c) Hip joint-femur flexion. (1) When each femur is rotated in the 
flexion direction in accordance with paragraph (c)(2) of this section, 
the femur rotation at 50 ft-lbf of torque will not be more than 36 deg. 
from its initial horizontal orientation, and at 150 ft-lbf of torque 
will not be less than 46 deg. or more than 52 deg.
    (2) Test procedure. (i) The test material consists of the assembled 
dummy, part No. 78051-218 (revision S) except that (1) leg assemblies 
(86-5001-001 and 002) are separated from the dummy by removing the 3/8-
16 Socket Head Cap Screw (SHCS) (78051-99) but retaining the structural 
assembly of the upper legs (78051-43 and -44), (2) the abdominal insert 
(78051-52) is removed and (3) the instrument cover plate (78051-13) in 
the pelvic bone is replaced by a rigid pelvic bone stabilizer insert 
(Figure 25a) and firmly secured.
    (ii) Seat the dummy on a rigid seat fixture (Figure 25) and firmly 
secure it

[[Page 672]]

to the seat back by bolting the stabilizer insert and the rigid support 
device (Figure 25b) to the seat back of the test fixture (Figures 26 and 
27) while maintaining the pelvis (78051-58) ''B'' plane horizontal.
    (iii) Insert a lever arm into the femur shaft opening of the upper 
leg structure assembly (78051-43/44) and firmly secure it using the 3/8-
16 socket head cap screws.
    (iv) Lift the lever arm parallel to the midsagittal plane at a 
rotation rate of 5 to 10 deg. per second while maintaining the 1/2 in. 
shoulder bolt longitudinal centerline horizontal throughout the range of 
motion until the 150 ft-lbf torque level is reached. Record the torque 
and angle of rotation of the femur.
    (v) Operating environment and temperature are the same as specified 
in paragraph (c)(3) of this section.

[[Page 673]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.167



[[Page 674]]

[GRAPHIC] [TIFF OMITTED] TR26DE96.004



[[Page 675]]

[GRAPHIC] [TIFF OMITTED] TR26DE96.005



[[Page 676]]

[GRAPHIC] [TIFF OMITTED] TR26DE96.006



[[Page 677]]

[GRAPHIC] [TIFF OMITTED] TR26DE96.007



[[Page 678]]

[GRAPHIC] [TIFF OMITTED] TR26DE96.008


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



Sec. 572.36  Test conditions and instrumentation.

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

[[Page 679]]

    (c) Head accelerometers shall have dimensions and response 
characteristics specified in drawing 78051-136, revision A, or its 
equivalent, and the location of their seismic mass as mounted in the 
skull are shown in drawing C-1709, revision D.
    (d) The six axis neck transducer shall have the dimensions, response 
characteristics, and sensitive axis locations specified in drawing C-
1709, revision D and be mounted for testing as shown in Figures 20 and 
21 of Sec. 572.33, and in the assembly drawing 78051-218, revision T.
    (e) The chest accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
78051-136, revision A or its equivalent and be mounted as shown with 
adaptor assembly 78051-116, revision D for assembly into 78051-218, 
revision T.
    (f) The chest deflection transducer shall have the dimensions and 
response characteristics specified in drawing 78051-342, revision A or 
its equivalent and be mounted in the chest deflection transducer 
assembly 78051-317, revision A for assembly into 78051-218, revision T.
    (g) The thorax and knee impactor accelerometers shall have the 
dimensions and characteristics of Endevco Model 7231c or equivalent. 
Each accelerometer shall be mounted with its sensitive axis colinear 
with the pendulum's longitudinal centerline.
    (h) The femur load cell shall have the dimensions, response 
characteristics, and sensitive axis locations specified in drawing 
78051-265 or its equivalent and be mounted in assemblies 78051-46 and -
47 for assembly into 78051-218, revision T.
    (i) The outputs of acceleration and force-sensing devices installed 
in the dummy and in the test apparatus specified by this part are 
recorded in individual data channels that conform to requirements of 
Society of Automotive Engineers (SAE) Recommended Practice J211 Mar95, 
Instrumentation for Impact Tests, Parts 1 and 2. SAE J211 Mar95 sets 
forth the following channel classes:

(1) Head acceleration--Class 1000
(2) Neck forces--Class 1000
(3) Neck moments--Class 600
(4) Neck pendulum acceleration--Class 60
(5) Thorax and thorax pendulum acceleration--Class 180
(6) Thorax deflection--Class 180
(7) Knee pendulum acceleration--Class 600
(8) Femur force--Class 1000
    (j) Coordinate signs for instrumentation polarity conform to the 
sign convention shown in the document incorporated by Sec. 572.31(a)(5).
    (k) The mountings for sensing devices shall have no resonance 
frequency within range of 3 times the frequency range of the applicable 
channel class.
    (l) Limb joints are set at lg, barely restraining the weight of the 
limb when it is extended horizontally. The force required to move a limb 
segment shall not exceed 2g throughout the range of limb motion.
    (m) Performance tests of the same component, segment, assembly, or 
fully assembled dummy are separated in time by period of not less than 
30 minutes unless otherwise noted.
    (n) Surfaces of dummy components are not painted except as specified 
in this part or in drawings subtended by this part.
[51 FR 26701, July 25, 1986, as amended at 53 FR 8765, Mar. 17, 1988; 62 
FR 27518, May 20, 1997]



            Subpart F--Side Impact Dummy 50th Percentile Male

    Source:  55 FR 45766, Oct. 30, 1990, unless otherwise noted.



Sec. 572.40  Incorporated materials.

    (a) The drawings, specifications, manual, and computer program 
referred to in this regulation that are not set forth in full are hereby 
incorporated in this part by reference. These materials are thereby made 
part of this regulation. The Director of the Federal Register has 
approved the materials incorporated by reference. For materials subject 
to change, only the specific version approved by the Director of the 
Federal Register and specified in the regulation are incorporated. A 
notice of any change will be published in the Federal Register. As a 
convenience

[[Page 680]]

to the reader, the materials incorporated by reference are listed in the 
Finding Aid Table found at the end of this volume of the Code of Federal 
Regulations.
    (b) The materials incorporated in this part by reference are 
available for examination in the general reference section of Docket 79-
04, Docket Section, National Highway Traffic Safety Administration, room 
5109, 400 Seventh Street, SW., Washington, DC. Copies may be obtained 
from Rowley-Scher Reprographics, Inc., 1111 14th Street, NW., 
Washington,DC. 20005, telephone (202) 628-6667 or 408-8789.



Sec. 572.41  General description.

    (a) The dummy consists of component parts and component assemblies 
(SA-SID-M001 revision B and SA-SID-M001A revision A, dated May 18, 1994) 
which are described in approximately 250 drawings and specifications 
that are set forth in Sec. 572.5(a) with the following changes and 
additions which are described in approximately 85 drawings and 
specifications (incorporated by reference; see Sec. 572.40):
    (1) The head assembly consists of the assembly specified in subpart 
B (Sec. 572.6(a)) and conforms to each of the drawings subtended under 
drawing SA 150 M010 and drawings specified in SA-SID-M010, dated August 
13, 1987.
    (2) The neck assembly consists of the assembly specified in subpart 
B (Sec. 572.7(a)) and conforms to each of the drawings subtended under 
drawing SA 150 M020 and drawings shown in SA-SID-M010, dated August 13, 
1987.
    (3) The thorax assembly consists of the assembly shown as number 
SID-053 and conforms to each applicable drawing subtended by number SA-
SID-M030 revision A, dated May 18, 1994.
    (4) The lumbar spine consists of the assembly specified in subpart B 
of this part (Sec. 572.9(a)) and conforms to drawing SA 150 M050 and 
drawings subtended by SA-SID-M050 revision A, dated May 18, 1994.
    (5) The abdomen and pelvis consist of the assembly specified in 
subpart B of this part (Sec. 572.9) and conform to the drawings 
subtended by SA 150 M060, the drawings subtended by SA-SID-M060 revision 
A, dated May 18, 1994, and the drawings subtended by SA-SID-087 sheet 1 
revision H, dated May 18, 1994, and SA-SID-087 sheet 2 revision H.
    (6) The lower limbs consist of the assemblies specified in subpart B 
(Sec. 572.10) shown as SA 150 M080 and SA 150 M081 in Figure 1 and SA-
SID-M080 and SA-SID-M081, both dated August 13, 1987, and conform to the 
drawings subtended by those numbers.
    (b) The structural properties of the dummy are such that the dummy 
conforms to the requirements of this subpart in every respect both 
before and after being used in vehicle tests specified in Standard No 
214 Sec. 571.214 of this chapter.
    (c) Disassembly, inspection, and assembly procedures; external 
dimensions and weight; and a dummy drawing list are set forth in the 
Side Impact Dummy (SID) User's Manual, dated May 1994 (incorporated by 
reference; see Sec. 572.40).
[55 FR 45766, Oct. 30, 1990, as amended at 59 FR 52091, Oct. 14, 1994]



Sec. 572.42  Thorax.

    (a) When the thorax of a completely assembled dummy (SA-SID-M001A 
revision A, dated May 18, 1994, incorporated by reference; see 
Sec. 572.40), appropriately assembled for right or left side impact, is 
impacted by a test probe conforming to Sec. 572.44(a) at 14 fps in 
accordance with paragraph (b) of this section, the peak accelerations at 
the location of the accelerometers mounted on the thorax in accordance 
with Sec. 572.44(b) shall be:
    (1) For the accelerometer at the top of the Rib Bar on the struck 
side (LUR or RUR) not less than 37 g's and not more than 46 g's.
    (2) For the accelerometer at the bottom of the Rib Bar on the struck 
side (LLR or RLR) not less than 37 g's and not more than 46 g's.
    (3) For the lower thoracic spine (T12) not less than 15 g's and not 
more than 22 g's.
    (b) Test Procedure. (1) Adjust the dummy legs as specified in 
Sec. 572.44(f). Seat the dummy on a seating surface as specified in 
Sec. 572.44(h) with the limbs extended horizontally forward.
    (2) Place the longitudinal centerline of the test probe at the 
lateral side of the chest at the intersection of the centerlines of the 
third rib and the Rib

[[Page 681]]

Bar on the desired side of impact. This is the left side if the dummy is 
to be used on the driver's side of the vehicle and the right side if the 
dummy is to be used on the passenger side of the vehicle. The probe's 
centerline is perpendicular to thorax's midsagittal plane.
    (3) Align the test probe so that its longitudinal centerline 
coincides with the line formed by the intersection of the transverse and 
frontal planes perpendicular to the chest's midsagittal plane passing 
through the designated impact point.
    (4) Position the dummy as specified in Sec. 572.44(h), so that the 
thorax's midsagittal plane and tangential plane to the Hinge Mounting 
Block (Drawing SID-034) are vertical.
    (5) Impact the thorax with the test probe so that at the moment of 
impact at the designated impact point, the probe's longitudinal 
centerline falls within 2 degrees of a horizontal line perpendicular to 
the dummy's midsagittal plane and passing through the designated impact 
point.
    (6) Guide the probe during impact so that it moves with no 
significant lateral, vertical or rotational movement.
    (7) Allow a time period of at least 20 minutes between successive 
tests of the chest.
[59 FR 52091, Oct. 14, 1994, as amended at 59 FR 52091, Oct. 14, 1994]



Sec. 572.43  Lumbar spine and pelvis.

    (a) When the pelvis of a fully assembled dummy (SA-SID-M001A 
revision A, dated May 18, 1994, incorporated by reference; see 
Sec. 572.40) is impacted laterally by a test probe conforming to 
Sec. 572.44(a) at 14 fps in accordance with paragraph (b) of this 
section, the peak acceleration at the location of the accelerometer 
mounted in the pelvis cavity in accordance with Sec. 572.44(c) shall be 
not less than 40g and not more than 60g. The acceleration-time curve for 
the test shall be unimodal and shall lie at or above the +20g level for 
an interval not less than 3 milliseconds and not more than 7 
milliseconds.
    (b) Test Procedure. (1) Adjust the dummy legs as specified in 
Sec. 572.44(f). Seat the dummy on a seating surface as specified in 
Sec. 572.44(h) with the limbs extended horizontally forward.
    (2) Place the longitudinal centerline of the test probe at the 
lateral side of the pelvis at a point 3.9 inches vertical from the 
seating surface and 4.8 inches ventral to a transverse vertical plane 
which is tangent to the back of the dummy's buttocks.
    (3) Align the test probe so that at impact its longitudinal 
centerline coincides with the line formed by intersection of the 
horizontal and vertical planes perpendicular to the midsagittal plane 
passing through the designated impact point.
    (4) Adjust the dummy so that its midsagittal plane is vertical and 
the rear surfaces of the thorax and buttocks are tangent to a transverse 
vertical plane.
    (5) Impact the pelvis with the test probe so that at the moment of 
impact the probe's longitudinal centerline falls within 2 degrees of the 
line specified in paragraph (b)(3) of this section.
    (6) Guide the test probe during impact so that it moves with no 
significant lateral, vertical or rotational movement.
    (7) Allow a time period of at least 2 hours between successive tests 
of the pelvis.
[55 FR 45766, Oct. 30, 1990, as amended at 59 FR 52091, Oct. 14, 1994]



Sec. 572.44  Instrumentation and test conditions.

    (a) The test probe used for lateral thoracic and pelvis impact tests 
is a 6 inch diameter cylinder that weighs 51.5 pounds including 
instrumentation. Its impacting end has a flat right angle face that is 
rigid and has an edge radius of 0.5 inches.
    (b) Three accelerometers are mounted in the thorax for measurement 
of lateral accelerations with each accelerometer's sensitive axis 
aligned to be closely perpendicular to the thorax's midsagittal plane. 
The accelerometers are mounted in the following locations:
    (1) One accelerometer is mounted on the thorax to lumbar adaptor 
(SID-005 revision F, dated May 18, 1994, incorporated by reference; see 
Sec. 572.40) with seismic mass center located 0.5 inches toward the 
impact side, 0.1 inches upward and 1.86 inches rearward from the 
reference point shown in Figure 30 in

[[Page 682]]

appendix A to subpart F of part 572. Maximum permissible variation of 
the seismic location must not exceed 0.2 inches spherical radius.
    (2) Two accelerometers are mounted, one on the top and the other at 
the bottom part of the Rib Bar (SID-024) on the struck side. Their 
seismic mass centers are at any distance up to .4 inches from a point on 
the Rib Bar surface located on its longitudinal center line .75 inches 
from the top for the top accelerometer and .75 inches from the bottom, 
for the bottom accelerometer.
    (c) One accelerometer is mounted in the pelvis for measurement of 
the lateral acceleration with its sensitive axis perpendicular to the 
pelvic midsagittal plane. The accelerometer is mounted on the rear wall 
of the instrumentation cavity of the pelvis (SID-087 revision H, dated 
May 18, 1994, incorporated by reference; see Sec. 572.40). The 
accelerometer's seismic mass with respect to the mounting bolt center 
line is 0.9 inches up, 0.7 inches to the left for left side impact and 
0.03 inches to the left for right side impact, and 0.5 inches rearward 
from the rear wall mounting surface as shown in Figure 31 in appendix A 
to subpart F of part 572. Maximum permissible variation of the seismic 
location must not exceed 0.2 inches spherical radius.
    (d) Instrumentation and sensors used must conform to the SAE J-211 
(1980) recommended practice requirements (incorporated by reference; see 
Sec. 572.40). The outputs of the accelerometers installed in the dummy 
are then processed with the software for the Finite Impulse Response 
(FIR) filter (FIR 100 software). The FORTRAN program for this FIR 100 
software (FIR100 Filter Program, Version 1.0, July 16, 1990) is 
incorporated by reference in this part (see Sec. 572.40). The data are 
processed in the following manner:
    (1) Analog data recorded in accordance with SAE J-211 (1980) 
recommended practice channel class 1000 specification.
    (2) Filter the data with a 300 Hz, SAE Class 180 filter;
    (3) Subsample the data to a 1600 Hz sampling rate;
    (4) Remove the bias from the subsampled data, and
    (5) Filter the data with the FIR100 Filter Program (Version 1.0, 
July 16, 1990), which has the following characteristics--
    (i) Passband frequency, 100 Hz.
    (ii) Stopband frequency, 189 Hz.
    (iii) Stopband gain, -50 db.
    (iv) Passband ripple, 0.0225 db.
    (e) The mountings for the spine, rib and pelvis accelerometers shall 
have no resonance frequency within a range of 3 times the frequency 
range of the applicable channel class.
    (f) Limb joints of the test dummy are set at the force between 1-2 
g's, which just supports the limbs' weight when the limbs are extended 
horizontally forward. The force required to move a limb segment does not 
exceed 2 g's throughout the range of limb motion.

[[Page 683]]

    (g) Performance tests are conducted at any temperature from 66 
deg.F to 78  deg.F and at any relative humidity from 10 percent to 70 
percent after exposure of the dummy to these conditions for a period of 
not less than 4 hours.
    (h) For the performance of tests specified in Secs. 572.42 and 
572.43, the dummy is positioned as follows:
    (1) The dummy is placed on a flat, rigid, clean, dry, horizontal 
smooth aluminum surface whose length and width dimensions are not less 
than 16 inches, so that the dummy's midsagittal plane is vertical and 
centered on the test surface. The dummy's torso is positioned to meet 
the requirements of Sec. 572.42 and Sec. 572.43. The seating surface is 
without the back support and the test dummy is positioned so that the 
dummy's midsagittal plane is vertical and centered on the seat surface.
    (2) The legs are positioned so that their centerlines are in planes 
parallel to the midsagittal plane.
    (3) Performance pre-tests of the assembled dummy are separated in 
time by a period of not less than 20 minutes unless otherwise specified.
    (4) Surfaces of the dummy components are not painted except as 
specified in this part or in drawings subtended by this part.
[55 FR 45766, Oct. 30, 1990, as amended at 56 FR 47011, Sept. 17, 1991; 
59 FR 52091, Oct. 14, 1994]

[[Page 684]]

              Appendix A to Subpart F of Part 572--Figures
[GRAPHIC] [TIFF OMITTED] TC01AU91.168


[[Page 685]]

[GRAPHIC] [TIFF OMITTED] TR14OC94.001


[59 FR 52092, Oct. 14, 1994]

[[Page 686]]



                        Subparts G-H--[Reserved]



                       Subpart I--6-Year-Old Child

    Source:  56 FR 57836, Nov. 14, 1991, unless otherwise noted.



Sec. 572.70  Incorporation by reference.

    (a) The drawings and specifications referred to in Secs. 572.71(a) 
and 572.71(b) are hereby incorporated in subpart I by reference. These 
materials are thereby made part of this regulation. The Director of the 
Federal Register approved the materials incorporated by reference in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the 
materials may be inspected at NHTSA's Docket Section, 400 Seventh 
Street, SW., room 5109, Washington, DC, or at the Office of the Federal 
Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
    (b) The incorporated material is available as follows:
    (1) Drawing number SA 106 C001 sheets 1 through 18, and the drawings 
listed in the parts lists described on sheets 8 through 17, are 
available from Reprographic Technologies, 9000 Virginia Manor Rd., 
Beltsville, MD 20705, Telephone (301) 210-5600, Fax (301) 210-5607.
    (2) A User's Manual entitled, ``Six-Year-Old Size Child Test Dummy 
SA106C,'' October 28, 1991, is available from Reprographic Technologies 
at the address in paragraph (b)(1) of this section.
    (3) SAE Recommended Practice J211, Instrumentation for Impact Test, 
June 1988, is available from the Society of Automotive Engineers, Inc., 
400 Commonwealth Drive, Warrendale, PA 15096-0001.
[56 FR 57836, Nov. 14, 1991, as amended at 62 FR 44226, Aug. 20, 1997]



Sec. 572.71  General description.

    (a) The representative 6-year-old dummy consists of a drawings and 
specifications package that contains the following materials:
    (1) Technical drawings, specifications, and the parts list package 
shown in SA 106C 001, sheets 1 through 18, rereleased July 11, 1997;
    (2) A user's manual entitled, ``Six-Year-Old Size Child Test Dummy 
SA106C,'' October 28, 1991.
    (b) The dummy is made up of the component assemblies set out in 
Table A:

[[Page 687]]



                                                     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 manner such that except for 
contacts existing under static conditions, there is no contact between 
metallic elements throughout the range of motion or under simulated 
crash-impact conditions.
    (d) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after its use in 
any test similar to those specified in Standard 213, Child Restraint 
Systems.
[56 FR 57836, Nov. 14, 1991, as amended at 62 FR 44226, Aug. 20, 1997]



Sec. 572.72  Head assembly and test procedure.

    (a) Head assembly. The head consists of the assembly designated as 
SA 106 010 on drawing No. SA 106C 001, sheet 2, and conforms to each 
drawing listed on SA 106C 001, sheet 8.
    (b) Head assembly impact response requirements. When the head is 
impacted by a test probe conforming to Sec. 572.77(a)(1) at 7 feet per 
second (fps) according to the test procedure in paragraph (c) of this 
section, then the resultant head acceleration measured at the location 
of the accelerometer installed in the headform according to 
Sec. 577.77(b) is not less than 130g and not more than 160g.
    (1) The recorded acceleration-time curve for this test is unimodal 
at or above the 50g level, and lies at or above that level for an 
interval not less than 1.0 and not more than 2.0 milliseconds.
    (2) The lateral acceleration vector does not exceed 5g.
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Seat and orient the dummy on a seating surface having a back 
support as specified in Sec. 572.78(c), and adjust the joints of the 
limbs at any setting (between 1g and 2g) which just supports the limbs' 
weight when the limbs are extended horizontally and forward.
    (2) Adjust the test probe so that its longitudinal center line is--
    (i) At the forehead at the point of orthogonal intersection of the 
head midsagittal plane and the transverse plane which is perpendicular 
to the Z axis of the head as shown in Figure 40;
    (ii) Located 2.70.1 inches below the top of the head 
measured along the Z axis, and;
    (iii) Coincides within 2 degrees with the line made by the 
intersection of the horizontal and midsagittal planes passing through 
this point.
    (3) Impact the head with the test probe so that at the moment of 
contact the probe's longitudinal center line falls within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (4) Guide the test probe during impact so that there is no 
significant lateral, vertical, or rotational movement.
    (5) Allow at least 60 minutes between successive head tests.



Sec. 572.73  Neck assembly and test procedure.

    (a) Neck assembly. The neck consists of the assembly designated as 
SA 106C 020 on drawing SA 106C 001, sheet 2, and conforms to each 
drawing listed on SA 106C 001, sheet 9.
    (b) Neck assembly impact response requirements. When the head-neck 
assembly (SA 106C 010 and SA 106C 020) is tested according to the test 
procedure in Sec. 572.73(c), the head:
    (1) Shall rotate, while translating in the direction of the pendulum 
preimpact flight, in reference to the pendulum's longitudinal center 
line a

[[Page 688]]

total of 78 degrees6 degrees about the head's center of 
gravity; and
    (2) Shall rotate to the extent specified in Table B at each 
indicated point in time, measured from time of impact, with the chordal 
displacement measured at the head's center of gravity.
    (i) Chordal displacement at time ``T'' is defined as the straight 
line distance between the position relative to the pendulum arm of the 
head's center of gravity at time ``zero;'' and the position relative to 
the pendulum arm of the head's center of gravity at time T as 
illustrated by Figure 3 in Sec. 572.11.
    (ii) The peak resultant acceleration recorded at the location of the 
accelerometers mounted in the headform according to Sec. 572.77(b) shall 
not exceed 30g.

                                                     Table B                                                    
----------------------------------------------------------------------------------------------------------------
                                                                    Time (ms)(2+.08T)       (inches)0.8
----------------------------------------------------------------------------------------------------------------
0............................................................                    0                         0    
30...........................................................                   26                       2.7    
60...........................................................                   44                       4.3    
Maximum......................................................                   68                       5.8    
60...........................................................                  101                       4.4    
30...........................................................                  121                       2.4    
0............................................................                  140                         0    
----------------------------------------------------------------------------------------------------------------

    (3) The pendulum shall not reverse direction until the head's center 
of gravity returns to the original ``zero'' time position relative to 
the pendulum arm.
    (c) Neck test procedure. The test procedure for the neck is as 
follows:
    (1) Mount the head and neck assembly on a rigid pendulum as 
specified in Sec. 572.21, Figure 15, so that the head's midsagittal 
plane is vertical and coincides with the plane of motion of the 
pendulum's longitudinal center line. Attach the neck directly to the 
pendulum as shown in Sec. 572.21, Figure 15.
    (2) Release the pendulum and allow it to fall freely from a height 
such that the velocity at impact is 17.001.0 fps, measured 
at the center of the accelerometer specified in Sec. 572.21, Figure 15.
    (3) Decelerate the pendulum to a stop with an acceleration-time 
pulse described as follows:
    (i) Establish 5g and 20g levels on the a-t curve.
    (ii) Establish t1 at the point where the rising a-t curve 
first crosses the 5g level; t2 at the point where the rising 
a-t curve first crosses the 20g level; t3 at the point where 
the decaying a-t curve last crosses the 20g level; and t4 at 
the point where the decaying a-t curve first crosses the 5g level.
    (iii) t2-t1 shall not be more than 3 
milliseconds.
    (iv) t3-t2 shall not be more than 22 
milliseconds, and not less than 19 milliseconds.
    (v) t4-t3 shall not be more than 6 
milliseconds.
    (vi) The average deceleration between t2 and 
t3 shall not be more than 26g, or less than 22g.
    (4) Allow the neck to flex without the head or neck contacting any 
object other than the pendulum arm.
    (5) Allow at least 60 minutes between successive tests.
[56 FR 57836, Nov. 14, 1991, as amended at 57 FR 4086, Feb. 3, 1992]



Sec. 572.74  Thorax assembly and test procedure.

    (a) Thorax assembly. The thorax consists of the part of the torso 
assembly designated as SA 106C 030 on drawing SA 106C 001, sheet 2, 
Revision A, and conforms to each applicable drawing on SA 106C 001 sheet 
10, Revision C (including Drawing number 6C-1610-1 thru -4, Revision A, 
titled ``Screw Button Head Socket'', dated September 30, 1996, and 
Drawing number 6C-1021, Revision B, titled ``Ballast, 6 Yr. Thoraxc (for 
7267A)'', dated September 24, 1996), and sheet 11, Revision D (including 
Drawing number SA 6C-909, Revision A, titled ``Cover-chest 
Accelerometer'', dated September 21, 1996, and Drawing number 6C-1000-1, 
Revision C, titled ``Sternum Thoracic Weld Ass'y.'', dated September 24, 
1996).
    (b) Thorax assembly requirements. When the thorax is impacted by a 
test probe conforming to Sec. 572.77(a) to 200.3 fps 
according to the test procedure in paragraph (c) of this section, the 
peak resultant accelerations at the accelerometers mounted in the chest 
cavity according to Sec. 572.77(c) shall not be less than 43g and not 
more than 53g.
    (1) The recorded acceleration-time curve for this test shall be 
unimodal at or above the 30g level, and shall lie at or above that level 
for an interval not less than 4 milliseconds and not more than 6 
milliseconds.

[[Page 689]]

    (2) The lateral accelerations shall not exceed 5g.
    (c) Thorax test procedure. The test procedure for the thorax is as 
follows:
    (1) Seat and orient the dummy on a seating surface without back 
support as specified in Sec. 572.78(c), and adjust the joints of the 
limbs at any setting (between 1g and 2g) which just supports the limbs' 
weight when the limbs are extended horizontally and forward, parallel to 
the midsagittal plane.
    (2) Establish the impact point at the chest midsagittal plane so 
that the impact point is 2.25 inches below the longitudinal center of 
the clavicle retainer screw, and adjust the dummy so that the plane that 
bisects the No. 3 rib into upper and lower halves is horizontal 
1 degree.
    (3) Place the longitudinal center line of the test probe so that it 
coincides with the designated impact point, and align the test probe so 
that at impact, the probe's longitudinal center line coincides (within 2 
degrees) with the line formed at the intersection of the horizontal and 
midsagittal planes and passing through the designated impact point.
    (4) Impact the thorax with the test probe so that at the moment of 
contact the probe's longitudinal center line falls within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (5) Guide the test probe during impact so that there is no 
significant lateral, vertical, or rotational movement.
    (6) Allow at least 30 minutes between successive tests.
[56 FR 57836, Nov. 14, 1991, as amended at 60 FR 2897, Jan. 12, 1995; 62 
FR 44227, Aug. 20, 1997]



Sec. 572.75  Lumbar spine, abdomen, and pelvis assembly and test procedure.

    (a) Lumbar spine, abdomen, and pelvis assembly. The lumbar spine, 
abdomen, and pelvis consist of the part of the torso assembly designated 
as SA 106C 50 and 60 on drawing SA 106C 001, sheet 2, and conform to 
each applicable drawing listed on SA 106C 001, sheets 12 and 13.
    (b) Lumbar spine, abdomen, and pelvis assembly response 
requirements. When the lumbar spine is subjected to a force continuously 
applied according to the test procedure set out in paragraph (c) of this 
section, the lumbar spine assembly shall--
    (1) Flex by an amount that permits the rigid thoracic spine to 
rotate from the torso's initial position, as defined in (c)(3), by 40 
degrees at a force level of not less that 46 pounds and not more than 52 
pounds, and
    (2) Straighten upon removal of the force to within 5 degrees of its 
initial position when the force is removed.
    (c) Lumbar spine, abdomen, and pelvis test procedure. The test 
procedure for the lumbar spine, abdomen, and pelvis is as follows:
    (1) Remove the dummy's head-neck assembly, arms, and lower legs, 
clean and dry all component surfaces, and seat the dummy upright on a 
seat as specified in Figure 42.
    (2) Adjust the dummy by--
    (i) Tightening the femur ballflange screws at each hip socket joint 
to 50 inch-pounds torque;
    (ii) Attaching the pelvis to the seating surface by a bolt D/605 as 
shown in Figure 42.
    (iii) Attaching the upper legs at the knee joints by the attachments 
shown in drawing Figure 42.
    (iv) Tightening the mountings so that the pelvis-lumbar joining 
surface is horizontal; and
    (v) Removing the head and neck, and installing a cylindrical 
aluminum adapter (neck adapter) of 2.0 inches diameter and 2.60 inches 
length as shown in Figure 42.
    (3) The initial position of the dummy's torso is defined by the 
plane formed by the rear surfaces of the shoulders and buttocks which is 
three to seven degrees forward of the transverse vertical plane.
    (4) Flex the thorax forward 50 degrees and then rearward as 
necessary to return the dummy to its initial torso position, unsupported 
by external means.
    (5) Apply a forward pull force in the midsagittal plane at the top 
of the neck adapter so that when the lumbar spine flexion is 40 degrees, 
the applied force is perpendicular to the thoracic spine box.
    (i) Apply the force at any torso deflection rate between 0.5 and 1.5 
degrees per second, up to 40 degrees of flexion.

[[Page 690]]

    (ii) For 10 seconds, continue to apply a force sufficient to 
maintain 40 degrees of flexion, and record the highest applied force 
during the 10 second period.
    (iii) Release all force as rapidly as possible, and measure the 
return angle 3 minutes after the release.



Sec. 572.76  Limbs assembly and test procedure.

    (a) Limbs assembly. The limbs consist of the assemblies designated 
as SA 106C 041, SA 106C 042, SA 106C 071, and SA 106C 072, on drawing 
No. SA 106C 001, sheet 2, and conform to each applicable drawing listed 
on SA 106C 001, sheets 14 through 17.
    (b) Limbs assembly impact response requirement. When each knee is 
impacted at 7.00.1 fps, according to paragraph (c) of this 
section, the maximum force on the femur shall not be more than 1060 
pounds and not less than 780 pounds, with a duration above 400 pounds of 
not less than 0.8 milliseconds.
    (c) Limbs test procedure. The test procedure for the limbs is as 
follows:
    (1) Seat and orient the dummy without back support on a seating 
surface that is 110.2 inches above a horizontal (floor) 
surface as specified in Sec. 572.78(c).
    (i) Orient the dummy as specified in Figure 43 with the hip joint 
adjustment at any setting between 1g and 2g.
    (ii) Place the dummy legs in a plane parallel to the dummy's 
midsagittal plane with the knee pivot center line perpendicular to the 
dummy's midsagittal plane, and with the feet flat on the horizontal 
(floor) surface.
    (iii) Adjust the feet and lower legs until the line between the 
midpoint of each knee pivot and each ankle pivot is within 2 degrees of 
the vertical.
    (2) If necessary, reposition the dummy so that at the level one inch 
below the seating surface, the rearmost point of the dummy's lower legs 
remains not less than 3 inches and not more than 6 inches forward of the 
forward edge of the seat.
    (3) Align the test probe specified in Sec. 572.77(a) with the 
longitudinal center line of the femur force gauge, so that at impact, 
the probe's longitudinal center line coincides with the sensor's 
longitudinal center line within 2 degrees.
    (4) Impact the knee with the test probe moving horizontally and 
parallel to the midsagittal plane at the specified velocity.
    (5) Guide the test probe during impact so that there is no 
significant lateral, vertical, or rotational movement.



Sec. 572.77  Instrumentation.

    (a)(1) Test probe. For the head, thorax, and knee impact test, use a 
test probe that is rigid, of uniform density and weighs 10 pounds and 6 
ounces, with a diameter of 3 inches; a length of 13.8 inches; and an 
impacting end that has a rigid flat right face and edge radius of 0.5 
inches.
    (2) The head and thorax assembly may be instrumented either with a 
Type A or Type B accelerometer.
    (i) Type A accelerometer is defined in drawing SA 572 S1.
    (ii) Type B accelerometer is defined in drawing SA 572 S2.
    (b) Head accelerometers. (1) Install accelerometers in the head as 
shown in drawing SA 106C 001 sheet 1 using suitable spacers or adaptors 
as needed to affix them to the horizontal transverse bulkhead so that 
the sensitive axes of the three accelerometers intersect at the point in 
the midsagittal plane located 0.4 inches below the intersection of a 
line connecting the longitudinal center lines of the roll pins in either 
side of the dummy's head with the head's midsagittal plane.
    (2) The head has three orthogonally mounted accelerometers aligned 
as follows:
    (i) Align one accelerometer so that its sensitive axis is 
perpendicular to the horizontal bulkhead in the midsagittal plane.
    (ii) Align the second accelerometer so that its sensitive axis is 
parallel to the horizontal bulkhead, and perpendicular to the 
midsagittal plane.
    (iii) Align the third accelerometer so that its sensitive axis is 
parallel to the horizontal bulkhead in the midsagittal plane.
    (iv) The seismic mass center for any of these accelerometers may be 
at any distance up to 0.4 inches from the axial intersection point.
    (c) Thoracic accelerometers. (1) Install accelerometers in the 
thoracic assembly as shown in drawing SA 106C 001,

[[Page 691]]

sheet 1, using suitable spacers and adaptors to affix them to the 
frontal surface of the spine assembly so that the sensitive axes of the 
three accelerometers intersect at a point in the midsagittal plane 
located 0.95 inches posterior of the spine mounting surface, and 0.55 
inches below the horizontal centerline of the two upper accelerometer 
mount attachment hole centers.
    (2) The sternum-thoracic assembly has three orthogonally mounted 
accelerometers aligned as follows:
    (i) Align one accelerometer so that its sensitive axis is parallel 
to the attachment surface in the midsagittal plane.
    (ii) Align the second accelerometer so that its sensitive axis is 
parallel to the attachment surface, and perpendicular to the midsagittal 
plane.
    (iii) Align the third accelerometer so that its sensitive axis is 
perpendicular to the attachment surface in the midsagittal plane.
    (iv) The seismic mass center for any of these accelerometers may be 
at any distance up to 0.4 inches of the axial intersection point.
    (d) Femur-sensing device. Install a force-sensing device SA 572-S10 
axially in each femur shaft as shown in drawing SA 106C 072 and secure 
it to the femur assembly so that the distance measured between the 
center lines of two attachment bolts is 3.00 inches.
    (e) Limb joints. Set the limb joints at lg, barely restraining the 
limb's weight when the limb is extended horizontally, and ensure that 
the force required to move the limb segment does not exceed 2g 
throughout the limb's range of motion.
    (f) Recording outputs. Record the outputs of acceleration and force-
sensing devices installed in the dummy and in the test apparatus 
specified in this part, in individual channels that conform to the 
requirements of SAE Recommended Practice J211, October 1988, with 
channel classes as set out in the following table C.

                                 Table C                                
------------------------------------------------------------------------
                  Device                               Channel          
------------------------------------------------------------------------
Head acceleration.........................  Class 1000                  
Pendulum acceleration.....................  Class 60                    
Thorax acceleration.......................  Class 180                   
Femur-force...............................  Class 600                   
------------------------------------------------------------------------

    The mountings for sensing devices shall have no resonance frequency 
within a range of 3 times the frequency range of the applicable channel 
class.



Sec. 572.78  Performance test conditions.

    (a) Conduct performance tests at any temperature from 66  deg.F to 
78  deg.F, and at any relative humidity from 10 percent to 70 percent, 
but only after having first exposed the dummy to these conditions for a 
period of not less than 4 hours.
    (b) For the performance tests specified in Sec. 572.72 (head), 
Sec. 572.74 (thorax), Sec. 572.75 (lumbar spine, abdomen, and pelvis), 
and Sec. 572.76 (limbs), position the dummy as set out in paragraph (c) 
of this section.
    (c) Place the dummy on a horizontal seating surface covered by 
teflon sheeting so that the dummy's midsagittal plane is vertical and 
centered on the test surface.
    (1) The seating surface is flat, rigid, clean, and dry, with a 
smoothness not exceeding 40 microinches, a length of at least 16 inches, 
and a width of at least 16 inches.
    (2) For head impact tests, the seating surface has a vertical back 
support whose top is 12.40.2 inches above the horizontal 
surface, and the rear surfaces of the dummy's back and buttocks touch 
the back support as shown in Figure 40.
    (3) For the thorax, lumbar spine, and knee tests, the horizontal 
surface is without a back support as shown in Figure 41 (for the 
thorax); Figure 42 (for the lumbar spine); and Figure 43 (for the knee).
    (4) Position the dummy's arms and legs so that their center lines 
are in planes parallel to the midsagittal plane.
    (5) Adjust each shoulder yoke so that with its upper surface 
horizontal, a yoke is at the midpoint of its anterior-posterior travel.
    (6) Adjust the dummy for head and knee impact tests so that the rear 
surfaces of the shoulders and buttocks are tangent to a transverse 
vertical plane.

[[Page 692]]

    (d) The dummy's dimensions are specified in drawings SA 106C 001, 
sheet 3, Revision A, July 11, 1997, and sheets 4 through 6.
    (e) Unless otherwise specified in this regulation, performance tests 
of the same component, segment, assembly or fully assembled dummy are 
separated in time by a period of not less than 20 minutes.
    (f) Unless otherwise specified in this regulation, the surfaces of 
the dummy components are not painted.
[56 FR 57836, Nov. 14, 1991, as amended at 62 FR 44227, Aug. 20, 1997]

[[Page 693]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.169


[[Page 694]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.170


[60 FR 2898, Jan. 12, 1995]

[[Page 695]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.171


[[Page 696]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.172


[[Page 697]]





                      Subpart J--9-Month Old Child

    Source:  56 FR 41080, Aug. 19, 1991, unless otherwise noted.



Sec. 572.80  Incorporated materials.

    The drawings and specifications referred to in Sec. 572.81(a) that 
are not set forth in full are hereby incorporated in this part by 
reference. These materials are thereby made part of this regulation. The 
Director of the Federal Register approved the materials incorporated by 
reference in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies 
of the materials may be obtained from Rowley-Scher Reprographics, Inc., 
1216 K Street, NW., Washington, DC 20002, telephone (202) 628-6667. 
Copies are available for inspection in the general reference section of 
Docket 89-11, Docket Section, National Highway Traffic Safety 
Administration, room 5109, 400 Seventh Street, SW., Washington, DC, or 
at the Office of the Federal Register, 800 North Capitol Street, NW., 
suite 700, Washington, DC.



Sec. 572.81  General description.

    (a) The dummy consists of: (1) The assembly specified in drawing LP 
1049/A, March 1979, which is described in its entirety by means of 
approximately 54 separate drawings and specifications, 1049/1 through 
1049/54; and (2) a parts list LP 1049/0 (5 sheets); and (3) a report 
entitled, ``The TNO P3/4 Child Dummy Users Manual,'' January 1979, 
published by Instituut voor Wegtransportmiddelen TNO.
    (b) Adjacent dummy segments are joined in a manner such that 
throughout the range of motion and also under simulated crash-impact 
conditions there is no contact between metallic elements except for 
contacts that exist under static conditions.
    (c) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in dynamic tests such as that specified in Standard No. 213 of this 
chapter (Sec. 571.213).



Sec. 572.82  Head.

    The head consists of the assembly shown in drawing LP 1049/A and 
conforms to each of the applicable drawings listed under LP 1049/0 
through 54.



Sec. 572.83  Head-neck.

    The head-neck assembly shown in drawing 1049/A consists of parts 
specified as items 1 through 16 and in item 56.



Sec. 572.84  Thorax.

    The thorax consists of the part of the torso shown in assembly 
drawing LP 1049/A and conforms to each of the applicable drawings listed 
under LP 1049/0 through 54.



Sec. 572.85  Lumbar spine flexure.

    (a) When subjected to continuously applied force in accordance with 
paragraph (b) of this section, the lumbar spine assembly shall flex by 
an amount that permits the thoracic spine to rotate from its initial 
position in accordance with Figure No. 18 of Sec. 572.21 (49 CFR part 
572) by 40 degrees at a force level of not less than 18 pounds and not 
more than 22 pounds, and straighten upon removal of the force to within 
5 degrees of its initial position.
    (b) Test procedure. (1) The lumbar spine flexure test is conducted 
on a dummy assembly as shown in drawing LP 1049/A, but with the arms 
(which consist of parts identified as items 17 through 30) and all head-
neck parts (identified as items 1 through 13 and 59 through 63), 
removed.
    (2) With the torso assembled in an upright position, adjust the 
lumbar cable by tightening the adjustment nut for the lumbar vertebrae 
until the spring is compressed to \2/3\ of its unloaded length.
    (3) Position the dummy in an upright seated position on a seat as 
indicated in Figure No. 18 of Sec. 572.21 (lower legs do not need to be 
removed, but must be clamped firmly to the seating surface), ensuring 
that all dummy component surfaces are clean, dry and untreated unless 
otherwise specified.
    (4) Firmly affix the dummy to the seating surface through the pelvis 
at the hip joints by suitable clamps that also prevent any relative 
motion with respect to the upper legs during the test in 
Sec. 572.65(c)(3) of this part. Install a pull attachment at the neck to 
torso

[[Page 698]]

juncture as shown in Figure 18 of Sec. 572.21.
    (5) Flex the thorax forward 50 degrees and then rearward as 
necessary to return it to its initial position.
    (6) Apply a forward pull force in the midsagittal plane at the top 
of the neck adapter so that at 40 degrees of the lumbar spine flexion 
the applied force is perpendicular to the thoracic spine box. Apply the 
force at any torso deflection rate between 0.5 and 1.5 degrees per 
second up to 40 degrees of flexion but no further; maintain 40 degrees 
of flexion for 10 seconds, and record the highest applied force during 
that time. Release all force as rapidly as possible and measure the 
return angle three minutes after release.



Sec. 572.86  Test conditions and dummy adjustment.

    (a) With the complete torso on its back lying on a horizontal 
surface and the neck assembly mounted and shoulders on the edge of the 
surface, adjust the neck such that the head bolt is lowered 0.40 
 0.05 inches (10  1 mm) after a vertically 
applied load of 11.25 pounds (50 N) applied to the head bolt is 
released.
    (b) With the complete torso on its back with the adjusted neck 
assembly as specified in Sec. 572.66(a), and lying on a horizontal 
surface with the shoulders on the edge of the surface, mount the head 
and tighten the head bolt and nut firmly, with the head in horizontal 
position. Adjust the head joint at the force between 1-2g, which just 
supports the head's weight.
    (c) Using the procedures described below, limb joints are set at the 
force between 1-2g, which just supports the limbs' weight when the limbs 
are extended horizontally forward:
    (1) With the complete torso lying with its front down on a 
horizontal surface, with the hip joint just over the edge of the 
surface, mount the upper leg and tighten hip joint nut firmly. Adjust 
the hip joint by releasing the hip joint nut until the upper leg just 
starts moving.
    (2) With the complete torso and upper leg lying with its front up on 
a horizontal surface, with the knee joint just over the edge of the 
surface, mount the lower leg and tighten knee joint firmly. Adjust the 
knee joint by releasing the knee joint nut until the lower leg just 
starts moving.
    (3) With the torso in an upright position, mount the upper arm and 
tighten firmly the adjustment bolts for the shoulder joint with the 
upper arm placed in a horizontal position. Adjust the shoulder joint by 
releasing the shoulder joint nut until the upper arm just starts moving.
    (4) With the complete torso in an upright position and upper arm in 
a vertical position, mount the forearm in a horizontal position and 
tighten the elbow hinge bolt and nut firmly. Adjust the elbow joint nut 
until the forearm just starts moving.
    (d) With the torso assembled in an upright position, the adjustment 
nut for the lumbar vertebrae is tightened until the spring is compressed 
to \2/3\ of its unloaded length.
    (e) Performance tests are conducted at any temperature from 66 to 78 
degrees F and at any relative humidity from 10 percent to 70 percent 
after exposure of the dummy to these conditions for a period of not less 
than four hours.
    (f) Performance tests of the same component, segment, assembly or 
fully assembled dummy are separated in time by a period of not less than 
20 minutes unless otherwise specified.
    (g) Surfaces of the dummy components are not painted except as 
specified in the part or in drawings incorporated by this part.



                        Subpart K--Newborn Infant

    Source:  58 FR 3232, Jan. 8, 1993, unless otherwise noted.



Sec. 572.90  Incorporation by reference.

    (a) The drawings and specifications referred to in Sec. 572.91(a) 
are hereby incorporated in subpart K by reference. These materials are 
thereby made part of this regulation. The Director of the Federal 
Register approved that materials incorporated by reference in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the materials may be 
inspected at NHTSA's Docket Section, 400 Seventh Street, SW., room 5109, 
Washington, DC, or at the Office of the

[[Page 699]]

Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC.
    (b) The incorporated material is available as follows:
    (1) Drawing numbers 126-0000 through 126-0015 (sheets 1 through 3), 
126-0017 through 126-0027, and a parts list entitled ``Parts List for 
CAMI Newborn Dummy,'' are available from Reprographic Technologies, 1111 
14th Street, NW., Washington, DC 20005. (202) 628-6667.
    (2) A construction manual entitled, ``Construction of the Newborn 
Infant Dummy'' (July 1992) is available from Reprographic Technologies 
at the address in paragraph (b)(1) of this section.



Sec. 572.91  General description.

    (a) The representative newborn infant dummy consists of a drawings 
and specifications package that contains the following materials:
    (1) Drawing numbers 126-0000 through 126-0015 (sheets 1 through 3), 
126-0017 through 126-0027, and a parts list entitled ``Parts List for 
CAMI Newborn Dummy''; and,
    (2) A construction manual entitled, ``Construction of the Newborn 
Infant Dummy'' (July 1992).
    (b) The structural properties of the dummy are such that the dummy 
conforms to this part in every respect both before and after being used 
in dynamic tests specified in Standard No. 213 of this chapter 
(Sec. 571.213).



                     Subpart L--Free Motion Headform

    Source:  60 FR 43058, Aug. 18, 1995, unless otherwise noted.



Sec. 572.100  Incorporation by Reference.

    (a) The drawings and specifications referred to in Sec. 572.101 are 
hereby incorporated in subpart L by reference. These materials are 
thereby made part of this regulation. The Director of the Federal 
Register approved the materials incorporated by reference in accordance 
with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the materials may be 
inspected at NHTSA's Docket Section, 400 Seventh Street, S.W., room 
5109, Washington, DC, or at the Office of the Federal Register, 800 
North Capitol Street, N.W., Washington, DC.
    (b) The incorporated material is available as follows:
    (1) Drawing number 92041-001, ``Head Form Assembly,'' (November 30, 
1992); drawing number 92041-002, ``Skull Assembly,'' (November 30, 
1992); drawing number 92041-003, ``Skull Cap Plate Assembly,'' (November 
30, 1992); drawing number 92041-004, ``Skull Cap Plate,'' (November 30, 
1992); drawing number 92041-005, ``Threaded Pin,'' (November 30, 1992); 
drawing number 92041-006, ``Hex Nut,'' (November 30, 1992); drawing 
number 92041-008, ``Head Skin without Nose,'' (November 30, 1992, as 
amended March 6, 1995); drawing number 92041-009, ``Six-Axis Load Cell 
Simulator Assembly,'' (November 30, 1992); drawing number 92041-011, 
``Head Ballast Weight,'' (November 30, 1992); drawing number 92041-018, 
``Head Form Bill of Materials,'' (November 30, 1992); drawing number 
78051-148, ``Skull-Head (cast) Hybrid III,'' (May 20, 1978, as amended 
August 17, 1978); drawing number 78051-228/78051-229, ``Skin- Hybrid 
III,'' (May 20, 1978, as amended through September 24, 1979); drawing 
number 78051-339, ``Pivot Pin-Neck Transducer,'' (May 20, 1978, as 
amended May 14, 1986); drawing number 78051-372, ``Vinyl Skin 
Formulation Hybrid III,'' (May 20, 1978); and drawing number C-1797, 
``Neck Blank, (August 1, 1989); drawing number SA572-S4, ``Accelerometer 
Specification,'' (November 30, 1992), are available from Reprographic 
Technologies, 1111 14th Street, N.W., Washington, DC 20005.
    (2) A user's manual entitled ``Free-Motion Headform User's Manual,'' 
version 2, March 1995, is available from NHTSA's Docket Section at the 
address in paragraph (a) of this section.
    (3) SAE Recommended Practice J211, OCT 1988, ``Instrumentation for 
Impact Tests,'' Class 1000, is available from The Society of Automotive 
Engineers, Inc., 400 Commonwealth Drive, Warrendale, PA 15096.



Sec. 572.101  General description.

    (a) The free motion headform consists of the component assembly 
which is shown in drawings 92041-001 (incorporated by reference; see 
Sec. 572.100), 92041-002 (incorporated by reference; see Sec. 572.100), 
92041-003 (incorporated by

[[Page 700]]

reference; see Sec. 572.100), 92041-004 (incorporated by reference; see 
Sec. 572.100), 92041-005 (incorporated by reference; see Sec. 572.100), 
92041-006 (incorporated by reference; see Sec. 572.100), 92041-008 
(incorporated by reference; see Sec. 572.100), 92041-009 (incorporated 
by reference; see Sec. 572.100), 92041-011 (incorporated by reference; 
see Sec. 572.100), 78051-148 (incorporated by reference; see 
Sec. 572.100), 78051-228/78051-229 (incorporated by reference; see 
Sec. 572.100), 78051-339 (incorporated by reference; see Sec. 572.100), 
78051-372 (incorporated by reference; see Sec. 572.100), C-1797 
(incorporated by reference; see Sec. 572.100), and SA572-S4 
(incorporated by reference; see Sec. 572.100).
    (b) Disassembly, inspection, and assembly procedures, and sign 
convention for the signal outputs of the free motion headform 
accelerometers, are set forth in the Free-Motion Headform User's Manual 
(incorporated by reference; see Sec. 572.100).
    (c) The structural properties of the headform are such that it 
conforms to this part in every respect both before and after being used 
in the test specified in Standard No. 201 of this chapter 
(Sec. 571.201).
    (d) The outputs of accelerometers installed in the headform are 
recorded in individual data channels that conform to the requirements of 
SAE Recommended Practice J211, OCT 1988, ``Instrumentation for Impact 
Tests,'' Class 1000 (incorporated by reference; see Sec. 572.100).



Sec. 572.102  Drop test.

    (a) When the headform is dropped from a height of 14.8 inches in 
accordance with paragraph (b) of this section, the peak resultant 
accelerations at the location of the accelerometers mounted in the 
headform as shown in drawing 92041-001 (incorporated by reference; see 
Sec. 572.100) shall not be less than 225g, and not more than 275g. The 
acceleration/time curve for the test shall be unimodal to the extent 
that oscillations occurring after the main acceleration pulse are less 
than ten percent (zero to peak) of the main pulse. The lateral 
acceleration vector shall not exceed 15g (zero to peak).
    (b) Test procedure.
    (1) Soak the headform in a test environment at any temperature 
between 19 degrees C. to 26 degrees C. and at a relative humidity from 
10 percent to 70 percent for a period of at least four hours prior to 
its use in a test.
    (2) Clean the headform's skin surface and the surface of the impact 
plate with 1,1,1 Trichloroethane or equivalent.
    (3) Suspend the headform, as shown in Figure 50. Position the 
forehead below the chin such that the skull cap plate is at an angle of 
28.5 0.5 degrees with the impact surface when the 
midsagittal plane is vertical.
    (4) Drop the headform from the specified height by means that ensure 
instant release onto a rigidly supported flat horizontal steel plate, 
which is 2 inches thick and 2 feet square. The plate shall have a clean, 
dry surface and any microfinish of not less than 8 microinches 203.2 X 
10-6 mm (rms) and not more than 80 microinches 2032 X 
10-6 mm (rms).
    (5) Allow at least 3 hours between successive tests on the same 
headform.



Sec. 572.103  Test conditions and instrumentation.

    (a) Headform accelerometers shall have dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 (incorporated by reference; see Sec. 572.100) and be mounted in 
the headform as shown in drawing 92041-001 (incorporated by reference; 
see Sec. 572.100).
    (b) The outputs of accelerometers installed in the headform are 
recorded in individual data channels that conform to the requirements of 
SAE Recommended Practice J211, OCT 1988, ``Instrumentation for Impact 
Tests,'' Class 1000 (incorporated by reference; see Sec. 572.100).
    (c) Coordinate signs for instrumentation polarity conform to the 
sign convention shown in the Free-Motion Headform User's Manual 
(incorporated by reference; see Sec. 572.100).
    (d) The mountings for accelerometers shall have no resonant 
frequency within a range of 3 times the frequency range of the 
applicable channel class.

[[Page 701]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.173


[60 FR 43060, Aug. 18, 1995]

[[Page 702]]



PART 573--DEFECT AND NONCOMPLIANCE REPORTS--Table of Contents




Sec.
573.1  Scope.
573.2  Purpose.
573.3  Application.
573.4  Definitions.
573.5  Defect and noncompliance information report.
573.6  Quarterly reports.
573.7  Lists of purchasers, owners, lessors and lessees.
573.8  Notices, bulletins, and other communications.
573.9  Address for submitting required reports and other information.

    Authority:  49 U.S.C. 30102-103, 30112, 30117-121, 30166-167; 
delegation of authority at 49 CFR 1.50.

    Source:  43 FR 60169, Dec. 26, 1978, unless otherwise noted.



Sec. 573.1  Scope.

    This part specifies requirements for manufacturers to maintain lists 
of purchasers and owners notified of defective and noncomplying motor 
vehicles and motor vehicle original and replacement equipment, and for 
reporting to the National Highway Traffic Safety Administration defects 
in motor vehicles and motor vehicle equipment, for reporting 
nonconformities to motor vehicle safety standards, for providing 
quarterly reports on defect and noncompliance notification campaigns, 
and for providing copies to NHTSA of communications with distributors, 
dealers, and purchasers regarding defects and noncompliances.
[43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979]



Sec. 573.2  Purpose.

    The purpose of this part is to inform NHTSA of defective and 
noncomplying motor vehicles and items of motor vehicle equipment, and to 
obtain information for NHTSA on the adequacy of manufacturers' defect 
and noncompliance notification campaigns, on corrective action, on owner 
response, and to compare the defect incidence rate among different 
groups of vehicles.



Sec. 573.3  Application.

    (a) This part applies to manufacturers of complete motor vehicles, 
incomplete motor vehicles, and motor vehicle orginal and replacement 
equipment, with respect to all vehicles and equipment that have been 
transported beyond the direct control of the manufacturer.
    (b) In the case of a defect or noncompliance decided to exist in a 
motor vehicle or equipment item imported into the United States, 
compliance with Secs. 573.5 and 573.6 by either the fabricating 
manufacturer or the importer of the vehicle or equipment item shall be 
considered compliance by both.
    (c) In the case of a defect or noncompliance decided to exist in a 
vehicle manufactured in two or more stages, compliance with Secs. 573.5 
and 573.6 by either the manufacturer of the incomplete vehicle or any 
subsequent manufacturer of the vehicle shall be considered compliance by 
all manufacturers.
    (d) In the case of a defect or noncompliance decided to exist in an 
item of replacement equipment (except tires) compliance with Secs. 573.5 
and 573.6 by the brand name or trademark owner shall be considered 
compliance by the manufacturer. Tire brand name owners are considered 
manufacturers (49 U.S.C. 10102(b)(1)(E)) and have the same reporting 
requirements as manufacturers.
    (e) In the case of a defect or noncompliance decided to exist in an 
item of original equipment used in the vehicles of only one vehicle 
manufacturer, compliance with Secs. 573.5 and 573.6 by either the 
vehicle or equipment manufacturer shall be considered compliance by 
both.
    (f) In the case of a defect or noncompliance decided to exist in 
original equipment installed in the vehicles of more than one 
manufacturer, compliance with Sec. 573.5 is required of the equipment 
manufacturer as to the equipment item, and of each vehicle manufacturer 
as to the vehicles in which the equipment has been installed. Compliance 
with Sec. 573.6 is required of the manufacturer who is conducting the 
recall campaign.
[43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995]



Sec. 573.4  Definitions.

    For purposes of this part:

[[Page 703]]

    Act means 49 U.S.C. Chapter 301.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration or his delegate.
    First purchaser means first purchaser for purposes other than 
resale.
    Leased motor vehicle means any motor vehicle that is leased to a 
person for a term of at least four months by a lessor who has leased 
five or more vehicles in the twelve months preceding the date of 
notification by the vehicle manufacturer of the existence of a safety-
related defect or noncompliance with a Federal motor vehicle safety 
standard in the motor vehicle.
    Lessee means a person who is the lessee of a leased motor vehicle as 
defined in this section.
    Lessor means a person or entity that is the owner, as reflected on 
the vehicle's title, of any five or more leased vehicles (as defined in 
this section), as of the date of notification by the manufacturer of the 
existence of a safety-related defect or noncompliance with a Federal 
motor vehicle safety standard in one or more of the leased motor 
vehicles.
    Readable form means a form readable by the unassisted eye or 
readable by machine. If readable by machine, the submitting party must 
obtain written confirmation from the Office of Defects Investigation 
immediately prior to submission that the machine is readily available to 
NHTSA. For all similar information responses, once a manufacturer has 
obtained approval for the original response in that form, it will not 
have to obtain approval for future submissions in the same form. In 
addition, all coded information must be accompanied by an explanation of 
the codes used.
[43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995]



Sec. 573.5  Defect and noncompliance information report.

    (a) Each manufacturer shall furnish a report to the NHTSA for each 
defect in his vehicles or in his items of original or replacement 
equipment that he or the Administrator determines to be related to motor 
vehicle safety, and for each noncompliance with a motor vehicle safety 
standard in such vehicles or items of equipment which either he or the 
Administrator determines to exist.
    (b) Each report shall be submitted not more than 5 working days 
after a defect in a vehicle or item of equipment has been determined to 
be safety related, or a noncompliance with a motor vehicle safety 
standard has been determined to exist. Information required by paragraph 
(c) of this section that is not available within that period shall be 
submitted as it becomes available. Each manufacturer submitting new 
information relative to a previously submitted report shall refer to the 
notification campaign number when a number has been assigned by the 
NHTSA.
    (c) Each manufacturer shall include in each report the information 
specified below.
    (1) The manufacturer's name: The full corporate or individual name 
of the fabricating manufacturer and any brand name or trademark owner of 
the vehicle or item of equipment shall be spelled out, except that such 
abbreviations as ``Co.'' or ``Inc.'', and their foreign equivalents, and 
the first and middle initials of individuals, may be used. In the case 
of a defect or noncompliance decided to exist in an imported vehicle or 
item of equipment, the agency designated by the fabricating manufacturer 
pursuant to 49 U.S.C. section 30164(a) shall be also stated. If the 
fabricating manufacturer is a corporation that is controlled by another 
corporation that assumes responsibility for compliance with all 
requirements of this part the name of the controlling corporation may be 
used.
    (2) Identification of the vehicles or items of motor vehicle 
equipment potentially containing the defect or noncompliance, including 
a description of the manufacturer's basis for its determination of the 
recall population and a description of how the vehicles or items of 
equipment to be recalled differ from similar vehicles or items of 
equipment that the manufacturer has not included in the recall.
    (i) In the case of passenger cars, the identification shall be by 
the make, line, model year, the inclusive dates (month and year) of 
manufacture, and any other information necessary to describe the 
vehicles.

[[Page 704]]

    (ii) In the case of vehicles other than passenger cars, the 
identification shall be by body style or type, inclusive dates (month 
and year) of manufacture and any other information necessary to describe 
the vehicles, such as GVWR or class for trucks, displacement (cc) for 
motorcycles, and number of passengers for buses.
    (iii) In the case of items of motor vehicle equipment, the 
identification shall be by the generic name of the component (tires, 
child seating systems, axles, etc.), part number, size and function if 
applicable, the inclusive dates (month and year) of manufacture if 
available and any other information necessary to describe the items.
    (iv) In the case of motor vehicles or items of motor vehicle 
equipment in which the component that contains the defect or 
noncompliance was manufactured by a different manufacturer from the 
reporting manufacturer, the reporting manufacturer shall identify the 
component and the manufacturer of the component by name, business 
address, and business telephone number. If the reporting manufacturer 
does not know the identity of the manufacturer of the component, it 
shall identify the entity from which it was obtained.
    (v) In the case of items of motor vehicle equipment, the 
manufacturer of the equipment shall identify by name, business address, 
and business telephone number every manufacturer that purchases the 
defective or noncomplying component for use or installation in new motor 
vehicles or new items of motor vehicle equipment.
    (3) The total number of vehicles or items of equipment potentially 
containing the defect or noncompliance, and where available the number 
of vehicles or items of equipment in each group identified pursuant to 
paragraph (c)(2) of this section.
    (4) The percentage of vehicles or items of equipment specified 
pursuant to paragraph (c)(2) of this section estimated to actually 
contain the defect or noncompliance.
    (5) A description of the defect or noncompliance, including both a 
brief summary and a detailed description, with graphic aids as 
necessary, of the nature and physical location (if applicable) of the 
defect or noncompliance.
    (6) In the case of a defect, a chronology of all principal events 
that were the basis for the determination that the defect related to 
motor vehicle safety, including a summary of all warranty claims, field 
or service reports, and other information, with their dates of receipt.
    (7) In the case of a noncompliance, the test results or other data 
on the basis of which the manufacturer determined the existence of the 
noncompliance.
    (8)(i) A description of the manufacturer's program for remedying the 
defect or noncompliance. The manufacturer's program will be available 
for inspection in the public docket, Room 5109, Nassif Building, 400 
Seventh St., SW., Washington, DC 20950.
    (ii) The estimated date on which it will begin sending notifications 
to owners that there is a safety-related defect or noncompliance and 
that a remedy without charge will be available, and the estimated date 
on which it will have completed such notification. If a manufacturer 
subsequently becomes aware that either the beginning or the completion 
date reported to the agency will be delayed by more than two weeks, it 
shall promptly advise the agency of the delay and the reasons therefor, 
and furnish a revised estimate.
    (iii) If a manufacturer intends to file a petition for an exemption 
from the recall requirements of the Act on the basis that a defect or 
noncompliance is inconsequential as it relates to motor vehicle safety, 
it shall notify NHTSA of that intention in its report to NHTSA of the 
defect or noncompliance under this section. If such a petition is filed 
and subsequently denied, the manufacturer shall provide the information 
required by paragraph (c)(8)(ii) of this section within five Federal 
government business days from the date the petition denial is published 
in the Federal Register.
    (iv) If a manufacturer advises NHTSA that it intends to file such a 
petition for exemption from the notification and remedy requirements on 
the grounds that the defect or noncompliance is inconsequential as it 
relates to

[[Page 705]]

motor vehicle safety, and does not do so within the 30-day period 
established by 49 CFR 556.4(c), the manufacturer must submit the 
information required by paragraph (c)(8)(ii) of this section no later 
than the end of that 30-day period.
    (9) A representative copy of all notices, bulletins, and other 
communications that relate directly to the defect or noncompliance and 
are sent to more than one manufacturer, distributor, dealer, or 
purchaser. These copies shall be submitted to the NHTSA not later than 5 
days after they are initially sent to manufacturers, distributors, 
dealers, or purchasers. In the case of any notification sent by the 
manufacturer pursuant to part 577 of this chapter, the copy of the 
notification shall be submitted by certified mail.
    (10) Except as authorized by the Administrator, the manufacturer 
shall submit a copy of its proposed owner notification letter to the 
Office of Defects Investigation (``ODI'') no fewer than five Federal 
government business days before it intends to begin mailing it to 
owners. Submission shall be made by any means which permits the 
manufacturer to verify promptly that the copy of the proposed letter was 
in fact received by ODI and the date it was received by ODI.
    (11) The manufacturer's campaign number, if it is not identical to 
the identification number assigned by NHTSA.
[43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979; 48 
FR 44081, Sept. 27, 1983; 60 FR 17268, Apr. 5, 1995; 61 FR 278, Jan. 4, 
1996]



Sec. 573.6  Quarterly reports.

    (a) Each manufacturer who is conducting a defect or noncompliance 
notification campaign to manufacturers, distributors, dealers, or owners 
shall submit to NHTSA a report in accordance with paragraphs (b), (c), 
and (d) of this section. Unless otherwise directed by the NHTSA, the 
information specified in paragraphs (b)(1) through (5) of this section 
shall be included in the quarterly report, with respect to each 
notification campaign, for each of six consecutive quarters beginning 
with the quarter in which the campaign was initiated (i.e., the date of 
initial mailing of the defect or noncompliance notification to owners) 
or corrective action has been completed on all defective or noncomplying 
vehicles or items of replacement equipment involved in the campaign, 
whichever occurs first.
    (b) Each report shall include the following information identified 
by and in the order of the subparagraph headings of this paragraph.
    (1) The notification campaign number assigned by NHTSA.
    (2) The date notification began and the date completed.
    (3) The number of vehicles or items of equipment involved in the 
notification campaign.
    (4) The number of vehicles and equipment items which have been 
inspected and repaired and the number of vehicles and equipment items 
inspected and determined not to need repair.
    (5) The number of vehicles or items of equipment determined to be 
unreachable for inspection due to export, theft, scrapping, failure to 
receive notification, or other reasons (specify). The number of vehicles 
or items or equipment in each category shall be specified.
    (6) In reports by equipment manufacturers, the number of items of 
equipment repaired and/or returned by dealers, other retailers, and 
distributors to the manufacturer prior to their first sale to the 
public.
    (c) Information supplied in response to the paragraphs (b)(4) and 
(5) of this section shall be cumulative totals.
    (d) The reports required by this section shall be submitted in 
accordance with the following schedule, except that if the due date 
specified below falls on a Saturday, Sunday or Federal holiday, the 
report shall be submitted on the next day that is a business day for the 
Federal government:
    (1) For the first calendar quarter (January 1 through March 31), on 
or before April 30;
    (2) For the second calendar quarter (April 1 through June 30), on or 
before July 30;
    (3) For the third calendar quarter (July 1 through September 30), on 
or before October 30; and

[[Page 706]]

    (4) For the fourth calendar quarter (October 1 through December 31), 
on or before January 30.
[51 FR 398, Jan. 6, 1986, as amended at 60 FR 17269, Apr. 5, 1995]



Sec. 573.7  Lists of purchasers, owners, lessors and lessees.

    (a) Each manufacturer of motor vehicles shall maintain, in a form 
suitable for inspection such as computer information storage devices or 
card files, a list of the names and addresses of the registered owners, 
as determined through State motor vehicle registration records or other 
sources, or the most recent purchasers where the registered owners are 
unknown, for all vehicles involved in a defect or noncompliance 
notification campaign initiated after the effective date of this part. 
The list shall include the vehicle identification number for each 
vehicle and the status of remedy with respect to each vehicle, updated 
as of the end of each quarterly reporting period specified in 
Sec. 573.6. Each list shall be retained, beginning with the date on 
which the defect or noncompliance information report required by 
Sec. 573.5 is initially submitted to the NHTSA, for 5 years.
    (b) Each manufacturer (including brand name owners) of tires shall 
maintain, in a form suitable for inspection such as computer information 
storage devices or card files, a list of the names and addresses of the 
first purchasers of his tires for all tires involved in a defect or 
noncompliance notification campaign initiated after the effective date 
of this part. The list shall include the tire identification number of 
all tires and shall show the status of remedy with respect to each owner 
involved in each notification campaign, updated as of the end of each 
quarterly reporting period specified in Sec. 573.6. Each list shall be 
retained, beginning with the date on which the defect information report 
is initially submitted to the NHTSA, for 3 years.
    (c) For each item of equipment involved in a defect or noncompliance 
notification campaign initiated after the effective date of this part, 
each manufacturer of motor vehicle equipment other than tires shall 
maintain, in a form suitable for inspection, such as computer 
information storage devices or card files, a list of the names and 
addresses of each distributor and dealer of such manufacturer, each 
motor vehicle or motor vehicle equipment manufacturer and most recent 
purchaser known to the manufacturer to whom a potentially defective or 
noncomplying item of equipment has been sold and to whom notification is 
sent, the number of such items sold to each, and the date of shipment. 
The list shall show as far as is practicable the number of items 
remedied or returned to the manufacturer and the dates of such remedy or 
return. Each list shall be retained, beginning with the date on which 
the defect report required by Sec. 573.5 is initially submitted to the 
NHTSA for 5 years.
    (d) Each lessor of leased motor vehicles that receives a 
notification from the manufacturer of such vehicles that the vehicle 
contains a safety-related defect or fails to comply with a Federal motor 
vehicle safety standard shall maintain, in a form suitable for 
inspection, such as computer information storage devices or card files, 
a list of the names and addresses of all lessees to which the lessor has 
provided notification of a defect or noncompliance pursuant to 49 CFR 
577.5(h). The list shall also include the make, model, model year, and 
vehicle identification number of each such leased vehicle, and the date 
on which the lessor mailed notification of the defect or noncompliance 
to the lessee. The information required by this paragraph must be 
retained by the lessor for one calendar year from the date the vehicle 
lease expires.
[43 FR 60169, Dec. 26, 1978, as amended at 44 FR 20437, Apr. 5, 1979; 60 
FR 17269, Apr. 5, 1995; 61 FR 278, Jan. 4, 1996]



Sec. 573.8  Notices, bulletins, and other communications.

    Each manufacturer shall furnish to the NHTSA a copy of all notices, 
bulletins, and other communications (including those transmitted by 
computer, telefax or other electronic means, and including warranty and 
policy extension communiques and product improvement bulletins), other 
than those required to be submitted

[[Page 707]]

pursuant to Sec. 573.5(c)(9), sent to more than one manufacturer, 
distributor, dealer, lessor, lessee, or purchaser, regarding any defect 
in its vehicles or items of equipment (including any failure or 
malfunction beyond normal deterioration in use, or any failure of 
performance, or any flaw or unintended deviation from design 
specifications), whether or not such defect is safety-related. Copies 
shall be in readable form and shall be submitted monthly, not more than 
five (5) working days after the end of each month.
[60 FR 17270, Apr. 5, 1995]



Sec. 573.9  Address for submitting required reports and other information.

    All required reports and other information, except as otherwise 
required by this part, shall be submitted to the Associate Administrator 
for Enforcement, National Highway Traffic Safety Administration, 
Washington, DC 20590.



PART 574--TIRE IDENTIFICATION AND RECORDKEEPING--Table of Contents




Sec.
574.1  Scope.
574.2  Purpose.
574.3  Definitions.
574.4  Applicability.
574.5  Tire identification requirements.
574.6  Identification mark.
574.7  Information requirements--new tire manufacturers, new tire brand 
          name owners.
574.8  Information requirements--tire distributors and dealers.
574.9  Requirements for motor vehicle dealers.
574.10  Requirements for motor vehicle manufacturers.

    Authority:  15 U.S.C. 1392, 1401, 1403, 1407, 1411-1420, 1421; 
delegation of authority at 49 CFR 1.50.

    Editorial Note: An interpretation of manufacturer's designee issued 
by NHTSA and published at 36 FR 9780, May 28, 1971, provides as follows:

    ``A request for an interpretation has been received from the Rubber 
Manufacturers Association asking that it be made clear that, under the 
Tire Identification and Recordkeeping Regulation (part 574), 
particularly Secs. 574.7 and 574.8, only the tire manufacturer, brand 
name owner, or retreader may designate a third party to provide the 
necessary recording forms or to maintain the records required by the 
regulation.
    ``Another person has requested an interpretation concerning the 
questions whether: (1) A tire manufacturer, brand name owner or 
retreader may designate one or more persons to be its designee for the 
purpose of maintaining the information, (2) an independent distributor 
or dealer may select a designee for the retention of the manufacturer's 
records, provided the manufacturer approves the designation, and (3) the 
independent distributor or dealer may seek administrative relief in the 
event he believes the information retained by the manufacturer is being 
used to his detriment.
    ``Under section 113(f) of the National Traffic and Motor Vehicle 
Safety Act (15 U.S.C. 1402(f) and part 574, it is the tire manufacturer 
who has the ultimate responsibility for maintaining the records of first 
purchasers. Therefore, it is the tire manufacturer or his designee who 
must maintain these records. The term designee, as used in the 
regulation, was not intended to preclude multiple designees; if the tire 
manufacturer desires, he may designate more than one person to maintain 
the required information. Furthermore, neither the Act nor the 
regulation prohibits the distributor or dealer from being the 
manufacturer's designee nor do they prohibit a distributor or dealer 
from selecting someone to be the manufacturer's designee provided the 
manufacturer approves of the selection.
    ``With respect to the possibility of manufacturers using the 
maintained information to the detriment of a distributor or dealer, the 
NHTSA will of course investigate claims by distributors or dealers of 
alleged misconduct and, if the maintained information is being misused, 
take appropriate action.
    ``Issued under the authority of sections 103, 113, and 119 of the 
National Traffic and Motor Vehicle Safety Act, 15 U.S.C. 1392, 1402, and 
1407, and the delegation of authority at 49 CFR 1.51.''



Sec. 574.1  Scope.

    This part sets forth the method by which new tire manufacturers and 
new tire brand name owners shall identify tires for use on motor 
vehicles and maintain records of tire purchasers, and the methods by 
which retreaders and retreaded tire brand name owners shall identify 
tires for use on motor vehicles. This part also sets forth the methods 
by which independent tire dealers and distributors shall record, on 
registration forms, their names and addresses and the identification 
number of the tires sold to tire purchasers

[[Page 708]]

and provide the forms to the purchasers, so that the purchasers may 
report their names to the new tire manufacturers and new tire brand name 
owners, and by which other tire dealers and distributors shall record 
and report the names of tire purchasers to the new tire manufacturers 
and new tire brand name owners.

(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 
1407, and 1421); sec. 4, Pub. L. 97-311, 96 Stat. 1619 (15 U.S.C. 1418); 
and delegation of authority at 49 CFR 1.50)
[49 FR 4760, Feb. 8, 1984]



Sec. 574.2  Purpose.

    The purpose of this part is to facilitate notification to purchasers 
of defective or nonconforming tires, pursuant to Sections 30118 and 
30119 of Title 49, United States Code, so that they may take appropriate 
action in the interest of motor vehicle safety.
[61 FR 29495, June 11, 1996]



Sec. 574.3  Definitions.

    (a) Statutory definitions. All terms in this part that are defined 
in Section 30102 of Title 49, United States Code, are used as defined 
therein.
    (b) Motor vehicle safety standard definitions. Unless otherwise 
indicated, all terms used in this part that are defined in the Motor 
Vehicle Safety Standards, part 571 of this subchapter (hereinafter the 
Standards), are used as defined therein.
    (c)(1) Independent means, with respect to a tire distributor or 
dealer, one whose business is not owned or controlled by a tire 
manufacturer or brand name owner.
    (2) Mileage contract purchaser means a person who purchases or 
leases tire use on a mileage basis.
    (3) New tire brand name owner means a person, other than a new tire 
manufacturer, who owns or has the right to control the brand name of a 
new tire or a person who licenses another to purchase new tires from a 
new tire manufacturer bearing the licensor's brand name.
    (4) Retreaded tire brand name owner means a person, other than a 
retreader, who owns or has the right to control the brand name of a 
retreaded tire or a person who licenses another to purchase retreaded 
tires from a retreader bearing the licensor's brand name.
    (5) Tire purchaser means a person who buys or leases a new tire, or 
who buys or leases for 60 days or more a motor vehicle containing a new 
tire for purposes other than resale.

(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 
1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93-492, 88 
Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C. 1418); 
delegation of authority at 49 CFR 1.51)
[36 FR 1197, Jan. 26, 1971, as amended at 44 FR 7964, Feb. 8, 1979; 49 
FR 38612, Oct. 1, 1984; 61 FR 29495, June 11, 1996]



Sec. 574.4  Applicability.

    This part applies to manufacturers, brand name owners, retreaders, 
distributors, and dealers of new and retreaded tires, and new non-
pneumatic tires and non-pneumatic tire assemblies for use on motor 
vehicles manufactured after 1948 and to manufacturers and dealers of 
motor vehicles manufactured after 1948. However, it does not apply to 
persons who retread tires solely for their own use.
[36 FR 5422, Mar. 23, 1971, as amended at 55 FR 29596, July 20, 1990]



Sec. 574.5  Tire identification requirements.

    Each tire manufacturer shall conspicuously label on one sidewall of 
each tire it manufactures, except tires manufactured exclusively for 
mileage-contract purchasers, or non-pneumatic tires or non-pneumatic 
tire assemblies, by permanently molding into or onto the sidewall, in 
the manner and location specified in Figure 1, a tire identification 
number containing the information set forth in paragraphs (a) through 
(d) of this section. Each tire retreader, except tire retreaders who 
retread tires solely for their own use, shall conspicuously label one 
sidewall of each tire it retreads by permanently molding or branding 
into or onto the sidewall, in the manner and location specified in 
Figure 2, a tire identification number containing the information set 
forth in paragraphs (a) through (d) of this section. In addition, the 
DOT symbol required by Federal Motor Vehicle Safety Standards shall be 
located as shown in Figures 1 and 2. The DOT symbol shall not appear on 
tires to

[[Page 709]]

which no Federal Motor Vehicle Safety Standard is applicable, except 
that the DOT symbol on tires for use on motor vehicles other than 
passenger cars may, prior to retreading, be removed from the sidewall or 
allowed to remain on the sidewall, at the retreader's option. The 
symbols to be used in the tire identification number for tire 
manufacturers and retreaders are: ``A, B, C, D, E, F, H, J, K, L, M, N, 
P, R, T, U, V, W, X, Y, 1, 2, 3, 4, 5, 6, 7, 8, 9, 0''. Tires 
manufactured or retreaded exclusively for mileage-contract purchasers 
are not required to contain a tire identification number if the tire 
contains the phrase ``for mileage contract use only'' permanently molded 
into or onto the tire sidewall in lettering at least one-quarter inch 
high. Each manufacturer of a non-pneumatic tire or a non-pneumatic tire 
assembly shall permanently mold, stamp or otherwise permanently mark 
into or onto one side of the non-pneumatic tire or non-pneumatic tire 
assembly a tire identification number containing the information set 
forth in paragraphs (a) through (d) of this section. In addition, the 
DOT symbol required by the Federal motor vehicle safety standards shall 
be positioned relative to the tire identification number as shown in 
Figure 1, and the symbols to be used for the other information are those 
listed above. The labeling for a non-pneumatic tire or a non-pneumatic 
tire assembly shall be in the manner specified in Figure 1 and 
positioned on the non-pneumatic tire or non-pneumatic tire assembly such 
that it is not placed on the tread or the outermost edge of the tire and 
is not obstructed by any portion of the non-pneumatic rim or wheel 
center member designated for use with that non-pneumatic tire in S4.4 of 
Standard No. 129 (49 CFR 571.129).
    (a) First grouping. The first group, of two or three symbols, 
depending on whether the tire is new or retreaded, shall represent the 
manufacturer's assigned identification mark (see Sec. 574.6).
    (b) Second grouping. For new tires, the second group, of no more 
than two symbols, shall be used to identify the tire size. For a new 
non-pneumatic tire or a non-pneumatic tire assembly, the second group, 
of not more than two symbols, shall be used to identify the non-
pneumatic tire identification code. For retreaded tires, the second 
group, of no more than two symbols, shall identify the retread matrix in 
which the tire was processed or a tire size code if a matrix was not 
used to process the retreaded tire. Each new-tire manufacturer and 
retreader shall maintain a record of each symbol used, with the 
corresponding matrix or tire size and shall provide such record to the 
NHTSA upon written request.
    (c) Third grouping. The third group, consisting of no more than four 
symbols, may be used at the option of the manufacturer or retreader as a 
descriptive code for the purpose of identifying significant 
characteristics of the tire. However, if the tire is manufactured for a 
brand name owner, one of the functions of the third grouping shall be to 
identify the brand name owner. Each manufacturer or retreader who uses 
the third grouping shall maintain a detailed record of any descriptive 
or brand name owner code used, which shall be provided to the Bureau 
upon written request.
    (d) Fourth grouping. The fourth group, of three symbols, shall 
identify the week and year of manufacture. The first two symbols shall 
identify the week of the year using ``01'' for the first full calendar 
week in each year. The final week of each year may include not more than 
6 days of the following year. The third symbol shall identify the year. 
(Example: 311 means the 31st week of 1971, or August 1 through 7, 1971; 
012 means the first week of 1972, or January 2 through 8, 1972.) The 
symbols signifying the date of manufacture shall immediately follow the 
optional descriptive code (paragraph (c) of this section). If no 
optional descriptive code is used the symbols signifying the date of 
manufacture shall be placed in the area shown in Figures 1 and 2 for the 
optional descriptive code.

[[Page 710]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.174



[[Page 711]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.175



[[Page 712]]



Sec. 574.6  Identification mark.

    To obtain the identification mark required by 574.5(a), each 
manufacturer of new or retreaded pneumatic tires, non-pneumatic tires or 
non-pneumatic tire assemblies shall apply in writing to the Office of 
Vehicle Safety Compliance, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590, identify 
itself as a tire manufacturer or retreader and furnish the following 
information:
    (a) The name, or other designation identifying the applicant, and 
its main office address.
    (b) The name, or other identifying designation, of each individual 
plant operated by the manufacturer and the address of each plant, if 
applicable.
    (c) The type of tires manufactured at each plant, e.g., pneumatic 
tires for passenger cars, buses, trucks or motorcycles; pneumatic 
retreaded tires; or non-pneumatic tires or non-pneumatic tire 
assemblies.
[55 FR 29596, July 20, 1990, as amended at 61 FR 29495, June 11, 1996]



Sec. 574.7  Information requirements--new tire manufacturers, new tire brand name owners.

    (a)(1) Each new tire manufacturer and each new tire brand name owner 
(hereinafter referred to in this section and Sec. 574.8 as ``tire 
manufacturer'') or its designee, shall provide tire registration forms 
to every distributor and dealer of its tires which offers new tires for 
sale or lease to tire purchasers.
    (2) Each tire registration form provided to independent distributors 
and dealers pursuant to paragraph (a)(1) of this section shall contain 
space for recording the information specified in paragraphs (a)(4)(i) 
through (a)(4)(iii) of this section and shall conform in content and 
format to Figures 3a and 3b. Each form shall be:
    (i) Rectangular;
    (ii) Not less than 0.007 inches thick;
    (iii) Greater than 3\1/2\ inches, but not greater than 4\1/4\ inches 
wide; and
    (iv) Greater than 5 inches, but not greater than 6 inches long.
    (3) Each tire registration form provided to distributors and dealers 
that are not independent distributors or dealers pursuant to paragraph 
(a)(1) of this section shall be similar in format and size to Figure 4 
and shall contain space for recording the information specified in 
paragraphs (a)(4)(i) through (a)(4)(iii) of this section.
    (4)(i) Name and address of the tire purchaser.
    (ii) Tire identification number.
    (iii) Name and address of the tire seller or other means by which 
the tire manufacturer can identify the tire seller.
    (b) Each tire manufacturer shall record and maintain, or have 
recorded and maintained for it by a designee, the information from 
registration forms which are submitted to it or its designee. No tire 
manufacturer shall use the information on the registration forms for any 
commercial purpose detrimental to tire distributors and dealers. Any 
tire manufacturer to which registration forms are mistakenly sent shall 
forward those registration forms to the proper tire manufacturer within 
90 days of the receipt of the forms.
    (c) Each tire manufacturer shall maintain, or have maintained for it 
by a designee, a record of each tire distributor and dealer that 
purchases tires directly from the manufacturer and sells them to tire 
purchasers, the number of tires purchased by each such distributor or 
dealer, the number of tires for which reports have been received from 
each such distributor or dealer other than an independent distributor or 
dealer, the number of tires for which reports have been received from 
each such independent distributor or dealer, the total number of tires 
for which registration forms have been submitted to the manufacturer or 
its designee, and the total number of tires sold by the manufacturer.
    (d) The information that is specified in paragraph (a)(4) of this 
section and recorded on registration forms submitted to a tire 
manufacturer or its designee shall be maintained for a period of not 
less than three years from the

[[Page 713]]

date on which the information is recorded by the manufacturer or its 
designee.

(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 
1407, and 1421); sec. 4, Pub.
L. 97-311, 96 Stat. 1619 (15 U.S.C. 1418); and delegation of authority 
at 49 CFR 1.50)
[49 FR 4760, Feb. 8, 1984; 49 FR 5621, Feb. 14, 1984, as amended at 56 
FR 49427, Sept. 30, 1991]

[[Page 714]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.176



[[Page 715]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.177



[[Page 716]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.178



[[Page 717]]



Sec. 574.8  Information requirements--tire distributors and dealers.

    (a) Independent distributors and dealers. (1) Each independent 
distributor and each independent dealer selling or leasing new tires to 
tire purchasers or lessors (hereinafter referred to in this section as 
``tire purchasers'') shall provide each tire purchaser at the time of 
sale or lease of the tire(s) with a tire registration form.
    (2) The distributor or dealer may use either the registration forms 
provided by the tire manufacturers pursuant to Sec. 574.7(a) or 
registration forms obtained from another source. Forms obtained from 
other sources shall comply with the requirements specified in 
Sec. 574.7(a) for forms provided by tire manufacturers to independent 
distributors and dealers.
    (3) Before giving the registration form to the tire purchaser, the 
distributor or dealer shall record in the appropriate spaces provided on 
that form:
    (i) The entire tire identification number of the tire(s) sold or 
leased to the tire purchaser, and
    (ii) The distributor's or dealer's name and address or other means 
of identification known to the tire manufacturer.
    (4) Multiple tire purchases or leases by the same tire purchaser may 
be recorded on a single registration form.
    (b) Other distributors and dealers. (1) Each distributor and each 
dealer, other than an independent distributor or dealer, selling new 
tires to tire purchasers shall submit the information specified in 
Sec. 574.4(a)(4) to the manufacturer of the tires sold, or to its 
designee.
    (2) Each tire distributor and each dealer, other than an independent 
distributor or dealer, shall submit registration forms containing the 
information specified in Sec. 574.7(a)(4) to the tire manufacturer, or 
person maintaining the information, not less often than every 30 days. 
However, a distributor or dealer which sells less than 40 tires, of all 
makes, types and sizes during a 30-day period may wait until he or she 
sells a total of 40 new tires, but in no event longer than six months, 
before forwarding the tire information to the respective tire 
manufacturers or their designees.
    (c) Each distributor and each dealer selling new tires to other tire 
distributors or dealers shall supply to the distributor or dealer a 
means to record the information specified in Sec. 574.7(a)(4), unless 
such a means has been provided to that distributor or dealer by another 
person or by a manufacturer.
    (d) Each distributor and each dealer shall immediately stop selling 
any group of tires when so directed by a notification issued pursuant to 
sections 151 and 152 of the Act (15 U.S.C. 1411 and 1412).

(Secs. 108, 119, and 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 
1407, and 1421); sec. 4, Pub. L. 97-311, 96 Stat. 1619 (15 U.S.C. 1418); 
and delegation of authority at 49 CFR 1.50)
[49 FR 4761, Feb. 8, 1984, as amended at 56 FR 49427, Sept. 30, 1991]



Sec. 574.9  Requirements for motor vehicle dealers.

    (a) Each motor vehicle dealer who sells a used motor vehicle for 
purposes other than resale, who leases a motor vehicle for more than 60 
days, that is equipped with new tires is considered, for purposes of 
this part, to be a tire dealer and shall meet the requirements specified 
in Sec. 574.8.
    (b) Each person selling a motor vehicle to first purchasers for 
purposes other than resale, that is equipped with new tires that were 
not on the motor vehicle when shipped by the vehicle manufacturer is 
considered a tire dealer for purposes of this part and shall meet the 
requirements specified in Sec. 574.8.

(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 
1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93-492, 88 
Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C. 1418); 
delegation of authority at 49 CFR 1.51)
[44 FR 7964, Feb. 8, 1979]



Sec. 574.10  Requirements for motor vehicle manufacturers.

    Each motor vehicle manufacturer, or his designee, shall maintain a 
record of the new tires on or in each vehicle shipped by him or a motor 
vehicle distributor or dealer, and shall maintain a record of the name 
and address of the first purchaser for purposes other than

[[Page 718]]

resale of each vehicle equipped with such tires. These records shall be 
maintained for a period of not less than 3 years from the date of sale 
of the vehicle to the first purchaser for purposes other than resale.

(Secs. 103, 108, 112, 119, 201, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 
1392, 1397, 1401, 1407, 1421); secs. 102, 103, 104, Pub. L. 93-492, 88 
Stat. 1470 (15 U.S.C. 1411-1420); 92 Stat. 2689 (15 U.S.C. 1418); 
delegation of authority at 49 CFR 1.51)
[44 FR 7964, Feb. 8, 1979]



PART 575--CONSUMER INFORMATION REGULATIONS--Table of Contents




                           Subpart A--General

Sec.
575.1  Scope.
575.2  Definitions.
575.3  Matter incorporated by reference.
575.4  Application.
575.5  Separability.
575.6  Requirements.
575.7  Special vehicles.

                  Subpart B--Consumer Information Items

575.101  [Reserved]
575.102  [Reserved]
575.103  Truck-camper loading.
575.104  Uniform tire quality grading standards.
575.105  Utility vehicles.

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



                           Subpart A--General

    Source:  35 FR 6867, Apr. 30, 1970, unless otherwise noted.



Sec. 575.1  Scope.

    This part contains Federal Motor Vehicle Consumer Information 
Regulations established under section 112(d) of the National Traffic and 
Motor Vehicle Safety Act of 1966 (15 U.S.C. 1401(d)) (hereinafter ``the 
Act'').



Sec. 575.2  Definitions.

    (a) Statutory definitions. All terms used in this part that are 
defined in section 102 of the Act are used as defined in the Act.
    (b) Motor Vehicle Safety Standard definitions. Unless otherwise 
indicated, all terms used in this part that are defined in the Motor 
Vehicle Safety Standards, part 571 of this subchapter (hereinafter ``the 
Standards''), are used as defined in the Standards without regard to the 
applicability of a standard in which a definition is contained.
    (c) Definitions used in this part.
    Brake power unit means a device installed in a brake system that 
provides the energy required to actuate the brakes, either directly or 
indirectly through an auxiliary device, with the operator action 
consisting only of modulating the energy application level.
    Lightly loaded vehicle weight means:
    (1) For a passenger car, unloaded vehicle weight plus 300 pounds 
(including driver and instrumentation), with the added weight 
distributed in the front seat area.
    (2) For a motorcycle, unloaded vehicle weight plus 200 pounds 
(including driver and instrumentation), with added weight distributed on 
the saddle and in saddle bags or other carrier.
    Maximum loaded vehicle weight is used as defined in Standard No. 
110.
    Maximum sustained vehicle speed means that speed attainable by 
accelerating at maximum rate from a standing start for 1 mile.
    Owner's manual means the document which contains the manufacturer's 
comprehensive vehicle operating and maintenance instructions, and which 
is intended to remain with the vehicle for the life of the vehicle.
    Skid number means the frictional resistance measured in accordance 
with American Society for Testing and Materials Method E-274 at 40 miles 
per hour, omitting water delivery as specified in paragraph 7.1 of that 
Method.
[35 FR 6867, Apr. 30, 1970, as amended at 38 FR 5339, Feb. 28, 1973; 48 
FR 44081, Sept. 27, 1983; 54 FR 48749, Nov. 27, 1989]



Sec. 575.3  Matter incorporated by reference.

    The incorporation by reference provisions of Sec. 571.5 of this 
subchapter apply to this part.



Sec. 575.4  Application.

    (a) General. Except as provided in paragraphs (b) through (d) of 
this section, each section set forth in subpart B of this part applies 
according to its

[[Page 719]]

terms to motor vehicles and tires manufactured after the effective date 
indicated.
    (b) Military vehicles. This part does not apply to motor vehicles or 
tires sold directly to the Armed Forces of the the United States in 
conformity with contractual specifications.
    (c) Export. This part does not apply to motor vehicles or tires 
intended solely for export and so labeled or tagged.
    (d) Import. This part does not apply to motor vehicles or tires 
imported for purposes other than resale.
[39 FR 1039, Jan. 4, 1974]



Sec. 575.5  Separability.

    If any section established in this part or its application to any 
person or circumstances is held invalid, the remainder of the part and 
the application of that section to other persons or circumstances is not 
affected thereby.



Sec. 575.6  Requirements.

    (a)(1) At the time a motor vehicle is delivered to the first 
purchaser for purposes other than resale, the manufacturer of that 
vehicle shall provide to the purchaser, in writing and in the English 
language, the information specified in Secs. 575.103 and 575.104 of this 
part that is applicable to that vehicle and its tires. The document 
provided with a vehicle may contain more than one table, but the 
document must either (1) clearly and unconditionally indicate which of 
the tables apply to the vehicle with which it is provided, or (2) 
contain a statement on its cover referring the reader to the vehicle 
certification label for specific information concerning which of the 
tables apply to that vehicle. If the manufacturer chooses option (a)(2) 
of this section, the vehicle certification label shall include such 
specific information.

    Example 1. Manufacturer X furnishes a document containing several 
tables, which apply to various groups of vehicles that it produces. The 
document contains the following notation on its front page: ``The 
information that applies to this vehicle is contained in Table 5.'' The 
notation satisfies the requirement.
    Example 2. Manufacturer Y furnishes a document containing several 
tables as in Example 1, with the following notation on its front page:
    Information applies as follows:

Model P. 6-cylinder engine--Table 1.
Model P. 8-cylinder engine--Table 2.
Model Q--Table 3.

This notation does not satisfy the requirement, since it is conditioned 
on the model or the equipment of the vehicle with which the document is 
furnished, and therefore additional information is required to select 
the proper table.

    (2)(i) At the time a motor vehicle manufactured on or after 
September 1, 1990 is delivered to the first purchaser for purposes other 
than resale, the manufacturer shall provide to the purchaser, in writing 
in the English language and not less than 10 point type, the following 
statement in the owner's manual, or, if there is no owner's manual, on a 
one-page document:

    If you believe that your vehicle has a defect which could cause a 
crash or could cause injury or death, you should immediately inform the 
National Highway Traffic Safety Administration (NHTSA) in addition to 
notifying [INSERT NAME OF MANUFACTURER].
    If NHTSA receives similar complaints, it may open an investigation, 
and if it finds that a safety defect exists in a group of vehicles, it 
may order a recall and remedy campaign. However, NHTSA cannot become 
involved in individual problems between you, your dealer, or [INSERT 
NAME OF MANUFACTURER].
    To contact NHTSA, you may either call the Auto Safety Hotline toll-
free at 1-800-424-9393 (or 366-0123 in Washington, DC area) or write to: 
NHTSA, U.S. Department of Transportation, Washington, DC 20590. You can 
also obtain other information about motor vehicle safety from the 
Hotline.

    (ii) The manufacturer shall specify in the table of contents of the 
owner's manual the location of the statement in 575.6(a)(2)(i). The 
heading in the table of contents shall state ``Reporting Safety 
Defects.''
    (b) At the time a motor vehicle tire is delivered to the first 
purchaser for a purpose other than resale, the manufacturer of that 
tire, or in the case of a tire marketed under a brand name, the brand 
name owner, shall provide to that purchaser the information specified in 
subpart B of this part that is applicable to that tire.
    (c) Each manufacturer of motor vehicles, each brand name owner of 
tires, and each manufacturer of tires for which there is no brand name 
owner

[[Page 720]]

shall provide for examination by prospective purchasers, at each 
location where its vehicles or tires are offered for sale by a person 
with whom the manufacturer or brand name owner has a contractual, 
proprietary, or other legal relationship, or by a person who has such a 
relationship with a distributor of the manufacturer or brand name owner 
concerning the vehicle or tire in question, the information specified in 
subpart B of this part that is applicable to each of the vehicles or 
tires offered for sale at that location. The information shall be 
provided without charge and in sufficient quantity to be available for 
retention by prospective purchasers or sent by mail to a prospective 
purchaser upon his request. With respect to newly introduced vehicles or 
tires, the information shall be provided for examination by prospective 
purchasers not later than the day on which the manufacturer or brand 
name owner first authorizes those vehicles or tires to be put on general 
public display and sold to consumers.
    (d)(1)(i) Except as provided in paragraph (d)(1)(ii) of this 
section, in the case of all sections of subpart B, other than 
Sec. 575.104, as they apply to information submitted prior to new model 
introduction, each manufacturer of motor vehicles shall submit to the 
Administrator 10 copies of the information specified in subpart B of 
this part that is applicable to the vehicles offered for sale, at least 
90 days before it is first provided for examination by prospective 
purchasers pursuant to paragraph (c) of this section.
    (ii) Where an unforeseen preintroduction modification in vehicle 
design or equipment results in a change in vehicle performance for a 
characteristic included in subpart B of this part, a manufacturer of 
motor vehicles may revise information previously furnished under 
paragraph (d)(1)(i) of this section by submission to the Administrator 
of 10 copies of revised information reflecting the performance changes, 
at least 30 days before information on the subject vehicles is first 
provided to prospective purchasers pursuant to paragraph (c) of this 
section.
    (2) In the case of Sec. 575.104, and all other sections of subpart B 
as they apply to post-introduction changes in information submitted for 
the current model year, each manufacturer of motor vehicles, each brand 
name owner of tires, and each manufacturer of tires for which there is 
no brand name owner shall submit to the Administrator 10 copies of the 
information specified in subpart B of this part that is applicable to 
the vehicles or tires offered for sale, at least 30 days before it is 
first provided for examination by prospective purchasers pursuant to 
paragraph (c) of this section.
[39 FR 1039, Jan. 4, 1974, as amended at 41 FR 13923, Apr. 1, 1976; 45 
FR 47153, July 14, 1980; 47 FR 7258, Feb. 18, 1982; 52 FR 27810, July 
24, 1987; 54 FR 48749, Nov. 27, 1989]



Sec. 575.7  Special vehicles.

    A manufacturer who produces vehicles having a configuration not 
available for purchase by the general public need not make available to 
ineligible purchasers, pursuant to Sec. 575.6(c), the information for 
those vehicles specified in subpart B of this part, and shall identify 
those vehicles when furnishing the information required by 
Sec. 575.6(d).
[40 FR 11727, Mar. 13, 1975]



                  Subpart B--Consumer Information Items



Sec. 575.101--575.102  [Reserved]



Sec. 575.103  Truck-camper loading.

    (a) Scope. This section requires manufacturers of slide-in campers 
to affix to each camper a label that contains information relating to 
identification and proper loading of the camper and to provide more 
detailed loading information in the owner's manual. This section also 
requires manufacturers of trucks that would accommodate slide-in campers 
to specify the cargo weight ratings and the longitudinal limits within 
which the center of gravity for the cargo weight rating should be 
located.
    (b) Purpose. The purpose of this section is to provide information 
that can be used to reduce overloading and improper load placement in 
truck-camper combinations and unsafe truck- camper matching in order to 
prevent accidents resulting from the adverse effects of

[[Page 721]]

these conditions on vehicle steering and braking.
    (c) Application. This section applies to slide-in campers and to 
trucks that are capable of accommodating slide- in campers.
    (d) Definitions.
    Camper means a structure designed to be mounted in the cargo area of 
a truck, or attached to an incomplete vehicle with motive power, for the 
purpose of providing shelter for persons.
    Cargo Weight Rating means the value specified by the manufacturer as 
the cargo-carrying capacity, in pounds or kilograms, of a vehicle, 
exclusive of the weight of occupants in designated seating positions, 
computed as 68 kilograms or 150 pounds times the number of designated 
seating positions.
    Slide-in Camper means a camper having a roof, floor, and sides, 
designed to be mounted on and removable from the cargo area of a truck 
by the user.
    (e) Requirements--(1) Slide-in Camper--(i) Labels. Each slide-in 
camper shall have permanently affixed to it, in such a manner that it 
cannot be removed without defacing or destroying it, and in a plainly 
visible location on an exterior rear surface other than the roof, steps, 
or bumper extension, a label containing the following information in the 
English language lettered in block capitals and numerals not less than 
2.4 millimeters (three thirty-seconds of an inch) high, of a color 
contrasting with the background, in the order shown below and in the 
form illustrated in Figure 1.
    (A) Name of camper manufacturer. The full corporate or individual 
name of the actual assembler of the camper shall be spelled out, except 
that such abbreviations as ``Co.'' or ``Inc.'' and their foreign 
equivalents, and the first and middle initials of individuals may be 
used. The name of the manufacturer shall be preceded by the words 
``Manufactured by'' or ``Mfd by.''
    (B) Month and year of manufacture. It may be spelled out, such as 
``June 1995'' or expressed in numerals, such as ``695.''
    (C) The following statement completed as appropriate:
    ``Camper weight is ____________ kg. (____________ lbs.) maximum when 
it contains standard equipment, ____________ liters (____________ gal.) 
of water, ____________ kg. (____________ lbs.) of bottled gas, and 
____________ cubic meters (____________ cubic ft.) refrigerator (or 
icebox with ____________ kg. (____________ lbs.) of ice, as applicable). 
Consult owner's manual (or data sheet, as applicable) for weights of 
additional or optional equipment.''
    (D) ``Liters (or gal.) of water'' refers to the volume of water 
necessary to fill the camper's fresh water tanks to capacity. ``Kg. (or 
lbs.) of bottled gas'' refers to the amount of gas necessary to fill the 
camper's bottled gas tanks to capacity. The statement regarding a 
``refrigerator'' or ``icebox'' refers to the capacity of the 
refrigerator with which the vehicle is equipped or the weight of the ice 
with which the icebox may be filled. Any of these items may be omitted 
from the statement if the corresponding accessories are not included 
with the camper, provided that the omission is noted in the camper 
owner's manual as required in paragraph (e)(1)(ii) of this section.
    (ii) Owner's manual. Each slide-in camper manufacturer shall provide 
with each camper a manual or other document containing the information 
specified in paragraph (e)(1)(ii) (A) through (F) of this section.
    (A) The statement and information provided on the label as specified 
in paragraph (e)(1)(i) of this section. Instead of the information 
required by paragraphs (e)(1)(i)(B) of this section, a manufacturer may 
use the statements ``See camper identification label located (as 
applicable) for month and year of manufacture.'' If water, bottled gas, 
or refrigerator (icebox) has been omitted from this statement, the 
manufacturer's information shall note such omission and advise that the 
weight of any such item when added to the camper should be added to the 
maximum camper weight figure used in selecting an appropriate truck.
    (B) A list of other additional or optional equipment that the camper 
is designed to carry, and the maximum weight of each if its weight is 
more than 9 kg. (20 lbs) when installed.
    (C) The statement: ``To estimate the total cargo load that will be 
placed on a truck, add the weight of all passengers in the camper, the 
weight of

[[Page 722]]

supplies, tools, and all other cargo, the weight of installed additional 
or optional camper equipment, and the manufacturer's camper weight 
figure. Select a truck that has a cargo weight rating that is equal to 
or greater than the total cargo load of the camper and whose 
manufacturer recommends a cargo center of gravity zone that will contain 
the camper's center of gravity when it is installed.''
    (D) The statements: ``When loading this camper, store heavy gear 
first, keeping it on or close to the camper floor. Place heavy things 
far enough forward to keep the loaded camper's center of gravity within 
the zone recommended by the truck manufacturer. Store only light objects 
on high shelves. Distribute weight to obtain even side-to-side balance 
of the loaded vehicle. Secure loose items to prevent weight shifts that 
could affect the balance of your vehicle. When the truck-camper is 
loaded, drive to a scale and weigh on the front and on the rear wheels 
separately to determine axle loads. The load on an axle should not 
exceed its gross axle weight rating (GAWR). The total of the axle loads 
should not exceed the gross vehicle weight rating (GVWR). These weight 
ratings are given on the vehicle certification label that is located on 
the left side of the vehicle, normally on the dash panel, hinge pillar, 
door latch post, or door edge next to the driver on trucks manufactured 
on or after January 1, 1972. If weight ratings are exceeded, move or 
remove items to bring all weights below the ratings.''
    (E) A picture showing the location of the longitudinal center of 
gravity of the camper within an accuracy of 5 centimeters (2 inches) 
under the loaded condition specified in paragraph (e)(1)(i)(D) of this 
section in the manner illustrated in Figure 2.
    (F) A picture showing the proper match of a truck and slide-in 
camper in the form illustrated in Figure 3.
    (2) Trucks. (i) Except as provided in paragraph (e)(2)(ii) of this 
section, each manufacturer of a truck that is capable of accommodating a 
slide-in camper shall provide to the purchaser in the owner's manual or 
other document delivered with the truck, in writing and in the English 
language, the information specified in paragraphs (e)(2)(i) (A) through 
(E) of this section.
    (A) A picture showing the manufacturer's recommended longitudinal 
center of gravity zone for the cargo weight rating in the form 
illustrated in Figure 4. The boundaries of the zone shall be such that 
when a slide-in camper equal in weight to the truck's cargo weight 
rating is installed, no GAWR of the truck is exceeded.
    (B) The truck's cargo weight rating.
    (C) The statements: ``When the truck is used to carry a slide-in 
camper, the total cargo load of the truck consists of the manufacturer's 
camper weight figure, the weight of installed additional camper 
equipment not included in the manufacturer's camper weight figure, the 
weight of camper cargo, and the weight of passengers in the camper. The 
total cargo load should not exceed the truck's cargo weight rating and 
the camper's center of gravity should fall within the truck's 
recommended center of gravity zone when installed.''
    (D) A picture showing the proper match of a truck and slide-in 
camper in the form illustrated in Figure 3.
    (E) The statements: ``Secure loose items to prevent weight shifts 
that could affect the balance of your vehicle. When the truck camper is 
loaded, drive to a scale and weigh on the front and on the rear wheels 
separately to determine axle loads. Individual axle loads should not 
exceed either of the gross axle weight ratings (GAWR). The total of the 
axle loads should not exceed the gross vehicle weight rating (GVWR). 
These ratings are given on the vehicle certification label that is 
located on the left side of the vehicle, normally the dash, hinge 
pillar, door latch post, or door edge next to the driver. If weight 
ratings are exceeded, move or remove items to bring all weights below 
the ratings.''
    (ii) If a truck would accommodate a slide-in camper but the 
manufacturer of the truck recommends that the truck not be used for that 
purpose, the information specified in paragraph (e)(2)(i)(E) of this 
section shall not be provided but instead the manufacturer shall provide 
a statement that the truck should not be used to carry a slide-in 
camper.

[[Page 723]]

                  MFD. BY: (CAMPER MANUFACTURER'S NAME)

(MONTH AND YEAR OF MANUFACTURE)
    CAMPER WEIGHT IS ____________ KG (____________ LB) MAXIMUM WHEN IT 
CONTAINS STANDARD EQUIPMENT, ____________ LITERS (____________ GAL) OF 
WATER, ____________ KG (____________ LB) OF BOTTLED GAS, AND 
____________ CUBIC METERS (____________ CUBIC FT) REFRIGERATOR (OR 
ICEBOX WITH ____________ KG (____________ LB) OF ICE, AS APPLICABLE). 
CONSULT OWNER'S MANUAL (OR DATA SHEET AS APPLICABLE) FOR WEIGHTS OF 
ADDITIONAL OR OPTIONAL EQUIPMENT.

                       Figure 1. Label for Camper


[[Page 724]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.181



[[Page 725]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.182



[[Page 726]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.183



[61 FR 36657, July 12, 1996]

[[Page 727]]



Sec. 575.104  Uniform tire quality grading standards.

    (a) Scope. This section requires motor vehicle and tire 
manufacturers and tire brand name owners to provide information 
indicating the relative performance of passenger car tires in the areas 
of treadwear, traction, and temperature resistance.
    (b) Purpose. The purpose of this section is to aid the consumer in 
making an informed choice in the purchase of passenger car tires.
    (c) Application. (1) This section applies to new pneumatic tires for 
use on passenger cars. However, this section does not apply to deep 
tread, winter-type snow tires, space-saver or temporary use spare tires, 
tires with nominal rim diameters of 10 to 12 inches, or to limited 
production tires as defined in paragraph (c)(2) of this section.
    (2) ``Limited production tire'' means a tire meeting all of the 
following criteria, as applicable:
    (i) The annual domestic production or importation into the United 
States by the tire's manufacturer of tires of the same design and size 
as the tire does not exceed 15,000 tires;
    (ii) In the case of a tire marketed under a brand name, the annual 
domestic purchase or importation into the United States by a brand name 
owner of tires of the same design and size as the tire does not exceed 
15,000 tires;
    (iii) The tire's size was not listed as a vehicle manufacturer's 
recommended tire size designation for a new motor vehicle produced in or 
imported into the United States in quantities greater than 10,000 during 
the calendar year preceeding the year of the tire's manufacture; and
    (iv) The total annual domestic production or importation into the 
United States by the tire's manufacturer, and in the case of a tire 
marketed under a brand name, the total annual domestic purchase or 
purchase for importation into the United States by the tire's brand name 
owner, of tires meeting the criteria of paragraphs (c)(2) (i), (ii), and 
(iii) of this section, does not exceed 35,000 tires.

Tire design is the combination of general structural characteristics, 
materials, and tread pattern, but does include cosmetic, identifying or 
other minor variations among tires.
    (d) Requirements--(1) Information. (i) Each manufacturer of tires, 
or in the case of tires marketed under a brand name, each brand name 
owner, shall provide grading information for each tire of which he is 
the manufacturer or brand name owner in the manner set forth in 
paragraphs (d)(1)(i) (A) and (B) of this section. The grades for each 
tire shall be only those specified in paragraph (d)(2) of this section. 
Each tire shall be able to achieve the level of performance represented 
by each grade with which it is labeled. An individual tire need not, 
however, meet further requirements after having been subjected to the 
test for any one grade.
    (A) Except for a tire of a new tire line, manufactured within the 
first six months of production of the tire line, each tire shall be 
graded with the words, letters, symbols, and figures specified in 
paragraph (d)(2) of this section, permanently molded into or onto the 
tire sidewall between the tire's maximum section width and shoulder in 
accordance with one of the methods described in Figure 1. For purposes 
of this paragraph, new tire line shall mean a group of tires differing 
substantially in construction, materials, or design from those 
previously sold by the manufacturer or brand name owner of the tires. As 
used in this paragraph, the term ``construction'' refers to the internal 
structure of the tire (e.g., cord angles, number and placement of 
breakers), ``materials'' refers to the substances used in manufacture of 
the tire (e.g., belt fiber, rubber compound), and ``design'' refers to 
properties or conditions imposed by the tire mold (e.g., aspect ratio, 
tread pattern).
    (B) Each tire manufactured on and after the effective date of these 
amendments, other than a tire sold as original equipment on a new 
vehicle, shall have affixed to its tread surface so as not to be easily 
removable a label or labels containing its grades and other information 
in the form illustrated in Figure 2, Parts I and II. The treadwear grade 
attributed to the tire shall be either imprinted or indelibly stamped on 
the label containing the material in Part I of Figure 2, directly to the 
right of or below the word ``TREADWEAR.''

[[Page 728]]

The traction grade attributed to the tire shall be indelibly circled in 
an array of the potential grade letters AA, A, B, or C, directly to the 
right of or below the word ``TRACTION'' in Part I of Figure 2. The 
temperature resistance grade attributed to the tire shall be indelibly 
circled in an array of the potential grade letters A, B, or C, directly 
to the right of or below the word ``TEMPERATURE'' in Part I of Figure 2. 
The words ``TREADWEAR,'' ``TRACTION,'' AND ``TEMPERATURE,'' in that 
order, may be laid out vertically or horizontally. The text of Part II 
of Figure 2 may be printed in capital letters. The text of Part I and 
the text of Part II of Figure 2 need not appear on the same label, but 
the edges of the two texts must be positioned on the tire tread so as to 
be separated by a distance of no more than one inch. If the text of Part 
I and the text of Part II of Figure 2 are placed on separate labels, the 
notation ``See EXPLANATION OF DOT QUALITY GRADES'' shall be added to the 
bottom of the Part I text, and the words ``EXPLANATION OF DOT QUALITY 
GRADES'' shall appear at the top of the Part II text. The text of Figure 
2 shall be oriented on the tire tread surface with lines of type running 
perpendicular to the tread circumference. If a label bearing a tire size 
designation is attached to the tire tread surface and the tire size 
designation is oriented with lines type running perpendicular to the 
tread circumference, the text of Figure 2 shall read in the same 
direction as the tire size designation.
    (ii) In the case of information required in accordance with 
Sec. 575.6(c) to be furnished to prospective purchasers of motor 
vehicles and tires, each vehicle manufacturer and each tire manufacturer 
or brand name owner shall as part of that information list all possible 
grades for traction and temperature resistance, and restate verbatim the 
explanations for each performance area specified in Figure 2. The 
information need not be in the same format as in Figure 2. In the case 
of a tire manufacturer or brand name owner, the information must 
indicate clearly and unambiguously the grade in each performance area 
for each tire of that manufacturer or brand name owner offered for sale 
at the particular location.
    (iii) In the case of information required in accordance with 
Sec. 575.6(a) to be furnished to the first purchaser of a new motor 
vehicle, each manufacturer of motor vehicles shall, as part of the 
required information, list all possible grades for traction and 
temperature resistance and restate verbatim the explanation for each 
performance area specified in Figure 2. The information need not be in 
the format of Figure 2, but it must contain a statement referring the 
reader to the tire sidewall for the specific tire grades for the tires 
with which the vehicle is equipped.
    (2) Performance--(i) Treadwear. Each tire shall be graded for 
treadwear performance with the word ``TREADWEAR'' followed by a number 
of two or three digits representing the tire's grade for treadwear, 
expressed as a percentage of the NHTSA nominal treadwear value, when 
tested in accordance with the conditions and procedures specified in 
paragraph (e) of this section. Treadwear grades shall be expressed in 
multiples of 20 (for example, 80, 120, 160).
    (ii) Traction. Each tire shall be graded for traction performance 
with the word ``TRACTION,'' followed by the symbols AA, A, B, or C, when 
the tire is tested in accordance with the conditions and procedures 
specified in paragraph (f) of this section.
    (A) The tire shall be graded C when the adjusted traction 
coefficient is either:
    (1) 0.38 or less when tested in accordance with paragraph (f)(2) of 
this section on the asphalt surface specified in paragraph (f)(1)(i) of 
this section, or
    (2) 0.26 or less when tested in accordance with paragraph (f)(2) of 
this section on the concrete surface specified in paragraph (f)(1)(i) of 
this section.
    (B) The tire may be graded B only when its adjusted traction 
coefficient is both:
    (1) More than 0.38 when tested in accordance with paragraph (f)(2) 
of this section on the asphalt surface specified in paragraph (f)(1)(i) 
of this section, and
    (2) More than 0.26 when tested in accordance with paragraph (f)(2) 
of this

[[Page 729]]

section on the concrete surface specified in paragraph (f)(1)(i) of this 
section.
    (C) The tire may be graded A only when its adjusted traction 
coefficient is both:
    (1) More than 0.47 when tested in accordance with paragraph (f)(2) 
of this section on the asphalt surface specified in paragraph (f)(1)(i) 
of this section, and
    (2) More than 0.35 when tested in accordance with paragraph (f)(2) 
of this section on the concrete surface specified in paragraph (f)(1)(i) 
of this section.
    (D) The tire may be graded AA only when its adjusted traction 
coefficient is both:
    (1) More than 0.54 when tested in accordance with paragraph 
(f)(2) of this section on the asphalt surface specified in paragraph 
(f)(1)(i) of this section; and
    (2) More than 0.38 when tested in accordance with paragraph 
(f)(2) of this section on the concrete surface specified in paragraph 
(f)(1)(i) of this section.
    (iii) Temperature resistance. Each tire shall be graded for 
temperature resistance performance with the word ``TEMPERATURE'' 
followed by the letter A, B, or C, based on its performance when the 
tire is tested in accordance with the procedures specified in paragraph 
(g) of this section. A tire shall be considered to have successfully 
completed a test stage in accordance with this paragraph if, at the end 
of the test stage, it exhibits no visual evidence of tread, sidewall, 
ply, cord, innerliner, or bead separation, chunking, broken cords, 
cracking or open splices as defined in Sec. 571.109 of this chapter, and 
the tire pressure is not less than the pressure specified in paragraph 
(g)(1) of this section.
    (A) The tire shall be graded C if it fails to complete the 500 rpm 
test stage specified in paragraph (g)(9) of this section.
    (B) The tire may be graded B only if it successfully completes the 
500 rpm test stage specified in paragraph (g)(9) of this section.
    (C) The tire may be graded A only if it successfully completes the 
575 rpm test stage specified in paragraph (g)(9) of this section.
    (e) Treadwear grading conditions and procedures--(1) Conditions.
    (i) Tire treadwear performance is evaluated on a specific roadway 
course approximately 400 miles in length, which is established by the 
NHTSA both for its own compliance testing and for that of regulated 
persons. The course is designed to produce treadwear rates that are 
generally representative of those encountered by tires in public use. 
The course and driving procedures are described in appendix A of this 
section.
    (ii) Treadwear grades are evaluated by first measuring the 
performance of a candidate tire on the government test course, and then 
correcting the projected mileage obtained to account for environmental 
variations on the basis of the performance of the course monitoring 
tires run in the same convoy. The course monitoring tires are made 
available by the NHTSA at Goodfellow Air Force Base, San Angelo, Tex., 
for purchase by any persons conducting tests at the test course.
    (iii) In convoy tests, each vehicle in the same convoy, except for 
the lead vehicle, is throughout the test within human eye range of the 
vehicle immediately ahead of it.
    (iv) A test convoy consists of two or four passenger cars, each 
having only rear-wheel drive.
    (v) On each convoy vehicle, all tires are mounted on identical rims 
of design or measuring rim width specified for tires of that size in 
accordance with 49 CFR 571.109, S4.4.1 (a) or (b), or a rim having a 
width within -0 to +0.50 inches of the width listed.
    (2) Treadwear grading procedure. (i) Equip a convoy as follows: 
Place four course monitoring tires on one vehicle. Place four candidate 
tires with identical size designations on each other vehicle in the 
convoy. On each axle, place tires that are identical with respect to 
manufacturer and line.
    (ii) Inflate each candidate and each course monitoring tire to the 
applicable pressure specified in Table 1 of this section.
    (iii) Load each vehicle so that the load on each course monitoring 
and

[[Page 730]]

candidate tire is 85 percent of the test load specified in 
Sec. 575.104(h).
    (iv) Adjust wheel alignment to the midpoint of the vehicle 
manufacturer's specifications, unless adjustment to the midpoint is not 
recommended by the manufacturer; in that case, adjust the alignment to 
the manufacturer's recommended setting. In all cases, the setting is 
within the tolerance specified by the manufacturer of the alignment 
machine.
    (v) Subject candidate and course monitoring tires to ``break-in'' by 
running the tires in the convoy for two circuits of the test roadway 
(800 miles). At the end of the first circuit, rotate each vehicle's 
tires by moving each front tire to the same side of the rear axle and 
each rear tire to the opposite side of the front axle. Visually inspect 
each tire for any indication of abnormal wear, tread separation, bulging 
of the sidewall, or any sign of tire failure. Void the grading results 
from any tire with any of these anomalies, and replace the tire.
    (vi) After break-in, allow the air pressure in the tires to fall to 
the applicable pressure specified in Table 1 of this section or for 2 
hours, whichever occurs first. Measure, to the nearest 0.001 inch, the 
tread depth of each candidate and each course monitoring tire, avoiding 
treadwear indicators, at six equally spaced points in each groove. For 
each tire compute the average of the measurements. Do not measure those 
shoulder grooves which are not provided with treadwear indicators.
    (vii) Adjust wheel alignment to the midpoint of the manufacturer's 
specifications, unless adjustment to the midpoint is not recommended by 
the manufacturer; in that case, adjust the alignment according to the 
manufacturer's recommended setting. In all cases, the setting is within 
the tolerance specified by the manufacturer of the alignment machine.
    (viii) Drive the convoy on the test roadway for 6,400 miles.
    (A) After each 400 miles, rotate each vehicle's tires by moving each 
front tire to the same side of the rear axle and each rear tire to the 
opposite side of the front axle. Visually inspect each tire for 
treadwear anomalies.
    (B) After each 800 miles, rotate the vehicles in the convoy by 
moving the last vehicle to the lead position. Do not rotate driver 
positions within the convoy. In four-car convoys, vehicle one shall 
become vehicle two, vehicle two shall become vehicle three, vehicle 
three shall become vehicle four, and vehicle four shall become vehicle 
one.
    (C) After each 800 miles, if necessary, adjust wheel alignment to 
the midpoint of the vehicle manufacturer's specification, unless 
adjustment to the midpoint is not recommended by the manufacturer; in 
that case, adjust the alignment to the manufacturer's recommended 
setting. In all cases, the setting is within the tolerance specified by 
the manufacturer of the alignment machine.
    (D) After each 800 miles, if determining the projected mileage by 
the 9-point method set forth in (e)(2)(ix)(A)(1), measure the average 
tread depth of each tire following the procedure set forth in paragraph 
(e)(2)(vi) of this section.
    (E) After each 1,600 miles, move the complete set of four tires to 
the following vehicle. Move the tires on the last vehicle to the lead 
vehicle. In moving the tires, rotate them as set forth in 
(e)(2)(viii)(A) of this section.
    (F) At the end of the test, measure the tread depth of each tire 
pursuant to the procedure set forth in paragraph (e)(2)(vi) of this 
section.
    (ix)(A) Determine the projected mileage for each candidate tire 
either by the nine-point method of least squares set forth in paragraph 
(e)(2)(ix)(A)(1) of this section and appendix C to this section, or by 
the two-point arithmetical method set forth in paragraph 
(e)(2)(ix)(A)(2) of this section. Notify NHTSA about which of the 
alternative grading methods is being used.
    (1) Nine-Point Method of Least Squares. For each course monitoring 
and candidate tire in the convoy, using the average tread depth 
measurements obtained in accordance with paragraphs (e)(2)(vi) and 
(e)(2)(viii)(D) of this section and the corresponding mileages as data 
points, apply the method of least squares as described in appendix C to 
this section to determine the estimated regression line of y on x given 
by the following formula:

[[Page 731]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.184


Where:
y = average tread depth in mils
x = miles after break-in,
a = y intercept of regression line (reference tread depth) in mils, 
          calculated using the method of least squares; and
b = the slope of the regression line in mils of tread depth per 1,000 
          miles, calculated using the method of least squares. This 
          slope will be negative in value. The tire's wear rate is 
          defined as the absolute value of the slope of the regression 
          line.

    (2) Two-Point Arithmetical Method. For each course monitoring and 
candidate tire in the convoy, using the average tread depth measurements 
obtained in accordance with paragraph (e)(2)(vi) and (e)(2)(viii)(F) of 
this section and the corresponding mileages as data points, determine 
the slope (m) of the tire's wear in mils of tread depth per 1,000 miles 
by the following formula:
[GRAPHIC] [TIFF OMITTED] TC01AU91.185

Where:
Yo = average tread depth after break-in, mils
Y1 = average tread depth at 6,400 miles, mils
Xo = 0 miles (after break-in).
X1 = 6,400 miles of travel

This slope (m) will be negative in value. The tire's wear rate is 
defined as the slope (m) expressed in mils per 1,000 miles.
    (B) Average the wear rates of the four course monitoring tires as 
determined in accordance with paragraph (e)(2)(ix)(A) of this section.
    (C) Determine the course severity adjustment factor by assigning a 
base course wear rate of 1.34 to the course monitoring tires and 
dividing that rate by the average wear rate for the four course 
monitoring tires.
    (D) Determine the adjusted wear rate for each candidate tire by 
multiplying its wear rate determined in accordance with paragraph 
(e)(2)(ix)(A) of this section by the course severity adjustment factor 
determined in accordance with paragraph (e)(2)(ix)(C) of this section.
    (E) Determine the projected mileage for each candidate tire by 
applying the appropriate formula set forth below:
    (1) If the projected mileage is calculated pursuant to paragraph 
(e)(2)(ix)(A)(1) of this section, then:
[GRAPHIC] [TIFF OMITTED] TC01AU91.186

Where:
a = y intercept of regression line (reference tread depth) for the 
          candidate tire as determined in accordance with paragraph 
          (e)(2)(ix)(A)(1) of this section.
b\1\ = the adjusted wear rate for the candidate tire as determined in 
accordance with paragraph (e)(2)(ix)(D) of this section.

    (2) If the projected mileage is calculated pursuant to 
(e)(2)(ix)(a)(2) of this section, then:
[GRAPHIC] [TIFF OMITTED] TC01AU91.187

Where:
Yo = average tread depth after break-in, mils
mc = the adjusted wear rate for the candidate tires as determined in 
          accordance with paragraph (e)(2)(ix)(D) of this section.

    (F) Compute the percentage (P) of the NHTSA nominal treadwear value 
for each candidate tire using the following formula:
[GRAPHIC] [TIFF OMITTED] TC01AU91.188

    On and before August 31, 1993, round off the percentage to the 
nearest lower 10-point increment. On and after September 1, 1993, round 
off the percentage to the nearest lower 20-point increment.
    (f) Traction grading conditions and procedures--(1) Conditions. (i) 
Tire traction performance is evaluated on skid pads that are 
established, and whose severity is monitored, by the NHTSA both for its 
compliance testing and for that of regulated persons. The test pavements 
are asphalt and concrete surfaces constructed in accordance with the 
specifications for pads ``C'' and ``A'' in the ``Manual for the 
Construction and Maintenance of Skid Surfaces,'' National Technical 
Information Service No. DOT-HS-800-814. The surfaces have locked wheel 
traction coefficients when evaluated in accordance with paragraphs 
(f)(2)(i) through (f)(2)(vii) of this section of 
0.50plus-minus0.10 for the asphalt and 
0.35plus-minus0.10 for the concrete. The location of the skid

[[Page 732]]

pads is described in appendix B to this section.
    (ii) The standard tire is the American Society for Testing and 
Materials (ASTM) E 501 ``Standard Tire for Pavement Skid Resistance 
Tests.''
    (iii) The pavement surface is wetted in accordance with paragraph 
3.5, ``Pavement Wetting System,'' of ASTM Method E 274-79, ``Skid 
Resistance of Paved Surfaces Using a Full-Scale Tire.''
    (iv) The test apparatus is a test trailer built in conformity with 
the specifications in paragraph 3, ``Apparatus,'' of ASTM Method E 274-
79, and instrumented in accordance with paragraph 3.3.2 of that method, 
except that ``wheel load'' in paragraph 3.2.2 and tire and rim 
specifications in paragraph 3.2.3 of that method are as specified in the 
procedures in paragraph (f)(2) of this section for standard and 
candidate tires.
    (v) The test apparatus is calibrated in accordance with ASTM Method 
F 377-74, ``Standard Method for Calibration of Braking Force for Testing 
of Pneumatic Tires'' with the trailer's tires inflated to 24 psi and 
loaded to 1,085 pounds.
    (vi) Consecutive tests on the same surface are conducted not less 
than 30 seconds apart.
    (vii) A standard tire is discarded in accordance with ASTM Method E 
501.
    (2) Procedure. (i) Prepare two standard tires as follows:
    (A) Condition the tires by running them for 200 miles on a pavement 
surface.
    (B) Mount each tire on a rim of design or measuring rim width 
specified for tires of its size in accordance with 49 CFR 571.109, 
S4.4.1 (a) or (b), or a rim having a width within -0 to +0.50 inches of 
the width listed. Then inflate the tire to 24 psi, or, in the case of a 
tire with inflation pressure measured in kilopascals, to 180 kPa.
    (C) Statically balance each tire-rim combination.
    (D) Allow each tire to cool to ambient temperature and readjust its 
inflation pressure to 24 psi, or, in the case of a tire with inflation 
pressure measured in kilopascals, to 180 kPa.
    (ii) Mount the tires on the test apparatus described in paragraph 
(f)(1)(iv) of this section and load each tire to 1,085 pounds.
    (iii) Tow the trailer on the asphalt test surface specified in 
paragraph (f)(1)(i) of this section at a speed of 40 mph, lock one 
trailer wheel, and record the locked-wheel traction coefficient on the 
tire associated with that wheel between 0.5 and 1.5 seconds after 
lockup.
    (iv) Repeat the test on the concrete surface, locking the same 
wheel.
    (v) Repeat the tests specified in paragraphs (f)(2) (iii) and (iv) 
of this section for a total of 10 measurements on each test surface.
    (vi) Repeat the procedures specified in paragraphs (f)(2) (iii) 
through (v) of this section, locking the wheel associated with the other 
tire.
    (vii) Average the 20 measurements taken on the asphalt surface to 
find the standard tire traction coefficient for the asphalt surface. 
Average the 20 measurements taken on the concrete surface to find the 
standard tire traction coefficient for the concrete surface. The 
standard tire traction coefficient so determined may be used in the 
computation of adjusted traction coefficients for more than one 
candidate tire.
    (viii) Prepare two candidate tires of the same construction type, 
manufacturer, line, and size designation in accordance with paragraph 
(f)(2)(i) of this section, mount them on the test apparatus, and test 
one of them according to the procedures of paragraph (f)(2)(ii) through 
(v) of this section, except load each tire to 85% of the test load 
specified in Sec. 575.104(h). For CT tires, the test inflation of 
candidate tires shall be 230 kPa. Candidate tire measurements may be 
taken either before or after the standard tire measurements used to 
compute the standard tire traction coefficient. Take all standard tire 
and candidate tire measurements used in computation of a candidate 
tire's adjusted traction coefficient within a single three hour period. 
Average the 10 measurements taken on the asphalt surface to find the 
candidate tire traction coefficient for the asphalt surface. Average the 
10 measurements taken on the concrete surface to find the candidate tire 
traction coefficient for the concrete surface.

[[Page 733]]

    (ix) Compute a candidate tire's adjusted traction coefficient for 
asphalt (a) by the following formula:

  (a) = Measured candidate tire coefficient for asphalt + 0.50

             -Measured standard tire coefficient for asphalt

    (x) Compute a candidate tire's adjusted traction coefficient for 
concrete (c) by the following formula:

c=Measured candidate tire coefficient for concrete 
          +0.35
Measured standard tire coefficient for concrete
    (g) Temperature resistance grading.
    (1) Mount the tire on a rim of design or measuring rim width 
specified for tires of its size in accordance with Sec. 571.109, 
paragraph S4.4.1 (a) or (b) and inflate it to the applicable pressure 
specified in Table 1 of this section.
    (2) Condition the tire-rim assembly to a temperature of 95 deg. F 
for at least 3 hours.
    (3) Adjust the pressure again to the applicable pressure specified 
in Table 1 of this section.
    (4) Mount the tire-rim assembly on an axle, and press the tire tread 
against the surface of a flat-faced steel test wheel that is 67.23 
inches in diameter and at least as wide as the section width of the 
tire.
    (5) During the test, including the pressure measurements specified 
in paragraphs (g) (1) and (3) of this section, maintain the temperature 
of the ambient air, as measured 12 inches from the edge of the rim 
flange at any point on the circumference on either side of the tire at 
95 deg. F. Locate the temperature sensor so that its readings are not 
affected by heat radiation, drafts, variations in the temperature of the 
surrounding air, or guards or other devices.
    (6) Press the tire against the test wheel with a load of 88 percent 
of the tire's maximum load rating as marked on the tire sidewall.
    (7) Rotate the test wheel at 250 rpm for 2 hours.
    (8) Remove the load, allow the tire to cool to 95 deg. F or for 2 
hours, whichever occurs last, and readjust the inflation pressure to the 
applicable pressure specified in Table 1 of this section.
    (9) Reapply the load and without interruption or readjustment of 
inflation pressure, rotate the test wheel at 375 rpm for 30 minutes, and 
then at successively higher rates in 25 rpm increments, each for 30 
minutes, until the tire has run at 575 rpm for 30 minutes, 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
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (h) Determination of test load. (1) To determine test loads for 
purposes of paragraphs (e)(2)(iii) and (f)(2)(viii), follow the 
procedure set forth in paragraphs (h) (2) through (5) of this section.
    (2) Determine the tire's maximum inflation pressure and maximum load 
rating both as specified on the tire's sidewall.
    (3) Determine the appropriate multiplier corresponding to the tire's 
maximum inflation pressure, as set forth in Table 2.
    (4) Multiply the tire's maximum load rating by the multiplier 
determined in paragraph (h)(3). This is the tire's calculated load.
    (5) Round the product determined in paragraph (h)(4) (the calculated 
load) to the nearest multiple of ten pounds or, if metric units are 
used, 5 kilograms. For example, 903 pounds would be rounded to 900 and 
533 kilograms

[[Page 734]]

would be rounded to 535. This figure is the test load.

                                 Table 2                                
------------------------------------------------------------------------
                                                  Multiplier  Multiplier
                                                  to be used  to be used
           Maximum inflation pressure                 for         for   
                                                   treadwear   traction 
                                                    testing     testing 
------------------------------------------------------------------------
                        Tires other than CT tires                       
                                                                        
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                       
32 psi..........................................        .851        .851
36 psi..........................................        .870        .797
40 psi..........................................        .883        .753
240 kPa.........................................        .866        .866
280 kPa.........................................        .887        .804
300 kPa.........................................        .866        .866
340 kPa.........................................        .887        .804
350 kPa.........................................        .866        .866
                                                                        
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                       
                                CT tires                                
                                                                        
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                       
290 kPa.........................................        .866        .866
330 kPa.........................................        .887        .804
305 kPa.........................................        .866        .866
390 kPa.........................................        .887        .804
------------------------------------------------------------------------


                                                    Table 2A                                                    
----------------------------------------------------------------------------------------------------------------
                                                       Temp resistance                         Treadwear        
                                                 ---------------------------          --------------------------
              Tire size designation                      Max pressure        Traction         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]

[[Page 735]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.196



[[Page 736]]

                 Figure 2--[Part I]--DOT QUALITY GRADES

TREADWEAR

TRACTION  AA  A  B  C

TEMPERATURE  A  B  C

    (Part II) All Passenger Car Tires Must Conform to Federal Safety 
Requirements In Addition To These Grades

                                Treadwear

    The treadwear grade is a comparative rating based on the wear rate 
of the tire when tested under controlled conditions on a specified 
government test course. For example, a tire graded 150 would wear one 
and one-half (1\1/2\) times as well on the government course as a tire 
graded 100. The relative performance of tires depends upon the actual 
conditions of their use, however, and may depart significantly from the 
norm due to variations in driving habits, service practices and 
differences in road characteristics and climate.

                                TRACTION

    The traction grades, from highest to lowest, are AA, A, B, and C. 
Those grades represent the tire's ability to stop on wet pavement as 
measured under controlled conditions on specified government test 
surfaces of asphalt and concrete. A tire marked C may have poor traction 
performance. Warning: The traction grade assigned to this tire is based 
on straight-ahead braking traction tests, and does not include 
acceleration, cornering, hydroplaning, or peak traction characteristics.

                               Temperature

    The temperature grades are A (the highest), B, and C, representing 
the tire's resistance to the generation of heat and its ability to 
dissipate heat when tested under controlled conditions on a specified 
indoor laboratory test wheel. Sustained high temperature can cause the 
material of the tire to degenerate and reduce tire life, and excessive 
temperature can lead to sudden tire failure. The grade C corresponds to 
a level of performance which all passenger car tires must meet under the 
Federal Motor Safety Standard No. 109. Grades B and A represent higher 
levels of performance on the laboratory test wheel than the minimum 
required by law. Warning: The temperature grade for this tire is 
established for a tire that is properly inflated and not overloaded. 
Excessive speed, underinflation, or excessive loading, either separately 
or in combination, can cause heat buildup and possible tire failure.

        Appendix A--Treadwear Test Course and Driving Procedures

    Introduction. The test course consists of three loops of a total of 
400 miles in the geographical vicinity of Goodfellow AFB, San Angelo, 
Tex.
    The first loop runs south 143 miles through the cities of Eldorado, 
Sonora, and Juno, Tex. to the Camp Hudson Historical Marker, and returns 
by the same route.
    The second loop runs east over Farm and Ranch Roads (FM) and returns 
to its starting point.
    The third loop runs northwest to Water Valley, northeast toward 
Robert Lee and returns via Texas 208 to the vicinity of Goodfellow AFB.
    Route. The route is shown in Figure 3. The table identifies key 
points by number. These numbers are encircled in Figure 3 and in 
parentheses in the descriptive material that follows.
    Southern Loop. The course begins at the intersection (1) of Ft. 
McKavitt Road and Paint Rock Road (FM388) at the northwest corner of 
Goodfellow AFB.
    Drive east via FM 388 to junction with Loop Road 306 (2). Turn right 
onto Loop Road 306 and proceed south to junction with US277 (3). Turn 
onto US277 and proceed south through Eldorado and Sonora (4), continuing 
on US277 to junction with FM189 (5). Turn right onto FM189 and proceed 
to junction with Texas 163 (6). Turn left onto Texas 163, proceed south 
to Camp Hudson Historical Marker and onto the paved shoulder (7). 
Reverse route to junction of Loop Road 306 and FM 388 (2).
    Eastern Loop. From junction of Loop Road 306 and FM388 (2), make 
right turn onto FM388 and drive east to junction with FM2334 (13). Turn 
right onto FM2334 and proceed south across FM765 (14) to junction of 
FM2334 and US87 (15). For convoys that originate at Goodfellow AFB, make 
U-turn and return to junction of FM388 and Loop Road 306 (2) by the same 
route. For

[[Page 737]]

convoys that do not originate at Goodfellow AFB, upon reaching junction 
of FM2334 and US87 (15), make U-Turn and continue north on FM2334 past 
the intersection with FM388 to Veribest Cotton Gin, a distance of 1.8 
miles beyond the intersection. Make U-turn and return to junction of 
FM2334 and FM388. Turn right onto FM388, proceed west to junction FM388 
and Loop Road 306.
    Northwestern Loop. From junction of Loop Road 306 and FM388 (2), 
make right turn onto Loop Road 306. Proceed onto US277, to junction with 
FM2105 (8). Turn left onto FM2105 and proceed west to junction with US87 
(10). Turn right on US87 and proceed northwest to the junction with 
FM2034 near the town of Water Valley (11). Turn right onto FM2034 and 
proceed north to Texas 208 (12). Turn right onto Texas 208 and proceed 
south to junction with FM2105 (9). Turn left onto FM2105 and proceed 
east to junction with US277 (8). Turn right onto US277 and proceed south 
onto Loop Road 306 to junction with FM388 (2). For convoys that 
originate at Goodfellow AFB, turn right onto FM388 and proceed to 
starting point at junction of Ft. McKavitt Road and FM388 (1). For 
convoys that do not originate at Goodfellow AFB, do not turn right onto 
FM388 but continue south on Loop Road 306.
    Driving instructions. The drivers shall run at posted speed limits 
throughout the course unless an unsafe condition arises. If such 
condition arises, the speed should be reduced to the maximum safe 
operating speed.
    Braking Procedures at STOP signs. There are a number of 
intersections at which stops are required. At each of these 
intersections a series of signs is placed in a fixed order at follows:

                               Sign Legend

Highway Intersection 1000 (or 2000) Feet

STOP AHEAD

Junction XXX

Direction Sign (Mereta)

STOP or YIELD
    Procedures. 1. Approach each intersection at posted speed limit.
    2. When abreast of the STOP AHEAD sign, apply the brakes so that the 
vehicle decelerates smoothly to 20 mph when abreast of the direction 
sign.
    3. Come to a complete stop at the STOP sign or behind any vehicle 
already stopped.


[[Page 738]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.190



[[Page 739]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.191



[[Page 740]]

                     Appendix B--Traction Skid Pads

    Two skid pads have been laid on an unused runway and taxi strip on 
Goodfellow AFB. Their location is shown in Figure 4.
    The asphalt skid pad is 600 ft. x 60 ft. and is shown in black on 
the runway in Figure 4. The pad is approached from either end by a 75 
ft. ramp followed by 100 ft. of level pavement. This arrangement permits 
the skid trailers to stabilize before reaching the test area. The 
approaches are shown on the figure by the hash-marked area.
    The concrete pad is 600 ft. x 48 ft. and is on the taxi strip. The 
approaches to the concrete pad are of the same design as those for the 
asphalt pads.
    A two lane asphalt road has been built to connect the runway and 
taxi strip. The road is parallel to the northeast-southwest runway at a 
distance of 100 ft. The curves have super-elevation to permit safe exit 
from the runway at operating speeds.

[GRAPHIC] [TIFF OMITTED] TC01AU91.192

                   Appendix C--Method of Least Squares

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


[[Page 741]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.193



    In this graph, xj,yj(j=0,1,...8) are the 
individual data points representing the tread depth measurements (the 
overall average for the tire with 6 measurements in each tire groove) at 
the beginning of the test (after break-in) and at the end of each 800-
mile segment of the test.
    The absolute value of the slope of the regression line is an 
expression of the mils of tread worn per 1,000 miles, and is calculated 
by the following formula:

[GRAPHIC] [TIFF OMITTED] TC01AU91.194


    The ``y'' intercept of the regression line (a) in mils is calculated 
by the following formula:

[GRAPHIC] [TIFF OMITTED] TC01AU91.195

[43 FR 30549, July 17, 1978]

                          Appendix D--User Fees

    1. Course Monitoring Tires: A fee of $333.00 will be assessed for 
each course monitoring tire purchased from NHTSA at Goodfellow Air Force 
Base, San Angelo, Texas. This fee is based upon the direct and indirect 
costs attributable to: (a) the purchase of course monitoring tires by 
NHTSA, (b) a pro rata allocation of salaries and general facility costs 
associated with maintenance of the tires, and (c) warehouse storage fees 
for the tires.

    2. Use of Government Traction Skid Pads: A fee of $34.00 will be 
assessed for each hour, or fraction thereof, that the traction skid pads 
at Goodfellow Air Force Base, San Angelo, Texas are used. This fee is 
based upon the direct and indirect costs attributable to: (a) 
depreciation on facilities and equipment comprising or used in 
conjunction with the

[[Page 742]]

traction skid pads (i.e., skid system, water truck, air compressor, skid 
track, tractor sweeper, equipment, buildings), (b) the calibration of 
the traction skid pads, and (c) a pro rata allocation of salaries and 
general facility costs associated with maintenance of the traction skid 
pads.
    3. Fee payments shall be by check, draft, money order, or Electronic 
Funds Transfer System made payable to the Treasurer of the United 
States.
    4. The fees set forth in this appendix continue in effect until 
adjusted by the Administrator of NHTSA. The Administrator reviews the 
fees set forth in this appendix and, if appropriate, adjusts them by 
rule at least every 2 years.
[60 FR 39271, Aug. 2, 1995]


    Editorial Note: For Federal Register citations affecting 
Sec. 575.104, see the List of CFR Sections Affected in the Finding Aids 
section of this volume.


    Effective Date Note 1: At 61 FR 47443, Sept. 9, 1996, Sec. 575.104 
was amended by revising (d)(1)(i)(B); (d)(1)(iii); (d)(2)(i); the 
introductory text of (d)(2)(ii); (e)(2)(ix)(C); Figure 1; Part I and the 
introductory text of Part II of Figure 2; and the paragraph entitled 
``Traction'' in Part II of Figure 2; by adding paragaph (d)(2)(ii)(D); 
and by removing paragraphs (i), (j), (k), and (l), effective March 9, 
1998. For the convenience of the user the superseded text is set forth 
as follows:

Sec. 575.104  Uniform Tire Quality Grading Standards.

                                * * * * *

    (d) Requirements--(1) Information.
    (i) * * *
    (A) * * *
    (B)(1) Each tire manufactured before April 1, 1982, other than a 
tire sold as original equipment on a new vehicle, shall have affixed to 
its tread surface in a manner such that it is not easily removable a 
label containing its grades and other information in the form 
illustrated in Figure 2, Part II, bearing the heading ``DOT QUALITY 
GRADES.'' The treadwear grade attributed to the tire shall be either 
imprinted or indelibly stamped on the label adjacent to the description 
of the treadwear grade. The label shall also depict all possible grades 
for traction and temperature resistance. The traction and temperature 
resistance performance grades attributed to the tire shall be indelibly 
circled. However, each tire labeled in conformity with the requirements 
of paragraph (d)(1)(i)(B)(2) of this section need not comply with the 
provisions of this paragraph.
    (2) Each tire manufactured on or after April 1, 1982, other than a 
tire sold as original equipment on a new vehicle, shall have affixed to 
its tread surface so as not to be easily removable a label or labels 
containing its grades and other information in the form illustrated in 
Figure 2, Parts I and II. The treadwear grade attributed to the tire 
shall be either imprinted or indelibly stamped on the label containing 
the material in Part I of Figure 2, directly to the right of or below 
the word ``TREADWEAR''. The traction and temperature resistance 
performance grades attributed to the tire shall be indelibly circled in 
an array of the potential grade letters (ABC) directly to the right of 
or below the words ``TRACTION'' and ``TEMPERATURE'' in Part I of Figure 
2. The words ``TREADWEAR,'' ``TRACTION,'' and ``TEMPERATURE,'' in that 
order, may be laid out vertically or horizontally. The text of Part II 
of Figure 2 may be printed in capital letters. The text of Part I and 
the text of Part II of Figure 2 need not appear on the same label, but 
the edges of the two texts must be positioned on the tire tread so as to 
be separated by a distance of no more than one inch. If the text of Part 
I and the text of Part II are placed on separate labels, the notation 
``See EXPLANATION OF DOT QUALITY GRADES'' shall be added to the bottom 
of the Part I text, and the words ``EXPLANATION OF DOT QUALITY GRADES'' 
shall appear at the top of the Part II text. The text of Figure 2 shall 
be oriented on the tire tread surface with lines of type running 
perpendicular to the tread circumference. If a label bearing a tire size 
designation is attached to the tire tread surface and the tire size 
designation is oriented with lines of type running perpendicular to the 
tread circumference, the text of Figure 2 shall read in the same 
direction as the tire size designation.

                                * * * * *

    (iii) In the case of information required in accordance with 
Sec. 575.6(a) to be furnished to the first purchaser of a new motor 
vehicle, other than a motor vehicle equipped with bias-ply tires 
manufactured prior to October 1, 1979, and a motor vehicle equipped with 
bias-belted tires manufactured prior to April 1, 1980, and a motor 
vehicle equipped with radial-ply tires manufactured prior to October 1, 
1980, each manufacturer of motor vehicles shall as part of the 
information list all possible grades for traction and temperature 
resistance and restate verbatim the explanation for each performance 
area specified in figure 2. The information need not be in the format of 
figure 2, but it must contain a statement referring the reader to the 
tire sidewall for the specific tire grades for the tires with which the 
vehicle is equipped.
    (2) Performance--(i) Treadwear. Each tire shall be graded for 
treadwear performance with the word ``TREADWEAR'' followed by a number 
of two or three digits representing

[[Page 743]]

the tire's grade for treadwear, expressed as a percentage of the NHTSA 
nominal treadwear value, when tested in accordance with the conditions 
and procedures specified in paragraph (e) of this section. On and before 
August 31, 1993, treadwear grades shall be in multiples of 10. (e.g., 
80, 150). On and after September 1, 1993, treadwear grades shall be in 
multiples of 20. (e.g., 80, 120, and 160).
    (ii) Traction. Each tire shall be graded for traction performance 
with the word ``TRACTION'' followed by the symbols C, B, or A, when the 
tire is tested in accordance with the conditions and procedures 
specified in paragraph (f) of this section.

                                * * * * *

    (e) * * *
    (2) * * *
    (ix) * * *
    (C) Determine the course severity adjustment factor by dividing the 
base wear rate for the course monitoring tires (see note below) by the 
average wear rate for the four course monitoring tires.

    Note: The base wear rates for the course monitoring tires will be 
furnished to the purchaser at the time of purchase.

                                * * * * *

    (i) Effective dates for treadwear grading requirements for radial 
tires.
    (1) Treadwear labeling requirements of Sec. 575.104(d)(1)(i)(B)(2) 
apply to tires manufactured on or after April 1, 1985.
    (2) Requirements for NHTSA review of treadwear information in 
consumer brochures, as specified in Sec. 575.6(d)(2), are effective 
April 1, 1985.
    (3) Treadwear consumer information brochure requirements of 
Sec. 575.6(c) are effective May 1, 1985.
    (4) Treadwear sidewall molding requirements of 
Sec. 575.104(d)(1)(i)(A) apply to tires manufactured on or after 
September 1, 1985.
    (j) Effective dates for treadwear grading requirements for bias ply 
tires. (1) Treadwear labeling requirements of 
Sec. 575.104(d)(1)(i)(B)(2) apply to tires manufactured on or after 
December 15, 1984.
    (2) Requirements for NHTSA review of treadwear information in 
consumer brochures, as specified in Sec. 575.6(d)(2), are effective 
December 15, 1984.
    (3) Treadwear consumer information brochure requirements of 
Sec. 575.6(c) are effective January 15, 1985.
    (4) Treadwear sidewall molding requirements of 
Sec. 575.104(d)(1)(i)(A) apply to tires manufactured on or after May 15, 
1985.
    (k) Effective dates for treadwear grading requirements for bias 
belted tires. (1) Treadwear labeling requirements of 
Sec. 575.104(d)(1)(i)(B)(2) apply to tires manufactured on or after 
March 1, 1985.
    (2) Requirements for NHTSA review of treadwear information in 
consumer brochures, as specified in Sec. 575.6(d)(2), are effective 
March 1, 1985.
    (3) Treadwear consumer information brochure requirements of 
Sec. 575.6(c) are effective April 1, 1985.
    (4) Treadwear sidewall molding requirements of 
Sec. 575.104(d)(1)(i)(A) apply to tires manufactured on or after August 
1, 1985.
    (l) Effective date for treadwear information requirements for 
vehicle manufacturers. Vehicle manufacturer treadwear information 
requirements of Secs. 575.6(a) and 575.104(d)(1)(iii) are effective 
September 1, 1985.

[[Page 744]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.189



[[Page 745]]

                 Figure 2--[Part I]--DOT Quality Grades

TREADWEAR
TRACTION ABC
TEMPERATURE ABC

    [Part II] All Passenger Car Tires Must Conform to Federal Safety 
                Requirements in Addition to These Grades

                                * * * * *

                                Traction

    The traction grades, from highest to lowest, are A, B, and C, and 
they represent the tire's ability to stop on wet pavement as measured 
under controlled conditions on specified government test surfaces of 
asphalt and concrete. A tire marked C may have poor traction 
performance. Warning: The traction grade assigned to this tire is based 
on braking (straightahead) traction tests and does not include cornering 
(turning) traction.

                                * * * * *



Sec. 575.105  Utility vehicles.

    (a) Purpose and scope. This section requires manufacturers of 
utility vehicles to alert drivers that the particular handling and 
maneuvering characteristics of utility vehicles require special driving 
practices when those vehicles are operated on paved roads.
    (b) Application. This section applies to multipurpose passenger 
vehicles (other than those which are passenger car derivatives) which 
have a wheelbase of 110 inches or less and special features for 
occasional off-road operation (``Utility vehicles'').
    (c) Required information. Each manufacturer shall prepare and affix 
a vehicle sticker as specified in paragraph 1 of this subsection and 
shall provide in the vehicle Owner's Manual the information specified in 
paragraph 2 of this subsection.
    (1) A sticker shall be permanently affixed to the instrument panel, 
windshield frame, driver's side sun visor, or in some other location in 
each vehicle prominent and visible to the driver. The sticker shall be 
printed in a typeface and color which are clear and conspicuous. The 
sticker shall have the following or similar language:

    This is a multipurpose passenger vehicle which will handle and 
maneuver differently from an ordinary passenger car, in driving 
conditions which may occur on streets and highways and off road. As with 
other vehicles of this type, if you make sharp turns or abrupt 
maneuvers, the vehicle may roll over or may go out of control and crash. 
You should read driving guidelines and instructions in the Owner's 
Manual, and WEAR YOUR SEAT BELTS AT ALL TIMES.


The language on the sticker required by paragraph (1) and in the Owner's 
Manual, as required in paragraph (2), may be modified as is desired by 
the manufacturer to make it appropriate for a specific vehicle design, 
to ensure that consumers are adequately informed concerning the unique 
propensities of a particular vehicle model.
    (2)(i) The vehicle Owner's Manual shall include the following 
statement in its introduction.
    As with other vehicles of this type, failure to operate this vehicle 
correctly may result in loss of control or an accident. Be sure to read 
``on-pavement'' and ``off-road'' driving guidelines which follow.
    (ii) The vehicle Owner's Manual shall include the following or 
similar statement:

    Utility vehicles have higher ground clearance and a narrower track 
to make them capable of performing in a wide variety of off-road 
applications. Specific design characteristics give them a higher center 
of gravity than ordinary cars. An advantage of the higher ground 
clearance is a better view of the road allowing you to anticipate 
problems. They are not designed for cornering at the same speeds as 
conventional 2-wheel drive vehicles any more than low-slung sports cars 
are designed to perform satisfactorily under off-road conditions. If at 
all possible, avoid sharp turns or abrupt maneuvers. As with other 
vehicles of this type, failure to operate this vehicle correctly may 
result in loss of control or vehicle rollover.
[49 FR 20019, May 11, 1984, as amended at 49 FR 32071, Aug. 10, 1984]



PART 576--RECORD RETENTION--Table of Contents




Sec.
576.1  Scope.
576.2  Purpose.
576.3  Application.
576.4  Definitions.
576.5  Basic requirements.
576.6  Records.

[[Page 746]]

576.7  Retention.
576.8  Malfunctions covered.

    Authority:  49 U.S.C. 30112, 30115, 30117-121, 30166-167; delegation 
of authority at 49 CFR 1.50.

    Source:  39 FR 30045, Aug. 20, 1974, unless otherwise noted.

    Editorial Note: For an interpretation document regarding part 576, 
see 40 FR 3296, Jan. 21, 1975.



Sec. 576.1  Scope.

    This part establishes requirements for the retention by motor 
vehicle manufacturers of complaints, reports, and other records 
concerning motor vehicle malfunctions that may be related to motor 
vehicle safety.



Sec. 576.2  Purpose.

    The purpose of this part is to preserve records that are needed for 
the proper investigation, and adjudication or other disposition, of 
possible defects related to motor vehicle safety and instances of 
nonconformity to the motor vehicle safety standards and associated 
regulations.



Sec. 576.3  Application.

    This part applies to all manufacturers of motor vehicles, with 
respect to all records generated or acquired after August 15, 1969.



Sec. 576.4  Definitions.

    All terms in this part that are defined in the Act are used as 
defined therein.



Sec. 576.5  Basic requirements.

    Each manufacturer of motor vehicles shall retain as specified in 
Sec. 576.7 all records described in Sec. 576.6 for a period of five 
years from the date on which they were generated or acquired by the 
manufacturer.
[61 FR 278, Jan. 4, 1996]



Sec. 576.6  Records.

    Records to be retained by manufacturers under this part include all 
documentary materials, films, tapes, and other information-storing media 
that contain information concerning malfunctions that may be related to 
motor vehicle safety. Such records include, but are not limited to, 
communications from vehicle users and memoranda of user complaints; 
reports and other documents, including material generated or 
communicated by computer, telefax or other electronic means, that are 
related to work performed under, or claims made under, warranties; 
service reports or similar documents, including electronic 
transmissions, from dealers or manufacturer's field personnel; and any 
lists, compilations, analyses, or discussions of such malfunctions 
contained in internal or external correspondence of the manufacturer, 
including communications transmitted electronically.
[61 FR 278, Jan. 4, 1996]



Sec. 576.7  Retention.

    Duplicate copies need not be retained. Information may be reproduced 
or transferred from one storage medium to another (e.g., from paper 
files to microfilm) as long as no information is lost in the 
reproduction or transfer, and when so reproduced or transferred the 
original form may be treated as a duplicate.



Sec. 576.8  Malfunctions covered.

    For purposes of this part, ``malfunctions that may be related to 
motor vehicle safety'' shall include, with respect to a motor vehicle or 
item of motor vehicle equipment, any failure or malfunction beyond 
normal deterioration in use, or any failure of performance, or any flaw 
or unintended deviation from design specifications, that could in any 
reasonably foreseeable manner be a causative factor in, or aggravate, an 
accident or an injury to a person.



PART 577--DEFECT AND NONCOMPLIANCE NOTIFICATION--Table of Contents




Sec.
577.1  Scope.
577.2  Purpose.
577.3  Application.
577.4  Definitions.
577.5  Notification pursuant to a manufacturer's decision.
577.6  Notification pursuant to Administrator's decision.
577.7  Time and manner of notification.
577.8  Disclaimers.
577.9  Conformity to statutory requirements.
577.10  Follow-up notification.


[[Page 747]]


    Authority:  49 U.S.C. 30102-103, 30112, 30115, 30117-121, 30166-167; 
delegations of authority at 49 CFR 1.50 and 49 CFR 501.8.

    Source:  41 FR 56816, Dec. 30, 1976, unless otherwise noted.



Sec. 577.1  Scope.

    This part sets forth requirements for notification to owners of 
motor vehicles and replacement equipment about the possibility of a 
defect which relates to motor vehicle safety or a noncompliance with a 
Federal motor vehicle safety standard.



Sec. 577.2  Purpose.

    The purpose of this part is to ensure that notifications of defects 
or noncompliances adequately inform and effectively motivate owners of 
potentially defective or noncomplying motor vehicles or items of 
replacement equipment to have such vehicles or equipment inspected and, 
where necessary, remedied as quickly as possible.



Sec. 577.3  Application.

    This part applies to manufacturers of complete motor vehicles, 
incomplete motor vehicles, and replacement equipment. In the case of 
vehicles manufactured in two or more stages, compliance by either the 
manufacturer of the incomplete vehicle, any subsequent manufacturer, or 
the manufacturer of affected replacement equipment, shall be considered 
compliance by each of those manufacturers.



Sec. 577.4  Definitions.

    For the purposes of this part:
    Act means 49 U.S.C. Chapter 30101-30169.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration or his delegate.
    First purchaser means the first purchaser in good faith for a 
purpose other than resale.
    Leased motor vehicle means any motor vehicle that is leased to a 
person for a term of at least four months by a lessor who has leased 
five or more vehicles in the twelve months preceding the date of 
notification by the vehicle manufacturer of the existence of a safety-
related defect or noncompliance with a Federal motor vehicle safety 
standard in the motor vehicle.
    Lessee means a person who is the lessee of a leased motor vehicle as 
defined in this section.
    Lessor means a person or entity that is the owner, as reflected on 
the vehicle's title, of any five or more leased vehicles (as defined in 
this section), as of the date of notification by the manufacturer of the 
existence of a safety-related defect or noncompliance with a Federal 
motor vehicle safety standard in one or more of the leased motor 
vehicles.
    Owners includes purchaser.
[41 FR 56816, Dec. 30, 1976, as amended at 60 FR 17270, Apr. 5, 1995]



Sec. 577.5  Notification pursuant to a manufacturer's decision.

    (a) When a manufacturer of motor vehicles or replacement equipment 
determines that any motor vehicle or item of replacement equipment 
produced by him contains a defect which relates to motor vehicle safety, 
or fails to conform to an applicable Federal motor vehicle safety 
standard, he shall provide notification in accordance with paragraph (a) 
of Sec. 577.7, unless the manufacturer is exempted by the Administrator 
(pursuant to section 157 of the Act) from giving such notification. The 
notification shall contain the information specified in this section. 
The information required by paragraphs (b) and (c) of this section shall 
be presented in the form and order specified. The information required 
by paragraphs (d) through (h) of this section may be presented in any 
order. The manufacturer shall mark the outside of each envelope in which 
it sends an owner notification letter with a notation that includes the 
words ``SAFETY,'' RECALL,'' and ``NOTICE,'' all in capital letters and 
in type that is larger than that used in the address section, and is 
also distinguishable from the other type in a manner other than size. 
Except where the format of the envelope has been previously approved by 
NHTSA, each manufacturer must submit the envelope format it intends to 
use to NHTSA at least 5 Federal government business days before mailing 
to owners, in the same manner as is required by Sec. 573.5(c)(9) for 
owner notification letters. Notification sent to an owner whose address 
is in either the

[[Page 748]]

Commonwealth of Puerto Rico or the Canal Zone shall be written in both 
English and Spanish.
    (b) An opening statement: ``This notice is sent to you in accordance 
with the requirements of the National Traffic and Motor Vehicle Safety 
Act.''
    (c) Whichever of the following statements is appropriate:
    (1) ``(Manufacturer's name or division) has decided that a defect 
which relates to motor vehicle safety exists in (identified motor 
vehicles, in the case of notification sent by a motor vehicle 
manufacturer; identified replacement equipment, in the case of 
notification sent by a replacement equipment manufacturer);'' or
    (2) ``(Manufacturer's name or division) has decided that (identified 
motor vehicles, in the case of notification sent by a motor vehicle 
manufacturer; identified replacement equipment, in the case of 
notification sent by a replacement equipment manufacturer) fail to 
conform to Federal Motor Vehicle Safety Standard No. (number and title 
of standard).''
    (d) When the manufacturer determines that the defect or 
noncompliance may not exist in each such vehicle or item of replacement 
equipment, he may include an additional statement to that effect.
    (e) A clear description of the defect or noncompliance, which shall 
include--
    (1) An identification of the vehicle system or particular item(s) of 
motor vehicle equipment affected.
    (2) A description of the malfunction that may occur as a result of 
the defect or noncompliance. The description of a noncompliance with an 
applicable standard shall include, in general terms, the difference 
between the performance of the noncomplying vehicle or item of 
replacement equipment and the performance specified by the standard;
    (3) A statement of any operating or other conditions that may cause 
the malfunction to occur; and
    (4) A statement of the precautions, if any, that the owners should 
take to reduce the chance that the malfunction will occur before the 
defect or noncompliance is remedied.
    (f) An evaluation of the risk to motor vehicle safety reasonably 
related to the defect or noncompliance.
    (1) When vehicle crash is a potential occurrence, the evaluation 
shall include whichever of the following is appropriate:
    (i) A statement that the defect or noncompliance can cause vehicle 
crash without prior warning; or
    (ii) A description of whatever prior warning may occur, and a 
statement that if this warning is not heeded, vehicle crash can occur.
    (2) When vehicle crash is not the potential occurrence, the 
evaluation must include a statement indicating the general type of 
injury to occupants of the vehicle, or to persons outside the vehicle, 
that can result from the defect or noncompliance, and a description of 
whatever prior warning may occur.
    (g) A statement of measures to be taken to remedy the defect or 
noncompliance, in accordance with paragraph (g)(1) or (g)(2) of this 
section, whichever is appropriate.
    (1) When the manufacturer is required by the Act to remedy the 
defect or noncompliance without charge, or when he will voluntarily so 
remedy in full conformity with the Act, he shall include--
    (i) A statement that he will cause such defect or noncompliance to 
be remedied without charge, and whether such remedy will be by repair, 
replacement, or (except in the case of replacement equipment) refund, 
less depreciation, of the purchase price.
    (ii) The earliest date on which the defect or noncompliance will be 
remedied without charge. In the case of remedy by repair, this date 
shall be the earliest date on which the manufacturer reasonably expects 
that dealers or other service facilities will receive necessary parts 
and instructions. The manufacturer shall specify the last date, if any, 
on which he will remedy tires without charge.
    (iii) In the case of remedy by repair through the manufacturer's 
dealers or other service facilities:
    (A) A general description of the work involved in repairing the 
defect or noncompliance; and

[[Page 749]]

    (B) The manufacturer's estimate of the time reasonably necessary to 
perform the labor required to correct the defect or noncompliance.
    (iv) In the case of remedy by repair through service facilities 
other than those of the manufacturer or its dealers:
    (A) The name and part number of each part must be added, replaced, 
or modified;
    (B) A description of any modifications that must be made to existing 
parts, which shall also be identified by name and part number;
    (C) Information as to where needed parts will be available;
    (D) A detailed description (including appropriate illustrations) of 
each step required to correct the defect or noncompliance;
    (E) The manufacturer's estimate of the time reasonably necessary to 
perform the labor required to correct the defect or noncompliance; and
    (F) The manufacturer's recommendations of service facilities where 
the owner should have the repairs performed.
    (v) In the case of remedy by replacement, a description of the motor 
vehicle or item of replacement equipment that the manufacturer will 
provide as a replacement for the defective or noncomplying vehicle or 
equipment.
    (vi) In the case of remedy by refund of purchase price, the method 
or basis for the manufacturer's assessment of depreciation.
    (vii) A statement informing the owner that he or she may submit a 
complaint to the Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590 or call 
the toll free Auto Safety Hotline at 800-424-9393 (Washington, DC area 
residents may call 202-366-0123), if the owner believes that:
    (A) The manufacturer, distributor, or dealer has failed or is unable 
to remedy the defect or noncompliance without charge.
    (B) The manufacturer has failed or is unable to remedy the defect or 
noncompliance without charge--
    (1) (In the case of motor vehicles or items of replacement 
equipment, other than tires) within a reasonable time, which is not 
longer than 60 days in the case of repair after the owner's first tender 
to obtain repair following the earliest repair date specified in the 
notification, unless the period is extended by Administrator.
    (2) (In the case of tires) after the date specified in the 
notification on which replacement tires will be available.
    (2) When the manufacturer is not required to remedy the defect or 
noncompliance without charge and he will not voluntarily so remedy, the 
statement shall include--
    (i) A statement that the manufacturer is not required by the Act to 
remedy without charge.
    (ii) A statement of the extent to which the manufacturer will 
voluntarily remedy, including the method of remedy and any limitations 
and conditions imposed by the manufacturer on such remedy.
    (iii) The manufacturer's opinion whether the defect or noncompliance 
can be remedied by repair. If the manufacturer believes that repair is 
possible, the statement shall include the information specified in 
paragraph (g)(1)(iv) of this section, except that;
    (A) The statement required by paragraph (g)(1)(iv)(A) of this 
section shall also indicate the suggested list price of each part.
    (B) The statement required by paragraph (g)(1)(iv)(C) of this 
section shall also indicate the manufacturer's estimate of the date on 
which the parts will be generally available.
    (h) Any lessor who receives a notification of a determination of a 
safety-related defect or noncompliance pertaining to any leased motor 
vehicle shall send a copy of such notice to the lessee as prescribed by 
Sec. 577.7(a)(2)(iv). This requirement applies to both initial and 
follow-up notifications, but does not apply where the manufacturer has 
notified a lessor's lessees directly.

(Secs. 108, 112, and 119, Pub. L. 89-563; 80 Stat. 718; secs. 102, 103, 
and 104, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1397, 1401, 1408, and 
1411-1420); delegation of authority at 49 CFR 1.50)
[41 FR 56816, Dec. 30, 1976, as amended at 46 FR 6971, Jan. 22, 1981; 46 
FR 28657, May 28, 1981; 60 FR 17270, Apr. 5, 1995; 61 FR 279, Jan. 4, 
1996]

[[Page 750]]



Sec. 577.6  Notification pursuant to Administrator's decision.

    (a) Agency-ordered notification. When a manufacturer is ordered 
pursuant to 49 U.S.C. 30118(b) to provide notification of a defect or 
noncompliance, he shall provide such notification in accordance with 
Secs. 577.5 and 577.7, except that the statement required by paragraph 
(c) of Sec. 577.5 shall indicate that the decision has been made by the 
Administrator of the National Highway Traffic Safety Administration.
    (b) Provisional notification. When a manufacturer does not provide 
notification as required by paragraph (a) of this section, and an action 
concerning the Administrator's order to provide such notification has 
been filed in a United States District Court, the manufacturer shall, 
upon the Administrator's further order, provide in accordance with 
paragraph (b) of Sec. 577.7 a provisional notification containing the 
information specified in this paragraph, in the order and, where 
specified, the form of paragraphs (b)(1) through (b)(12) of this 
section.
    (1) An opening statement: ``This notice is sent to you in accordance 
with the requirements of the National Traffic and Motor Vehicle Safety 
Act.''
    (2) Whichever of the following statements is appropriate:
    (i) ``The Administrator of the National Highway Traffic Safety 
Administration has decided that a defect which relates to motor vehicle 
safety exists in (identified motor vehicles, in the case of notification 
sent by a manufacturer of motor vehicles; identified replacement 
equipment, in the case of notification sent by a manufacturer of 
replacement equipment);'' or
    (ii) ``The Administrator of the National Highway Traffic Safety 
Administration has decided that (identified motor vehicles in the case 
of notification sent by a motor vehicle manufacturer; identified 
replacement equipment, in the case of notification sent by a 
manufacturer of replacement equipment) fail to conform to federal Motor 
Vehicle Safety Standard No. (number and title of standard).''
    (3) When the Administrator decides that the defect or noncompliance 
may not exist in each such vehicle or item of replacement equipment, the 
manufacturer may include an additional statement to that effect.
    (4) The statement: ``(Manufacturer's name or division) is contesting 
this determination in a proceeding in the Federal courts and has been 
required to issue this notice pending the outcome of the court 
proceeding.''
    (5) A clear description of the Administrator's stated basis for his 
decision, as provided in his order, including a brief summary of the 
evidence and reasoning that the Administrator relied upon in making his 
decision.
    (6) A clear description of the Administrator' stated evaluation as 
provided in his order of the risk to motor vehicle safety reasonably 
related to the defect or noncompliance.
    (7) Any measures that the Administrator has stated in his order 
should be taken by the owner to avoid an unreasonable hazard resulting 
from the defect or noncompliance.
    (8) A brief summary of the evidence and reasoning upon which the 
manufacturer relies in contesting the Administrator's determination.
    (9) A statement regarding the availability of remedy and 
reimbursement in accordance with paragraph (b)(9)(i) or (9)(ii) of this 
section, whichever is appropriate.
    (i) When the purchase date of the vehicle or item of equipment is 
such that the manufacturer is required by the Act to remedy without 
charge or to reimburse the owner for reasonable and necessary repair 
expenses, he shall include--
    (A) A statement that the remedy will be provided without charge to 
the owner if the Court upholds the Administrator's decision;
    (B) A statement of the method of remedy. If the manufacturer has not 
yet determined the method of remedy, he shall indicate that he will 
select either repair, replacement with an equivalent vehicle or item of 
replacement equipment, or (except in the case of replacement equipment) 
refund, less depreciation, of the purchase price; and
    (C) A statement that, if the Court upholds the Administrator's 
decision, he will reimburse the owner for any reasonable and necessary 
expenses that the owner incurs (not in excess of any

[[Page 751]]

amount specified by the Administrator) in repairing the defect or 
noncompliance following a date, specified by the manufacturer, which 
shall not be later than the date of the Administrator's order to issue 
this notification.
    (ii) When the manufacturer is not required either to remedy without 
charge or to reimburse, he shall include--
    (A) A statement that he is not required to remedy or reimburse, or
    (B) A statement of the extent to which he will voluntarily remedy or 
reimburse, including the method of remedy, if then known, and any 
limitations and conditions on such remedy or reimbursement.
    (10) A statement indicating whether, in the manufacturer's opinion, 
the defect or noncompliance can be remedied by repair. When the 
manufacturer believes that such remedy is feasible, the statement shall 
include:
    (i) A general description of the work and the manufacturer's 
estimate of the costs involved in repairing the defect or noncompliance;
    (ii) Information on where needed parts and instructions for 
repairing the defect or noncompliance will be available, including the 
manufacturer's estimate of the day on which they will be generally 
available;
    (iii) The manufacturer's estimate of the time reasonably necessary 
to perform the labor required to correct the defect or noncompliance; 
and
    (iv) The manufacturer's recommendations of service facilities where 
the owner could have the repairs performed, including (in the case of a 
manufacturer required to reimburse if the Administrator's decision is 
upheld in the court proceeding) at least one service facility for whose 
charges the owner will be fully reimbursed if the Administrator's 
decision is upheld.
    (11) A statement that further notice will be mailed by the 
manufacturer to the owner if the Administrator's decision is upheld in 
the court proceeding.
    (12) An address of the manufacturer where the owner may write to 
obtain additional information regarding the notification and remedy.
    (c) Post-litigation notification. When a manufacturer does not 
provide notification as required in paragraph (a) of this section and 
the Administrator prevails in an action commenced with respect to such 
notification, the manufacturer shall, upon the Administrator's further 
order, provide notification in accordance with paragraph (b) of 
Sec. 577.7 containing the information specified in paragraph (a) of this 
section, except that--
    (1) The statement required by paragraph (c) of Sec. 577.5 shall 
indicate that the decision has been made by the Administrator and that 
his decision has been upheld in a proceeding in the Federal courts; and
    (2) When a provisional notification was issued regarding the defect 
or noncompliance and the manufacturer is required under the Act to 
reimburse--
    (i) The manufacturer shall state that he will reimburse the owner 
for any reasonable and necessary expenses that the owner incurred (not 
in excess of any amount specified by the Administrator) for repair of 
the defect or noncompliance of the vehicle or item of equipment on or 
after the date on which provisional notification was ordered to be 
issued and on or before a date not sooner than the date on which this 
notification is received by the owner. The manufacturer shall determine 
and specify both dates.
    (ii) The statement required by paragraph (g)(1)(vii) of Sec. 577.5 
shall also inform the owner that he may submit a complaint to the 
Administrator if the owner believes that the manufacturer has failed to 
reimburse adequately.
    (3) If the manufacturer is not required under the Act to reimburse, 
he shall include--
    (i) A statement that he is not required to reimburse, or
    (ii) When he will voluntarily reimburse, a statement of the extent 
to which he will do so, including any limitations and conditions on such 
reimbursement.
[41 FR 56816, Dec. 30, 1976, as amended at 60 FR 17271, Apr. 5, 1995]



Sec. 577.7  Time and manner of notification.

    (a) The notification required by Sec. 577.5 shall--
    (1) Be furnished within a reasonable time after the manufacturer 
first decides that either a defect that relates

[[Page 752]]

to motor vehicle safety or a noncompliance exists. The Administrator may 
order a manufacturer to send the notification to owners on a specific 
date where the Administrator finds, after consideration of available 
information and the views of the manufacturer, that such notification is 
in the public interest. The factors that the Administrator may consider 
include, but are not limited to, the severity of the safety risk; the 
likelihood of occurrence of the defect or noncompliance; whether there 
is something that an owner can do to reduce either the likelihood of 
occurrence of the defect or noncompliance or the severity of the 
consequences; whether there will be a delay in the availability of the 
remedy from the manufacturer; and the anticipated length of any such 
delay.
    (2) Be accomplished--
    (i) In the case of a notification required to be sent by a motor 
vehicle manufacturer, by first class mail to each person who is 
registered under State law as the owner of the vehicle and whose name 
and address are reasonably ascertainable by the manufacturer through 
State records or other sources available to him. If the owner cannot be 
reasonably ascertained, the manufacturer shall notify the most recent 
purchaser known to the manufacturer. The manufacturer shall also provide 
notification to each lessee of a leased motor vehicle that is covered by 
an agreement between the manufacturer and a lessor under which the 
manufacturer is to notify lessees directly of safety-related defects and 
noncompliances.
    (ii) In the case of a notification required to be sent by a 
replacement equipment manufacturer--
    (A) By first class mail to the most recent purchaser known to the 
manufacturer, and
    (B) (Except in the case of a tire) if decided by the Administrator 
to be required for motor vehicle safety, by public notice in such manner 
as the Administrator may require after consultation with the 
manufacturer.
    (iii) In the case of a manufacturer required to provide notification 
concerning any defective or noncomplying tire, by first class or 
certified mail.
    (iv) In the case of a notification to be sent by a lessor to a 
lessee of a leased motor vehicle, by first-class mail to the most recent 
lessee known to the lessor. Such notification shall be mailed within ten 
days of the lessor's receipt of the notification from the vehicle 
manufacturer.
    (b) The notification required by any paragraph of Sec. 577.6 shall 
be provided:
    (1) Within 60 days after the manufacturer's receipt of the 
Administrator's order to provide the notification, except that the 
notification shall be furnished within a shorter or longer period if the 
Administrator incorporates in his order a finding that such period is in 
the public interest; and
    (2) In the manner and to the recipient specified in paragraph (a) of 
this section.
[41 FR 56816, Dec. 30, 1976, as amended at 60 FR 17271, Apr. 5, 1995]



Sec. 577.8  Disclaimers.

    (a) A notification sent pursuant to Secs. 577.5, 577.6, 577.9 or 
577.10 regarding a defect which relates to motor vehicle safety shall 
not, except as specifically provided in this part, contain any statement 
or implication that there is no defect, that the defect does not relate 
to motor vehicle safety, or that the defect is not present in the 
owner's or lessee's vehicle or item of replacement equipment. This 
section also applies to any notification sent to a lessor or directly to 
a lessee by a manufacturer.
    (b) A notification sent pursuant to Secs. 577.5, 577.6, 577.9 or 
577.10 regarding a noncompliance with an applicable motor vehicle safety 
standard shall not, except as specifically provided in this part, 
contain any statement or implication that there is not a noncompliance, 
or that the noncompliance is not present in the owner's or lessee's 
vehicle or item of replacement equipment. This section also applies to 
any notification sent to a lessor or directly to a lessee by a 
manufacturer.
[60 FR 17272, Apr. 5, 1995]

[[Page 753]]



Sec. 577.9  Conformity to statutory requirements.

    A notification that does not conform to the requirements of this 
part is a violation of the Act.



Sec. 577.10  Follow-up notification.

    (a) If, based on quarterly reports submitted pursuant to Sec. 573.6 
of this part or other available information, the Administrator decides 
that a notification of a safety-related defect of a noncompliance with a 
Federal motor vehicle safety standard sent by a manufacturer has not 
resulted in an adequate number of vehicles or items of equipment being 
returned for remedy, the Administrator may direct the manufacturer to 
send a follow-up notification in accordance with this section. The 
scope, timing, form, and content of such follow-up notification will be 
established by the Administrator, in consultation with the manufacturer, 
to maximize the number of owners, purchasers, and lessees who will 
present their vehicles or items of equipment for remedy.
    (b) The Administrator may consider the following factors in deciding 
whether or not to require a manufacturer to undertake a follow-up 
notification campaign:
    (1) The percentage of covered vehicles or items of equipment that 
have been presented for the remedy;
    (2) The amount of time that has elapsed since the prior 
notification(s);
    (3) The likelihood that a follow-up notification will increase the 
number of vehicles or items of equipment receiving the remedy;
    (4) The seriousness of the safety risk from the defect or 
noncompliance;
    (5) Whether the prior notification(s) undertaken by the manufacturer 
complied with the requirements of the statute and regulations; and
    (6) Such other factors as are consistent with the purpose of the 
statute.
    (c) A manufacturer shall be required to provide a follow-up 
notification under this section only with respect to vehicles or items 
of equipment that have not been returned for remedy pursuant to the 
prior notification(s).
    (d) Except where the Administrator determines otherwise, the follow-
up notification shall be sent to the same categories of recipients that 
received the prior notification(s).
    (e) A follow-up notification must include:
    (1) A statement that identifies it as a follow-up to an earlier 
communication;
    (2) A statement urging the recipient to present the vehicle or item 
of equipment for remedy; and
    (3) Except as determined by the Administrator, the information 
required to be included in the initial notification.
    (f) The manufacturer shall mark the outside of each envelope in 
which it sends a follow-up notification in a manner which meets the 
requirements of Sec. 577.5(a) of this part.
    (g) Notwithstanding any other provision of this part, the 
Administrator may authorize the use of other media besides first-class 
mail for a follow-up notification.
[60 FR 17272, Apr. 5, 1995]



PART 578--CIVIL PENALTIES--Table of Contents




Sec.
578.1  Scope.
578.2  Purpose.
578.3  Applicability.
578.4  Definitions.
578.5  Inflationary adjustment of civil penalties.
578.6  Civil penalties for violations of specified provisions of Title 
          49 of the United States Code.


    Authority:  Pub. L. 101-410, Pub. L. 104-134, 49 U.S.C. 30165, 
30505, 32308, 32309, 32507, 32709, 32710, 32912, and 33115; delegation 
of authority at 49 CFR 1.50.

    Source:  62 FR 5169, Feb. 4, 1997, unless otherwise noted.



Sec. 578.1  Scope.

    This part specifies the civil penalties for violations of statutes 
administered by the National Highway Traffic Safety Administration, as 
adjusted for inflation.



Sec. 578.2  Purpose.

    The purpose of this part is to preserve the remedial impact of civil 
penalties and to foster compliance with the law by specifying the civil 
penalties for statutory violations, as adjusted for inflation.

[[Page 754]]



Sec. 578.3  Applicability.

    This part applies to civil penalties for violations of Chapters 301, 
305, 323, 325, 327, 329, and 331 of Title 49 of the United States Code.



Sec. 578.4  Definitions.

    All terms used in this part that are defined in sections 30102, 
30501, 32101, 32702, 32901, and 33101 of Title 49 of the United States 
Code are used as defined in the appropriate statute.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    Civil penalty means any penalty, fine, or other sanction that:
    (1) Is for a specific monetary amount as provided by Federal law, or 
has a maximum amount provided for by Federal law; and
    (2) Is assessed, compromised, collected, or enforced by NHTSA 
pursuant to Federal law.
    NHTSA means the National Highway Traffic Safety Administration.



Sec. 578.5  Inflationary adjustment of civil penalties.

    The civil penalties set forth in this part continue in effect until 
adjusted by the Administrator. At least once every four years, the 
Administrator shall review the amount of these civil penalties and will, 
if appropriate, adjust them by rule.



Sec. 578.6  Civil penalties for violations of specified provisions of Title 49 of the United States Code.

    (a) Motor Vehicle Safety. A person that violates any of sections 
30112, 30115, 30117-30122, 30123(d), 30125(c), 30127, 30141-30147, or 
30166 of Title 49 of the United States Code or a regulation prescribed 
under any of those sections is liable to the United States Government 
for a civil penalty of not more than $1,100 for each violation. A 
separate violation occurs for each motor vehicle or item of motor 
vehicle equipment and for each failure or refusal to allow or perform an 
act required by any of those sections. The maximum civil penalty under 
this paragraph for a related series of violations is $880,000.
    (b) National Automobile Title Information System. An individual or 
entity violating 49 U.S.C. Chapter 305 is liable to the United States 
Government for a civil penalty of not more than $1,100 for each 
violation.
    (c) Bumper standards. (1) A person that violates 49 U.S.C. 
Sec. 32506(a) is liable to the United States Government for a civil 
penalty of not more than $1,100 for each violation. A separate violation 
occurs for each passenger motor vehicle or item of passenger motor 
vehicle equipment involved in a violation of 49 U.S.C. 32506(a)(1) or 
(4)--
    (i) That does not comply with a standard prescribed under 49 U.S.C. 
32502, or
    (ii) For which a certificate is not provided, or for which a false 
or misleading certificate is provided, under 49 U.S.C. 32504.
    (2) The maximum civil penalty under this paragraph for a related 
series of violations is $880,000.
    (d) Consumer information regarding crashworthiness and damage 
susceptibility. A person that violates 49 U.S.C. 32308(a) is liable to 
the United States Government for a civil penalty of not more than $1,100 
for each violation. Each failure to provide information or comply with a 
regulation in violation of 49 U.S.C. 32308(a) is a separate violation. 
The maximum penalty under this paragraph for a related series of 
violations is $440,000.
    (e) Country of origin content labeling. A manufacturer of a 
passenger motor vehicle distributed in commerce for sale in the United 
States that willfully fails to attach the label required under 49 U.S.C. 
32304 to a new passenger motor vehicle that the manufacturer 
manufactures or imports, or a dealer that fails to maintain that label 
as required under 49 U.S.C. 32304, is liable to the United States 
Government for a civil penalty of not more than $1,100 for each 
violation. Each failure to attach or maintain that label for each 
vehicle is a separate violation.
    (f) Odometer tampering and disclosure. (1) A person that violates 49 
U.S.C. Chapter 327 or a regulation prescribed or order issued thereunder 
is liable to the United States Government for a civil penalty of not 
more than $2,200 for each violation. A separate violation occurs for 
each motor vehicle or device

[[Page 755]]

involved in the violation. The maximum civil penalty under this 
paragraph for a related series of violations is $110,000.
    (2) A person that violates 49 U.S.C. Chapter 327 or a regulation 
prescribed or order is issued thereunder, with intent to defraud, is 
liable for three times the actual damages or $1,650, whichever is 
greater.
    (g) Vehicle theft protection. (1) A person that violates 49 U.S.C. 
33114(a)(1)-(4) is liable to the United States Government for a civil 
penalty of not more than $1,100 for each violation. The failure of more 
than one part of a single motor vehicle to conform to an applicable 
standard under 49 U.S.C. 33102 or 33103 is only a single violation. The 
maximum penalty under this paragraph on for a related series of 
violations is $275,000.
    (2) A person that violates 49 U.S.C. 33114(a)(5) is liable to the 
United States Government for a civil penalty of not more than $110,000 a 
day for each violation.
    (h) Automobile fuel economy. (1) A person that violates 49 U.S.C. 
32911(a) is liable to the United States Government for a civil penalty 
of not more than $11,000 for each violation. A separate violation occurs 
for each day the violation continues.
    (2) Except as provided in 49 U.S.C. 32912(c), a manufacturer that 
violates a standard prescribed for a model year under 49 U.S.C. 32902 is 
liable to the United States Government for a civil penalty of $5.50 
multiplied by each .1 of a mile a gallon by which the applicable average 
fuel economy standard under that section exceeds the average fuel 
economy--
    (i) Calculated under 49 U.S.C. 32904(a)(1)(A) or (B) for automobiles 
to which the standard applies manufactured by the manufacturer during 
the model year;
    (ii) Multiplied by the number of those automobiles; and
    (iii) Reduced by the credits available to the manufacturer under 49 
U.S.C. 32903 for the model year.



PART 579--DEFECT AND NONCOMPLIANCE RESPONSIBILITY--Table of Contents




Sec.
579.1  Scope.
579.2  Purpose.
579.3  Application.
579.4  Definitions.
579.5  Defect and noncompliance responsibility.

    Authority:  Secs. 103, 108, 112, 113, Pub. L. 89-563, 80 Stat. 718; 
sec. 102, Pub. L. 93-492, 88 Stat. 1470 (15 U.S.C. 1392, 1397, 1401, 
1411-1420; delegation of authority at 49 CFR 1.50).

    Source:  43 FR 38833, Aug. 31, 1978, unless otherwise noted.



Sec. 579.1  Scope.

    This part sets forth the responsibilities under Part B of the Act of 
manufacturers for safety-related defects and noncompliances with Federal 
motor vehicle safety standards in motor vehicles and items of motor 
vehicle equipment.



Sec. 579.2  Purpose.

    The purpose of this part is to facilitate the notification of owners 
of defective and noncomplying motor vehicles and items of motor vehicle 
equipment, and the remedy of defective and noncomplying vehicles and 
items of equipment, by equitably reapportioning the responsibility for 
safety-related defects and noncompliances with Federal motor vehicle 
safety standards among manufacturers of motor vehicles and motor vehicle 
equipment.



Sec. 579.3  Application.

    This part applies to all manufacturers of motor vehicles and motor 
vehicle equipment.



Sec. 579.4  Definitions.

    (a) Original equipment means an item of motor vehicle equipment 
(other than a tire) which was installed in or on a motor vehicle at the 
time of its delivery to the first purchaser if--
    (1) The item of equipment was installed on or in the motor vehicle 
at the time of its delivery to a dealer or distributor for distribution; 
or
    (2) The item of equipment was installed by the dealer or distributor

[[Page 756]]

with the express authorization of the motor vehicle manufacturer.
    (b) Replacement equipment means--
    (1) Motor vehicle equipment other than original equipment as defined 
in paragraph (a) of this section; and
    (2) Tires.
    (c) The Act means the National Traffic and Motor Vehicle Safety Act 
of 1966, as amended.



Sec. 579.5  Defect and noncompliance responsibility.

    (a) Each manufacturer of a motor vehicle shall be responsible for 
any safety-related defect or any noncompliance determined to exist in 
the vehicle or in any item of original equipment.
    (b) Each manufacturer of an item of replacement equipment shall be 
responsible for any safety-related defect or any noncompliance 
determined to exist in the equipment.



PART 580--ODOMETER DISCLOSURE REQUIREMENTS--Table of Contents




Sec.
580.1  Scope.
580.2  Purpose.
580.3  Definitions.
580.4  Security of title documents and power of attorney forms.
580.5  Disclosure of odometer information.
580.6  [Reserved]
580.7  Disclosure of odometer information for leased motor vehicles.
580.8  Odometer disclosure statement retention.
580.9  Odometer record retention for auction companies.
580.10  Application for assistance.
580.11  Petition for approval of alternate disclosure requirements.
580.12  Petition for extension of time.
580.13  Disclosure of odometer information by power of attorney.
580.14  Power of attorney to review title documents and acknowledge 
          disclosure.
580.15  Certification by person exercising powers of attorney.
580.16  Access of transferee to prior title and power of attorney 
          documents.
580.17  Exemptions.



Appendix A to Part 580--Secure Printing Processes and Other Secure 
          processes
Appendix B to Part 580--Disclosure Form for Title
Appendix C to Part 580--Separate Disclosure Form
Appendix D to Part 580--Disclosure Form for Leased Vehicle
Appendix E to Part 580--Power of Attorney Disclosure Form

    Authority:  49 U.S.C. 32705; Sec. 332, Public Law No. 104-205; 
delegation of authority at 49 CFR 1.50(f) and 501.8(e)(1).

    Source:  53 FR 29476, Aug. 5, 1988, unless otherwise noted.



Sec. 580.1  Scope.

    This part prescribes rules requiring transferors and lessees of 
motor vehicles to make written disclosure to transferees and lessors 
respectively, concerning the odometer mileage and its accuracy as 
directed by sections 408 (a) and (e) of the Motor Vehicle Information 
and Cost Savings Act as amended, 15 U.S.C. 1988 (a) and (e). In 
addition, this part prescribes the rules requiring the retention of 
odometer disclosure statements by motor vehicle dealers, distributors 
and lessors and the retention of certain other information by auction 
companies as directed by sections 408(g) and 414 of the Motor Vehicle 
Information and Cost Savings Act as amended, 15 U.S.C. 1990(d) and 
1988(g).



Sec. 580.2  Purpose.

    The purpose of this part is to provide purchasers of motor vehicles 
with odometer information to assist them in determining a vehicle's 
condition and value by making the disclosure of a vehicle's mileage a 
condition of title and by requiring lessees to disclose to their lessors 
the vehicle's mileage at the time the lessors transfer the vehicle. In 
addition, the purpose of this part is to preserve records that are 
needed for the proper investigation of possible violations of the Motor 
Vehicle Information and Cost Savings Act and any subsequent 
prosecutorial, adjudicative or other action.



Sec. 580.3  Definitions.

    All terms defined in sections 2 and 402 of the Motor Vehicle 
Information and Cost Savings Act are used in their statutory meaning. 
Other terms used in this part are defined as follows:
    Lessee means any person, or the agent for any person, to whom a 
motor vehicle has been leased for a term of at least 4 months.
    Lessor means any person, or the agent for any person, who has leased 
5

[[Page 757]]

or more motor vehicles in the past 12 months.
    Mileage means actual distance that a vehicle has traveled.
    Original power of attorney means, for single copy forms, the 
document set forth by secure process which is issued by the State, and, 
for multicopy forms, any and all copies set forth by secure process 
which are issued by the State.
    Secure printing process or other secure process means any process 
which deters and detects counterfeiting and/or unauthorized reproduction 
and allows alterations to be visible to the naked eye.
    Transferee means any person to whom ownership of a motor vehicle is 
transferred, by purchase, gift, or any means other than by the creation 
of a security interest, and any person who, as agent, signs an odometer 
disclosure statement for the transferee.
    Transferor means any person who transfers his ownership of a motor 
vehicle by sale, gift, or any means other than by the creation of a 
security interest, and any person who, as agent, signs an odometer 
disclosure statement for the transferor.
[53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35887, Aug. 30, 1989; 56 
FR 47686, Sept. 20, 1991]



Sec. 580.4  Security of title documents and power of attorney forms.

    Each title shall be set forth by means of a secure printing process 
or other secure process. In addition, power of attorney forms issued 
pursuant to Secs. 580.13 and 580.14 and documents which are used to 
reassign the title shall be issued by the State and shall be set forth 
by a secure process.
[54 FR 35887, Aug. 30, 1989]



Sec. 580.5  Disclosure of odometer information.

    (a) Each title, at the time it is issued to the transferee, must 
contain the mileage disclosed by the transferor when ownership of the 
vehicle was transferred and contain a space for the information required 
to be disclosed under paragraphs (c), (d), (e) and (f) of this section 
at the time of future transfer.
    (b) Any documents which are used to reassign a title shall contain a 
space for the information required to be disclosed under paragraphs (c), 
(d), (e) and (f) of this section at the time of transfer of ownership.
    (c) In connection with the transfer of ownership of a motor vehicle, 
each transferor shall disclose the mileage to the transferee in writing 
on the title or, except as noted below, on the document being used to 
reassign the title. In the case of a transferor in whose name the 
vehicle is titled, the transferor shall disclose the mileage on the 
title, and not on a reassignment document. This written disclosure must 
be signed by the transferor, including the printed name. In connection 
with the transfer of ownership of a motor vehicle in which more than one 
person is a transferor, only one transferor need sign the written 
disclosure. In addition to the signature and printed name of the 
transferor, the written disclosure must contain the following 
information:
    (1) The odometer reading at the time of transfer (not to include 
tenths of miles);
    (2) The date of transfer;
    (3) The transferor's name and current address;
    (4) The transferee's name and current address; and
    (5) The identity of the vehicle, including its make, model, year, 
and body type, and its vehicle identification number.
    (d) In addition to the information provided under paragraph (c) of 
this section, the statement shall refer to the Federal law and shall 
state that failure to complete or providing false information may result 
in fines and/or imprisonment. Reference may also be made to applicable 
State law.
    (e) In addition to the information provided under paragraphs (c) and 
(d) of this section,
    (1) The transferor shall certify that to the best of his knowledge 
the odometer reading reflects the actual mileage, or;
    (2) If the transferor knows that the odometer reading reflects the 
amount of mileage in excess of the designed mechanical odometer limit, 
he shall include a statement to that effect; or
    (3) If the transferor knows that the odometer reading differs from 
the mileage and that the difference is greater

[[Page 758]]

than that caused by odometer calibration error, he shall include a 
statement that the odometer reading does not reflect the actual mileage, 
and should not be relied upon. This statement shall also include a 
warning notice to alert the transferee that a discrepancy exists between 
the odometer reading and the actual mileage.
    (f) The transferee shall sign the disclosure statement, print his 
name, and return a copy to his transferor.
    (g) If the vehicle has not been titled or if the title does not 
contain a space for the information required, the written disclosure 
shall be executed as a separate document.
    (h) No person shall sign an odometer disclosure statement as both 
the transferor and transferee in the same transaction, unless permitted 
by Secs. 580.13 or 580.14.
[53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35887, Aug. 30, 1989; 56 
FR 47686, Sept. 20, 1991]



Sec. 580.6  [Reserved]



Sec. 580.7  Disclosure of odometer information for leased motor vehicles.

    (a) Before executing any transfer of ownership document, each lessor 
of a leased motor vehicle shall notify the lessee in writing that the 
lessee is required to provide a written disclosure to the lessor 
regarding the mileage. This notice shall contain a reference to the 
federal law and shall state that failure to complete or providing false 
information may result in fines and/or imprisonment. Reference may also 
be made to applicable State law.
    (b) In connection with the transfer of ownership of the leased motor 
vehicle, the lessee shall furnish to the lessor a written statement 
regarding the mileage of the vehicle. This statement must be signed by 
the lessee and, in addition to the information required by paragraph (a) 
of this section, shall contain the following information:
    (1) The printed name of the person making the disclosure;
    (2) The current odometer reading (not to include tenths of miles);
    (3) The date of the statement;
    (4) The lessee's name and current address;
    (5) The lessor's name and current address;
    (6) The identity of the vehicle, including its make, model, year, 
and body type, and its vehicle identification number;
    (7) The date that the lessor notified the lessee of disclosure 
requirements;
    (8) The date that the completed disclosure statement was received by 
the lessor; and
    (9) The signature of the lessor.
    (c) In addition to the information provided under paragraphs (a) and 
(b) of this section,
    (1) The lessee shall certify that to the best of his knowledge the 
odometer reading reflects the actual mileage; or
    (2) If the lessee knows that the odometer reading reflects the 
amount of mileage in excess of the designed mechanical odometer limit, 
he shall include a statement to that effect; or
    (3) If the lessee knows that the odometer reading differs from the 
mileage and that the difference is greater than that caused by odometer 
calibration error, he shall include a statement that the odometer 
reading is not the actual mileage and should not be relied upon.
    (d) If the lessor transfers the leased vehicle without obtaining 
possession of it, the lessor may indicate on the title the mileage 
disclosed by the lessee under paragraph (b) and (c) of this section, 
unless the lessor has reason to believe that the disclosure by the 
lessee does not reflect the actual mileage of the vehicle.



Sec. 580.8  Odometer disclosure statement retention.

    (a) Dealers and distributors of motor vehicles who are required by 
this part to execute an odometer disclosure statement shall retain for 
five years a photostat, carbon or other facsimile copy of each odometer 
mileage statement which they issue and receive. They shall retain all 
odometer disclosure statements at their primary place of business in an 
order that is appropriate to business requirements and that permits 
systematic retrieval.
    (b) Lessors shall retain, for five years following the date they 
transfer ownership of the leased vehicle, each odometer disclosure 
statement which they receive from a lessee. They shall retain

[[Page 759]]

all odometer disclosure statements at their primary place of business in 
an order that is appropriate to business requirements and that permits 
systematic retrieval.
    (c) Dealers and distributors of motor vehicles who are granted a 
power of attorney by their transferor pursuant to Sec. 580.13, or by 
their transferee pursuant to Sec. 580.14, shall retain for five years a 
photostat, carbon, or other facsimile copy of each power of attorney 
that they receive. They shall retain all powers of attorney at their 
primary place of business in an order that is appropriate to business 
requirements and that permits systematic retrieval.
[53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35888, Aug. 30, 1989]



Sec. 580.9  Odometer record retention for auction companies.

    Each auction company shall establish and retain at its primary place 
of business in an order that is appropriate to business requirements and 
that permits systematic retrieval, for five years following the date of 
sale of each motor vehicle, the following records:
    (a) The name of the most recent owner (other than the auction 
company);
    (b) The name of the buyer;
    (c) The vehicle identification number; and
    (d) The odometer reading on the date which the auction company took 
possession of the motor vehicle.



Sec. 580.10  Application for assistance.

    (a) A State may apply to NHTSA for assistance in revising its laws 
to comply with the requirements of 408(d) (1) and (2) of the Motor 
Vehicle Information and Cost Savings Act, 15 U.S.C. 1988(d) (1) and (2) 
and Secs. 580.4 and 580.5 of this part.
    (b) Each application filed under section shall--
    (1) Be written in the English language;
    (2) Be submitted, to the Office of Chief Counsel, National Highway 
Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 
20590;
    (3) Include a copy of current motor vehicle titling and/or 
disclosure requirements in effect in the State; and
    (4) Include a draft of legislation or regulations intended to amend 
or revise current State motor vehicle titling and/or disclosure 
requirements to conform with Federal requirements.
    (c) The agency will respond to the applicant, in writing, and 
provide a list of the Federal statutory and/or regulatory requirements 
that the State may have failed to include in its proposal and indicate 
if any sections of the proposal appear to conflict with Federal 
requirements.



Sec. 580.11  Petition for approval of alternate disclosure requirements.

    (a) A State may petition NHTSA for approval of disclosure 
requirements which differ from the disclosure requirements of 
Secs. 580.5, 580.7, or 580.13(f) of this part.
    (b) Each petition filed under this section shall--
    (1) Be written in the English language;
    (2) Be submitted to the Office of Chief Counsel, National Highway 
Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 
20590;
    (3) Set forth the motor vehicle disclosure requirements in effect in 
the State, including a copy of the applicable State law or regulation; 
and
    (4) Explain how the State motor vehicle disclosure requirements are 
consistent with the purposes of the Motor Vehicle Information and Cost 
Savings Act.
    (c) Notice of the petition and an initial determination pending a 
30-day comment period will be published in the Federal Register. Notice 
of final grant or denial of a petition for approval of alternate motor 
vehicle disclosure requirements will be published in the Federal 
Register. The effect of the grant of a petition is to relieve a State 
from responsibility to conform the State disclosure requirements with 
Secs. 580.5, 580.7, or 580.13(f), as applicable, for as long as the 
approved alternate disclosure requirements remain in effect in that 
State. The effect of a denial is to require a State to conform to the 
requirements of Secs. 580.5, 580.7 or 580.13(f), as applicable, of this 
part until such time as the NHTSA approves

[[Page 760]]

any alternate motor vehicle disclosure requirements.
[53 FR 29476, Aug. 5, 1988, as amended at 56 FR 47686, Sept. 20, 1991]



Sec. 580.12  Petition for extension of time.

    (a) If a State cannot conform its laws to achieve compliance with 
this part by April 29, 1989, the State may petition for an extension of 
time.
    (b) Each petition filed under this section shall--
    (1) Be written in the English language;
    (2) Be submitted, by February 28, 1989, to the Office of Chief 
Counsel, National Highway Traffic Safety Administration, 400 Seventh 
Street SW., Washington, DC, 20590;
    (3) Set forth a chronological analysis of the efforts the State has 
taken to meet the deadline, the reasons why it did not do so, the length 
of time desired for extension and a description of the steps to be taken 
while the extension is in effect.
    (c) Notice of either the grant or denial of the petition is issued 
to the petitioner and will be published in the Federal Register.
    (d) A petition for a renewal of an extension of time must be filed 
no later than 30 days prior to the termination of the extension of time 
granted by the Agency. A petition for a renewal of an extension of time 
must meet the same requirements as the original petition for an 
extension of time.
    (e) If a petition for a renewal of the extension of time which meets 
the requirements of Sec. 580.12(b) is filed, the extension of time will 
continue until a decision is made on the renewal petition.



Sec. 580.13  Disclosure of odometer information by power of attorney.

    (a) If the transferor's title is physically held by a lienholder, or 
if the transferor to whom the title was issued by the State has lost his 
title and the transferee obtains a duplicate title on behalf of the 
transferor, and if otherwise permitted by State law, the transferor may 
give a power of attorney to his transferee for the purpose of mileage 
disclosure. The power of attorney shall be on a form issued by the State 
to the transferee that is set forth by means of a secure printing 
process or other secure process, and shall contain, in part A, a space 
for the information required to be disclosed under paragraphs (b), (c), 
(d), and (e) of this section. If a State permits the use of a power of 
attorney in the situation described in Sec. 580.14(a), the form must 
also contain, in part B, a space for the information required to be 
disclosed under Sec. 580.14, and, in part C, a space for the 
certification required to be made under Sec. 580.15.
    (b) In connection with the transfer of ownership of a motor vehicle, 
each transferor to whom a title was issued by the State whose title is 
physically held by a lienholder or whose title has been lost, and who 
elects to give his transferee a power of attorney for the purpose of 
mileage disclosure, must appoint the transferee his attorney-in-fact for 
the purpose of mileage disclosure and disclose the mileage on the power 
of attorney form issued by the State. This written disclosure must be 
signed by the transferor, including the printed name, and contain the 
following information:
    (1) The odometer reading at the time of transfer (not to include 
tenths of miles);
    (2) The date of transfer;
    (3) The transferor's name and current address;
    (4) The transferee's name and current address; and
    (5) The identity of the vehicle, including its make, model year, 
body type and vehicle identification number.
    (c) In addition to the information provided under paragraph (b) of 
this section, the power of attorney form shall refer to the Federal 
odometer law and state that providing false information or the failure 
of the person granted the power of attorney to submit the form to the 
State may result in fines and/or imprisonment. Reference may also be 
made to applicable State law.
    (d) In addition to the information provided under paragraphs (b) and 
(c) of this section:
    (1) The transferor shall certify that to the best of his knowledge 
the odometer reading reflects the actual mileage; or
    (2) If the transferor knows that the odometer reading reflects 
mileage in

[[Page 761]]

excess of the designed mechanical odometer limit, he shall include a 
statement to that effect; or
    (3) If the transferor knows that the odometer reading differs from 
the mileage and the difference is greater than that caused by a 
calibration error, he shall include a statement that the odometer 
reading does not reflect the actual mileage and should not be relied 
upon. This statement shall also include a warning notice to alert the 
transferee that a discrepancy exists between the odometer reading and 
the actual mileage.
    (e) The transferee shall sign the power of attorney form, print his 
name, and return a copy of the power of attorney form to the transferor.
    (f) Upon receipt of the transferor's title, the transferee shall 
complete the space for mileage disclosure on the title exactly as the 
mileage was disclosed by the transferor on the power of attorney form. 
The transferee shall submit the original power of attorney form to the 
State that issued it, with a copy of the transferor's title or with the 
actual title when the transferee submits a new title application at the 
same time. The State shall retain the power of attorney form and title 
for three years or a period equal to the State titling record retention 
period, whichever is shorter. If the mileage disclosed on the power of 
attorney form is lower than the mileage appearing on the title, the 
power of attorney is void and the dealer shall not complete the mileage 
disclosure on the title.
[54 FR 35888, Aug. 30, 1989, as amended at 54 FR 40083, Sept. 29, 1989; 
56 FR 47686, Sept. 20, 1991]



Sec. 580.14  Power of attorney to review title documents and acknowledge disclosure.

    (a) In circumstances where part A of a secure power of attorney form 
has been used pursuant to Sec. 580.13 of this part, and if otherwise 
permitted by State law, a transferee may give a power of attorney to his 
transferor to review the title and any reassignment documents for 
mileage discrepancies, and if no discrepancies are found, to acknowledge 
disclosure on the title. The power of attorney shall be on part B of the 
form referred to in Sec. 580.13(a), which shall contain a space for the 
information required to be disclosed under paragraphs (b), (c), (d), and 
(e) of this section and, in part C, a space for the certification 
required to be made under Sec. 580.15.
    (b) The power of attorney must include a mileage disclosure from the 
transferor to the transferee and must be signed by the transferor, 
including the printed name, and contain the following information:
    (1) The odometer reading at the time of transfer (not to include 
tenths of miles);
    (2) The date of transfer;
    (3) The transferor's name and current address;
    (4) The transferee's name and current address; and
    (5) The identity of the vehicle, including its make, model year, 
body type and vehicle identification number.
    (c) In addition to the information provided under paragraph (b) of 
this section, the power of attorney form shall refer to the Federal 
odometer law and state that providing false information or the failure 
of the person granted the power of attorney to submit the form to the 
State may result in fines and/or imprisonment. Reference may also be 
made to applicable State law.
    (d) In addition to the information provided under paragraphs (b) and 
(c) of this section:
    (1) The transferor shall certify that to the best of his knowledge 
the odometer reading reflects the actual mileage;
    (2) If the transferor knows that the odometer reading reflects 
mileage in excess of the designed mechanical odometer limit, he shall 
include a statement to that effect; or
    (3) If the transferor knows that the odometer reading differs from 
the mileage and the difference is greater than that caused by a 
calibration error, he shall include a statement that the odometer 
reading does not reflect the actual mileage and should not be relied 
upon. This statement shall also include a warning notice to alert the 
transferee that a discrepancy exists between the odometer reading and 
the actual mileage.

[[Page 762]]

    (e) The transferee shall sign the power of attorney form, and print 
his name.
    (f) The transferor shall give a copy of the power of attorney form 
to his transferee.
[54 FR 35888, Aug. 30, 1989]



Sec. 580.15  Certification by person exercising powers of attorney.

    (a) A person who exercises a power of attorney under both 
Secs. 580.13 and 580.14 must complete a certification that he has 
disclosed on the title document the mileage as it was provided to him on 
the power of attorney form, and that upon examination of the title and 
any reassignment documents, the mileage disclosure he has made on the 
title pursuant to the power of attorney is greater than that previously 
stated on the title and reassignment documents. This certification shall 
be under part C of the same form as the powers of attorney executed 
under Secs. 580.13 and 580.14 and shall include:
    (1) The signature and printed name of the person exercising the 
power of attorney;
    (2) The address of the person exercising the power of attorney; and
    (3) The date of the certification.
    (b) If the mileage reflected by the transferor on the power of 
attorney is less than that previously stated on the title and any 
reassignment documents, the power of attorney shall be void.
[54 FR 35889, Aug. 30, 1989]



Sec. 580.16  Access of transferee to prior title and power of attorney documents.

    (a) In circumstances in which a power of attorney has been used 
pursuant to Sec. 580.13 of this part, if a subsequent transferee elects 
to return to is transferor to sign the disclosure on the title when the 
transferor obtains the title and does not give his transferor a power of 
attorney to review the title and reassignment documents, upon the 
transferee's request, the transferor shall show to the transferee a copy 
of the power of attorney that he received from his transferor.
    (b) Upon request of a purchaser, a transferor who was granted a 
power of attorney by his transferor and who holds the title to the 
vehicle in his own name, must show to the purchaser the copy of the 
previous owner's title and the power of attorney form.
[54 FR 35889, Aug. 30, 1989]



Sec. 580.17  Exemptions.

    Notwithstanding the requirements of Secs. 580.5 and 580.7:
    (a) A transferor or a lessee of any of the following motor vehicles 
need not disclose the vehicle's odometer mileage:
    (1) A vehicle having a Gross Vehicle Weight Rating, as defined in 
Sec. 571.3 of this title, of more than 16,000 pounds;
    (2) A vehicle that is not self-propelled;
    (3) A vehicle that is ten years old or older; or
    (4) A vehicle sold directly by the manufacturer to any agency of the 
United States in conformity with contractual specifications.
    (b) A transferor of a new vehicle prior to its first transfer for 
purposes other than resale need not disclose the vehicle's odometer 
mileage.
    (c) A lessor of any of the vehicles listed in paragraph (a) of this 
section need not notify the lessee of any of these vehicles of the 
disclosure requirements of Sec. 580.7.
[53 FR 29476, Aug. 5, 1988, as amended at 54 FR 35888, Aug. 30, 1989. 
Redesignated at 62 FR 47765, Sept. 11, 1997]

   Appendix A to Part 580--Secure Printing Processes and Other Secure 
                                Processes

    1. Methods to deter or detect counterfeiting and/or unauthorized 
reproduction.
    (a) Intaglio printing--a printing process utilized in the production 
of bank-notes and other security documents whereby an engraved plate 
meets the paper under extremely high pressure forcing the paper into the 
incisions below the surface of the plate.
    (b) Intaglio Printing With Latent Images--a printing process 
utilized in the production of bank-notes and other security documents 
whereby an engraved plate meets the paper under extremely high pressure 
forcing the paper into the incisions below the surface of the plate. The 
three dimensional nature of intaglio printing creates latent images that 
aid in verification of authenticity and deter counterfeiting.
    (c) High Resolution Printing--a printing process which achieves 
excellent art clarity

[[Page 763]]

and detail quality approaching that of the intaglio process.
    (d) Micro-line Printing--a reduced line of type that appears to be a 
solid line to the naked eye but contains readable intelligence under 
strong magnification.
    (e) Pantograph Void Feature--wording incorporated into a pantograph 
by varying screen density in the pantograph. The wording will appear 
when attempts are made to photocopy on color copiers.
    (f) Hologram--a defraction foil substrate, produced from a negative 
which was made by splitting a laser beam into two separate beams to 
produce a three dimensional effect.
    (g) Security Paper--paper containing a security watermark and/or a 
security thread.
    2. Methods to allow alterations to be visible to the naked eye.
    (a) Erasure Sensitive Background Inks--a process whereby the text is 
printed in a dark color ink over a fine line erasure-sensitive prismatic 
ink tint.
    (b) Security Lamination--retro-reflective security laminate is 
placed over vital information after it has been entered to allow for 
detection of attempts to alter this information.
    (c) Security Paper--paper which has been chemically treated to 
detect chemical alterations.

            Appendix B to Part 580--Disclosure Form for Title

                      Odometer Disclosure Statement

    Federal law (and State law, if applicable) requires that you state 
the mileage in connection with the transfer of ownership. Failure to 
complete or providing a false statement may result in fines and/or 
imprisonment.
    I state that the odometer now reads ______ (no tenths) miles and to 
the best of my knowledge that it reflects the actual mileage of the 
vehicle described herein, unless one of the following statements is 
checked.
    --(1) I hereby certify that to the best of my knowledge the odometer 
reading reflects the amount of mileage in excess of its mechanical 
limits.
    --(2) I hereby certify that the odometer reading is NOT the actual 
mileage. WARNING--ODOMETER DISCREPANCY.

 _______________________________________________________________________

(Transferor's Signature)

 _______________________________________________________________________

(Transferee's Signature)

 _______________________________________________________________________

(Printed name)

 _______________________________________________________________________

(Printed name)

 Date of Statement______________________________________________________

 Transferee's Name______________________________________________________
 Transferee's Address___________________________________________________

            (Street)

 _______________________________________________________________________

(City)        (State)        (ZIP Code)


            Appendix C to Part 580--Separate Disclosure Form

                      Odometer Disclosure Statement

    Federal law (and State law, if applicable) requires that you state 
the mileage upon transfer of ownership. Failure to complete or providing 
a false statement may result in fines and/or imprisonment.
    I, ____________ (transferor's name, Print) state that the odometer 
now reads ________ (no tenths) miles and to the best of my knowledge 
that it reflects the actual mileage of the vehicle described below, 
unless one of the following statements is checked.
    --(1) I hereby certify that to the best of my knowledge the odometer 
reading reflects the amount of mileage in excess of its mechanical 
limits.
    --(2) I hereby certify that the odometer reading is NOT the actual 
mileage. WARNING--ODOMETER DISCREPANCY.

 Make___________________________________________________________________
 Model__________________________________________________________________
 Body Type______________________________________________________________
 Vehicle Identification Number__________________________________________
 Year___________________________________________________________________

 _______________________________________________________________________
(Transferor's Signature)
 _______________________________________________________________________
(Printed name)
 Transferor's Address___________________________________________________
            (Street)
 _______________________________________________________________________
    (City)        (State)        (ZIP Code)
 Date of Statement______________________________________________________

 _______________________________________________________________________
(Transferee's Signature)
 _______________________________________________________________________
(Printed name)
 Transferee's Name______________________________________________________
 Transferee's Address___________________________________________________
              (Street)
 _______________________________________________________________________
    (City)         (State)         (ZIP Code)

       Appendix D to Part 580--Disclosure Form for Leased Vehicle

             Odometer Disclosure Statement (Leased Vehicle)

    Federal law (and State law, if applicable) requires that the lessee 
disclose the mileage to the lessor in connection with the transfer of 
ownership. Failure to complete or making a false statement may result in 
fines and/or

[[Page 764]]

imprisonment. Complete disclosure form below and return to lessor.
    I,____________ (name of person making disclosure, Print) state that 
the odometer now reads ________ (no tenths) miles and to the best of my 
knowledge that it reflects the actual mileage of the vehicle described 
below, unless one of the following statements is checked.
    --(1) I hereby certify that to the best of my knowledge the odometer 
reading reflects the amount of mileage in excess of its mechanical 
limits.
    --(2) I hereby certify that the odometer reading is NOT the actual 
mileage.

 Make___________________________________________________________________
 Model__________________________________________________________________
 Body Type______________________________________________________________
 Vehicle Identification Number__________________________________________
 Year___________________________________________________________________
 Lessee's Name__________________________________________________________
 Lessee's Address_______________________________________________________
            (Street)
 _______________________________________________________________________
    (City)         (State)         (ZIP Code)
 Lessee's Signature_____________________________________________________
 Date of Statement______________________________________________________
 Lessor's Name__________________________________________________________
 Lessor's Address_______________________________________________________
            (Street)
 _______________________________________________________________________
    (City)         (State)         (ZIP Code)
 Date Disclosure Form Sent to Lessee____________________________________
 Date Completed Disclosure Form Received from Lessee____________________
 Lessor's Signature_____________________________________________________

        Appendix E to Part 580--Power of Attorney Disclosure Form

    Warning: This form may be used only when title is physically held by 
lienholder or has been lost. This form must be submitted to the state by 
the person exercising powers of attorney. Failure to do so may result in 
fines and/or imprisonment.
    VEHICLE DESCRIPTION

    Year ________ Make ______________
    Model ______________ Body Type ______________
    Vehicle Identification Number ________________________

              Part A. Power of Attorney to Disclose Mileage

    Federal law (and State Law, if applicable) requires that you state 
the mileage upon transfer of ownership. Providing a false statement may 
result in fines and/or imprisonment.
I, ______________________________ (transferor's name, Print) appoint 
______________________________ (transferee's name, Print) as my 
attorney-in-fact, to disclose the mileage, on the title for the vehicle 
described above, exactly as stated in my following disclosure.
    I state that the odometer now reads ____________ (no tenths) miles 
and to the best of my knowledge that it reflects the actual mileage 
unless one of the following statements is checked.
    ____ (1) I hereby certify that to the best of my knowledge the 
odometer reading reflect the mileage in excess of its mechanical limits.
    ____ (2) I hereby certify that the odometer reading is NOT the 
actual mileage. WARNING--ODOMETER DISCREPANCY.
 _______________________________________________________________________
(Transferor's Signature)
 _______________________________________________________________________
(Printed Name)

Transferor's Address (Street) ________________________

(City) ____________ (State) ____ (ZIP Code) __________.

Date of Statement ________________
 _______________________________________________________________________
(Transferee's Signature)
 _______________________________________________________________________
(Printed Name)

Transferee's Name ________________________

Transferee's Address (Street) ________________________

(City) ____________ (State) ____ (ZIP Code) __________.

  Part B. Power of Attorney to Review Title Documents and Acknowledge 
                               Disclosure.

    (Part B is invalid unless Part A has been completed.)
I, ______________________________ (transferee's name, Print) appoint 
______________________________ (transferor's name, Print) as my 
attorney-in-fact, to sign the mileage disclosure, on the title for the 
vehicle described above, only if the disclosure is exactly as the 
disclosure completed below.
 _______________________________________________________________________
(Transferee's Signature)
 _______________________________________________________________________
(Printed Name)

Transferee's Name ________________________

Transferee's Address (Street) ________________________

(City) ____________ (State) ____ (ZIP Code) __________.


[[Page 765]]


    Federal law (and State Law, if applicable) requires that you state 
the mileage upon transfer of ownership. Providing a false statement may 
result in fines and/or imprisonment.

    I, ____________________ (transferor's name, Print) state that the 
odometer now reads ____________ (no tenths) miles and to the best of my 
knowledge that it reflects the actual mileage unless one of the 
following statements is checked.
    ____ (1) I hereby certify that to the best of my knowledge the 
odometer reading reflect the mileage in excess of its mechanical limits.
    ____ (2) I hereby certify that the odometer reading is NOT the 
actual mileage. WARNING--ODOMETER DISCREPANCY.
 _______________________________________________________________________
(Transferor's Signature)
 _______________________________________________________________________
(Printed Name)

Transferor's Address (Street) ________________________

(City) ____________ (State) ____ (ZIP Code) __________.

Date of Statement ________________

    Part C. Certification
    (To Be Completed When parts A and B Have Been Used)

    I, ________________, (person exercising above powers of attorney, 
Print), hereby certify that the mileage I have disclosed on the title 
document is consistent with that provided to me in the above power of 
attorney. Further, upon examination of the title and any reassignment 
documents for the vehicle described above, the mileage diclosure I have 
made on the title pursuant to the power of attorney is greater than that 
previously stated on the title and reassignment documents. This 
certification is not intended to create, nor does it create any new or 
additional liability under Federal or State law.
 _______________________________________________________________________
(Signature)
 _______________________________________________________________________
(Printed Name)

 _______________________________________________________________________
Address (Street)

(City) ________________ (State) ____ (ZIP Code) __________
Date ________________
[54 FR 9816, Mar. 8, 1989, as amended at 54 FR 35889, Aug. 30, 1989]



PART 581--BUMPER STANDARD--Table of Contents




Sec.
581.1  Scope.
581.2  Purpose.
581.3  Application.
581.4  Definitions.
581.5  Requirements.
581.6  Conditions.
581.7  Test procedures.

    Authority:  Secs. 103, 119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 
1392, 1407); sec. 102, Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912); 
delegation of authority at 49 CFR 1.50.

    Source:  42 FR 24059, May 12, 1977, unless otherwise noted.



Sec. 581.1  Scope.

    This standard establishes requirements for the impact resistance of 
vehicles in low speed front and rear collisions.



Sec. 581.2  Purpose.

    The purpose of this standard is to reduce physical damage to the 
front and rear ends of a passenger motor vehicle from low speed 
collisions.



Sec. 581.3  Application.

    This standard applies to passenger motor vehicles other than 
multipurpose passenger vehicles.



Sec. 581.4  Definitions.

    All terms defined in the Motor Vehicle Information and Cost Savings 
Act, Pub. L. 92-513, 15 U.S.C. 1901-1991, are used as defined therein.
    Bumper face bar means any component of the bumper system that 
contacts the impact ridge of the pendulum test device.



Sec. 581.5  Requirements.

    (a) Each vehicle shall meet the damage criteria of Secs. 581.5(c)(1) 
through 581.5(c)(9) when impacted by a pendulum-type test device in 
accordance with the procedures of Sec. 581.7(b), under the conditions of 
Sec. 581.6, at an impact speed of 1.5 m.p.h., and when impacted by a 
pendulum-type test device in accordance with the procedures of 
Sec. 581.7(a) at 2.5 m.p.h., followed by an impact into a fixed 
collision barrier that is perpendicular to the line of travel of the 
vehicle, while traveling longitudinally forward, then longitudinally 
rearward, under the conditions of Sec. 581.6, at 2.5 m.p.h.
    (b) [Reserved]
    (c) Protective criteria. (1) Each lamp or reflective device except 
license plate lamps shall be free of cracks and shall comply with 
applicable visibility requirements of S4.3.1.1 of Standard No.

[[Page 766]]

108 (Sec. 571.108 of this part). The aim of each headlamp shall be 
adjustable to within the beam aim inspection limits specified in Table 2 
of SAE Recommended Practice J599b, July 1970, measured with a mechanical 
aimer conforming to the requirements of SAE Standard J602a, July 1970.
    (2) The vehicle's hood, trunk, and doors shall operate in the normal 
manner.
    (3) The vehicle's fuel and cooling systems shall have no leaks or 
constricted fluid passages and all sealing devices and caps shall 
operate in the normal manner.
    (4) The vehicle's exhaust system shall have no leaks or 
constrictions.
    (5) The vehicle's propulsion, suspension, steering, and braking 
systems shall remain in adjustment and shall operate in the normal 
manner.
    (6) A pressure vessel used to absorb impact energy in an exterior 
protection system by the accumulation of gas pressure or hydraulic 
pressure shall not suffer loss of gas or fluid accompanied by separation 
of fragments from the vessel.
    (7) The vehicle shall not touch the test device, except on the 
impact ridge shown in Figures 1 and 2, with a force that exceeds 2000 
pounds on the combined surfaces of Planes A and B of the test device.
    (8) The exterior surfaces shall have no separations of surface 
materials, paint, polymeric coatings, or other covering materials from 
the surface to which they are bonded, and no permanent deviations from 
their original contours 30 minutes after completion of each pendulum and 
barrier impact, except where such damage occurs to the bumper face bar 
and the components and associated fasteners that directly attach the 
bumper face bar to the chassis frame.
    (9) Except as provided in Sec. 581.5(c)(8), there shall be no 
breakage or release of fasteners or joints.
[42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977; 43 
FR 40231, Sept. 11, 1978; 47 FR 21837, May 20, 1982]



Sec. 581.6  Conditions.

    The vehicle shall meet the requirements of Sec. 581.5 under the 
following conditions.
    (a) General. (1) The vehicle is at unloaded vehicle weight.
    (2) The front wheels are in the straight ahead position.
    (3) Tires are inflated to the vehicle manufacturer's recommended 
pressure for the specified loading condition.
    (4) Brakes are disengaged and the transmission is in neutral.
    (5) Trailer hitches, license plate brackets, and headlamp washers 
are removed from the vehicle. Running lights, fog lamps, and equipment 
mounted on the bumper face bar are removed from the vehicle if they are 
optional equipment.
    (b) Pendulum test conditions. The following conditions apply to the 
pendulum test procedures of Sec. 581.7 (a) and (b).
    (1) The test device consists of a block with one side contoured as 
specified in Figure 1 and Figure 2 with the impact ridge made of A1S1 
4130 steel hardened to 34 Rockwell ``C.'' The impact ridge and the 
surfaces in Planes A and B of the test device are finished with a 
surface roughness of 32 as specified by SAE Recommended Practice J449A, 
June 1963. From the point of release of the device until the onset of 
rebound, the pendulum suspension system holds Plane A vertical, with the 
arc described by any point on the impact line lying in a vertical plane 
(for Sec. 581.7(a), longitudinal; for Sec. 581.7(b), at an angle of 
30 deg. to a vertical longitudinal plane) and having a constant radius 
of not less than 11 feet.
    (2) With Plane A vertical, the impact line shown in Figures 1 and 2 
is horizontal at the same height as the test device's center of 
percussion.
    (3) The effective impacting mass of the test device is equal to the 
mass of the tested vehicle.
    (4) When impacted by the test device, the vehicle is at rest on a 
level rigid concrete surface.
    (c) Barrier test condition. At the onset of a barrier impact, the 
vehicle's engine is operating at idling speed in accordance with the 
manufacturer's specifications. Vehicle systems that are not

[[Page 767]]

necessary to the movement of the vehicle are not operating during 
impact.

(Sec. 102, Pub. L. 92-513, 86 Stat. 947 (15 U.S.C. 1912); secs. 103, 
119, Pub. L. 89-563, 80 Stat. 718 (15 U.S.C. 1392, 1407); delegation of 
authority at 49 CFR 1.50 and 501.7)
[42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977; 48 
FR 43331, Sept. 23, 1983]



Sec. 581.7  Test procedures.

    (a) Longitudinal impact test procedures. (1) Impact the vehicle's 
front surface and its rear surface two times each with the impact line 
at any height from 16 to 20 inches, inclusive, in accordance with the 
following procedure.
    (2) For impacts at a height of 20 inches, place the test device 
shown in Figure 1 so that Plane A is vertical and the impact line is 
horizontal at the specified height.
    (3) For impacts at a height between 20 inches and 16 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) For each impact, position the test device so that the impact 
line is at least 2 inches apart in vertical direction from its position 
in any prior impact, unless the midpoint of the impact line with respect 
to the vehicle is to be more than 12 inches apart laterally from its 
position in any prior impact.
    (5) For each impact, align the vehicle so that it touches, but does 
not move, the test device, with the vehicle's longitudinal centerline 
perpendicular to the plane that includes Plane A of the test device and 
with the test device inboard of the vehicle corner test positions 
specified in Sec. 581.7(b).
    (6) Move the test device away from the vehicle, then release it to 
impact the vehicle.
    (7) Perform the impacts at intervals of not less than 30 minutes.
    (b) Corner impact test procedure. (1) Impact a front corner and a 
rear corner of the vehicle once each with the impact line at a height of 
20 inches and impact the other front corner and the other rear corner 
once each with the 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 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.
    [GRAPHIC] [TIFF OMITTED] TC01AU91.197
    
[42 FR 24059, May 12, 1977, as amended at 42 FR 38909, Aug. 1, 1977]



PART 582--INSURANCE COST INFORMATION REGULATION--Table of Contents




Sec.
582.1  Scope.
582.2  Purpose.
582.3  Definitions.

[[Page 768]]

582.4  Requirements.
582.5  Information form.

    Authority:  49 U.S.C. 32303; delegation of authority at 49 CFR 
1.50(f).

    Source:  40 FR 4918, Feb. 3, 1975, unless otherwise noted.



Sec. 582.1  Scope.

    This part requires automobile dealers to make available to 
prospective purchasers information reflecting differences in insurance 
costs for different makes and models of passenger motor vehicles based 
upon differences in damage susceptibility and crashworthiness, pursuant 
to section 201(e) of the Motor Vehicle Information and Cost Savings Act 
(15 U.S.C. 1941(e)), herein ``the Cost Savings Act.''



Sec. 582.2  Purpose.

    The purpose of this part is to enable prospective purchasers to 
compare differences in auto insurance costs for the various makes and 
models of passenger motor vehicles, based upon differences in damage 
susceptibility and crashworthiness, and to realize any savings in 
collision insurance resulting from differences in damageability, and any 
savings, in medical payment insurance resulting from differences in 
crashworthiness.



Sec. 582.3  Definitions.

    (a) Statutory definitions. All terms used in this part which are 
defined in section 2 of the Cost Savings Act are used as so defined.
    (b) Definitions used in this part. (1) Automobile dealer means any 
person who engages in the retail sale of new automobiles as a trade or 
business.
    (2) Collision insurance means insurance that reimburses the insured 
party for physical damage to his property resulting from automobile 
accidents.
    (3) Insurance cost means the insurance premium rate, as expressed in 
appropriate indices, for collision and medical payment, including 
personal injury protection in no-fault states.
    (4) Medical payment insurance means insurance that reimburses the 
insured party for medical expenses sustained by himself, his family, and 
his passengers in automobile accidents.
[40 FR 4918, Feb. 3, 1975, as amended at 58 FR 12550, Mar. 5, 1993]



Sec. 582.4  Requirements.

    (a) Each automobile dealer shall make available to prospective 
purchasers, without charge, the information specified in Sec. 582.5, at 
each location where he or she offers new vehicles for sale.
    (b) Each automobile dealer shall maintain a sufficient quantity of 
booklets containing the information specified in Sec. 582.5 to assure 
that they are available for retention by prospective purchasers.
    (c) The booklets shall be revised to reflect the updated data 
published by NHTSA each year within 30 days of NHTSA's publication of 
the data in the Federal Register.
[58 FR 12550, Mar. 5, 1993]



Sec. 582.5  Information form.

    The information made available pursuant to Sec. 582.4 shall be 
presented in writing in the English language and in not less than 10-
point type. It shall be presented in the format set forth below, and 
shall include the complete explanatory text and the updated data 
published annually by NHTSA.

                       MARCH [YEAR TO BE INSERTED]

COMPARISON OF DIFFERENCES IN INSURANCE COSTS FOR PASSENGER CARS, STATION 
  WAGONS/PASSENGER VANS, PICKUPS AND UTILITY VEHICLES ON THE BASIS OF 
                          DAMAGE SUSCEPTIBILITY

    The National Highway Traffic Safety Administration (NHTSA) has 
provided the information in this booklet in compliance with Federal law 
as an aid to consumers considering the purchase of a new vehicle. The 
booklet compares differences in insurance costs for different makes and 
models of passenger cars, station wagons/passenger vans, pickups, and 
utility vehicles on the basis of damage susceptibility. However, it does 
not indicate a vehicle's relative safety.
    The following table contains the best available information 
regarding the effect of damage susceptibility on insurance premiums. It 
was taken from data compiled by the Highway Loss Data Institute (HLDI) 
in

[[Page 769]]

its December [YEAR TO BE INSERTED] Insurance Collision Report, and 
reflects the collision loss experience of passenger cars, utility 
vehicles, light trucks, and vans sold in the United States in terms of 
the average loss payment per insured vehicle year for [THREE APPROPRIATE 
YEARS TO BE INSERTED]. NHTSA has not verified the data in this table.
    The table represents vehicles' collision loss experience in relative 
terms, with 100 representing the average for all passenger vehicles. 
Thus, a rating of 122 reflects a collision loss experience that is 22 
percent higher (worse) than average, while a rating of 96 reflects a 
collision loss experience that is 4 percent lower (better) than average. 
The table is not relevant for models that have been substantially 
redesigned for [YEAR TO BE INSERTED], and it does not include 
information about models without enough claim experience.
    Although many insurance companies use the HLDI information to adjust 
the ``base rate'' for the collision portion of their insurance premiums, 
the amount of any such adjustment is usually small. It is unlikely that 
your total premium will vary more than ten percent depending upon the 
collision loss experience of a particular vehicle.
    If you do not purchase collision coverage or your insurance company 
does not use the HLDI information, your premium will not vary at all in 
relation to these rankings.
    In addition, different insurance companies often charge different 
premiums for the same driver and vehicle. Therefore, you should contact 
insurance companies or their agents directly to determine the actual 
premium that you will be charged for insuring a particular vehicle.

    Please Note: In setting insurance premiums, insurance companies 
mainly rely on factors that are not directly related to the vehicle 
itself (except for its value). Rather, they mainly consider driver 
characteristics (such as age, gender, marital status, and driving 
record), the geographic area in which the vehicle is driven, how many 
miles are traveled, and how the vehicle is used. Therefore, to obtain 
complete information about insurance premiums, you should contact 
insurance companies or their agents directly.
    Insurance companies do not generally adjust their premiums on the 
basis of data reflecting the crashworthiness of different vehicles. 
However, some companies adjust their premiums for personal injury 
protection and medical payments coverage if the insured vehicle has 
features that are likely to improve its crashworthiness, such as air 
bags and automatic seat belts.
    Test data relating to vehicle crashworthiness are available from 
NHTSA's New Car Assessment Program (NCAP). NCAP test results demonstrate 
relative frontal crash protection in new vehicles. Information on 
vehicles that NHTSA has tested in the NCAP program can be obtained by 
calling the agency's toll-free Auto Safety Hotline at (800) 424-9393.

[Insert Table To Be Published Each March by the National Highway Traffic 
Safety Administration]

    If you would like more details about the information in this table, 
or wish to obtain the complete Insurance Collision Report, please 
contact HLDI directly, at: Highway Loss Data Institute, 1005 North Glebe 
Road, Arlington, VA 22201, Tel: (703) 247-1600.
[60 FR 15512, Mar. 24, 1995]



PART 583--AUTOMOBILE PARTS CONTENT LABELING--Table of Contents




Sec.
583.1  Scope.
583.2  Purpose.
583.3  Applicability.
583.4  Definitions.
583.5  Label requirements.
583.6  Procedure for determining U.S./Canadian parts content.
583.7  Procedure for determining major foreign sources of passenger 
          motor vehicle equipment.
583.8  Procedure for determining country of origin for engines and 
          transmissions (for purposes of determining the information 
          specified by Secs. 583.5(a)(4) and 583.5(a)(5) only).
583.9  Attachment and maintenance of label.
583.10  Outside suppliers of passenger motor vehicle equipment.
583.11  Allied suppliers of passenger motor vehicle equipment.
583.12  Suppliers of engines and transmissions.
583.13  Supplier certification and certificates.
583.14  Currency conversion rate.
583.15  Joint ownership.
583.16  Maintenance of records.
583.17  Reporting.

    Authority:  49 U.S.C. 32304, 49 CFR 1.50, 501.2(f).

    Source:  59 FR 37330, July 21, 1994, unless otherwise noted.



Sec. 583.1  Scope.

    This part establishes requirements for the disclosure of information 
relating to the countries of origin of the equipment of new passenger 
motor vehicles.



Sec. 583.2  Purpose.

    The purpose of this part is to aid potential purchasers in the 
selection of

[[Page 770]]

new passenger motor vehicles by providing them with information about 
the value of the U.S./Canadian and foreign parts content of each 
vehicle, the countries of origin of the engine and transmission, and the 
site of the vehicle's final assembly.



Sec. 583.3  Applicability.

    This part applies to manufacturers of new passenger motor vehicles 
manufactured or imported for sale in the United States, suppliers of 
passenger motor vehicle equipment, and dealers of new passenger motor 
vehicles.



Sec. 583.4  Definitions.

    (a) Statutory terms. The terms allied supplier, carline, country of 
origin, dealer, foreign content, manufacturer, new passenger motor 
vehicle, of U.S./Canadian origin, outside supplier, passenger motor 
vehicle, passenger motor vehicle equipment, percentage (by value), 
State, and value added in the United States and Canada, defined in 49 
U.S.C. 32304(a), are used in accordance with their statutory meanings 
except as further defined in paragraph (b) of this section.
    (b) Other terms and further definitions.
    (1) Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    (2) Allied supplier means a supplier of passenger motor vehicle 
equipment that is wholly owned by the manufacturer, or in the case of a 
joint venture vehicle assembly arrangement, any supplier that is wholly 
owned by one member of the joint venture arrangement. A supplier is 
considered to be wholly owned by the manufacturer if a common parent 
company owns both the manufacturer and the supplier, or if a group of 
related companies own both the manufacturer and the supplier and no 
outside interests (interests other than the manufacturer itself or 
companies which own the manufacturer) own the supplier.
    (3) Carline means a name denoting a group of vehicles which has a 
degree of commonality in construction (e.g., body, chassis). Carline 
does not consider any level of decor or opulence and is not generally 
distinguished by such characteristics as roof line, number of doors, 
seats, or windows, except for light duty trucks. Carline is not 
distinguished by country of manufacture, final assembly point, engine 
type, or driveline. Light duty trucks are considered to be different 
carlines than passenger cars. A carline includes all motor vehicles of a 
given nameplate. Special purpose vehicles, vans, and pickup trucks are 
classified as separate carlines.
    (4) Final assembly means all operations involved in the assembly of 
a vehicle, performed at the final assembly point including but not 
limited to assembly of body panels, painting, final chassis assembly, 
trim installation, except engine and transmission fabrication and 
assembly and the fabrication of motor vehicle equipment components 
produced at the same final assembly point using forming processes such 
as stamping, machining or molding processes.
    (5) Final assembly point means the plant, factory, or other place, 
which is a building or series of buildings in close proximity, where a 
new passenger motor vehicle is produced or assembled from passenger 
motor vehicle equipment and from which such vehicle is delivered to a 
dealer or importer in such a condition that all component parts 
necessary to the mechanical operation of such automobile are included 
with such vehicle whether or not such component parts are permanently 
installed in or on such vehicle. For multi-stage vehicles, the final 
assembly point is the location where the first stage vehicle is 
assembled.
    (6) Outside supplier means:
    (i) A non-allied supplier of passenger motor vehicle equipment to a 
manufacturer's allied supplier and
    (ii) Anyone other than an allied supplier who ships directly to the 
manufacturer's final assembly point.
    (7) Passenger motor vehicle equipment means any system, subassembly, 
or component received at the final assembly point for installation on, 
or attachment to, such vehicle at the time of its initial shipment by 
the manufacturer to a dealer for sale to an ultimate purchaser except: 
Nuts, bolts, clips, screws, pins, braces, gasoline, oil, blackout, 
phosphate rinse, windshield washer fluid, fasteners, tire assembly 
fluid, rivets, adhesives, grommets, and

[[Page 771]]

wheel weights. Passenger motor vehicle equipment also includes any 
system, subassembly, or component received by an allied supplier from an 
outside supplier for incorporation into equipment supplied by the allied 
supplier to the manufacturer with which it is allied.
    (8) Person means an individual, partnership, corporation, business 
trust, or any organized group of persons.
    (9) Ultimate purchaser means with respect to any new passenger motor 
vehicle, the first person, other than a dealer purchasing in its 
capacity as a dealer, who in good faith purchases such new passenger 
motor vehicle for purposes other than resale.



Sec. 583.5  Label requirements.

    (a) Except as provided in paragraphs (f) and (g) of this section, 
each manufacturer of new passenger motor vehicles shall cause to be 
affixed to each passenger motor vehicle manufactured on or after October 
1, 1994, a label that provides the following information:
    (1) U.S./Canadian parts content. The overall percentage, by value, 
of the passenger motor vehicle equipment that was installed on vehicles 
within the carline of which the vehicle is part, and that originated in 
the United States and/or Canada (the procedure for determining U.S./
Canadian Parts Content is set forth in Sec. 583.6);
    (2) Major sources of foreign parts content. The names of any 
countries other than the United States and Canada which contributed at 
least 15 percent of the average overall percentage, by value, of the 
passenger motor vehicle equipment installed on vehicles within the 
carline of which the vehicle is part, and the percentages attributable 
to each such country (if there are more than two such countries, the 
manufacturer need only provide the information for the two countries 
with the highest percentages; the procedure for determining major 
foreign sources of passenger motor vehicle equipment is set forth in 
Sec. 583.7);
    (3) Final assembly point. The city, state (in the case of vehicles 
assembled in the United States), and country of the final assembly point 
of the passenger motor vehicle;
    (4) Country of origin for the engine. The country of origin of the 
passenger motor vehicle's engine (this is referred to as the country of 
origin of the ``engine parts'' on the label; the procedure for making 
this country of origin determination is set forth in Sec. 583.8);
    (5) Country of origin for the transmission. The country of origin of 
the passenger motor vehicle's transmission (this is referred to as the 
country of origin of the ``transmission parts'' on the label; the 
procedure for making this country of origin determination is set forth 
in Sec. 583.8);
    (6) Explanatory note. A statement which explains that parts content 
does not include final assembly, distribution, or other non-parts costs.
    (b) Except as provided in paragraphs (e), (f) and (g) of this 
section, the label required under paragraph (a) of this section shall 
read as follows, with the specified information inserted in the places 
indicated (except that if there are no major sources of foreign parts 
content, omit the section ``Major Sources of Foreign Parts Content''):

PARTS CONTENT INFORMATION

For vehicles in this carline:
    U.S./Canadian Parts Content: (insert number) %
    Major Sources of Foreign Parts Content:
    (name of country with highest percentage): (insert number) %
    (name of country with second highest percentage): (insert number)
For this vehicle:
    Final Assembly Point: (city, state, country)
    Country of Origin:
    Engine Parts: (name of country)
    Transmission Parts: (name of country)


    Note: Parts content does not include final assembly, distribution, 
or other non-parts costs.

    (c) The percentages required to be provided under paragraph (a) of 
this section may be rounded by the manufacturer to the nearest 5 
percent.
    (d) The label required by paragraph (a) of this section shall:
    (1) Be placed in a prominent location on each vehicle where it can 
be read from the exterior of the vehicle with the doors closed, and may 
be either

[[Page 772]]

part of the Monroney price information label required by 15 U.S.C. 1232, 
part of the fuel economy label required by 15 U.S.C. 2006, or a separate 
label. A separate label may include other consumer information.
    (2)(i) Be printed in letters that have a color that contrasts with 
the background of the label; and
    (ii) Have the information required by paragraphs (a)(1) through (5) 
of this section vertically centered on the label in boldface capital 
letters and numerals of 12 point size or larger; and
    (iii) Have the information required by paragraph (a)(6) of this 
section in type that is two points smaller than the information required 
by paragraphs (a)(1) through (5) of this section.
    (3) In the case of a label that is included as part of the Monroney 
price information label or fuel economy label, or a separate label that 
includes other consumer information, be separated from all other 
information on those labels by a solid line that is a minimum of three 
points in width.
    (4) The information required by paragraphs (a)(1) through (6) of 
this section shall be immediately preceded by the words, ``PARTS CONTENT 
INFORMATION,'' in boldface, capital letters that are 12 point size or 
larger.
    (e) Carlines assembled in the U.S./Canada and in one or more other 
countries.
    (1) If a carline is assembled in the U.S. and/or Canada, and in one 
or more other countries, the manufacturer may, at its option, add the 
following additional information at the end of the explanatory note 
specified in (a)(6), with the specified information inserted in the 
places indicated:

    This carline is assembled in the U.S. and/or Canada, and in [insert 
name of each other country]. The U.S./Canadian parts content for the 
portion of the carline assembled in [insert name of country, treating 
the U.S. and Canada together, i.e., U.S./Canada] is [____]%.

    (2) A manufacturer selecting this option shall divide the carline 
for purposes of this additional information into the following portions: 
the portion assembled in the U.S./Canada and the portions assembled in 
each other country.
    (3) A manufacturer selecting this option for a particular carline 
shall provide the specified additional information on the labels of all 
vehicles within the carline, providing the U.S./Canadian content that 
corresponds to the U.S./Canadian content of the manufacturing location 
shown as the final assembly point (with all U.S. and Canadian locations 
considered as a single assembly point) on the label.
    (f) A final stage manufacturer of vehicles assembled in multiple 
stages need not provide the U.S./Canadian Parts Content or Major Foreign 
Sources items of the label otherwise required under paragraphs (a)(1) 
and (2) of this section.
    (g) A manufacturer that produces a total of fewer than 1000 
passenger motor vehicles in a model year need not provide the U.S./
Canadian Parts Content or Major Foreign Sources items of the label 
otherwise required under paragraphs (a)(1) and (2) of this section.
    (h) Requests for information and certifications relevant to 
information on the label.
    (1) Each manufacturer and allied supplier shall request its 
suppliers to provide directly to it the information and certifications 
specified by this part which are necessary for the manufacturer/allied 
supplier to carry out its responsibilities under this part. The 
information shall be requested sufficiently early to enable the 
manufacturer to meet the timing requirements specified by this part.
    (2) For requests made by manufacturers or allied suppliers to 
outside suppliers:
    (i) The requester shall indicate that the request is being made 
pursuant to 49 CFR part 583, and that the regulation is administered by 
the National Highway Traffic Safety Administration;
    (ii) The requester shall indicate that 49 CFR part 583 requires 
outside suppliers to provide specified information upon the request of a 
manufacturer or allied supplier to which it supplies passenger motor 
vehicle equipment and that, to the best of the requester's knowledge, 
the outside supplier is required to provide the requested information;

[[Page 773]]

    (iii) If any information other than that required by 49 CFR part 583 
is requested, the requester shall indicate which information is required 
by 49 CFR part 583 and which is not;
    (iv) The requester shall indicate that 49 CFR part 583 specifies 
that while information may be requested by an earlier date, the outside 
supplier is not required to provide the information until the date 
specified by the requester or the date 45 days after receipt of the 
request, whichever is later.
    (i) Manufacturers need not provide any of the information provided 
in this part for model year 1994 vehicles. For model year 1995 and model 
year 1996 carlines, and for model year 1997 carlines which are first 
offered for sale to ultimate purchasers before June 1, 1996, 
manufacturers and suppliers may, instead of following the calculation 
procedures set forth in this part, use procedures that they expect, in 
good faith, to yield similar results.
[59 FR 37330, July 21, 1994, as amended at 60 FR 14229, Mar. 16, 1995; 
60 FR 47893, Sept. 15, 1995]



Sec. 583.6  Procedure for determining U.S./Canadian parts content.

    (a) Each manufacturer, except as specified in Sec. 583.5(f) and (g), 
shall determine the percentage U.S./Canadian Parts Content for each 
carline on a model year basis, before the beginning of each model year. 
Items of equipment produced at the final assembly point (but not as part 
of final assembly) are treated in the same manner as if they were 
supplied by an allied supplier. All value otherwise added at the final 
assembly point and beyond, including all final assembly costs, are 
excluded from the calculation of U.S./Canadian parts content.
    (b) Determining the value of items of equipment.
    (1) For items of equipment received at the final assembly point, the 
value is the price paid by the manufacturer for the equipment as 
delivered to the final assembly point.
    (2) For items of equipment produced at the final assembly point (but 
not as part of final assembly), the value is the fair market price that 
a manufacturer of similar size and location would pay a supplier for 
such equipment.
    (3) For items of equipment received at the factory or plant of an 
allied supplier, the value is the price paid by the allied supplier for 
the equipment as delivered to its factory or plant.
    (c) Determining the U.S./Canadian percentage of the value of items 
of equipment.
    (1) Equipment supplied by an outside supplier to a manufacturer or 
allied supplier is considered:
    (i) 100 percent U.S./Canadian, if 70 percent or more of its value is 
added in the United States and/or Canada; and
    (ii) 0 percent U.S./Canadian, if less than 70 percent of its value 
is added in the United States and/or Canada.
    (2) The extent to which an item of equipment supplied by an allied 
supplier is considered U.S./Canadian is determined by dividing the value 
added in the United States and/or Canada by the total value of the 
equipment. The resulting number is multiplied by 100 to determine the 
percentage U.S./Canadian content of the equipment.
    (3) In determining the value added in the United States and/or 
Canada of equipment supplied by an allied supplier, any equipment that 
is delivered to the allied supplier by an outside supplier and is 
incorporated into the allied supplier's equipment, is considered:
    (i) 100 percent U.S./Canadian, if at least 70 percent of its value 
is added in the United States and/or Canada; and
    (ii) 0 percent U.S./Canadian, if less than 70 percent of its value 
is added in the United States and/or Canada.
    (4)(i) Value added in the United States and/or Canada by an allied 
supplier or outside supplier includes--
    (A) The value added in the U.S. and/or Canada for materials used by 
the supplier, determined according to (4)(ii) for outside suppliers and 
(4)(iii) for allied suppliers, plus,
    (B) For passenger motor vehicle equipment assembled or produced in 
the U.S. or Canada, the value of the difference between the price paid 
by the manufacturer or allied supplier for the equipment, as delivered 
to its factory or plant, and the total value of the materials in the 
equipment.
    (ii) Outside suppliers of passenger motor vehicle equipment will 
determine the value added in the U.S. and/or

[[Page 774]]

Canada for materials in the equipment as specified in paragraphs (A) and 
(B).
    (A)(1) For any material used by the supplier which was produced or 
assembled in the U.S. or Canada, the supplier will subtract from the 
total value of the material any value that was not added in the U.S. 
and/or Canada. The determination of the value that was not added in the 
U.S. and/or Canada shall be a good faith estimate based on information 
that is available to the supplier, e.g., information in its records, 
information it can obtain from its suppliers, the supplier's knowledge 
of manufacturing processes, etc.
    (2) The supplier shall consider the amount of value added and the 
location in which that value was added--
    (i) At each earlier stage, counting from the time of receipt of a 
material by the supplier, back to and including the two closest stages 
each of which represented a substantial transformation into a new and 
different product with a different name, character and use.
    (ii) The value of materials used to produce a product in the 
earliest of these two substantial transformation stages shall be treated 
as value added in the country in which that stage occurred.
    (B) For any material used by the supplier which was imported into 
the United States or Canada from a third country, the value added in the 
United States and/or Canada is presumed to be zero. However, if 
documentation is available to the supplier which identifies value added 
in the United States and/or Canada for that material (determined 
according to the principles set forth in (A), such value added in the 
United States and/or Canada is counted.
    (iii) Allied suppliers of passenger motor vehicle equipment shall 
determine the value that is added in the U.S. and/or Canada for 
materials in the equipment in accordance with (c)(3).
    (iv) For the minor items listed in the Sec. 583.4 definition of 
``passenger motor vehicle equipment'' as being excluded from that term, 
outside and allied suppliers may, to the extent that they incorporate 
such items into their equipment, treat the cost of the minor items as 
value added in the country of assembly.
    (v) For passenger motor vehicle equipment which is imported into the 
territorial boundaries of the United States or Canada from a third 
country, the value added in the United States and/or Canada is presumed 
to be zero. However, if documentation is available to the supplier which 
identifies value added in the United States and/or Canada for that 
equipment (determined according to the principles set forth in the rest 
of (c)(4)), such value added in the United States and/or Canada is 
counted.
    (vi) The payment of duty does not result in value added in the 
United States and/or Canada.
    (5) Except as provided in paragraph (c)(6) of this section, if a 
manufacturer or allied supplier does not receive information from one or 
more of its suppliers concerning the U.S./Canadian content of particular 
equipment, the U.S./Canadian content of that equipment is considered 
zero. This provision does not affect the obligation of manufacturers and 
allied suppliers to request this information from their suppliers or the 
obligation of the suppliers to provide the information.
    (6) For carlines which are first offered for sale to ultimate 
purchasers before January 1, 1999, if a manufacturer or allied supplier 
requests information in a timely manner from one or more of its outside 
suppliers concerning the U.S./Canadian content of particular equipment, 
but does not receive that information despite a good faith effort to 
obtain it, the manufacturer or allied supplier may make its own good 
faith value added determinations, subject to the following provisions:
    (i) The manufacturer or allied supplier shall make the same value 
added determinations as would be made by the outside supplier, i.e., 
whether 70 percent or more of the value of equipment is added in the 
United States and/or Canada;
    (ii) The manufacturer or allied supplier shall consider the amount 
of value added and the location in which the value was added for all of 
the stages that the outside supplier would be required to consider;

[[Page 775]]

    (iii) The manufacturer or allied supplier may determine that the 
value added in the United States and/or Canada is 70 percent or more 
only if it has a good faith basis to make that determination;
    (iv) A manufacturer and its allied suppliers may, on a combined 
basis, make value added determinations for no more than 10 percent, by 
value, of a carline's total parts content from outside suppliers;
    (v) Value added determinations made by a manufacturer or allied 
supplier under this paragraph shall have the same effect as if they were 
made by the outside supplier;
    (vi) This provision does not affect the obligation of outside 
suppliers to provide the requested information.
    (d) Determination of the U.S./Canadian percentage of the total value 
of a carline's passenger motor vehicle equipment. The percentage of the 
value of a carline's passenger motor vehicle equipment that is U.S./
Canadian is determined by--
    (1) Adding the total value of all of the equipment (regardless of 
country of origin) expected to be installed in that carline during the 
next model year;
    (2) Dividing the value of the U.S./Canadian content of such 
equipment by the amount calculated in paragraph (d)(1) of this section, 
and
    (3) Multiplying the resulting number by 100.
    (e) Alternative calculation procedures.
    (1) A manufacturer may submit a petition to use calculation 
procedures based on representative or statistical sampling, as an 
alternative to the calculation procedures specified in this section to 
determine U.S./Canadian parts content and major sources of foreign parts 
content.
    (2) Each petition must--
    (i) Be submitted at least 120 days before the manufacturer would use 
the alternative procedure;
    (ii) Be written in the English language;
    (iii) Be submitted in three copies to: Administrator, National 
Highway Traffic Safety Administration, 400 Seventh Street SW., 
Washington, DC 20590;
    (iv) State the full name and address of the manufacturer;
    (v) Set forth in full the data, views and arguments of the 
manufacturer that would support granting the petition, including--
    (A) the alternative procedure, and
    (B) analysis demonstrating that the alternative procedure will 
produce substantially equivalent results to the procedure set forth in 
this section;
    (vi) Specify and segregate any part of the information and data 
submitted in the petition that is requested to be withheld from public 
disclosure in accordance with part 512 of this chapter (the basic 
alternative procedure and basic supporting analysis must be provided as 
public information, but confidential business information may also be 
used in support of the petition).
    (3) The NHTSA publishes in the Federal Register, affording 
opportunity for comment, a notice of each petition containing the 
information required by this part. A copy of the petition is placed in 
the public docket. However, if NHTSA finds that a petition does not 
contain the information required by this part, it so informs the 
petitioner, pointing out the areas of insufficiency and stating that the 
petition will not receive further consideration until the required 
information is submitted.
    (4) If the Administrator determines that the petition does not 
contain adequate justification, he or she denies it and notifies the 
petitioner in writing, explaining the reasons for the denial. A copy of 
the letter is placed in the public docket.
    (5) If the Administrator determines that the petition contains 
adequate justification, he or she grants it, and notifies the petitioner 
in writing. A copy of the letter is placed in the public docket.
    (6) The Administrator may attach such conditions as he or she deems 
appropriate to a grant of a petition, which the manufacturer must follow 
in order to use the alternative procedure.
[60 FR 47894, Sept. 15, 1995; as amended at 61 FR 46390, Sept. 3, 1996; 
62 FR 33761, June 23, 1997]

[[Page 776]]



Sec. 583.7  Procedure for determining major foreign sources of passenger motor vehicle equipment.

    (a) Each manufacturer, except as specified in Sec. 583.5 (f) and 
(g), shall determine the countries, if any, which are major foreign 
sources of passenger motor vehicle equipment and the percentages 
attributable to each such country for each carline on a model year 
basis, before the beginning of each model year. The manufacturer need 
only determine this information for the two such countries with the 
highest percentages. Items of equipment produced at the final assembly 
point (but not as part of final assembly) are treated in the same manner 
as if they were supplied by an allied supplier. In making determinations 
under this section, the U.S. and Canada are treated together as if they 
were one (non-foreign) country.
    (b) Determining the value of items of equipment. The value of each 
item of equipment is determined in the manner specified in 
Sec. 583.6(b).
    (c) Determining the country of origin of items of equipment.
    (1) Except as provided in (c)(2), the country of origin of each item 
is the country which contributes the greatest amount of value added to 
that item (treating the U.S. and Canada together).
    (2) Instead of making country of origin determinations in the manner 
specified in (c)(1), a manufacturer may, at its option, use any other 
methodology that is used for customs purposes (U.S. or foreign), so long 
as a consistent methodology is employed for all items of equipment, and 
the U.S. and Canada are treated together.
    (d) Determination of the percentage of the total value of a 
carline's passenger motor vehicle equipment which is attributable to 
individual countries other than the U.S. and Canada. The percentage of 
the value of a carline's passenger motor vehicle equipment that is 
attributable to each country other than the U.S. and Canada is 
determined on a model year basis by--
    (1) Adding up the total value of all of the passenger motor vehicle 
equipment (regardless of country of origin) expected to be installed in 
that carline during the next model year;
    (2) Adding up the value of such equipment which originated in each 
country other than the U.S. or Canada;
    (3) Dividing the amount calculated in paragraph (d)(2) of this 
section for each country by the amount calculated in paragraph (d)(1) of 
this section, and multiplying each result by 100.
    (e) A country is a major foreign source of passenger motor vehicle 
equipment for a carline only if the country is one other than the U.S. 
or Canada and if 15 or more percent of the total value of the carline's 
passenger motor vehicle equipment is attributable to the country.
    (f) In determining the percentage of the total value of a carline's 
passenger motor vehicle equipment which is attributable to individual 
countries other than the U.S. and Canada, no value which is counted as 
U.S./Canadian parts content is also counted as being value which 
originated in a country other than the U.S. or Canada.
[59 FR 37330, July 21, 1994, as amended at 60 FR 47895, Sept. 15, 1995]



Sec. 583.8  Procedure for determining country of origin for engines and transmissions (for purposes of determining the information specified by 
          Secs. 583.5(a)(4) and 583.5(a)(5) only).

    (a) Each supplier of an engine or transmission shall determine the 
country of origin once a year for each engine and transmission. The 
origin of engines shall be calculated for engines of the same 
displacement produced at the same plant. The origin for transmissions 
shall be calculated for transmissions of the same type produced at the 
same plant. Transmissions are of the same type if they have the same 
attributes including: Drive line application, number of forward gears, 
controls, and layout. The U.S. and Canada are treated separately in 
making such determination.
    (b) The value of an engine or transmission is determined by adding 
up the prices paid by the manufacturer of the engine/transmission for 
each component comprising the engine/ transmission, as delivered to the 
assembly plant of the engine/transmission, and the fair market value of 
each individual part produced at the plant. All

[[Page 777]]

value added at the engine/transmission plant is otherwise excluded from 
the calculation of origin. Individual parts refers to the most basic 
level of parts used to assemble an engine or transmission and not 
subassemblies.
    (c) Determining the country of origin of components.
    (1) Except as provided in (c)(2), the country of origin of each item 
of equipment is the country which contributes the greatest amount of 
value added to that item (the U.S. and Canada are treated separately).
    (2) Instead of making country of origin determinations in the manner 
specified in (c)(1), a manufacturer may, at its option, use any other 
methodology that is used for customs purposes (U.S. or foreign), so long 
as a consistent methodology is employed for all components.
    (d) Determination of the total value of an engine/transmission which 
is attributable to individual countries. The value of an engine/
transmission that is attributable to each country is determined by 
adding up the total value of all of the components installed in that 
engine/transmission which originated in that country.
    (e) The country of origin of each engine and the country of origin 
of each transmission is the country which contributes the greatest 
amount of value added to that item of equipment (the U.S. and Canada are 
treated separately).
[59 FR 37330, July 21, 1994, as amended at 60 FR 47895, Sept. 15, 1995]



Sec. 583.9  Attachment and maintenance of label.

    (a) Attachment of the label.
    (1) Except as provided in (a)(2), each manufacturer shall cause the 
label required by Sec. 583.5 to be affixed to each new passenger motor 
vehicle before the vehicle is delivered to a dealer.
    (2) For vehicles which are delivered to a dealer prior to the 
introduction date for the model in question, each manufacturer shall 
cause the label required by Sec. 583.5 to be affixed to the vehicle 
prior to such introduction date.
    (b) Maintenance of the label.
    (1) Each dealer shall cause to be maintained each label on the new 
passenger motor vehicles it receives until after such time as a vehicle 
has been sold to a consumer for purposes other than resale.
    (2) If the manufacturer of a passenger motor vehicle provides a 
substitute label containing corrected information, the dealer shall 
replace the original label with the substitute label.
    (3) If a label becomes damaged so that the information it contains 
is not legible, the dealer shall replace it with an identical, undamaged 
label.



Sec. 583.10  Outside suppliers of passenger motor vehicle equipment.

    (a) For each unique type of passenger motor vehicle equipment for 
which a manufacturer or allied supplier requests information, the 
outside supplier shall provide the manufacturer/allied supplier with a 
certificate providing the following information:
    (1) The name and address of the supplier;
    (2) A description of the unique type of equipment;
    (3) The price of the equipment to the manufacturer or allied 
supplier;
    (4) A statement that the equipment has, or does not have, at least 
70 percent of its value added in the United States and Canada, 
determined under Sec. 583.6(c);
    (5) For equipment which has less than 70 percent of its value added 
in the United States and Canada, the country of origin of the equipment, 
determined under Sec. 583.7(c);
    (6) For equipment that may be used in an engine or transmission, the 
country of origin of the equipment, determined under Sec. 583.8(c);
    (7) A certification for the information, pursuant to Sec. 583.13, 
and the date (at least giving the month and year) of the certification.
    (8) A single certificate may cover multiple items of equipment.
    (b) The information and certification required by paragraph (a) of 
this section shall be provided to the manufacturer or allied supplier no 
later than 45 days after receipt of the request, or the date specified 
by the manufacturer/allied supplier, whichever is later. (A manufacturer 
or allied supplier may request that the outside supplier voluntarily 
provide the information and certification at an earlier date.)

[[Page 778]]

    (c)(1) Except as provided in paragraph (c)(2) of this section, the 
information provided in the certificate shall be the supplier's best 
estimates of price, content, and country of origin for the unique type 
of equipment expected to be supplied during the 12 month period 
beginning on the first July 1 after receipt of the request. If the 
unique type of equipment supplied by the supplier is expected to vary 
with respect to price, content, and country of origin during that 
period, the supplier shall base its estimates on expected averages for 
these factors.
    (2) The 12 month period specified in (c)(1) may be varied in time 
and length by the manufacturer or allied supplier if it determines that 
the alteration is not likely to result in less accurate information 
being provided to consumers on the label required by this part.
    (d) For outside suppliers of engines and transmissions, the 
information and certification required by this section is in addition to 
that required by Sec. 583.12.



Sec. 583.11  Allied suppliers of passenger motor vehicle equipment.

    (a) For each unique type of passenger motor vehicle equipment which 
an allied supplier supplies to the manufacturer with which it is allied, 
the allied supplier shall provide the manufacturer with a certificate 
providing the following information:
    (1) The name and address of the supplier;
    (2) A description of the unique type of equipment;
    (3) The price of the equipment to the manufacturer;
    (4) The percentage U.S./Canadian content of the equipment, 
determined under Sec. 583.6(c);
    (5) The country of origin of the equipment, determined under 
Sec. 583.7(c);
    (6) For equipment that may be used in an engine or transmission, the 
country of origin of the equipment, determined under Sec. 583.8(c);
    (7) A certification for the information, pursuant to Sec. 583.13, 
and the date (at least giving the month and year) of the certification.
    (8) A single certificate may cover multiple items of equipment.
    (b)(1) Except as provided in paragraph (b)(2) of this section, the 
information provided in the certificate shall be the supplier's best 
estimates of price, content, and country of origin for the unique type 
of equipment expected to be supplied during the 12 month period 
beginning on the first July 1 after receipt of the request. If the 
unique type of equipment supplied by the supplier is expected to vary 
with respect to price, content, and country of origin during that 
period, the supplier shall base its estimates on expected averages for 
these factors.
    (2) The 12 month period specified in (b)(1) may be varied in time 
and length by the manufacturer if it determines that the alteration is 
not likely to result in less accurate information being provided to 
consumers on the label required by this part.
    (d) For allied suppliers of engines and transmissions, the 
information and certification required by this section is in addition to 
that required by Sec. 583.12.



Sec. 583.12  Suppliers of engines and transmissions.

    (a) For each engine or transmission for which a manufacturer or 
allied supplier requests information, the supplier of such engine or 
transmission shall provide the manufacturer or allied supplier with a 
certificate providing the following information:
    (1) The name and address of the supplier;
    (2) A description of the engine or transmission;
    (3) The country of origin of the engine or transmission, determined 
under Sec. 583.8;
    (4) A certification for the information, pursuant to Sec. 583.13, 
and the date (at least giving the month and year) of the certification.
    (b) The information provided in the certificate shall be the 
supplier's best estimate of country of origin for the unique type of 
engine or transmission. If the unique type of equipment used in the 
engine or transmission is expected to vary with respect to price, 
content, and country of origin during that period, the supplier shall 
base its country of origin determination on expected averages for these 
factors.

[[Page 779]]

    (c) The information and certification required by paragraph (a) of 
this section shall be provided by outside suppliers to the manufacturer 
or allied supplier no later than 45 days after receipt of the request, 
or the date specified by the manufacturer/allied supplier, whichever is 
later. (A manufacturer or allied supplier may request that the outside 
supplier voluntarily provide the information and certification at an 
earlier date.)
    (d) In the event that, during a model year, a supplier of engines or 
transmissions produces an engine of a new displacement or transmission 
of a new type or produces the same engine displacement or transmission 
in a different plant, the supplier shall notify the manufacturer of the 
origin of the new engine or transmission prior to shipment of the first 
engine or transmission that will be installed in a passenger motor 
vehicle intended for public sale.
    (e) A single certificate may cover multiple engines or 
transmissions. If a certificate provided in advance of the delivery of 
an engine or transmission becomes inaccurate because of changed 
circumstances, a corrected certificate shall be provided no later than 
the time of delivery of the engine or transmission.
    (f) For suppliers of engines and transmissions, the information and 
certification required by this section is in addition to that required 
by Secs. 583.10 and 583.11.



Sec. 583.13  Supplier certification and certificates.

    Each supplier shall certify the information on each certificate 
provided under Secs. 583.10, 583.11, and 583.12 by including the 
following phrase on the certificate: ``This information is certified in 
accordance with DOT regulations.'' The phrase shall immediately precede 
the other information on the certificate. The certificate may be 
submitted to a manufacturer or allied supplier in any mode (e.g., paper, 
electronic) provided the mode contains all information in the 
certificate.



Sec. 583.14  Currency conversion rate.

    For purposes of calculations of content value under this part, 
manufacturers and suppliers shall calculate exchange rates using the 
methodology set forth in this section.
    (a) Manufacturers. (1) Unless a manufacturer has had a petition 
approved by the Environmental Protection Agency under 40 CFR 600.511-
80(b)(1), for all calculations made by the manufacturer as a basis for 
the information provided on the label required by Sec. 583.5, 
manufacturers shall take the mean of the exchange rates in effect at the 
end of each quarter set by the Federal Reserve Bank of New York for 
twelve calendar quarters prior to and including the calendar quarter 
ending one year prior to the date that the manufacturer submits 
information for a carline under Sec. 583.17.
    (2) A manufacturer that has had a petition approved by the 
Environmental Protection Agency under 40 CFR 600.511-80(b)(1), which 
provides for a different method of determining exchange rates, shall use 
the same method as a basis for the information provided on the label 
required by Sec. 583.5, and shall inform the Administrator of the 
exchange rate method it is using at the time the information required by 
Sec. 583.5 is submitted.
    (b) Suppliers. For all calculations underlying the information 
provided on each certificate required by Secs. 583.10, 583.11, and 
583.12, suppliers shall take the mean of the exchange rates in effect at 
the end of each quarter set by the Federal Reserve Bank of New York for 
twelve calendar quarters prior to and including the calendar quarter 
ending one year prior to the date of such certificate.



Sec. 583.15  Joint ownership.

    (a) A carline jointly owned and/or produced by more than one 
manufacturer shall be attributed to the single manufacturer that markets 
the carline, subject to paragraph (b) of this section.
    (b)(1) The joint owners of a carline may designate, by written 
agreement, the manufacturer of record of that carline.
    (2) The manufacturer of record is responsible for compliance with 
all the manufacturer requirements in this part

[[Page 780]]

with respect to the jointly owned carline. However, carline 
determinations must be consistent with Sec. 583.4(3).
    (3) A designation under this section of a manufacturer of record is 
effective beginning with the first model year beginning after the 
conclusion of the written agreement, or, if the joint owners so agree in 
writing, with a specified later model year.
    (4) Each manufacturer of record shall send to the Administrator 
written notification of its designation as such not later than 30 days 
after the conclusion of the written agreement, and state the carline of 
which it is considered the manufacturer, the names of the other persons 
which jointly own the carline, and the name of the person, if any, 
formerly considered to be the manufacturer of record.
    (5) The joint owners of a carline may change the manufacturer of 
record for a future model year by concluding a written agreement before 
the beginning of that model year.
    (6) The allied suppliers for the jointly owned carline are the 
suppliers that are wholly owned by any of the manufacturers of the 
jointly owned carline.



Sec. 583.16  Maintenance of records.

    (a) General. Each manufacturer of new passenger motor vehicles and 
each supplier of passenger motor vehicle equipment subject to this part 
shall establish, maintain, and retain in organized and indexed form, 
records as specified in this section. All records, including the 
certificates provided by suppliers, may be stored in any mode provided 
the mode contains all information in the records and certificates.
    (b) Manufacturers. Each manufacturer shall maintain all records 
which provide a basis for the information it provides on the labels 
required by Sec. 583.5, including, but not limited to, certificates from 
suppliers, parts lists, calculations of content, and relevant contracts 
with suppliers. The records shall be maintained for five years after 
December 31 of the model year to which the records relate.
    (c) Suppliers. Each supplier shall maintain all records which form a 
basis for the information it provides on the certificates required by 
Secs. 583.10, 583.11, and 583.12, including, but not limited to, 
calculations of content, certificates from suppliers, and relevant 
contracts with manufacturers and suppliers. The records shall be 
maintained for six years after December 31 of the calendar year set 
forth in the date of each certificate.



Sec. 583.17  Reporting.

    For each model year, manufacturers shall submit to the Administrator 
3 copies of the information required by Sec. 583.5(a) to be placed on a 
label for each carline. The information for each carline shall be 
submitted not later than the date the first vehicle of the carline is 
offered for sale to the ultimate purchaser.



PART 585--AUTOMATIC RESTRAINT PHASE-IN REPORTING REQUIREMENTS--Table of Contents




Sec.
585.1  Scope.
585.2  Purpose.
585.3  Applicability.
585.4  Definitions.
585.5  Reporting requirements.
585.6  Records.
585.7  Petition to extend period to file report.

    Authority:  15 U.S.C. 1392, 1401, 1407; delegation of authority at 
49 CFR 1.50.



Sec. 585.1  Scope.

    This part establishes requirements for manufacturers of passenger 
cars to submit reports, and to maintain records related to the reports, 
concerning the number of cars equipped with inflatable restraint systems 
in compliance with the requirement of S4.1.5.2 of Standard No. 208, 
Occupant Crash Protection (49 CFR 571.208). This part also establishes 
requirements for manufacturers of trucks, buses, and multipurpose 
passenger vehicles with a gross vehicle weight rating (GVWR) of 8,500 
pounds or less and an unloaded vehicle weight of 5,500 pounds or less to 
submit reports, and to maintain records related to the reports, 
concerning the number of such vehicles equipped with automatic crash 
protection in compliance with the requirements of S4.2.5 of Standard No. 
208 and the number of such vehicles equipped with inflatable restraint 
systems in compliance with

[[Page 781]]

the requirement of S4.2.6.1 of Standard No. 208.
[58 FR 46566, Sept. 2, 1993]



Sec. 585.2  Purpose.

    The purpose of these reporting requirements is to aid the National 
Highway Traffic Safety Administration in determining whether a vehicle 
manufacturer has complied with the requirements of Standard No. 208, 
Occupant Crash Protection (49 CFR 571.208) to install automatic crash 
protection in specified percentages of the manufacturer's annual 
production and to install an inflatable restraint system that provides 
automatic crash protection in a specified percentage of the 
manufacturer's annual production.
[58 FR 46566, Sept. 2, 1993]



Sec. 585.3  Applicability.

    This part applies to manufacturers of passenger cars and to 
manufacturers of trucks, buses, and multipurpose passenger vehicles with 
a GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less.
[58 FR 46566, Sept. 2, 1993]



Sec. 585.4  Definitions.

    (a) All terms defined in section 102 of the National Traffic and 
Motor Vehicle Safety Act (15 U.S.C. 1391) are used in their statutory 
meaning.
    (b) Bus, gross vehicle weight rating or GVWR, multipurpose passenger 
vehicle, truck, and unloaded vehicle weight are used as defined in 
Sec. 571.3 of this chapter.
    (c) Production year means the 12-month period between September 1 of 
the prior year and August 31 of the year in question, inclusive.
[56 FR 12486, Mar. 26, 1991]



Sec. 585.5  Reporting requirements.

    (a) General reporting requirements--Passenger cars. Within 60 days 
after the end of the production year ending August 31, 1997, each 
manufacturer that manufactured any passenger cars for sale in the United 
States shall submit a report to the National Highway Traffic Safety 
Administration concerning its compliance with the requirement of 
Standard No. 208 (49 CFR 571.208) for installation of inflatable 
restraint systems that provide automatic crash protection in 95 percent 
of its cars manufactured during that production year.
    (b) General reporting requirements--Light trucks, buses, and 
multipurpose passenger vehicles.--(1) Automatic crash protection. Within 
60 days after the end of the production years ending August 31, 1995, 
August 31, 1996, and August 31 1997, each manufacturer that manufactured 
any trucks, buses, or multipurpose passenger vehicles with a GVWR of 
8,500 pounds or less and an unloaded vehicle weight of 5,500 pounds or 
less during the production year (other than walk-in van-type trucks, 
vehicles designed to be sold exclusively to the U.S. Postal Service, 
vehicles manufactured for operation by persons with disabilities, 
vehicles manufactured in two or more stages, or vehicles that were 
altered after previously having been certified in accordance with part 
567 of this chapter) shall submit a report to the National Highway 
Traffic Safety Administration concerning its compliance with the 
requirements of Standard No. 208 (49 CFR 571.208) for installation of 
automatic crash protection in such vehicles manufactured during that 
production year. This report need not be filed by any manufacturer whose 
production consists exclusively of:
    (i) Vehicles manufactured in two or more stages;
    (ii) Walk-in van-type trucks;
    (iii) Vehicles designed to be sold exclusively to the U.S. Postal 
Service;
    (iv) Vehicles manufactured for operation by persons with 
disabilities; and/or
    (v) Vehicles that are altered after previously having been certified 
in accordance with part 567 of this chapter.
    (2) Inflatable restraint system that provides automatic crash 
protection. Within 60 days after the end of the production year ending 
August 31, 1998, each manufacturer that manufactured any trucks, buses, 
or multipurpose passenger vehicles with a GVWR of 8,500 pounds or less 
and an unloaded vehicle weight of 5,500 pounds or less during the 
production year (other than walk-in van-type trucks or vehicles designed 
to be sold exclusively to the U.S. Postal Service) shall submit a report 
to the

[[Page 782]]

National Highway Traffic Safety Administration concerning its compliance 
with the requirements of Standard No. 208 (49 CFR 571.208) for 
installation of inflatable restraint systems that provide automatic 
crash protection in 80 percent of such vehicles manufactured during that 
production year. This report need not be filed by any manufacturer whose 
production consists exclusively of:
    (i) Walk-in van-type trucks; and/or
    (ii) Vehicles designed to be sold exclusively to the U.S. Postal 
Service.
    (c) Each report submitted in compliance with paragraphs (a), (b)(1), 
or (b)(2) of this section shall:
    (1) Identify the manufacturer;
    (2) State the full name, address, and title of the official 
responsible for preparing the report:
    (3) Identify the production year for which the report is filed;
    (4) Provide the information specified in paragraph (d) of this 
section;
    (5) Be written in the English language;
    (6) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590; and
    (7)(i) In the case of a report filed pursuant to paragraph (a) of 
this section, expressly state whether the manufacturer has complied with 
the requirement of S4.1.5.2 of Standard No. 208 (Sec. 571.208 of this 
chapter);
    (ii) In the case of a report filed pursuant to paragraph (b)(1) of 
this section, expressly state whether the manufacturer has complied with 
the requirements of S4.2.5 of Standard No. 208 (Sec. 571.208 of this 
chapter); and
    (iii) In the case of a report filed pursuant to paragraph (b)(2) of 
this section, expressly state whether the manufacturer has complied with 
the requirements of S4.2.6.1 of Standard No. 208 (Sec. 571.208 of this 
chapter).
    (d) Report content--(1) Passenger cars. Each manufacturer that 
certifies that all of its passenger cars for the production year ending 
August 31, 1997 comply with S4.1.5.1(a)(1) of Standard No. 208 (49 CFR 
571.208) by means of an inflatable restraint system at the driver's and 
right front passenger's position shall so state. Each other manufacturer 
shall submit the information specified below.
    (i) Basis for phase-in production goals. Each manufacturer shall 
report the total number of passenger cars it manufactured for sale in 
the United States for the production year ending August 31, 1997.
    (ii) Production. Each manufacturer shall report the number of 
passenger cars manufactured for sale in the United States for the 
production year ending August 31, 1997 that it certified as complying 
with S4.1.5.1(a) of Standard No. 208 (Sec. 571.208 of this chapter) 
because they were equipped with an inflatable restraint system that 
provided automatic crash protection at both the driver's and the right 
front passenger's seating position.
    (iii) Vehicles produced by more than one manufacturer. Each 
manufacturer whose reporting of information is affected by one or more 
of the express written contracts permitted by S4.1.5.2.2 of Sec. 571.208 
of this chapter shall:
    (A) Report the existence of each such contract, including the names 
of all parties to the contract, and explain how the contract affects the 
report being filed; and
    (B) Report the number of cars covered by each such contract.
    (2) Trucks, buses, and multipurpose passenger vehicles. Each 
manufacturer that certifies that all of its trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less, manufactured during 
the production year ending August 31, 1998 comply with S4.1.2.1 of 
Standard No. 208 (49 CFR 571.208) by means of an inflatable restraint 
system at the driver's and right front passenger's position shall so 
state. Each other manufacturer shall submit the information specified 
below.
    (i) Automatic crash protection--(A) Basis for phase-in production 
goals. Each manufacturer shall report the number of trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 8,500 pounds or less and 
an unloaded vehicle weight of 5,500 pounds or less that it manufactured 
for sale in the United States for each of the three preceding

[[Page 783]]

production years, or, at the manufacturer's option, for the production 
year for which the report is filed. A manufacturer that did not 
manufacture any trucks, buses, or multipurpose passenger vehicles with a 
GVWR of 8,500 pounds or less and an unloaded vehicle weight of 5,500 
pounds or less during each of the three preceding production years must 
report the number of trucks, buses, or multipurpose passenger vehicles 
with a GVWR of 8,500 pounds or less and an unloaded vehicle weight of 
5,500 pounds or less it manufactured during the production year for 
which the report is filed. However, manufacturers are not required to 
report any information with respect to those vehicles that are 
manufactured in two or more stages, walk-in van-type trucks, vehicles 
designed to be sold exclusively to the U.S. Postal Service, vehicles 
manufactured for operation by persons with disabilities, and/or vehicles 
that are altered after previously having been certified in accordance 
with part 567 of this chapter.
    (B) Production. Each manufacturer shall report for the production 
year for which the report is filed, and for each preceding production 
year, to the extent that trucks, buses, and multipurpose passenger 
vehicles produced during the preceding production years are treated 
under Sec. 571.208 of this chapter as having been produced during the 
production period for which the report is filed, the information 
specified in paragraphs (d)(2)(i)(B)(1) through (d)(2)(i)(B)(3) of this 
section, inclusive, with respect to its trucks, buses, and multipurpose 
vehicles with a GVWR of 8,500 pounds or less and an unloaded vehicle 
weight of 5,500 pounds or less.
    (1) The number of those vehicles certified as complying with 
S4.1.2.1 of Standard No. 208 (49 CFR 571.208) because they are equipped 
with automatic seat belts and the seating positions at which those belts 
are installed;
    (2) The number of those vehicles certified as complying with 
S4.1.2.1 of Standard No. 208 (49 CFR 571.208) because they are equipped 
with air bags and the seating positions at which those air bags are 
installed; and
    (3) The number of those vehicles certified as complying with 
S4.1.2.1 of Standard No. 208 (49 CFR 571.208) because they are equipped 
with other forms of automatic crash protection, which forms of automatic 
crash protection shall be described, and the seating positions at which 
those forms of automatic crash protection are installed.
    (C) Vehicles produced by more than one manufacturer. Each 
manufacturer whose reporting of information is affected by one or more 
of the express written contracts permitted by S4.2.5.6.2 of Sec. 571.208 
of this chapter shall:
    (1) Report the existence of each such contract, including the names 
of all parties to the contract, and explain how the contract affects the 
report being filed; and
    (2) Report the number of vehicles covered by each such contract.
    (ii) Inflatable restraint system that provides automatic crash 
protection--(A) Basis for phase-in production goals. Each manufacturer 
shall report the total number of trucks, buses, and multipurpose 
passenger vehicles with a GVWR of 8,500 pounds or less and an unloaded 
vehicle weight of 5,500 pounds or less that it manufactured for sale in 
the United States for the production year ending August 31, 1998. 
However, manufacturers are not required to report any information with 
respect to those vehicles that are walk-in van-type trucks or vehicles 
designed to be sold exclusively to the U.S. Postal Service.
    (B) Production. Each manufacturer shall report the number of trucks, 
buses, and multipurpose passenger vehicles with a GVWR of 8,500 pounds 
or less and an unloaded vehicle weight of 5,500 pounds that it 
manufactured for sale in the United States for the production year 
ending August 31, 1998 that it certified as complying with S4.1.5.1(a) 
of Standard No. 208 (Sec. 571.208 of this chapter) because they were 
equipped with an inflatable restraint system that provided automatic 
crash protection.
    (C) Vehicles produced by more than one manufacturer. Each 
manufacturer whose reporting of information is affected by one or more 
of the express written contracts permitted by S4.2.6.1.2 of Sec. 571.208 
of this chapter shall:
    (1) Report the existence of each such contract, including the names 
of all

[[Page 784]]

parties to the contract, and explain how the contract affects the report 
being filed; and
    (2) Report the number of vehicles covered by each such contract.
[58 FR 46566, Sept. 2, 1993]



Sec. 585.6  Records.

    Each manufacturer shall maintain records of the vehicle 
identification number and type of automatic crash protection for each 
vehicle for which information was reported under Sec. 585.5 until 
December 31, 1999.
[58 FR 46568, Sept. 2, 1993]



Sec. 585.7  Petition to extend period to file report.

    A petition for extension of the time to submit a report must be 
received not later than 15 days before expiration of the time stated in 
Sec. 585.5(a). The petition must be submitted to: Administrator, 
National Highway Traffic Safety Administration, 400 Seventh Street, SW, 
Washington, DC 20590. The filing of a petition does not automatically 
extend the time for filing a report. A petition will be granted only if 
the petitioner shows good cause for the extension and if the extension 
is consistent with the public interest.
[51 FR 9813, Mar. 21, 1986]



PART 586--SIDE IMPACT PHASE-IN REPORTING REQUIREMENTS--Table of Contents




Sec.
586.1  Scope.
586.2  Purpose.
586.3  Applicability.
586.4  Definitions.
586.5  Reporting requirements--manufacturers of passenger cars.
586.6  Records--passenger cars.
586.7  [Reserved]
586.8  Records--manufacturers of trucks, buses and multipurpose 
          passenger vehicles.
586.9  Petition to extend period to file report.

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

    Source:  55 FR 45769, Oct. 30, 1990, unless otherwise noted.



Sec. 586.1  Scope.

    This part establishes requirements for passenger car manufacturers 
to submit a report, and maintain records related to the report, 
concerning the number of passenger cars manufactured that meet the 
dynamic test procedures and performance requirements of Standard No. 
214, Side Impact Protection (49 CFR 571.214), and it establishes 
requirements for manufacturers of trucks, buses and multipurpose 
passenger vehicles with a gross vehicle weight rating (GVWR) of 10,000 
pounds or less to maintain records related to the number of such 
vehicles that meet the side door strength requirements of Standard No. 
214.
[60 FR 57839, Nov. 22, 1995]



Sec. 586.2  Purpose.

    The purpose of the reporting requirements is to aid the National 
Highway Traffic Safety Administration in determining whether a passenger 
car manufacturer has complied with the requirements of Standard No. 214, 
Side Impact Protection (49 CFR 571.214) concerning dynamic test 
procedures and performance requirements concerning side impact 
protection, and whether a manufacturer of multipurpose passenger 
vehicles, trucks and buses with a GVWR of 10,000 pounds or less has 
complied with the side door strength requirements of Standard No. 214.
[57 FR 30922, July 13, 1992]



Sec. 586.3  Applicability.

    This part applies to manufacturers of passenger cars and to 
manufacturers of trucks, buses and multipurpose passenger vehicles with 
a GVWR of 10,000 pounds or less manufactured before September 1, 1994. 
However, this part does not apply to any manufacturers of trucks, buses 
and multipurpose passenger vehicles whose production consists 
exclusively of walk-in vans, vehicles which do not have any side doors 
that can be used for occupant egress, vehicles which exclusively have 
doors of the types specified in S3(e) of 49 CFR 571.214 or double cargo 
doors, doors without one or more windows, or doors for which the ratio 
of the width of the lowest portion of the door to the width of the door 
at its widest point is not

[[Page 785]]

greater than 0.5. (The width of the door is measured in a horizontal 
plane and on the outside surface of the door. The lowest portion of the 
door is that portion of the lower edge of the door which is lowest to 
the ground and which is essentially horizontal.) In addition, this 
section does not apply to vehicles manufactured in two or more stages, 
and vehicles that are altered after previously having been certified in 
accordance with part 567 of this chapter.
[60 FR 57839, Nov. 22, 1995]



Sec. 586.4  Definitions.

    (a) All terms defined in section 30102 of Title 49, U.S.C., Chapter 
301 are used in their statutory meaning.
    (b) Bus, gross vehicle weight rating or GVWR, multipurpose passenger 
vehicle, passenger car, and truck are used as defined in Sec. 571.3 of 
this chapter.
    (c) Production year means the 12-month period between September 1 of 
one year and August 31 of the following year, inclusive.
[57 FR 30923, July 13, 1992, as amended at 60 FR 57839, Nov. 22, 1995]



Sec. 586.5  Reporting requirements--manufacturers of passenger cars.

    (a) General reporting requirements. Within 60 days after the end of 
each of the production years ending August 31, 1994, August 31, 1995, 
and August 31, 1996, each manufacturer shall submit a report to the 
National Highway Traffic Safety Administration concerning its compliance 
with the requirements of S3(c) of Standard No. 214 for its passenger 
cars produced in that year. Each report shall--
    (1) Identify the manufacturer:
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the dynamic testing and performance requirements of the 
amended Standard No. 214 for the period covered by the report and the 
basis for that statement;
    (5) Provide the information specified in Sec. 586.5(b), except that 
this information need not be submitted with the report due 60 days after 
August 31, 1994 if the manufacturer chooses the compliance option 
specified in S3(d) of 49 CFR 571.214;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street SW., Washington, DC 20590.
    (b) Report content--(1) Basis for phase-in production goals. Each 
manufacturer shall provide the number of passenger cars manufactured for 
sale in the United States for each of the three previous production 
years, or, at the manufacturer's option, for the current production 
year. A new manufacturer that is, for the first time, manufacturing 
passenger cars for sale in the United States must report the number of 
passenger cars manufactured during the current production year.
    (2) Production. Each manufacturer shall report for the production 
year being reported on, and each preceding production year, to the 
extent that cars produced during the preceding years are treated under 
Standard No. 214 as having been produced during the production year 
being reported on, information on the number of passenger cars that meet 
the dynamic test procedure and performance requirements of S5 and S6 of 
Standard No. 214.
    (3) Passenger cars produced by more than one manufacturer. Each 
manufacturer whose reporting of information is affected by one or more 
of the express written contracts permitted by S8.4.2 of Standard No. 214 
shall:
    (i) Report the existence of each contract, including the names of 
all parties to the contract, and explain how the contract affects the 
report being submitted.
    (ii) Report the actual number of passenger cars covered by each 
contract.

    Effective Date Note:  At 55 FR 45769, Oct. 30, 1990, part 586 was 
added. The information collection requirements in Sec. 586.5 will not be 
effective until approval has been given by the Office of Management and 
Budget. A notice will be published in the Federal Register once approval 
has been obtained.

[[Page 786]]



Sec. 586.6  Records--passenger cars.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each passenger car for which information is 
reported under Sec. 586.5(b)(2) until December 31, 1998.
[55 FR 45769, Oct. 30, 1990, as amended at 56 FR 47011, Sept. 17, 1991; 
57 FR 21616, May 21, 1992; 57 FR 30923, July 13, 1992]



Sec. 586.7  [Reserved]



Sec. 586.8  Records--manufacturers of trucks, buses and multipurpose passenger vehicles.

    Until December 31, 1996, each manufacturer shall maintain records of 
the vehicle identification number for each truck, bus and multipurpose 
passenger vehicle with a GVWR of 10,000 pounds or less produced in the 
production year ending August 31, 1994, that meets the side door 
strength requirements (S3.1 or S3.2) of Standard No. 214.
[60 FR 57839, Nov. 22, 1995]



Sec. 586.9  Petition to extend period to file report.

    A petition for extension of the time to submit a report must be 
received not later than 15 days before expiration of the time stated in 
Sec. 586.5(a) or Sec. 586.7(a). The petition must be submitted to: 
Administrator, National Highway Traffic Safety Administration, 400 
Seventh Street, SW., Washington, DC 20590. The filing of a petition does 
not automatically extend the time for filing a report. A petition will 
be granted only if the petitioner shows good cause for the extension and 
if the extension is consistent with the public interest.
[57 FR 30923, July 13, 1992]



PART 587--SIDE IMPACT MOVING DEFORMABLE BARRIER--Table of Contents




Sec.
587.1  Scope.
587.2  Purpose.
587.3  Applicability.
587.4  Definitions.
587.5  Incorporated materials.
587.6  General description.

    Authority:  15 U.S.C. 1392, 1401, 1403, 1407; delegation of 
authority at 49 CFR 1.50.

    Source:  55 FR 45779, Oct. 30, 1990, unless otherwise noted.



Sec. 587.1  Scope.

    This part describes the moving deformable barrier that is to be used 
for testing compliance of motor vehicles with motor vehicle safety 
standards.



Sec. 587.2  Purpose.

    The design and performance criteria specified in this part are 
intended to describe measuring tools with sufficient precision to give 
repetitive and correlative results under similar test conditions and to 
reflect adequately the protective performance of a motor vehicle or item 
of motor vehicle equipment with respect to human occupants



Sec. 587.3  Applicability.

    This part does not in itself impose duties or liabilities on any 
person. It is a description of tools that measure the performance of 
occupant protections systems required by the safety standards that 
incorporate it. It is designed to be referenced by, and become a part 
of, the test procedures specified in motor vehicle safety standards, 
such as Standard No. 214, Side Impact Protection.



Sec. 587.4  Definitions.

    All terms defined in section 102 of the National Traffic and Motor 
Vehicle Safety Act (15 U.S.C. 1391) are used in their statutory meaning.



Sec. 587.5  Incorporated materials.

    (a) The drawings and specifications referred to in this regulation 
that are not set forth in full are hereby incorporated in this part by 
reference. These materials are thereby made part of this regulation. The 
Director of the Federal Register has approved the materials incorporated 
by reference. For materials subject to change, only the specific version 
approved by the Director of the Federal Register and specified in the 
regulation are incorporated. A notice of any change will be published in 
the Federal Register. As a convenience to the reader, the materials 
incorporated by reference are listed in the Finding Aid Table found at 
the end of this volume of the Code of Federal Regulations.
    (b) The drawings and specifications incorporated in this part by 
reference

[[Page 787]]

are available for examination in the general reference section of Docket 
79-04, Docket Section, National Highway Traffic Safety Administration, 
Room 5109, 400 Seventh Street, SW., Washington, DC 20590. Copies may be 
obtained from Rowley-Scher Reprographics, Inc., 1111 14th Street, NW., 
Washington, DC 20005, telephone (202) 628-6667 or (202) 408-8789. The 
drawings and specifications are also on file in the reference library of 
the Office of the Federal Register, National Archives and Records 
Administration, Washington, DC.



Sec. 587.6  General description.

    (a) The moving deformable barrier consists of component parts and 
component assemblies which are described in drawings and specifications 
that are set forth in this Sec. 587.6 of this chapter (incorporated by 
reference; see Sec. 587.5).
    (b) The moving deformable barrier specifications are provided in the 
drawings shown in DSL-1278 through DSL-1287, except DSL-1282, and the 
drawing shown in DSL-1290 (DSL-1278 through DSL-1287, except for DSL-
1282, and DSL-1290 are incorporated by reference; see Sec. 587.5).
    (1) The specifications for the final assembly of the moving 
deformable barrier are provided in the drawings shown in DSL-1278, dated 
October 1991.
    (2) The specifications for the frame assembly of the moving 
deformable barrier are provided in the drawings shown in DSL-1281, dated 
August 20, 1980.
    (3) The specifications for the face of the moving deformable barrier 
are provided in the drawings shown in DSL-1285, dated October 1991, and 
DSL-1286, dated August 20, 1980.
    (4) The specifications for the ballast installation and details 
concerning the ballast plate are provided in drawings shown in DSL-1279 
and DSL-1280, both dated August 20, 1980.
    (5) The specifications for the hub assembly and details concerning 
the brake are provided in drawings shown in DSL-1283, dated October 
1991.
    (6) The specifications for the rear guide assembly are provided in 
drawings shown in DSL-1284, dated August 20, 1980.
    (7) The specifications for the research axle assembly are provided 
in drawings shown in DSL-1287, dated October 1991.
    (8) The specifications for the compliance axle assembly are provided 
in drawings shown in DSL-1290, dated October 1991.
    (c) In configuration 2 (with two cameras and camera mounts, a light 
trap vane, and ballast reduced), the moving deformable barrier 
(crabbable axle), including the impact surface, supporting structure, 
and carriage, weighs 3,015 pounds, has a track width of 74 inches, and 
has a wheelbase of 102 inches.
    (d) In configuration 2, the moving deformable barrier has the 
following center of gravity:

X=44.2 inches rear of front axle
Y=0.3 inches left of longitudinal center line
Z=19.7 inches from ground.

    (e) The moving deformable barrier has the following moment of 
inertia:

Pitch=1669 ft-lb-sec \2\
Roll=375 ft-lb-sec \2\
Yaw=1897 ft-lb-sec \2\
[55 FR 45779, Oct. 30, 1990; 56 FR 47011, Sept. 17, 1991, as amended at 
57 FR 7558, Mar. 3, 1992]



PART 588--CHILD RESTRAINT SYSTEMS RECORDKEEPING REQUIREMENTS--Table of Contents




Secs.
588.1  Scope.
588.2  Purpose.
588.3  Applicability.
588.4  Definitions.
588.5  Records.
588.6  Record retention.

    Authority: 15 U.S.C. 1392, 1401, 1407; delegation of authority at 49 
CFR 1.50.

    Source: 57 FR 41438, Sept. 10, 1992, unless otherwise noted.



Sec. 588.1  Scope.

    This part establishes requirements for manufacturers of child 
restraint systems to maintain lists of the names and addresses of child 
restraint owners.

[[Page 788]]



Sec. 588.2  Purpose.

    The purpose of this part is to aid manufacturers in contacting the 
owners of child restraints during notification campaigns conducted in 
accordance with 49 CFR part 577, and to aid the National Highway Traffic 
Safety Administration in determining whether a manufacturer has met its 
recall responsibilities.



Sec. 588.3  Applicability.

    This part applies to manufacturers of child restraint systems, 
except factory-installed built-in restraints.



Sec. 588.4  Definitions.

    (a) Statutory definitions. All terms defined in section 102 of the 
National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1391) are used 
in their statutory meaning.
    (b) Motor Vehicle Safety Standard definitions. Unless otherwise 
indicated, all terms used in this part that are defined in the Motor 
Vehicle Safety Standards, part 571 of this subchapter (hereinafter ``the 
Standards''), are used as defined in the Standards.
    (c) Definitions used in this part.
    Child restraint system is used as defined in S4 of 49 CFR 571.213, 
Child Restraint Systems.
    Factory-installed built-in child restraint system is used as defined 
in S4 of 49 CFR 571.213.
    Owners include purchasers.
    Registration form means the form provided with a child restraint 
system in compliance with the requirements of 49 CFR 571.213, and any 
communication from an owner of a child restraint to the manufacturer 
that provides the restraint's model name or number and the owner's name 
and mailing address.



Sec. 588.5  Records.

    Each manufacturer, or manufacturer's designee, shall record and 
maintain records of the owners of child restraint systems who have 
submitted a registration form. The record shall be in a form suitable 
for inspection such as computer information storage devices or card 
files, and shall include the names and mailing addresses of the owners, 
and the model name or number and date of manufacture (month, year) of 
the owners' child restraint systems.



Sec. 588.6  Record retention.

    Each manufacturer, or manufacturer's designee, shall maintain the 
information specified in Sec. 588.5 of this part for a registered 
restraint system for a period of not less than six years from the date 
of manufacture of that restraint system.



PART 589--UPPER INTERIOR COMPONENT HEAD IMPACT PROTECTION PHASE-IN REPORTING REQUIREMENTS--Table of Contents




Sec.
589.1  Scope.
589.2  Purpose.
589.3  Applicability.
589.4  Definitions.
589.5  Response to inquiries.
589.6  Reporting requirements.
589.7  Records.
589.8  Petition to extend period to file report.

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

    Source:  60 FR 43061, Aug. 18, 1995, unless otherwise noted.



Sec. 589.1  Scope.

    This part establishes requirements for manufacturers of passenger 
cars and trucks and multipurpose passenger vehicles with a gross vehicle 
weight rating of 4,536 kilograms or less and buses with a gross vehicle 
weight rating of 3,860 kilograms or less to respond to NHTSA inquiries, 
to submit a report, and maintain records related to the report, 
concerning the number of such vehicles that meet the upper interior 
component head impact protection requirements of Standard No. 201, 
Occupant protection in interior impact (49 CFR 571.201).
[62 FR 16735, Apr. 8, 1997]



Sec. 589.2  Purpose.

    This purpose of these reporting requirements is to aid the National 
Highway Traffic Safety Administration in determining whether a 
manufacturer of passenger cars and trucks and multipurpose passenger 
vehicles with a gross

[[Page 789]]

vehicle weight rating of 4,536 kilograms or less and buses with a gross 
vehicle weight rating of 3,860 kilograms or less has complied with the 
upper interior component head impact protection requirements of Standard 
No. 201.
[62 FR 16735, Apr. 8, 1997]



Sec. 589.3  Applicability.

    This part applies to manufacturers of passenger cars and trucks and 
multipurpose passenger vehicles with a gross vehicle weight rating of 
4,536 kilograms or less and buses with a gross vehicle weight rating of 
3,860 kilograms or less. However, this part does not apply to any 
manufacturers whose production consists exclusively of walk-in vans, 
vehicles manufactured in two or more stages, and vehicles that are 
altered after previously having been certified in accordance with part 
567 of this chapter.
[62 FR 16735, Apr. 8, 1997]



Sec. 589.4  Definitions.

    (a) All terms defined in 49 U.S.C. 30102 are used in their statutory 
meaning.
    (b) Bus, gross vehicle weight rating or GVWR, multipurpose passenger 
vehicle, passenger car, and truck are used as defined in Sec. 571.3 of 
this chapter.
    (c) Production year means the 12-month period between September 1 of 
one year and August 31 of the following year, inclusive.



Sec. 589.5  Response to inquiries.

    During the production years ending August 31, 1999, August 31, 2000, 
August 31, 2001, and August 31, 2002, each manufacturer shall, upon 
request from the Office of Vehicle Safety Compliance, provide 
information regarding which vehicle make/models are certified as 
complying with the requirements of S6 of Standard No. 201.
[62 FR 16735, Apr. 8, 1997]



Sec. 589.6  Reporting requirements.

    (a) Phase-in selection reporting requirement. Within 60 days after 
the end of the production year ending August 31, 1999, each manufacturer 
choosing to comply with one of the phase-in schedules permitted by S6.1 
of 49 CFR 571.201 shall submit a report to the National Highway Traffic 
Safety Administration stating which phase-in schedule it will comply 
with until September 1, 2002. Each report shall--
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the section number for the phase-in schedule selected;
    (4) Be written in the English language; and
    (5) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW, Washington, DC 20590.
    (b) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 1999, August 31, 2000, August 31, 
2001, and August 31, 2002, each manufacturer shall submit a report to 
the National Highway Traffic Safety Administration concerning its 
compliance with the upper interior component head impact protection 
requirements of Standard No. 201 for its passenger cars, trucks, buses 
and multipurpose passenger vehicles produced in that year. Each report 
shall--
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the upper interior component head impact protection 
requirements of the amended Standard No. 201 for the period covered by 
the report and the basis for that statement;
    (5) Provide the information specified in Sec. 589.6(c);
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW, Washington, DC 20590.
    (c) Report content--(1) Basis for phase-in production goals. Each 
manufacturer shall provide the number of passenger cars and trucks and 
multipurpose passenger vehicles with a GVWR of 4,536 kilograms or less 
and buses with a

[[Page 790]]

GVWR of 3,860 kilograms or less manufactured for sale in the United 
States for each of the three previous production years, or, at the 
manufacturer's option, for the current production year. A new 
manufacturer that has not previously manufactured passenger cars and 
trucks and multipurpose passenger vehicles with a GVWR of 4,536 
kilograms or less and buses with a GVWR of 3,860 kilograms or less for 
sale in the United States must report the number of such vehicles 
manufactured during the current production year. However, manufacturers 
are not required to report any information with respect to those 
vehicles that are walk-in van type vehicles, vehicles manufactured in 
two or more stages, and/or vehicles that are altered after previously 
having been certified in accordance with part 567 of this chapter.
    (2) Production. Each manufacturer shall report for the production 
year for which the report is filed the number of passenger cars and 
multipurpose passenger vehicles and trucks with a GVWR of 4,536 
kilograms or less and buses with a GVWR of 3,860 kilograms or less that 
meet the upper interior component head impact protection requirements 
(S6) of Standard No. 201.
    (3) Vehicles produced by more than one manufacturer. Each 
manufacturer whose reporting of information is affected by one or more 
of the express written contracts permitted by S6.1.6.2 of Standard No. 
201 shall:
    (i) Report the existence of each contract, including the names of 
all parties to the contract, and explain how the contract affects the 
report being submitted.
    (ii) Report the actual number of vehicles covered by each contract.
[62 FR 16735, Apr. 8, 1997]



Sec. 589.7  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each passenger car, multipurpose passenger 
vehicle, truck and bus for which information is reported under 
Sec. 589.6(c)(2) until December 31, 2003.
[62 FR 16735, Apr. 8, 1997]



Sec. 589.8  Petition to extend period to file report.

    A petition for extension of the time to submit a report must be 
received not later than 15 days before expiration of the time stated in 
Sec. 589.6(b). The petition must be submitted to: Administrator, 
National Highway Traffic Safety Administration, 400 Seventh Street, SW, 
Washington, DC 20590. The filing of a petition does not automatically 
extend the time for filing a report. A petition will be granted only if 
the petitioner shows good cause for the extension, and if the extension 
is consistent with the public interest.
[62 FR 16735, Apr. 8, 1997]



PART 590--BACK DOOR LATCH, HINGE, AND LOCK PHASE-IN REPORTING REQUIREMENTS--Table of Contents




Sec.
590.1  Scope.
590.2  Purpose.
590.3  Applicability.
590.4  Definitions.
590.5  Response to inquiries.
590.6  Reporting Requirements.
590.7  Records.
590.8  Petition to extend period to file report.

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

    Source:  61 FR 39908, July 31, 1996, unless otherwise noted.



Sec. 590.1  Scope.

    This part establishes requirements for manufacturers of passenger 
cars and multipurpose passenger vehicles with a gross vehicle weight 
rating of 4,536 kilograms (10,000 pounds) or less to respond to NHTSA 
inquiries, to submit reports, and maintain records related to such 
reports, concerning the number of such vehicles that meet the back door 
latch, hinge, and lock requirements of Standard No. 206, Door locks and 
door retention components (49 CFR 571.206).



Sec. 590.2  Purpose.

    The purpose of these reporting requirements is to aid the NHTSA in 
determining whether a manufacturer of passenger cars and multipurpose 
passenger vehicles with a gross vehicle

[[Page 791]]

weight rating of 4,536 kilograms (10,000 pounds) or less has complied 
with the back door latch, hinge, and lock requirements of Standard No. 
206.



Sec. 590.3  Applicability.

    This part applies to manufacturers of passenger cars and 
multipurpose passenger vehicles with a gross vehicle weight rating of 
4,536 kilograms (10,000 pounds) or less. However, this part does not 
apply to those motor vehicles excluded from the requirements of Standard 
No. 206.



Sec. 590.4  Definitions.

    (a) All terms defined in 49 U.S.C. 30102 are used in their statutory 
meanings.
    (b) Gross vehicle weight rating, multipurpose passenger vehicle, and 
passenger car are used as defined in Sec. 571.3 of this chapter.
    (c) Production year means the 12-month period between September 1 of 
one year and August 31 of the following year, inclusive.



Sec. 590.5  Response to inquiries.

    During the production year ending August 31, 1998, each manufacturer 
shall, upon request from the Office of Vehicle Safety Compliance, this 
agency, provide information regarding which vehicle makes/models are 
certified as complying with the provisions of S4 and S5, Standard No. 
206.



Sec. 590.6  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production year ending August 31, 1998, each manufacturer shall 
submit a report to NHTSA concerning the manufacturer's compliance with 
the latch, hinge, and lock requirements of this standard for the back 
doors of its passenger cars and multipurpose passenger vehicles with a 
gross vehicle weight rating of 4,536 kilograms (10,000 pounds or less) 
produced in that year. Each report shall:
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparation of the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the back door latch, hinge, and lock requirements of this 
standard in the percentages specified in S4 for the period covered by 
the report and the basis for that statement;
    (5) Provide the information specified in Sec. 590.7;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, ATTN: NSA-01, 400 Seventh Street, SW., Washington, DC 
20590.
    (b) Report content--(1) Basis for phase-in production goals. Each 
manufacturer shall provide the number of passenger cars and multipurpose 
passenger vehicles with a GVWR of 4,536 kilograms (10,000 pounds) or 
less manufactured for sale in the United States for each of the two 
previous production years or, at the manufacturer's option, for the 
current production year. A new manufacturer that has not previously 
manufactured passenger cars and multipurpose passenger vehicles with a 
GVWR of 4,536 kilograms (10,000 pounds) or less for sale in the United 
States must report the number of such vehicles manufactured during the 
current production year.
    (2) Production. Each manufacturer shall report for the production 
year for which the report is filed the number of passenger cars and 
multipurpose passenger vehicles with a gross vehicle weight rating of 
4,536 kilograms (10,000 pounds) or less that meet the back door latch, 
hinge, and lock requirements of this standard.



Sec. 590.7  Records.

    Each manufacturer shall maintain records of the vehicle 
identification number of each passenger car and multipurpose passenger 
vehicle for which information is reported in accordance with Sec. 590.6 
until December 31, 1999.



Sec. 590.8  Petition to extend period to file reports.

    A petition for extension of time to file a report required by S6.1 
must be received not later than 15 days before expiration of the time 
specified in

[[Page 792]]

Sec. 590.5(a). The petition must be submitted to: Administrator, 
National Highway Traffic Safety Administration, ATTN: NSA-01, 400 
Seventh Street, SW., Washington, DC 20590. The filing of a petition does 
not automatically extend the time for filing a report. A petition will 
be granted only if the petitioner shows good cause for the extension and 
the extension is consistent with motor vehicle safety.



PART 591--IMPORTATION OF VEHICLES AND EQUIPMENT SUBJECT TO FEDERAL SAFETY, BUMPER AND THEFT PREVENTION STANDARDS--Table of Contents




Sec.
591.1  Scope.
591.2  Purpose.
591.3  Applicability.
591.4  Definitions.
591.5  Declarations required for importation.
591.6  Documents accompanying declarations.
591.7  Restrictions on importations.
591.8  Conformance bond and conditions.
591.9  Petitions for remission or mitigation of forfeiture.
591.10  Offer of cash deposits or obligations of the United States in 
          lieu of sureties on bonds.


Appendix A to Part 591--Section 591.5(f) Bond for the Entry of a Single 
          Vehicle
Appendix B to Part 591--Section 591.5(f) Bond of r the Entry of More 
          Than a Single Vehicle
Appendix C to Part 591--Power of Attorney and Agreement

    Authority:  Pub. L. 100-562, 49 U.S.C. 322(a), 30117; delegation of 
authority at 49 CFR 1.50.

    Source:  54 FR 40078, Sept. 29, 1989, unless otherwise noted.



Sec. 591.1  Scope.

    This part establishes procedures governing the importation of motor 
vehicles and motor vehicle equipment subject to the Federal motor 
vehicle safety, bumper, and theft prevention standards.
[55 FR 11378, Mar. 28, 1990]



Sec. 591.2  Purpose.

    The purpose of this part is to ensure that motor vehicles and motor 
vehicle equipment permanently imported into the United States conform 
with theft prevention standards issued under part 541 of this chapter 
and that they conform with, or are brought into conformity with, all 
applicable Federal motor vehicle safety standards issued under part 571 
of this chapter and bumper standards issued under part 581 of this 
chapter. The purpose of this part is also to ensure that nonconforming 
vehicles and equipment items imported on a temporary basis are 
ultimately either exported or abandoned to the United States.
[55 FR 11378, Mar. 28, 1990]



Sec. 591.3  Applicability.

    This part applies to any person offering a motor vehicle or item of 
motor vehicle equipment for importation into the United States.
[55 FR 11378, Mar. 28, 1990]



Sec. 591.4  Definitions.

    All terms used in this part that are defined in 49 U.S.C. 30102, 
32101, 32301, 32502, and 33101 are used as defined in those sections 
except that the term ``model year'' is used as defined in part 593 of 
this chapter.
    Administrator means the Administrator of NHTSA.
    NHTSA means the National Highway Traffic Safety Administration of 
the Department of Transportation.
    Dutiable value means entered value, as determined by the Secretary 
of the Treasury.
    Original manufacturer means the entity responsible for the original 
manufacture or assembly of a motor vehicle, and does not include any 
person (other than such entity) who converts the motor vehicle after its 
manufacture to conformance with the Federal motor vehicle safety 
standards.
[54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990; 55 
FR 11378, Mar. 28, 1990; 59 FR 52097, Oct. 14, 1994; 60 FR 57954, Nov. 
24, 1995]



Sec. 591.5  Declarations required for importation.

    No person shall import a motor vehicle or item of motor vehicle 
equipment into the United States unless, at the time it is offered for 
importation, its

[[Page 793]]

importer files a declaration, in duplicate, which declares one of the 
following:
    (a)(1) The vehicle was not manufactured primarily for use on the 
public roads and thus is not a motor vehicle subject to the Federal 
motor vehicle safety, bumper, and theft prevention standards; or
    (2) The equipment item is not a system, part, or component of a 
motor vehicle and thus is not an item of motor vehicle equipment subject 
to the Federal motor vehicle safety, bumper, and theft prevention 
standards.
    (b) The vehicle or equipment item conforms with all applicable 
safety standards (or the vehicle does not conform solely because readily 
attachable equipment items which will be attached to it before it is 
offered for sale to the first purchases for purposes other than resale 
are not attached), and bumper and theft prevention standards, and bears 
a certification label or tag to that effect permanently affixed by the 
original manufacturer to the vehicle, or by the manufacturer to the 
equipment item or its delivery container, in accordance with, as 
applicable, parts 541, 555, 567, 568, and 581, or 571 (for certain 
equipment items) of this chapter.
    (c) The vehicle or equipment item does not comply with all 
applicable Federal motor vehicle safety, bumper, and theft prevention 
standards, but is intended solely for export, and the vehicle or 
equipment item, and the outside of the container of the equipment item, 
if any, bears a label or tag to that effect.
    (d) The vehicle does not conform with all applicable Federal motor 
vehicle safety, bumper, and theft prevention standards, but the importer 
is eligible to import it because:
    (1) (S)he is a nonresident of the United States and the vehicle is 
registered in a country other than the United States,
    (2) (S)he is temporarily importing the vehicle for personal use for 
a period not to exceed one year, and will not sell it during that time,
    (3) (S)he will export it not later than the end of one year after 
entry, and
    (4) The declaration contains the importer's passport number and 
country of issue.
    (e) The vehicle or equipment item requires further manufacturing 
operations to perform its intended function, other than the addition of 
readily attachable equipment items such as mirrors, wipers, or tire and 
rim assemblies, or minor finishing operations such as painting, and any 
part of such vehicle that is required to be marked by part 541 of this 
chapter is marked in accordance with that part.
    (f) The vehicle does not conform with all applicable Federal motor 
vehicle safety and bumper standards (but does conform with all 
applicable Federal theft prevention standards), but the importer is 
eligible to import it because:
    (1) The importer has furnished a bond in an amount equal to 150% of 
the dutiable value of the vehicle, containing the terms and conditions 
specified in section 591.8; and
    (2)(i) The importer has registered with NHTSA pursuant to part 592 
of this chapter, and such registration has not been revoked or 
suspended, and the Administrator has determined pursuant to part 593 of 
this chapter that the model and model year of the vehicle to be imported 
is eligible for importation into the United States; or
    (ii) The importer has executed a contract or other agreement with an 
importer who has registered with NHTSA pursuant to part 592 of this 
chapter and whose registration has not been suspended or revoked; and 
the Administrator has determined pursuant to part 593 of this chapter 
that the model and model year of the vehicle to be imported is eligible 
for importation into the United States;
    (g)  [Reserved]
    (h) The vehicle does not conform with all applicable Federal motor 
vehicle safety, bumper, and theft prevention standards, but the importer 
is eligible to import it because (s)he:
    (1)(i) Is a member of the personnel of a foreign government on 
assignment in the United States, or a member of the Secretariat of a 
public international organization so designated under the International 
Organization Immunities Act, and within the class of persons for

[[Page 794]]

whom free entry of motor vehicles has been authorized by the Department 
of State;
    (ii) Is importing the motor vehicle on a temporary basis for the 
personal use of the importer, and will register it through the Office of 
Foreign Missions of the Department of State;
    (iii) Will not sell the vehicle to any person in the United States, 
other than a person eligible to import a vehicle under this paragraph; 
and
    (iv) Will obtain from the Office of Foreign Missions of the 
Department of State, before departing the United States at the 
conclusion of a tour of duty, an ownership title to the vehicle good for 
export only; or
    (2)(i) Is a member of the armed forces of a foreign country on 
assignment in the United States;
    (ii) Is importing the vehicle on a temporary basis, and for the 
personal use of the importer;
    (iii) Will not sell the vehicle to any person in the United States, 
other than to a person eligible to import a vehicle under this 
subsection; and
    (iv) Will export the vehicle upon departing the United States at the 
conclusion of a tour of duty.
    (i)(1) The vehicle is 25 or more years old.
    (2) The equipment item was manufactured on a date when no applicable 
safety or theft prevention standard was in effect.
    (j)(1) The vehicle or equipment item does not conform with all 
applicable Federal motor vehicle safety and bumper standards, but is 
being imported for a temporary period solely for the purpose of:
    (i) research;
    (ii) investigations;
    (iii) studies;
    (iv) demonstrations or training; or
    (v) competitive racing events;
    (2)(i) The importer has received written permission from NHTSA; or
    (ii) The importer is an original manufacturer of motor vehicles (or 
a wholly owned subsidiary thereof) that are certified to comply with all 
applicable Federal motor vehicle safety standards; and
    (3) The importer will provide the Administrator with documentary 
proof of export or destruction not later than 30 days following the end 
of the period for which the vehicle has been admitted into the United 
States.
    (k) The equipment item is subject to the theft prevention standard, 
and is marked in accordance with the requirements of part 541 of this 
chapter.
[54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990; 55 
FR 11378, Mar. 28, 1990; 55 FR 17439, Apr. 25, 1990; 57 FR 2047, Jan. 
17, 1992; 57 FR 44703, Sept. 29, 1992; 59 FR 31560, June 20, 1994]



Sec. 591.6  Documents accompanying declarations.

    Declarations of eligibility for importation made pursuant to 
Sec. 591.5 must be accompanied by the following certification and 
documents, where applicable.
    (a) A declaration made pursuant to Sec. 591.5(a) shall be 
accompanied by a statement substantiating that the vehicle was not 
manufactured for use on the public roads, or that the equipment item was 
not manufactured for use on a motor vehicle or is not an item of motor 
vehicle equipment.
    (b) A declaration made pursuant to Sec. 591.5(e) shall be 
accompanied by:
    (1) (For a motor vehicle) a document meeting the requirements of 
Sec. 568.4 of part 568 of this chapter.
    (2) (For an item of motor vehicle equipment) a written statement 
issued by the manufacturer of the equipment item which states the 
applicable Federal motor vehicle safety standard(s) with which the 
equipment item is not in compliance, and which describes the further 
manufacturing required for the equipment item to perform its intended 
function.
    (c) A declaration made pursuant to paragraph Sec. 591.5(f), and 
under a bond for the entry of a single vehicle, shall be accompanied by 
a bond in the form shown in Appendix A, in an amount equal to 150% of 
the dutiable value of the vehicle, or, if under bond for the entry of 
more than one vehicle, shall be accompanied by a bond in the form shown 
in Appendix B and by Customs Form CF 7501, for the conformance of the 
vehicle(s) with all applicable Federal motor vehicle safety and bumper 
standards, or, if conformance is not achieved, for the delivery of such 
vehicle to the Secretary of the Treasury for

[[Page 795]]

export at no cost to the United States, or for its abandonment.
    (d) A declaration made pursuant to Sec. 591.5(f) by an importer who 
is not a Registered Importer shall be accompanied by a copy of the 
contract or other agreement that the importer has with a Registered 
Importer to bring the vehicle into conformance with all applicable 
Federal motor vehicle safety standards.
    (e) A declaration made pursuant to Sec. 591.5(h) shall be 
accompanied by a copy of the importer's official orders, or, if a 
qualifying member of the personnel of a foreign government on assignment 
in the United States, the name of the embassy to which the importer is 
accredited.
    (f) A declaration made pursuant to Sec. 591.5(j) shall be 
accompanied by the following documentation:
    (1) A declaration made pursuant to Sec. 591.5(j)(2)(i) shall be 
accompanied by a letter from the Administrator authorizing importation 
pursuant to that section. (Any person seeking to import a motor vehicle 
or item of motor vehicle equipment pursuant to that section shall 
submit, in advance of such importation, a written request to the 
Administrator containing a full and complete statement identifying the 
vehicle or equipment item, its make, model, model year or date of 
manufacture, VIN if a motor vehicle, and the specific purpose(s) of 
importation. The discussion of purpose(s) shall include a description of 
the use to be made of the vehicle or equipment item. With respect to any 
vehicle or equipment item imported pursuant to sections 591.5(j)(1) (i), 
(ii), or (iv), if use on the public roads is an integral part of the 
purpose for which the vehicle or equipment item is imported, the 
statement shall request permission for use on the public roads, 
describing the purpose which makes such use necessary, and stating the 
estimated period of time during which use of the vehicle or equipment 
item on the public roads is necessary. The request shall also state the 
intended means of final disposition (and disposition date) of the 
vehicle or equipment item after completion of the purpose for which it 
is imported. The request shall be addressed to Director, Office of 
Vehicle Safety Compliance (NEF-32), National Highway Traffic Safety 
Administration, room 6111, 400 Seventh Street, SW., Washington, DC 
20590.)
    (2) A declaration made pursuant to Sec. 591.5(j)(2)(i) and 
Sec. 591.5(j)(1)(iii) shall be accompanied by a letter from the 
Administrator authorizing importation pursuant to those sections. In 
addition to the matters contained in paragraph (g)(1) of this section, 
the importer's written request shall explain why the vehicle or 
equipment item is of historical or technological interest, and describe 
the studies for which its importation is sought. The importer, if other 
than the National Museum of History and Technology, Smithsonian 
Institution, shall also provide a copy of the Determination Letter from 
the Internal Revenue Service approving the importer's status as a tax-
exempt corporation or foundation, or private foundation, under section 
501(c)(3) or section 509, respectively, of the Internal Revenue Code. 
The time between the date of the Letter and the date of the importer's 
written request to the Administrator shall be not less than 5 years. The 
importer shall also provide a statement that it shall not sell, or 
transfer possession or, or title to, the vehicle, or license it for use, 
or operate it on the public roads, until the vehicle is not less than 25 
years old.
    (3) A declaration made pursuant to Sec. 591.5(j)(2)(ii) shall be 
accompanied by the written statement of its importer describing the use 
to be made of the vehicle or equipment item. If use on the public roads 
is an integral part of the purpose for which the vehicle or equipment 
item is imported, the statement shall describe the purpose which makes 
such use necessary, state the estimated period of time during which use 
of the vehicle or equipment item on the public roads is necessary, and 
state the intended means of final disposition (and disposition date) of 
the vehicle or equipment item after completion of the purpose for which 
it is imported.
[54 FR 40078, Sept. 29, 1989, as amended at 55 FR 3747, Feb. 5, 1990; 55 
FR 6994, Feb. 28, 1990; 55 FR 11379, Mar. 28, 1990; 57 FR 2047, Jan. 17, 
1992; 57 FR 29043, June 30, 1992; 58 FR 12908, Mar. 8, 1993; 59 FR 
52097, Oct. 14, 1994; 60 FR 57954, Nov. 24, 1995]

[[Page 796]]



Sec. 591.7  Restrictions on importations.

    (a) A vehicle or equipment item which has entered the United States 
under a declaration made pursuant to Sec. 591.5(j), and for which a 
Temporary Importation Bond has been provided to the Secretary of the 
Treasury, shall not remain in the United States for a period that 
exceeds 3 years from its date of entry.
    (b) If the importer of a vehicle or equipment item under 
Sec. 591.5(j) does not intend to export or destroy the vehicle or 
equipment item not later than 3 years after the date of entry, and 
intends to pay duty to the U.S. Customs Service on such vehicle or 
equipment item, the importer shall request permission in writing from 
the Administrator for the vehicle or equipment item to remain in the 
United States for an additional period of time not to exceed 5 years 
from the date of entry. Such a request must be received not later than 
60 days before the date that is 3 years after the date of entry. Such 
vehicle or equipment item shall not remain in the United States for a 
period that exceeds 5 years from the date of entry, unless further 
written permission has been obtained from the Administrator.
    (c) An importer of a vehicle which has entered the United States 
under a declaration made pursuant to Sec. 591.5(j)(2)(i) shall at all 
times retain title to and possession of it, shall not lease it, and may 
use it on the public roads only if written permission has been granted 
by the Administrator, pursuant to Sec. 591.6(f)(1). An importer of a 
vehicle which has entered the United States under a declaration made 
pursuant to Sec. 591.5(j)(2)(ii) shall at all times retain title to it.
    (d) Any violation of a term or condition imposed by the 
Administrator in a letter authorizing importation or on-road use under 
Sec. 591.5(j) shall be considered a violation of 15 U.S.C. 1397(a)(1)(A) 
for which a civil penalty may be imposed.
    (e) No vehicle or equipment item may be imported pursuant to 
Sec. 591.5(j)(2)(i) and (j)(1)(iii) unless its importer has been 
recognized by the United States for not less than 5 years prior to the 
date of its written request under Sec. 591.6(g)(2) as a tax-exempt 
corporation or foundation, or private foundation, under section 
501(c)(3) or section 509, respectively, of the Internal Revenue Code, or 
unless the importer is the National Museum of History and Technology, 
Smithsonian Institution.
[54 FR 40078, Sept. 29, 1989, as amended at 55 FR 6994, Feb. 28, 1990; 
57 FR 2047, Jan. 17, 1992; 58 FR 12908, Mar. 8, 1993; 59 FR 31560, June 
20, 1994]



Sec. 591.8  Conformance bond and conditions.

    (a) The bond required under section 591.6(c) for importation of a 
vehicle not originally manufactured to conform with all applicable 
standards issued under part 571 and part 581 of this chapter shall cover 
only one motor vehicle, and shall be in an amount equal to 150% of the 
dutiable value of the vehicle. However, a registered importer may enter 
vehicles under a bond of a continuing nature that covers an indefinite 
number of motor vehicles 150% of whose total dutiable value at any point 
in time does not exceed $1,000,000.
    (b) The principal on the bond shall be the importer of the vehicle.
    (c) The surety on the bond shall possess a certificate of authority 
to underwrite Federal bonds. (See list of certificated sureties at 54 FR 
27800, June 30, 1989)
    (d) In consideration of the release from the custody of the U.S. 
Customs Service or the withdrawn from a Customs bonded warehouse into 
the commerce of, or for consumption in, the United States, of a motor 
vehicle not originally manufactured to conform to all applicable 
standards issued under part 571 and part 581 of this chapter, the 
obligors (principal and surety) shall agree to the following conditions 
of the bond:
    (1) To have such vehicle brought into conformity with all applicable 
standards issued under part 571 and part 581 of this chapter within 120 
days after the date of entry:
    (2) In the case of a vehicle imported pursuant to section 591.5(f), 
to file (or if not a Registered Importer, to cause the Registered 
Importer of the vehicle to file) with the Administrator, a certificate 
that the vehicle complies with each Federal motor vehicle safety and

[[Page 797]]

bumper standard in the year that the vehicle was manufactured and which 
applies in such year to the vehicle; or
    (3) In the case of a Registered Importer, not to release custody of 
the vehicle to any person for license or registration for use on public 
roads, streets, or highways, or license or register the vehicle from the 
date of entry until 30 calendar days after it has certified compliance 
of the vehicle to the Administrator, unless the Administrator has 
notified the principal before 30 calendar days that (s)he has accepted 
such certification, and that the vehicle and bond may be released, 
except that the vehicle shall not be released if the principal has 
received written notice from the Administrator that an inspection of the 
vehicle will be required, or that there is reason to believe that such 
certification is false or contains a misrepresentation;
    (4) In the case of a Registered Importer, to cause the vehicle to be 
available for inspection, if the principal has received written notice 
from the Administrator that an inspection is required.
    (5) In the case of a Registered Importer, not to release the vehicle 
until the Administrator is satisfied with the certification and any 
modification thereof, if the principal has received written notice from 
the Administrator that there is reason to believe that the certification 
is false or contains a misrepresentation.
    (6) If the principal has received written notice from the 
Administrator that the vehicle has been found not to comply with all 
applicable Federal motor vehicle safety standards, and written demand 
that the vehicle be abandoned to the United States, or delivered to the 
Secretary of the Treasury for export (at no cost to the United States), 
to abandon the vehicle to the United States, or to deliver the vehicle, 
or cause the vehicle to be delivered to, the custody of the District 
Director of Customs of the port of entry listed above, or to any other 
port of entry, and to execute all documents necessary for exportation of 
the vehicle from the United States, at no cost to the United States; or 
in default of abandonment or redelivery after proper notice by the 
Administrator to the principal, to pay to the Administrator the amount 
of the bond.
    (e) If the principal defaults on the obligation of paragraph (d)(6) 
of this section, to abandon the vehicle to the United States or to 
redeliver the vehicle to the custody of a District Director of Customs 
and to execute all documents necessary for its exportation, the obligors 
shall pay to the Administrator the amount of the bond given under the 
provisions of this section.
[55 FR 11379, Mar. 28, 1990, as amended at 59 FR 31560, June 20, 1994]



Sec. 591.9  Petitions for remission or mitigation of forfeiture.

    (a) After a bond has been forfeited, a principal and/or a surety may 
petition for remission of forfeiture. A principal and/or surety may 
petition for mitigation of forfeiture only if the motor vehicle has been 
imported pursuant to paragraph 591.5(f) and the condition not met 
relates to the compliance of a passenger motor vehicle with part 581 of 
this chapter.
    (b) A petition for remission or mitigation shall:
    (1) Be addressed to the Administrator, identified as either a 
petition for remission or for mitigation, submitted in triplicate, and 
signed by the principal and/or the surety.
    (2) State the make, model, model year, and VIN of the vehicle 
involved, and contain the Customs Entry number under which the vehicle 
entered the United States.
    (3) State the facts and circumstances relied on by the petitioner to 
justify remission or mitigation.
    (4) Be filed within 30 days from the date of the mailing of the 
notice of forfeiture incurred.
    (c) A false statement contained in a petition may subject the 
petitioner to prosecution under the provisions of 18 U.S.C. 1001.
    (d) If the Administrator finds that all conditions of the bond have, 
in fact, been fulfilled, the forfeiture is remitted.
    (e) A decision to mitigate a forfeiture upon condition that a stated 
amount is paid shall be effective for not more than 60 days from the 
date of notice to the petitioner of such decision. If payment of the 
stated amount is not made,

[[Page 798]]

or arrangements made for delayed or installment payment, the full claim 
of forfeiture shall be deemed applicable. The Administrator shall 
collect the claim, or, if unable to collect the claim within 120 days, 
shall refer the matter to the Department of Justice.
[55 FR 11380, Mar. 28, 1990, as amended at 59 FR 31560, June 20, 1994]



Sec. 591.10  Offer of cash deposits or obligations of the United States in lieu of sureties on bonds.

    (a) In lieu of sureties on any bond required under Sec. 591.6(c), an 
importer may offer United States money, United States bonds (except for 
savings bonds), United States certificates of indebtedness, Treasury 
notes, or Treasury bills in an amount equal to the amount of the bond.
    (b) At the time the importer deposits any obligation of the United 
States, other than United States money, with the Administrator, (s)he 
shall deliver a duly executed power of attorney and agreement, in the 
form shown in appendix C to this part, authorizing the Administrator or 
delegate of the Administrator, in case of any default in the performance 
of any of the conditions of the bond, to sell the obligation so 
deposited, and to apply the proceeds of sale, in whole or in part, to 
the satisfaction of any penalties for violations of 49 U.S.C. 30112 and 
49 U.S.C. 32506 arising by reasons of default.
    (c) If the importer deposits money of the United States with the 
Administrator, the Administrator, or delegate of the Administrator, may 
apply the cash, in whole or in part, to the satisfaction of any 
penalties for violations of 49 U.S.C. 30112 and 49 U.S.C. 32506 arising 
by reason of default.
[58 FR 12908, Mar. 8, 1993, as amended at 59 FR 52097, Oct. 14, 1994]

Appendix A to Part 591--Section 591.5(f) Bond for the Entry of a Single 
                                 Vehicle

                      Department of Transportation

             National Highway Traffic Safety Administration

    BOND TO ENSURE CONFORMANCE WITH MOTOR VEHICLE SAFETY AND BUMPER 
                                STANDARDS

(To redeliver vehicle, to produce documents, to perform conditions of 
release, such as to bring vehicle into conformance with all applicable 
Federal motor vehicle safety and bumper standards)
    Know All Men by These Presents That

 _______________________________________________________________________

name of principal or surety; if a corporation, the State of 
incorporation of ____________________, as principal, street address or 
post office box number; city; state; ZIP code
and ______________ of __________, name; State of incorporation, if any 
address
and ________________ of __________, name; State of incorporation, if any 
address
as sureties, are held and firmly bound unto the UNITED STATES OF AMERICA 
in the sum of __________________________ dollars ($__________),
which represents 150% of the entered value of the following described 
motor vehicle as determined by the U.S. Customs Service:

 _______________________________________________________________________

model year, make, series, engine and chassis numbers for the payment of 
which we bind ourselves, our heirs, executors, administrators, 
successors, and assigns (jointly and severally), firmly by these 
presents.
    WITNESS our hands and seals this ________ day of ________, 199__.
    WHEREAS, motor vehicles may be entered under the provisions of 
section 108 of the National Traffic and Motor Vehicle Safety Act, and 
section 106 of the Motor Vehicle Information and Cost Savings Act; and

 _______________________________________________________________________

DOT Form XXXX
    WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under 
the provisions of section 108, National Traffic and Motor Vehicle Safety 
Act of 1966, the above-bounden principal desires to import permanently 
the motor vehicle described above, which is

[[Page 799]]

a motor vehicle that was not originally manufactured to conform with the 
Federal motor vehicle safety and bumper standards; and
    WHEREAS, pursuant to 49 CFR part 592, a regulation promulgated under 
the provisions of section 108, National Traffic and Motor Vehicle Safety 
Act of 1966, as amended, the above-bounden principal has been granted 
the status of Registered Importer of motor vehicles not originally 
manufactured to conform with the Federal motor vehicle safety standards 
(or, if not a Registered Importer, has a contract with a Registered 
Importer covering the motor vehicle described above); and
    WHEREAS, pursuant to 49 CFR part 593, a regulation promulgated under 
the provisions of section 108, National Traffic and Motor Vehicle Safety 
Act of 1966, as amended, the Administrator of the National Highway 
Traffic Safety Administration has determined that the motor vehicle 
described above is eligible for importation into the United States; and
    WHEREAS, the motor vehicle described above has been imported at the 
port of ____________, and entered at said port for consumption on entry 
No. ________, dated ________, 199__,
    NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH THAT--
    (1) The above-bounden principal (the ``principal''), in 
consideration of the permanent admission into the United States of the 
motor vehicle described above (the ``vehicle''), voluntarily undertakes 
and agrees to have such vehicle brought into conformity with all 
applicable Federal motor vehicle safety and bumper standards within a 
reasonable time after such importation, as specified by the 
Administrator of the National Highway Traffic Safety Administration (the 
``Administrator'');
    (2) The principal shall then file, or if not a Registered Importer, 
shall then cause the Registered Importer of the vehicle to file, with 
the Administrator, a certificate that the vehicle complies with each 
Federal motor vehicle safety standard in the year that the vehicle was 
manufactured and which applies in such year to the vehicle, and that the 
vehicle complies with the Federal bumper standard (if applicable);
    (3) The principal, if a Registered Importer, shall not release 
custody of the vehicle to any person for license or registration for use 
on public roads, streets, or highways, or license or register the 
vehicle from the date of entry until 30 calendar days after it has 
certified compliance of the vehicle to the Administrator, unless the 
Administrator notifies the principal before 30 calendar days that (s)he 
has accepted such certification and the vehicle and bond may be 
released, except that no such release shall be permitted, before or 
after the 30th calendar day, if the principal has received written 
notice from the Administrator that an inspection of such vehicle will be 
required, or that there is reason to believe that such certification is 
false or contains a misrepresentation.
    (4) And if the principal has received written notice from the 
Administrator that an inspection is required, the principal shall cause 
the vehicle to be available for inspection, and the vehicle and bond 
shall be promptly released after completion of an inspection showing no 
failure to comply. However, if the inspection shows a failure to comply, 
the vehicle and bond shall not be released until such time as the 
failure to comply ceases to exist;
    (5) And if the principal has received written notice from the 
Administrator that there is reason to believe that the certificate is 
false or contains a misrepresentation, the vehicle or bond shall not be 
released until the Administrator is satisfied with the certification and 
any modification thereof;
    (6) And if the principal has received written notice from the 
Administrator that the vehicle has been found not to comply with all 
applicable Federal motor vehicle safety and bumper standards, and 
written demand that the vehicle be abandoned to the United States, or 
delivered to the Secretary of the Treasury for export (at no cost to the 
United States), the principal shall abandon the vehicle to the United 
States, or shall deliver the vehicle, or cause the vehicle to be 
delivered to, the custody of the District Director of Customs of the 
port of entry listed above, or any other port of entry, and shall 
execute all documents necessary for exportation of the vehicle from the 
United States, at no cost to the United States; or in default of 
abandonment or redelivery after proper notice by the Administrator to 
the principal, the principal shall pay to the Administrator the amount 
of this obligation;
    Then this obligation shall be void; otherwise it shall remain in 
full force and effect.

Signed, sealed, and delivered in the presence of--

 _______________________________________________________________________

Name        Address
______________(SEAL)
(Principal)

 _______________________________________________________________________

Name        Address

 _______________________________________________________________________

Name        Address
______________(SEAL)
(Surety)

 _______________________________________________________________________

Name        Address

[[Page 800]]

                  CERTIFICATE AS TO CORPORATE PRINCIPAL

    I, ____________ certify that I am the ________ of the corporation 
named as principal in the within bond; that __________, who signed the 
bond on behalf of the principal, was then ______________ of said 
corporation; that I know his/her signature, and his/her signature 
thereto is genuine; and that said bond was duly signed, sealed, and 
attested for and in behalf of said corporation by authority of its 
governing body.
______________[Corporate Seal]
    To be used when a power of attorney has been filed with NHTSA. May 
be executed by secretary, assistant secretary, or other officer.
[55 FR 11380, Mar. 28, 1990, as amended at 59 FR 52097, Oct. 14, 1994]

 Appendix B--Section 591.5(f) Bond for the Entry of More Than a Single 
                                 Vehicle

     Department of Transportation--National Highway Traffic Safety 
   Administration--Bond To Ensure Conformance With U.S. Federal Motor 
                   Vehicle Safety and Bumper Standards

(To redeliver vehicles, to produce documents, to perform conditions of 
release, such as to bring vehicles into conformance with all applicable 
U.S. Federal motor vehicle safety and bumper standards)
    Know All People by These Presents That [principal's name, mailing 
address which includes city, state, ZIP code, and state of incorporation 
if a corporation], as principal, and [surety's name, mailing address 
which includes city, state, ZIP code and state of incorporation] are 
held and firmly bound unto the UNITED STATES OF AMERICA in the sum of 
[bond amount in words] dollars (Sec. [bond amount in numbers]) which 
represents 150% of the entered value of the following described motor 
vehicle(s) as determined by the U.S. Customs Service:

[model year, make, series, engine and chassis number of each vehicle]

for the payment of which we bind ourselves, our heirs, executors, 
administrators, successors, and assigns (jointly and severally), firmly 
by these presents
    WITNESS our hands and seals this ________ day of ________________, 
199____
    WHEREAS, motor vehicles may be entered under the provisions of 49 
U.S.C. 30112 and 49 U.S.C. 32506; and
    WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under 
the provisions of 49 U.S.C. 30112, the above-bounden principal desires 
to import permanently the motor vehicles described above, which are 
motor vehicles that were not originally manufactured to conform with the 
Federal motor vehicle safety and bumper standards; and
    WHEREAS, pursuant to 49 CFR part 592, a regulation promulgated under 
the provisions of 49 U.S.C. 30112, the above bounden principal has been 
granted the status of Registered Importer of motor vehicles not 
originally manufactured to conform with the Federal motor vehicle safety 
standards; and
    WHEREAS, pursuant to 49 CFR part 593, a regulation promulgated under 
the provisions of 49 U.S.C. 30112, the Administrator of the National 
Highway Traffic Safety Administration has determined that each of the 
motor vehicles described above is eligible for importation into the 
United States; and
    WHEREAS, the motor vehicles described above have been imported at 
the port of [ name of port of entry], and entered at said port for 
consumption on entry No. ________ dated ________________, 199____,
    NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH THAT--
    (1) The above-bounden principal (``the principal''), in 
consideration of the permanent admission into the United States of the 
motor vehicles described above, voluntarily undertakes and agrees to 
have such vehicles brought into conformity with all applicable Federal 
motor vehicle safety and bumper standards within a reasonable time after 
such importation, as specified by the Administrator of the National 
Highway Traffic Safety Administration (the ``Administrator'');
    (2) For each vehicle described above (``such vehicle''), the 
principal shall then file, with the Administrator, a certificate that 
such vehicle complies with each Federal motor vehicle safety standard in 
the year that such vehicle was manufactured and which applies in such 
year to such vehicle, and that such vehicle complies with the Federal 
bumper standard (if applicable);
    (3) The principal shall not release custody of any vehicle to any 
person, or license or register the vehicle, from the date of entry until 
30 calendar days after it has certified compliance of such vehicle to 
the Administrator, unless the Administrator notifies the principal 
before 30 days that (s)he has accepted such certification and such 
vehicle and all liability under this bond for such vehicle may be 
released, except that no such release shall be permitted, before or 
after the 30th calendar day, if the principal has received written 
notice from the Administrator that an inspection of such vehicle will be 
required, or that there is reason to believe that such certification is 
false or contains a misrepresentation.
    (4) And if the principal has received written notice from the 
Administrator that an inspection of such vehicle is required, the 
principal shall cause such vehicle to be available for inspection, and 
such vehicle

[[Page 801]]

and all liability under this bond for such vehicle shall be promptly 
released after completion of an inspection showing no failure to comply. 
However, if the inspection shows a failure to comply, such vehicle and 
all liability under this bond for such vehicle shall not be released 
until such time as the failure to comply ceases to exist;
    (5) And if the principal has received written notice from the 
Administrator that there is reason to believe that such certificate is 
false or contains a misrepresentation, such vehicle and all liability 
under this bond for such vehicle shall not be released until the 
Administrator is satisfied with such certification and any modification 
thereof;
    (6) And if the principal has received written notice from the 
Administrator that such vehicle has been found not to comply with all 
applicable Federal motor vehicle safety and bumper standards, and 
written demand that such vehicle be abandoned to the United States, or 
delivered to the Secretary of the Treasury for export (at no cost to the 
United States), the principal shall abandon such vehicle to the United 
States, or shall deliver such vehicle, or cause such vehicle to be 
delivered to, the custody of the District Director of Customs of the 
port of entry listed above, or any other port of entry, and shall 
execute all documents necessary for exportation of such vehicle from the 
United States, at no cost to the United States; or in default of 
abandonment or redelivery after proper notice by the Administrator for 
the principal, the principal shall pay to the Administrator an amount 
equal to 150% of the entered value of such vehicle as determined by the 
U.S. Customs Service;
    Then this obligation shall be void; otherwise it shall remain in 
full force and effect. [At this point the terms agreed upon between the 
principal and surety for termination of the obligation may be entered]
    Signed, sealed and delivered in the presence of


 _______________________________________________________________________

PRINCIPAL: (name and address)


 _______________________________________________________________________

(Signature)      (SEAL)


 _______________________________________________________________________

(Printed name and title)


 _______________________________________________________________________

SURETY: (name and address)


 _______________________________________________________________________

(Signature)


 _______________________________________________________________________

(Printed name and title)
[60 FR 57954, Nov. 24, 1995]

         Appendix C to Part 591--Power of Attorney and Agreement

    ______________ does constitute and appoint the Administrator of the 
National Highway Traffic Safety Administration, United States Department 
of Transportation, or delegate, as attorney for the undersigned, for and 
in the name of the undersigned to collect or to sell, assign, and 
transfer the securities described below as follows:

Title      
Matures      
Int. Rate      
Denom.      
Serial 
Coupon/registered

    The securities having been deposited by it as security for the 
performance of the agreements undertaken in a bond with the United 
States, executed on the date of __________ , ______, the terms and 
conditions of which are incorporated by reference into this power of 
attorney and agreement and made a part hereof. The undersigned agrees 
that in case of any default in the performance of any of the agreements 
the attorney shall have full power to collect the securities or any part 
thereof, or to sell, assign, and transfer the securities or any part 
thereof, or to sell, assign, and transfer the securities of any part 
thereof at public or private sale, without notice, free from any equity 
of redemption and without appraisement or valuation, notice and right to 
redeem being waived and to apply the proceeds of the sale or collection 
in whole or in part to the satisfaction of any obligation arising by 
reason of default. The undersigned further agrees that the authority 
granted by this agreement is irrevocable. The undersigned ratifies and 
confirms whatever the attorney shall do by virtue of this agreement.
    Witnessed and signed this __________ day of __________, ______.

 _______________________________________________________________________

    Before me, the undersigned, a notary public within and for the 
County of ____________ in the State of ____________, personally appeared 
______________ and acknowledged the execution of the foregoing power of 
attorney.
    Witness my hand and notarial seal this __________ day of __________, 
199__.

[Notarial seal]

Notary Public ________________
[58 FR 12909, Mar. 8, 1993]

[[Page 802]]



PART 592--REGISTERED IMPORTERS OF VEHICLES NOT ORIGINALLY MANUFACTURED TO CONFORM TO THE FEDERAL MOTOR VEHICLE SAFETY STANDARDS--Table of Contents




Sec.
592.1  Scope.
592.2  Purpose.
592.3  Applicability.
592.4  Definitions.
592.5  Requirements for registration and its maintenance.
592.6  Duties of a registered importer.
592.7  Revocation, suspension and reinstatement of registration.
592.8  Inspection; release of vehicle and bond.

    Authority:  Pub. L. 100-562, 49 U.S.C. 322(a), 30117; delegation of 
authority at 49 CFR 1.50.


    Source:  54 FR 40090, Sept. 29, 1989, unless otherwise noted.



Sec. 592.1  Scope.

    This part establishes procedures under 49 U.S.C. 30141(c) for the 
registration of importers of motor vehicles that were not originally 
manufactured to comply with all applicable Federal motor vehicle safety 
standards. This part also establishes the duties of Registered 
Importers.
[59 FR 52098, Oct. 14, 1994]



Sec. 592.2  Purpose.

    The purpose of this part is to provide content and format 
requirements for persons who wish to register with the Administrator as 
importers of motor vehicles not originally manufactured to conform to 
all applicable Federal motor vehicle safety standards, to provide 
procedures for the registration of importers and for the suspension, 
revocation and reinstatement of registration, and to set forth the 
duties required of Registered Importers.



Sec. 592.3  Applicability.

    This part applies to any person who wishes to register with the 
Administrator as an importer of nonconforming vehicles, and to any 
person who is registered as an importer.



Sec. 592.4  Definitions.

    All terms in this part that are defined in 49 U.S.C. 30102 and 30125 
are used as defined therein.
    Administrator means the Administrator, National Highway Traffic 
Safety Administration.
    NHTSA means the National Highway Traffic Safety Administration.
    Registered Importer means any person that the Administrator has 
registered as an importer pursuant to section 592.5(b).
[54 FR 40090, Sept. 29, 1989, as amended at 59 FR 52098, Oct. 14, 1994]



Sec. 592.5  Requirements for registration and its maintenance.

    (a) Any person wishing to register as an importer of motor vehicles 
not originally manufactured to conform to all applicable Federal motor 
vehicle safety standards must file an application which:
    (1) Is headed with the words ``Application for Registration as 
Importer'', and submitted in three copies to: Administrator, National 
Highway Traffic Safety Administration, Room 6115, 400 7th Street SW., 
Washington, DC 20590, Attn: NEF-32 Importer Registration.
    (2) Is written in the English language.
    (3) Sets forth the full name, address, and title of the person 
preparing the application, and the name, address, and telephone number 
of the person for whom application is made.
    (4) Sets forth, as applicable, the names of all owners, including 
shareholders, partners, or sole proprietors, of the person for whom 
application is made.
    (5) If any of the owners listed in paragraph (a)(4) of this section 
are corporations, sets forth the names of all shareholders of such 
corporation whose ownership interest is 10 percent or greater.
    (6) Contains a statement that the applicant has never had a 
registration revoked pursuant to Sec. 592.7, nor is it or was it, 
directly or indirectly, owned or controlled by, or under common 
ownership or control with, a person who has had a registration revoked 
pursuant to Sec. 592.7.
    (7) Contains a certified check payable to the Treasurer of the 
United States, for the amount of the initial annual fee

[[Page 803]]

established pursuant to part 594 of this chapter.
    (8) Contains a copy of a contract to acquire, effective upon its 
registration as an importer, a prepaid mandatory service insurance 
policy underwritten by an independent insurance company, or a copy of 
such policy, in an amount that equals $2,000 for each motor vehicle for 
which the applicant will furnish a certificate of conformity to the 
Administrator, for the purpose of ensuring that the applicant will be 
able financially to remedy any noncompliance or safety related defect 
determined to exist in any such motor vehicle in accordance with part 
573 and part 577 of this chapter. If the application is accompanied by a 
copy of a contract to acquire such a policy, the applicant shall provide 
NHTSA with a copy of the policy within 10 days after it has been issued 
to the applicant.
    (9) Sets forth in full data, views, and arguments of the applicant 
sufficient to establish that the applicant will be able, through a 
records system of acquiring and maintaining names and addresses of 
owners of vehicles for which it furnishes a certificate of conformity, 
and Vehicle Identification Numbers (VINs) of such vehicles, to notify 
such owners that a noncompliance or safety related defect exists in such 
vehicles, and that it will be financially able to remedy a noncompliance 
or safety related defect through repurchase or replacement of such 
vehicles, or technically able through repair of such vehicles, in 
accordance with part 573 and part 577 of this chapter.
    (10) Segregates and specifies any part of the information and data 
submitted under this part that the applicant wishes to have withheld 
from public disclosure in accordance with part 512 of this chapter.
    (11) Contains a statement that the applicant will fully comply with 
all duties of a registered importer as set forth in Sec. 592.6.
    (12) Has the applicant's signature acknowledged by a notary public.
    (b) If the information submitted is incomplete, the Administrator 
notifies the applicant of the areas of insufficiency, and that the 
application is in abeyance.
    (c) If the Administrator deems it necessary for a determination upon 
the application, NHTSA conducts an inspection of the applicant. 
Subsequent to the inspection, NHTSA calculates the costs attributable to 
such inspection, and notifies the applicant in writing that such costs 
comprise a component of the initial annual fee and must be paid before a 
determination is made upon its application.
    (d) When the application is complete (and, if applicable, when a sum 
representing the inspection component of the initial annual fee is 
paid), it is reviewed and a determination made whether the applicant 
should be granted the status of Registered Importer. Such determination 
may be based, in part, upon an inspection by NHTSA of the conformance, 
storage, and recordkeeping facilities of the applicant. If the 
Administrator determines that the application is acceptable, (s)he 
informs the applicant in writing that its application is approved, and 
issues it a Registered Importer Number. If the information is not 
acceptable, the Administration informs the applicant in writing that its 
application is not approved. No refund is made of those components of 
the initial annual fee representing the costs of processing the 
application, and conducting an inspection. Refund is made of that 
component of the initial annual fee representing the remaining costs of 
administration of the registration program.
    (e) In order to maintain its registration, a Registered Importer 
shall provide an annual statement that affirms that all information 
provided under paragraphs (a)(4), (a)(5), (a)(6), (a)(9), and (a)(11) of 
this section remains correct, and that includes a current copy of its 
insurance policy procured pursuant to paragraph (a)(8) of this section. 
Such statement shall be titled ``Yearly Statement of Registered 
Importer'', and shall be filed not later than October 31 of each year. A 
Registered Importer shall also pay such annual fee or fees as the 
Administrator may from time to time establish under part 594 of this 
chapter. An annual fee shall be paid not later than October 31 of any 
calendar year, and shall be the annual fee for the fiscal year that 
began on October 1 of that calendar year. Any

[[Page 804]]

other fee shall be payable not later than 30 calendar days after the 
date that the Administrator has notified the Registered Importer of it 
in writing.
    (f) A Registered Importer shall notify the Administrator in writing 
of any change that occurs in the information which is submitted in its 
application, not later than the end of the 30th calendar day after such 
change.
    (g) A registration granted under this part is not transferable.
[54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9, 1989; 
55 FR 37330, Sept. 11, 1990]



Sec. 592.6  Duties of a registered importer.

    Each Registered Importer shall:
    (a) With respect to each motor vehicle that it imports into the 
United States, furnish to the Secretary of the Treasury (acting on 
behalf of the Administrator) a bond in an amount equal to 150 per cent 
of the entered value of the vehicle, as determined by the Secretary of 
the Treasury, to ensure that such vehicle either will be brought into 
conformity with all applicable Federal motor vehicle safety standards 
prescribed under part 571 of this chapter within 120 calendar days after 
such importation, or will be exported (at no cost to the United States) 
by the importer or the Secretary of the Treasury, or abandoned to the 
United States. However, if the Registered Importer has procured a 
continuous entry bond, it shall furnish the Administrator with such 
bond, and shall furnish the Secretary of the Treasury (acting on behalf 
of the Administrator) with a photocopy of such bond and Customs Form CF 
7501 at the time of importation of each motor vehicle.
    (b) Establish, maintain, and retain for 8 years from the date of 
entry of any nonconforming vehicle for which it furnishes a certificate 
of conformity pursuant to paragraph (e) of this section, organized 
records, correspondence and other documents relating to the importation, 
modification, and substantiation of certification of conformity to the 
Administrator, including but not limited to:
    (1) The declaration required by Sec. 591.5 of this chapter, and 19 
CFR 12.80.
    (2) All vehicle or equipment purchase or sales orders or agreements, 
conformance agreements with importers other than Registered Importers, 
and correspondence between the Registered Importer and the owner or 
purchaser of each vehicle for which it has furnished a certificate of 
conformity.
    (3) The last known name and address of the owner or purchaser of 
each motor vehicle for which it has furnished a certificate of 
conformity, and the VIN number of such vehicle.
    (4) Records, both photographic and documentary, reflecting the 
modifications made and submitted to the Administrator pursuant to 
paragraph (e) of this section.
    (c) Records, both photographic and documentary, sufficient to 
substantiate each subsequent certificate furnished to the Administrator 
for a vehicle of the same model and model year for which documentation 
has been furnished NHTSA in support of the initial certificate.
    (d) Permanently affix to each motor vehicle, upon completion of 
modifications, a label that meets the requirements of Sec. 567.4 of this 
chapter, which identifies the Registered Importer, and provide to the 
Administrator a photocopy of the label attesting that such vehicle has 
been brought into conformity with all applicable Federal motor vehicle 
safety and bumper standards.
    (e) Certify to the Administrator, upon completion of modifications, 
that the vehicle has been brought into conformity with all applicable 
Federal motor vehicle safety and bumper standards, and that it is the 
person legally responsible for bringing the vehicle into conformity.
    (f) In substantiation of the initial certification provided for a 
specific model and model year, submit to the Administrator photographic 
and documentary evidence of conformance with each applicable Federal 
motor vehicle safety and bumper standard, and with respect to subsequent 
certifications of such model and model year, such information, if any, 
as the Administrator may request.
    (g) With respect to any motor vehicle for which it has furnished a 
certificate of conformity to the Administrator, provide notification and 
remedy according to part 573 and part 577 of this chapter, under any 
determination.

[[Page 805]]

    (1) That a vehicle to which it is substantially similar, as 
determined under part 593 of this chapter, incorporates a safety related 
defect or fails to conform with an applicable Federal motor vehicle 
safety standard. However, this obligation does not exist if the 
manufacturer of the vehicle or Registered Importer demonstrates to the 
Administrator that the defect or noncompliance is not present in such 
vehicle.
    (2) That the vehicle incorporates a safety related defect or fails 
to conform with an applicable Federal motor vehicle safety standard, 
without reference to whether such may exist in a vehicle to which it is 
substantially similar, or whether such exists because it was created by 
the original manufacturer or by the Registered Importer.
    (i) The requirement of 49 U.S.C. 30120 that remedy shall be provided 
without charge shall not apply if the noncompliance or safety related 
defect exists in a motor vehicle whose first sale after importation 
occurred more than 8 calendar years before notification respecting the 
failure to comply is furnished pursuant to part 577 of this chapter, 
except that if a safety related defect exists and is attributable to the 
original manufacturer and not the Registered Importer, the requirements 
of 49 U.S.C. 30120 shall not apply to a motor vehicle whose date of 
first purchase, if known, or if not known, whose date of manufacture as 
determined by the Administrator, is more than 8 years from the date on 
which notification is furnished pursuant to part 577 of this chapter.
    (ii) Notification furnished pursuant to this paragraph and part 577 
of this chapter shall include the statement that in the absence of the 
Registered Importer's facility being within 50 miles of the owner's 
mailing address for performance of repairs, such repairs may be 
performed at a specific facility designated by the Registered Importer 
within 50 miles, or, if no such facility is designated, anywhere, and 
shall also include an explanation how repair is to be accomplished 
without charge to the vehicle owner.
    (h) In order to allow the Administrator to determine whether a 
Registered Importer is meeting its statutory responsibilities, admit 
representatives of NHTSA during operating hours, upon demand, and upon 
presentation of credentials, to copy documents, or to inspect, monitor, 
or photograph any of the following:
    (1) Any facility where any vehicle, for which a Registered Importer 
has the responsibility of providing a certificate of conformity to 
applicable safety standards, is being modified, tested, or stored;
    (2) Any facility where any record or other document relating to 
modification, testing, or storage of vehicles being conformed, is filed;
    (3) Any part or aspect of activities relating to the modification, 
testing, and/or storage of vehicles by the Registered Importer.
    (4) Any motor vehicle for which it has provided a certification of 
conformity to the Administrator, and which remains in its custody or 
under its control.
    (i) Maintain in effect a prepaid mandatory service insurance policy 
underwritten by an independent insurance company as a guarantor of its 
performance under paragraph (g) of this section.
    (j) With respect to any motor vehicle it has imported and for which 
it has furnished a performance bond, to deliver such vehicle to the 
Secretary of the Treasury for export, or to abandon it to the United 
States, upon demand by the Administrator if such vehicle has not been 
brought into conformity with all applicable Federal motor vehicle safety 
standards.
[54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9, 1989; 
58 FR 30997, May 28, 1993; 59 FR 31560, June 20, 1994; 59 FR 52098, Oct. 
14, 1994]



Sec. 592.7  Revocation, suspension and reinstatement of registration.

    (a) If the Administrator has not received any fee assessed and owing 
by the end of the 30th calendar day after such fee is due and payable, a 
registration is automatically suspended at the beginning of the 31st 
calendar day, and the Registered Importer is immediately notified in 
writing of the suspension at the address contained in its most recent 
annual statement or amendment thereof.

[[Page 806]]

    (b) If the Administrator has reason to believe that a Registered 
Importer has knowingly filed a false or misleading certification, and 
that its registration should be automatically suspended or revoked, 
(s)he notifies the Registered Importer in writing of the facts giving 
rise to such reason to believe, affording an opportunity to present 
data, views, and arguments, either in writing or in person, within 30 
calendar days after receipt of the Administrator's letter, as to whether 
it has submitted false or misleading certification, and as to why the 
registration ought not to be revoked or suspended. The Administrator 
then makes a decision after the 30-day period on the basis of all 
information then available. If, after consideration of all the data 
available, the Administrator determines that the Registered Importer has 
knowingly filed a false or misleading certification, the registration is 
automatically suspended or revoked, and the Registered Importer notified 
in writing. Any suspension or revocation is effective as of the date of 
the Administrator's determination. The Administrator shall state the 
period of any suspension in the notice to the Registered Importer.
    (c) The Administrator may suspend a registration if a Registered 
Importer fails to comply with any requirement set forth in 49 U.S.C. 
30141(c), Sec. 592.5(c), or Sec. 592.6, or if (s)he denies an 
application filed under Sec. 592.5(d). The Administrator may revoke a 
registration after any failure to comply with any such requirement, or 
if (s)he denies an application filed under Sec. 592.5(d). If the 
Administrator has reason to believe that there has been such a failure 
to comply and that the Registered Importer's registration should be 
revoked or suspended, (s)he notifies the Registered Importer in writing, 
affording an opportunity to present data, views, and arguments, either 
in writing or in person, within 30 calendar days after receipt of the 
Administrator's letter, as to whether there has been a failure to comply 
and as to why the registration ought not to be revoked or suspended. The 
Administrator then makes a decision after the 30-day period on the basis 
of all information then available. If the Administrator determines that 
a registration should be revoked or suspended, (s)he notifies the 
Registered Importer in writing. A revocation is effective immediately. A 
suspension is effective beginning with a date specified in the written 
notification.
    (d) A Registered Importer whose registration has been revoked or 
suspended may request reconsideration of the revocation or suspension if 
the request is supported by factual matter which was not available to 
the Administrator at the time the registration was suspended or revoked.
    (e) If its registration has been revoked, a Registered Importer is 
ineligible to apply for reregistration under this part. No refund is 
provided of any annual or other fees the Registered Importer has paid 
for the fiscal year in which its registration is revoked. If its 
registration has been suspended, it may file an application for 
reinstatement of its registration.
    (f) The Administrator shall reinstate a suspended registration if 
the cause that led to the suspension no longer exists, as determined by 
the Administrator, either upon the Administrator's motion, or upon the 
submission of further information or fees by the Registered Importer.
[54 FR 40090, Sept. 29, 1989, as amended at 59 FR 52098, Oct. 14, 1994]



Sec. 592.8  Inspection; release of vehicle and bond.

    (a) With respect to any motor vehicle for which it is obligated to 
provide a certificate of conformity to the Administrator as required by 
Sec. 592.6(d), a Registered Importer shall not obtain licensing or 
registration of the motor vehicle for use on the public roads, or 
release custody of it for such licensing and registration, except in 
accordance with the provisions of this section.
    (b) When conformance modifications to a motor vehicle have been 
completed, a Registered Importer shall submit the certification required 
by Sec. 592.6(d) to the Administrator. In certifying a vehicle that the 
Administrator has determined to be substantially similar to one that has 
been certified by its original manufacturer for sale in the United 
States, the Registered Importer may rely on any certification by the 
original manufacturer

[[Page 807]]

with respect to identical safety features if it also certifies that any 
modification that it undertook did not affect the compliance of such 
safety features. Each submission shall be mailed by certified mail, 
return receipt requested, or by private carriers such as Federal 
Express, to: Administrator, National Highway Traffic Safety 
Administration, Room 6115, 400 7th Street SW., Washington, DC, 20590, 
Attn: NEF-32, or be submitted electronically by FAX (202-366-1024), or 
in person. Each submission shall identify the location where the vehicle 
will be stored and is available for inspection, pending NHTSA action 
upon the submission.
    (c) Before the end of the 30th calendar day after receipt of 
certification of a motor vehicle pursuant to Sec. 592.6(d), the 
Administrator may inform the Registered Importer in writing that an 
inspection of the vehicle is required to ascertain the veracity of the 
certification. Written notice includes a proposed inspection date, which 
is as soon as practicable. If inspection of the vehicle indicates that 
the vehicle has been properly certified, at the conclusion of the 
inspection the Registered Importer is provided an instrument of release. 
If inspection of the vehicle shows that the vehicle has not been 
properly certified, the Registered Importer shall either make the 
modifications necessary to substantiate its certification, and provide a 
new certification for the standard(s) in the manner provided for in 
paragraph (b) of this section, or deliver the vehicle to the Secretary 
of the Treasury for export, or abandon it to the United States. Before 
the end of the 30th calendar day after receipt of new certification, the 
Administrator may require a further inspection in accordance with the 
provisions of this subsection.
    (d) The Administrator may by written notice request certification 
verification by the Registered Importer before the end of the 30th 
calendar day after the date the certification was received by the 
Administrator. If the basis for such request is that the certification 
is false or contains a misrepresentation, the Registered Importer shall 
be afforded an opportunity to present written data, views, and arguments 
as to why the certification is not false or misleading or does not 
contain a misrepresentation. The Administrator may require an inspection 
pursuant to paragraph (c) of this section. The motor vehicle and 
performance bond involved shall not be released unless the Administrator 
is satisfied with the certification.
    (e) If a Registered Importer has received no written notice from the 
Administrator by the end of the 30th calendar day after it has furnished 
a certification to the Administrator, the Registered Importer may 
release from custody the vehicle that is covered by the certification, 
or have it licensed or registered for use on the public roads.
    (f) If the Administrator accepts a certification without requiring 
an inspection, (s)he notifies the Registered Importer in writing, and 
provides a copy to the importer of record. Such notification shall be 
provided not later than the 25th calendar day after the Administrator 
has received such certification.
    (g) Release of the performance bond shall constitute acceptance of 
certification or completion of inspection of the vehicle concerned, but 
shall not preclude a subsequent decision by the Administrator pursuant 
to 49 U.S.C. 30118 that the vehicle fails to conform to any applicable 
Federal motor vehicle safety standard.
[54 FR 40090, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11, 1990; 
59 FR 52098, Oct. 14, 1994]



PART 593--DETERMINATIONS THAT A VEHICLE NOT ORIGINALLY MANUFACTURED TO CONFORM TO THE FEDERAL MOTOR VEHICLE SAFETY STANDARDS IS ELIGIBLE FOR IMPORTATION--Table of Contents




Sec.
593.1  Scope.
593.2  Purpose.
593.3  Applicability.
593.4  Definitions.
593.5  Petitions for eligibility determinations.
593.6  Basis for petition.
593.7  Processing of petitions.
593.8  Determinations on the agency's initiative.
593.9  Effect of affirmative determinations; lists.
593.10  Availability for public inspection.


[[Page 808]]



Appendix A to Part 593--List of Vehicles Determined To Be Eligible for 
          Importation


    Authority:  49 U.S.C. 322 and 30141(b); delegation of authority at 
49 CFR 1.50.

    Source:  54 FR 40099, Sept. 29, 1989, unless otherwise noted.



Sec. 593.1  Scope.

    This part establishes procedures under section 108(c) of the 
National Traffic and Motor Vehicle Safety Act, as amended (15 U.S.C. 
1397(c)), for making determinations whether a vehicle that was not 
originally manufactured to conform with all applicable Federal motor 
vehicle safety standards, and is not otherwise eligible for importation 
under part 591 of this chapter, may be imported into the United States 
because it can be modified to meet the Federal standards.



Sec. 593.2  Purpose.

    The purpose of this part is to provide content and format 
requirements for any Registered Importer and manufacturer who wishes to 
petition the Administrator for a determination that a vehicle not 
originally manufactured to conform to all applicable Federal motor 
vehicle safety standards is eligible 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 those petitions as well as 
eligibility determinations on the agency's initiative.



Sec. 593.3  Applicability.

    This part applies to a motor vehicle that was not originally 
manufactured and certified by its original manufacturer to conform with 
all applicable Federal motor vehicle safety standards and that is 
offered for importation into the United States.



Sec. 593.4  Definitions.

    All terms in this part that are defined in section 102 of the 
National Traffic and Motor Vehicle Safety Act (15 U.S.C. 1391) are used 
as defined therein.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    Model year means the year used by a manufacturer to designate a 
discrete vehicle model irrespective of the calendar year in which the 
vehicle was actually produced, or the model year as designated by the 
vehicle's country of origin, or, if neither the manufacturer nor the 
country of origin has made such a designation, the calendar year that 
begins on September 1 and ends on August 31 of the next calendar year.
    NHTSA means the National Highway Traffic Safety Administration.
    Registered Importer means any person who has been granted registered 
importer status by the Administrator pursuant to paragraph 592.5(b) of 
this chapter, and whose registration has not been revoked.



Sec. 593.5  Petitions for eligibility determinations.

    (a) A manufacturer or Registered Importer may petition the 
Administrator for a determination that a vehicle that does not comply 
with all applicable Federal motor vehicle safety standards is eligible 
for importation, either
    (1) On the basis that the vehicle:
    (i) Is substantially similar to a vehicle which was originally 
manufactured for importation into and sale in the United States and 
which bore a certification affixed by its manufacturer pursuant to part 
567 of this chapter, and
    (ii) Is capable of being readily modified to conform to all 
applicable Federal motor vehicle safety standards; or
    (2) On the basis that the vehicle has safety features that comply 
with or are capable of being modified to comply with all applicable 
Federal motor vehicle safety standards.
    (b) Each petition filed under this part must--
    (1) Be written in the English language;
    (2) Be headed with the words ``Petition for Import Eligibility 
Determination'' and submitted in three copies to: Administrator, 
National Highway Traffic Safety Administration, Room 6115, 400 7th 
Street SW., Washington, DC 20590, Attn: NEF-32 Import Eligibility 
Determinations;

[[Page 809]]

    (3) State the full name and address of the petitioner.
    (4) If the petitioner is a Registered Importer, include the 
Registered Importer Number assigned by NHTSA pursuant to part 592 of 
this chapter.
    (5) Set forth the basis for the petition and the information 
required by Sec. 593.6 (a) or (b), as appropriate;
    (6) Specify any part of the information and data submitted which 
petitioner requests be withheld from public disclosure in accordance 
with part 512 of this chapter; and
    (7) Submit a certified check payable to the Treasurer of the United 
States, for the amount of the vehicle eligibility petition fee 
established pursuant to part 594 of this chapter.
    (c) The knowing and willful submission of false, fictitious or 
fraudulent information may subject the petitioner to the criminal 
penalties of 18 U.S.C. 1001.
[54 FR 40099, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11, 1990]



Sec. 593.6  Basis for petition.

    (a) If the basis for the petition is that the vehicle is 
substantially similar to a vehicle which was originally manufactured for 
importation into and sale in the United States, and which was certified 
by its manufacturer pursuant to part 567 of this chapter, and that it is 
capable of being readily modified to conform to all applicable Federal 
motor vehicle safety standards, the petitioner shall provide the 
following information:
    (1) Identification of the original manufacturer, model, and model 
year of the vehicle for which a determination is sought.
    (2) Identification of the original manufacturer, model, and model 
year of the vehicle which the petitioner believes to be substantially 
similar to that for which a determination is sought.
    (3) Substantiation that the manufacturer of the vehicle identified 
by the petitioner under paragraph (a)(2) of this section originally 
manufactured it for importation into and sale in the United States, and 
affixed a label to it certifying that it complied with all applicable 
Federal motor vehicle safety standards.
    (4) Data, views and arguments demonstrating that the vehicle 
identified by the petitioner under paragraph (a)(1) of this section is 
substantially similar to the vehicle identified by the petitioner under 
paragraph (a)(2) of this section.
    (5) With respect to each Federal motor vehicle safety standard that 
applied to the vehicle identified by the petitioner under paragraph 
(a)(2) of this section, data, views, and arguments demonstrating that 
the vehicle identified by the petitioner under paragraph (a)(1) of this 
section either was originally manufactured to conform to such standard, 
or is capable of being readily modified to conform to such standard.
    (b) If the basis of the petition is that the vehicle's safety 
features comply with or are capable of being modified to comply with all 
applicable Federal motor vehicle safety standards, the petitioner shall 
provide the following information:
    (1) Identification of the model and model year of the vehicle for 
which a determination is sought.
    (2) With respect to each Federal motor vehicle safety standard that 
would have applied to such vehicle had it been originally manufactured 
for importation into and sale in the United States, data, views, and 
arguments demonstrating that the vehicle has safety features that comply 
with or are capable of being modified to conform with such standard. The 
latter demonstration shall include a showing that after such 
modifications, the features will conform with such standard.



Sec. 593.7  Processing of petitions.

    (a) NHTSA will review each petition for sufficiency under 
Secs. 593.5 and 593.6. If the petition does not contain all the 
information required by this part, NHTSA notifies the petitioner, 
pointing out the areas of insufficiency, and stating that the petition 
will not receive further consideration until the required information is 
provided. If the additional information is not provided within the time 
specified by NHTSA in its notification, NHTSA may dismiss the petition 
as incomplete, and so notify the petitioner. When the petition is 
complete, its processing continues.

[[Page 810]]

    (b) NHTSA publishes in the Federal Register, affording opportunity 
for comment, a notice of each petition containing the information 
required by this part.
    (c) No public hearing, argument, or other formal proceeding is held 
on a petition filed under this part.
    (d) If the Administrator is unable to determine that the vehicle in 
a petition submitted under Sec. 593.6(a) is one that is substantially 
similar, or (if it is substantially similar) is capable of being readily 
modified to meet the standards, (s)he notifies the petitioner, and 
offers the petitioner the opportunity to supplement the petition by 
providing the information required for a petition submitted under 
paragraph 593.6(b).
    (e) If the Administrator determines that the petition does not 
clearly demonstrate that the vehicle model is eligible for importation, 
(s)he denies it and notifies the petitioner in writing. (S)he also 
publishes in the Federal Register a notice of denial and the reasons for 
it. A notice of denial also states that the Administrator will not 
consider a new petition covering the model that is the subject of the 
denial until at least 3 months from the date of the notice of denial. 
There is no administrative reconsideration available for petition 
denials.
    (f) If the Administrator determines that the petition clearly 
demonstrates that the vehicle model is eligible for importation, (s)he 
grants it and notifies the petitioner. (S)he also publishes in the 
Federal Register a notice of grant and the reasons for it.
[54 FR 40099, Sept. 29, 1989, as amended at 55 FR 37330, Sept. 11, 1990]



Sec. 593.8  Determinations on the agency's initiative.

    (a) The Administrator may make a determination of eligibility on his 
or her own initiative. The agency publishes in the Federal Register, 
affording opportunity for comment, a notice containing the information 
available to the agency (other than confidential information) relevant 
to the basis upon which eligibility may be determined.
    (b) No public hearing, argument, or other formal proceeding is held 
upon a notice published under this section.
    (c) The Administrator publishes a second notice in the Federal 
Register in which (s)he announces his or her determination whether the 
vehicle is eligible or ineligible for importation, and states the 
reasons for the determination. A notice of ineligibility also announces 
that no further determination for the same model of motor vehicle will 
be made for at least 3 months following the date of publication of the 
notice. There is no administrative reconsideration available for a 
decision of ineligibility.



Sec. 593.9  Effect of affirmative determinations; lists.

    (a) A notice of grant is sufficient authority for the importation by 
persons other than the petitioner of any vehicle of the same model 
specified in the grant.
    (b) The Administrator publishes annually in the Federal Register a 
list of determinations made under Sec. 593.7, and Sec. 593.8.



Sec. 593.10  Availability for public inspection.

    (a) Except as specified in paragraph (b) of this section, 
information relevant to a determination under this part, including a 
petition and supporting data, and the grant or denial of the petition or 
the making of a determination on the Administrator's initiative, is 
available for public inspection in the Docket Section, Room 5109, 
National Highway Traffic Safety Administration, 400 Seventh St., SW., 
Washington, DC 20590. Copies of available information may be obtained, 
as provided in part 7 of this chapter.
    (b) Except for release of confidential information authorized under 
part 512 of this chapter, information made available for inspection 
under paragraph (a) of this section does not include information for 
which confidentiality has been requested and granted in accordance with 
part 512 of this chapter, and 5 U.S.C. 552(b). To the extent that a 
petition contains material relating to the methodology by which the 
petitioner intends to achieve conformance with a specific standard, the 
petitioner may request confidential treatment of such material on the 
grounds that it contains a trade secret

[[Page 811]]

or confidential information in accordance with part 512 of this chapter.

 Appendix A to Part 593--List of Vehicles Determined To Be Eligible for 
                               Importation

    Editorial Note: At 62 FR 52267, Oct. 7, 1997, NHTSA/DOT published a 
document in the Federal Register revising Appendix A to part 593.

    Each vehicle on the following list is preceded by a vehicle 
eligibility number. The importer of a vehicle admissible under any 
eligibility decision must enter that number on the HS-7 Declaration Form 
accompanying entry to indicate that the vehicle is eligible for 
importation.
    ``VSA'' eligibility numbers are assigned to all vehicles that are 
decided to be eligible for importation on the initiative of the 
Administrator under Sec. 593.8.
    ``VSP'' eligibility numbers are assigned to vehicles that are 
decided to be eligible under Sec. 593.7(f), based on a petition from a 
manufacturer or registered importer submitted under Sec. 593.5(a)(1), 
which establishes that a substantially similar U.S.-certified vehicle 
exists.
    ``VCP'' eligibility numbers are assigned to vehicles that are 
decided to be eligible under Sec. 593.7(f), based on a petition from a 
manufacturer or registered importer submitted under Sec. 593.5(a)(2), 
which establishes that the vehicle has safety features that comply with, 
or are capable of being altered to comply with, all applicable Federal 
motor vehicle safety standards.
    Vehicles for which eligibility decisions have been made are listed 
alphabetically by make, with the exception of Mercedes-Benz vehicles, 
which appear at the end of the list. Eligible models within each make 
are listed numerically by ``VSA,'' ``VSP,'' or ``VCP'' number.
    All hyphens used in the Model Year column mean ``through'' (for 
example, ``1972-1989'' means ``1972 through 1989'').
    The initials ``MC'' used in the Manufacturer column mean 
``motorcycle.''
    The initials ``SWB'' used in the Model Type column mean ``Short 
Wheel Base.''
    The initials ``LWB'' used in the Model Type column mean ``Long Wheel 
Base.''

Vehicles Certified by Their Original Manufacturer as Complying With All 
           Applicable Canadian Motor Vehicle Safety Standards

                                 VSA# 1

    (a) All passenger cars less than 25 years old that were manufactured 
before September 1, 1989;
    (b) All passenger cars manufactured on or after September 1, 1989, 
and before September 1, 1996, which are equipped with an automatic 
restraint system that complies with Federal Motor Vehicle Safety 
Standard (FMVSS) No. 208;
    (c) All multipurpose passenger vehicles, trucks, and buses less than 
25 years old that were manufactured before September 1, 1991;
    (d) All multipurpose passenger vehicles, trucks, and buses 
manufactured on and after September 1, 1991, certified by their original 
manufacturer to comply with the requirements of FMVSS No. 202 and 208 to 
which they would have been subject had they been manufactured for sale 
in the United States; and
    (e) All trailers and motorcycles less than 25 years old.

                                                Vehicles Manufactured for Other Than the Canadian Market                                                
--------------------------------------------------------------------------------------------------------------------------------------------------------
             Manufacturer                  VSP        VSA        VCP                      Model type                              Model year            
--------------------------------------------------------------------------------------------------------------------------------------------------------
Acura.................................         51  .........  .........  Legend.....................................  1988                              
                                               77  .........  .........  Legend.....................................  1989                              
Alfa Romeo............................         44  .........  .........  Spider.....................................  1972                              
                                               70  .........  .........  Spider.....................................  1987                              
                                               76  .........  .........  164........................................  1991                              
                                              124  .........  .........  GTV........................................  1985                              
                                              156  .........  .........  164........................................  1994                              
Aston Martin..........................        123  .........  .........  Volante....................................  1990-1991                         
Audi..................................         93  .........  .........  100........................................  1989                              
                                              160  .........  .........  200 Quattro................................  1987                              
BMW...................................  .........          3  .........  2002.......................................  1972-1976                         
                                                           7  .........  2002A......................................  1972-1976                         
                                                          10  .........  2002Tii....................................  1972-1974                         
                                                          11  .........  3.0 & 3.0A Bavaria.........................  1972                              
                                                          12  .........  3.0CSi & 3.0CSiA...........................  1972-1974                         
                                                          13  .........  3.0S & 3.0SA...............................  1974                              
                                                          14  .........  3.0Si & 3.0SiA.............................  1975                              
                                                          15  .........  530i & 530iA...............................  1975-1978                         
                                                          16  .........  320, 320i, & 320iA.........................  1976-1985                         
                                                          17  .........  630CSi, 630CSiA............................  1977                              
                                                          18  .........  633CSi & 633CSiA...........................  1977-1984                         
                                                          19  .........  733i & 733iA...............................  1977-1984                         
                                                          20  .........  528i & 528iA...............................  1979-1984                         

[[Page 812]]

                                                                                                                                                        
                                                          21  .........  528e & 528eA...............................  1982-1988                         
                                                          22  .........  533i & 533iA...............................  1983-1984                         
                                                          23  .........  318i & 318iA...............................  1981-1989                         
                                                          24  .........  325e & 325eA...............................  1984-1987                         
                                                          25  .........  535i & 535iA...............................  1985-1989                         
                                                          26  .........  524tdA.....................................  1985-1986                         
                                                          27  .........  635, 635CSi, & 635CSiA.....................  1979-1989                         
                                                          28  .........  735, 735i, & 735iA.........................  1980-1989                         
                                                          29  .........  L7.........................................  1986-1987                         
                                                          30  .........  325, 325i, 325iA & 325E....................  1985-1989                         
                                                          31  .........  325 is & 325isA............................  1987-1989                         
                                                          32  .........  M6.........................................  1987-1988                         
                                                          33  .........  325iX & 325iXA.............................  1988-1989                         
                                                          34  .........  M5.........................................  1988                              
                                                          35  .........  M3.........................................  1988-1989                         
                                                          66  .........  316........................................  1978-1982                         
                                                          67  .........  323i.......................................  1978-1985                         
                                                          68  .........  520 & 520i.................................  1978-1983                         
                                                          69  .........  525 & 525i.................................  1979-1982                         
                                                          70  .........  728 & 728i.................................  1977-1985                         
                                        .........         71  .........  730, 730i, & 730iA.........................  1978-1980                         
                                                          72  .........  732i.......................................  1980-1984                         
                                                          73  .........  745i.......................................  1980-1986                         
                                                          78  .........  All other models except those in the M1 &    1972-1989                         
                                                                          Z1 series..                                                                   
                                                4  .........  .........  518i.......................................  1986                              
                                                5  .........  .........  525i.......................................  1989                              
                                                6  .........  .........  730iA......................................  1988                              
                                                9  .........  .........  520iA......................................  1989                              
                                               10  .........  .........  850i.......................................  1991                              
                                               14  .........  .........  728i.......................................  1986                              
                                               15  .........  .........  625CSi.....................................  1981                              
                                               24  .........  .........  730i.......................................  1991                              
                                               25  .........  .........  316........................................  1986                              
                                               32  .........  .........  628CSi.....................................  1980                              
                                               41  .........  .........  750iL......................................  1993                              
                                               46  .........  .........  518i.......................................  1991                              
                                               55  .........  .........  850i.......................................  1993                              
                                               57  .........  .........  730i.......................................  1993                              
                                               79  .........  .........  525i.......................................  1991-1992                         
                                               81  .........  .........  750iL......................................  1991                              
                                               91  .........  .........  750iL......................................  1990                              
                                               96  .........  .........  325i.......................................  1991                              
                                               99  .........  .........  840Ci......................................  1993                              
                                              110  .........  .........  520i.......................................  1992                              
                                              119  .........  .........  520i.......................................  1994                              
                                              131  .........  .........  730i.......................................  1993-1994                         
                                              133  .........  .........  525i.......................................  1993                              
                                              146  .........  .........  735iL......................................  1991                              
                                              183  .........  .........  520 Series.................................  1995                              
BMW MC................................         30  .........  .........  R75/6......................................  1974                              
                                               58  .........  .........  R100S......................................  1977                              
                                              177  .........  .........  R1100RS....................................  1994                              
Bristol Bus...........................  .........  .........          2  VRT Bus-Double Decker......................  1978-1981                         
                                                                      4  VRT Bus-Double Decker......................  1977                              
                                                                     10  VRT Bus-Double Decker......................  1972-1973                         
Chevrolet.............................        150  .........  .........  400SS......................................  1995                              
Citroen...............................  .........  .........          1  XM.........................................  1990-1992                         
Dodge.................................        112  .........  .........  Colt.......................................  1973                              
                                              135  .........  .........  Ram........................................  1994-1995                         
Ferrari...............................  .........         36  .........  308 (all models)...........................  1974-1985                         
                                                          37  .........  328 GTS....................................  1985-1989                         
                                                          37  .........  328 (all other models).....................  1985 & 1988-1989                  
Ferrari...............................  .........         38  .........  GTO........................................  1985                              
                                                          39  .........  Testarossa.................................  1987-1989                         
                                                          74  .........  Mondial (all models).......................  1980-1989                         
                                                          76  .........  208, 208 Turbo (all models)................  1974-1988                         
                                               86  .........  .........  348TB......................................  1992                              
                                              100  .........  .........  365 GTB/4 Daytona..........................  1972-1973                         
                                              107  .........  .........  Dino.......................................  1973                              
                                              161  .........  .........  348TS......................................  1992                              
                                              173  .........  .........  512TR......................................  1993                              

[[Page 813]]

                                                                                                                                                        
Ford..................................  .........  .........          9  Escort RS..................................  1994-1995                         
                                              151  .........  .........  Mustang....................................  1972                              
Freightliner..........................        178  .........  .........  FTLD112064SD...............................  1991-1996                         
                                              179  .........  .........  FLD12064ST.................................  1991-1996                         
GMC...................................        134  .........  .........  Suburban...................................  1992-1994                         
Hobson................................  .........  .........          8  Horse Trailer..............................  1985                              
Honda.................................        128  .........  .........  Civic DX...................................  1989                              
Honda MC..............................         34  .........  .........  VFR750.....................................  1990                              
                                              106  .........  .........  CB1000F....................................  1988                              
                                              174  .........  .........  CP450SC....................................  1986                              
Jaguar................................  .........         40  .........  XJS........................................  1980-1987                         
                                                          41  .........  XJ6........................................  1972-1986                         
                                               47  .........  .........  XJ6........................................  1987                              
                                               78  .........  .........  Sovereign..................................  1993                              
                                              129  .........  .........  XJS........................................  1992                              
                                              175  .........  .........  XJS........................................  1991                              
Jaguar Daimler........................         12  .........  .........  Limousine..................................  1985                              
Jeep..................................        164  .........  .........  Cherokee...................................  1992                              
                                              180  .........  .........  Cherokee...................................  1995                              
Kawasaki MC...........................        182  .........  .........  ZX1000-B1..................................  1988                              
Ken-Mex...............................        187  .........  .........  T800.......................................  1990-1996                         
Kenworth..............................        115  .........  .........  T800.......................................  1992                              
Lancia................................          7  .........  .........  Fulvia.....................................  1973                              
Laverda MC............................         37  .........  .........  1000.......................................  1975                              
Lincoln...............................        144  .........  .........  Mark VII...................................  1992                              
Maserati..............................        155  .........  .........  Bi-Turbo...................................  1985                              
Mazda.................................         42  .........  .........  RX7........................................  1978-1981                         
                                              184  .........  .........  MX-5 Miata.................................  1990-1993                         
MG....................................         98  .........  .........  MGB GT Coupe...............................  1972                              
                                              136  .........  .........  MGB Roadster...............................  1972                              
Mitsubishi............................          8  .........  .........  Galant VX..................................  1988                              
                                               13  .........  .........  Galant SUP.................................  1989                              
                                              170  .........  .........  Pajero.....................................  1984                              
Moto Guzzi MC.........................        118  .........  .........  Daytona....................................  1993                              
Nissan................................  .........         75  .........  Z & 280Z...................................  1973-1981                         
                                                          75  .........  Fairlady & Fairlady Z......................  1975-1979                         
                                              138  .........  .........  Maxima.....................................  1989                              
                                              139  .........  .........  Stanza.....................................  1987                              
                                              162  .........  .........  240SX......................................  1988                              
Peugeot...............................  .........         65  .........  405........................................  1989                              
Porsche...............................  .........         56  .........  911 Coupe..................................  1972-1989                         
                                                          56  .........  911 Targa..................................  1972-1989                         
                                                          56  .........  911 Turbo..................................  1976-1989                         
                                                          56  .........  911 Cabriolet..............................  1984-1989                         
                                                          56        911  Carrera....................................  1972-1989                         
                                                          58  .........  914........................................  1972-1976                         
                                                          59  .........  924 Coupe..................................  1976-1989                         
                                                          59  .........  924 Turbo Coupe............................  1979-1989                         
                                                          59  .........  924 S......................................  1987-1989                         
                                                          60  .........  928 Coupe..................................  1976-1989                         
                                                          60  .........  928 S Coupe................................  1983-1989                         
                                                          60  .........  928 S4.....................................  1979-1989                         
                                                          60  .........  928 GT.....................................  1979-1989                         
                                                          61  .........  944 Coupe..................................  1982-1989                         
                                                          61  .........  944 Turbo Coupe............................  1985-1989                         
                                                          61  .........  944 S Coupe................................  1987-1989                         
                                                          79  .........  All other models except Model 959..........  1972-1989                         
                                               29  .........  .........  911 C4.....................................  1990                              
                                               52  .........  .........  911 Carrera................................  1992                              
                                               97  .........  .........  944........................................  1990                              
                                              103  .........  .........  911 Carrera................................  1994                              
                                              116  .........  .........  946........................................  1994                              
                                              125  .........  .........  911 Turbo..................................  1992                              
                                              152  .........  .........  944 S2 2dr Hatchback.......................  1990                              
Porsche...............................        165  .........  .........  911 Carrera................................  1993, 1995, 1996                  
Rolls Royce...........................  .........         62  .........  Silver Shadow..............................  1972-1979                         
                                               16  .........  .........  Bentley....................................  1989                              
                                               53  .........  .........  Bentley Turbo..............................  1986                              
                                              122  .........  .........  Camargue...................................  1984-1985                         
                                              186  .........  .........  Bentley Brooklands.........................  1993                              
Saab..................................         59  .........  .........  9000.......................................  1988                              
                                              158  .........  .........  900........................................  1983                              

[[Page 814]]

                                                                                                                                                        
Sprite................................  .........  .........         12  Musketeer Trailer..........................  1980                              
Suzuki MC.............................        111  .........  .........  GS850......................................  1985                              
Toyota................................  .........         63  .........  Camry......................................  1987-1988                         
                                                          64  .........  Celica.....................................  1987-1988                         
                                                          65  .........  Corolla....................................  1987-1988                         
                                               39  .........  .........  Camry......................................  1989                              
                                              101  .........  .........  Landcruiser................................  1989                              
                                              102  .........  .........  Landcruiser................................  1991                              
                                              181  .........  .........  Landcruiser................................  1994                              
Triumph...............................        108  .........  .........  Spitfire...................................  1973                              
Volkswagen............................  .........         42  .........  Scirocco...................................  1986                              
                                               73  .........  .........  Golf Rally.................................  1988                              
                                               80  .........  .........  Golf.......................................  1988                              
                                               92  .........  .........  Golf.......................................  1993                              
                                              148  .........  .........  Passat 4 door Sedan........................  1992                              
                                              149  .........  .........  GTI (Canadian).............................  1991                              
                                              159  .........  .........  Golf.......................................  1987                              
Volvo.................................         43  .........  .........  262C.......................................  1981                              
                                               87  .........  .........  740 Sedan..................................  1988                              
                                               95  .........  .........  940GL......................................  1993                              
                                              132  .........  .........   945GL.....................................  1994                              
                                              176  .........  .........  960 Sedan & Wagon..........................  1994                              
Yamaha MC.............................        113  .........  .........  FJ1200.....................................  1991                              
Yamaha MC.............................        171  .........  .........  RD-350.....................................  1983                              
--------------------------------------------------------------------------------------------------------------------------------------------------------


--------------------------------------------------------------------------------------------------------------------------------------------------------
              Manufacturer                   VSP        VSA        VCP                   Model type                Model ID           Model year        
--------------------------------------------------------------------------------------------------------------------------------------------------------
Mercedes Benz...........................  .........         43  .........  600..................................    100.012  1972-1981                  
                                                            43  .........  600 Long 4dr.........................    100.014  1972-1981                  
                                                            43  .........  600 Landaulet........................    100.015  1972-1981                  
                                                            43  .........  600 Long 6dr.........................    100.016  1972-1981                  
                                                            44  .........  280 S.C..............................    107.022  1975-1981                  
                                                            44  .........  350 S.C..............................    107.023  1972-1979                  
                                                            44  .........  450 S.C..............................    107.024  1973-1989                  
                                                            44  .........  380 S.C..............................    107.025  1981-1989                  
                                                            44  .........  500 S.C..............................    107.026  1978-1981                  
                                                            44  .........  300 SL...............................    107.041  1986-1988                  
                                                            44  .........   280 SL..............................    107.042  1972-1985                  
                                                            44  .........  350 SL...............................    107.043  1972-1978                  
                                                            44  .........  450 SL...............................    107.044  1972-1989                  
                                                            44  .........  380 SL...............................    107.045  1980-1989                  
                                                            44  .........  500 SL...............................    107.046  1980-1989                  
                                                            44  .........  420 SL...............................    107.047  1986                       
                                                            44  .........  560 SL...............................    107.048  1986-1989                  
                                                            45  .........  280 S................................    108.016  1972                       
                                                            45  .........  280 SE...............................    108.018  1972                       
                                                            45  .........  280 SEL..............................    108.019  1972                       
                                                            45  .........  280 SE (3.5).........................    108.057  1972-1973                  
                                                            45  .........  280 SEL (3.5)........................    108.058  1972-1973                  
                                                            45  .........  280 SE (4.5).........................    108.067  1972                       
                                                            45  .........  280 SEL (4.5)........................    108.068  1972                       
                                                            46  .........  300 SEL..............................    109.016  1972                       
                                                            46  .........  300 SEL (6.3)........................    109.018  1972                       
                                                            46  .........  300 SEL (4.5)........................    109.057  1972                       
                                                            49  .........  230.6................................    114.015  1972-1976                  
                                                            49  .........  250..................................    114.010  1972-1976                  
                                                            49  .........  250..................................    114.011  1972-1976                  
                                                            49  .........  250 CE...............................    114.022  1972-1976                  
                                                            49  .........  250 C................................    114.023  1972-1976                  
                                                            49  .........  280..................................    114.060  1972-1976                  
                                                            49  .........  280 E................................    114.062  1972-1976                  
                                                            49  .........  280 CE...............................    114.072  1972-1976                  
                                                            49  .........  280 C................................    114.073  1972-1976                  
                                                            50  .........  200..................................    115.015  1972-1976                  
                                                            50  .........  230.4................................    115.017  1974-1976                  
                                                            50  .........  220 D................................    115.110  1972-1976                  
                                                            50  .........  240 D (3.0)..........................    115.114  1974-1976                  
                                                            50  .........  240 D................................    115.117  1974-1976                  
                                                            51  .........  280 S................................    116.020  1973-1980                  
                                                            51  .........  280 SE...............................    116.024  1972-1988                  
                                                            51  .........  280 SEL..............................    116.025  1972-1980                  
                                                            51  .........  350 SE...............................    116.028  1973-1980                  

[[Page 815]]

                                                                                                                                                        
                                                            51  .........  350 SEL..............................    116.029  1972-1980                  
                                                            51  .........  450 SE...............................    116.032  1972-1980                  
                                                            51  .........  450 SEL..............................    116.033  1972-1988                  
                                                            51  .........  450 SEL (6.9)........................    116.036  1972-1988                  
                                                            52  .........  200..................................    123.020  1976-1980                  
                                                            52  .........  230..................................    123.023  1976-1985                  
                                                            52  .........  250..................................    123.026  1976-1985                  
                                                            52  .........  280..................................    123.030  1976-1985                  
                                                            52  .........  280 E................................    123.033  1976-1985                  
                                                            52      230 C  123.043..............................  1978-1980                             
                                                            52  .........  280 C................................    123.050  1977-1980                  
                                                            52  .........  280 CE...............................    123.053  1977-1985                  
                                                            52  .........  230 T................................    123.083  1977-1985                  
                                                            52  .........  280 TE...............................    123.093  1977-1985                  
                                                            52  .........  200 D................................    123.120  1980-1982                  
                                                            52  .........  240 D................................    123.123  1977-1985                  
                                                            52  .........  300 D................................    123.130  1976-1985                  
                                                            52  .........  300 D................................    123.133  1977-1985                  
                                                            52  .........  300 CD...............................    123.150  1978-1985                  
                                                            52  .........  240 TD...............................    123.183  1977-1985                  
                                                            52  .........  300 TD...............................    123.193  1977-1985                  
                                                            52  .........  200..................................    123.220  1979-1985                  
                                                            52  .........  230 E................................    123.223  1977-1985                  
                                                            52  .........  230 CE...............................    123.243  1980-1984                  
                                                            52  .........  230 TE...............................    123.283  1977-1985                  
                                                            53  .........  280 S................................    126.021  1980-1983                  
                                                            53  .........  280 SE...............................    126.022  1980-1985                  
                                                            53  .........  280 SEL..............................    126.023  1980-1985                  
                                                            53  .........  300 SE...............................    126.024  1985-1989                  
                                                            53  .........  300 SEL..............................    126.025  1986-1989                  
                                                            53  .........  380 SE...............................    126.032  1979-1989                  
                                                            53  .........  380 SEL..............................    126.033  1980-1989                  
                                                            53  .........  420 SE...............................    126.034  1985-1989                  
                                                            53  .........  420 SEL..............................    126.035  1986-1989                  
                                                            53  .........  500 SE...............................    126.036  1980-1986                  
                                                            53  .........  500 SEL..............................    126.037  1980-1989                  
                                                            53  .........  560 SEL..............................    126.039  1986-1989                  
                                                            53  .........  380 SE...............................    126.043  1982-1989                  
                                                            53  .........  500 SEC..............................    126.044  1981-1989                  
                                                            53  .........  560 SEC..............................    126.045  1986-1989                  
                                                            53  .........  300 SD...............................    126.120  1981-1989                  
                                                            54  .........  190..................................    201.022  1984                       
                                                            54  .........  190 E (2.3)..........................    201.024  1983-1989                  
                                                            54  .........  190 E................................    201.028  1986-1989                  
                                                            54  .........  190 E (2.6)..........................    201.029  1986-1989                  
                                                            54  .........  190 E 2.3 16.........................    201.034  1984-1989                  
                                                            54  .........  190 D (2.2)..........................    201.122  1984-1989                  
                                                            54  .........  190 D................................    201.126  1984-1989                  
                                                            55  .........  200..................................    124.020  1985                       
                                                            55  .........  230 E................................    124.023  1985-1987                  
                                                            55  .........  260 E................................    124.026  1985-1989                  
                                                            55  .........  300 E................................    124.030  1985-1989                  
                                                            55  .........  300 CE...............................    124.050  1988-1989                  
                                                            55  .........  230 TE...............................    124.083  1985                       
                                                            55  .........  300 TE...............................    124.090  1986-1989                  
                                                            55  .........  300 D................................    124.130  1985 & 1986                
                                                            55  .........  300 D Turbo..........................    124.133  1985-1989                  
                                                            55  .........  300 TD Turbo.........................    124.193  1986-1989                  
                                                            77  .........  All other models except Model ID 114   .........  1972-1989                  
                                                                            & 115 with sales designations                                               
                                                                            ``long,'' ``station wagon,''or                                              
                                                                            ``ambulance.''.                                                             
                                                  1  .........  .........  230 E................................    124.023  1988                       
                                                  2  .........  .........  230 TE...............................    124.083  1989                       
                                                  3  .........  .........  200 TE...............................    124.081  1989                       
                                                  7  .........  .........  300SL................................    107.041  1989                       
                                                 11  .........  .........  200E.................................    124.021  1989                       
                                                 17  .........  .........  200D.................................    124.120  1986                       
                                                 18  .........  .........  260SE................................    126.020  1986                       
                                                 19  .........  .........  230E.................................    124.023  1990                       
                                                 20  .........  .........  230E.................................    124.023  1989                       
                                                 21  .........  .........  300SEL...............................    126.025  1990                       

[[Page 816]]

                                                                                                                                                        
                                                 22  .........  .........  190E.................................    201.024  1990                       
                                                 23  .........  .........  500SEL...............................    129.066  1989                       
                                                 26  .........  .........  500SE................................    140.050  1991                       
                                                 27  .........  .........  600SEL...............................    140.057  1992                       
                                                 28  .........  .........  260SE................................    126.020  1989                       
                                                 33  .........  .........  500SL................................    129.066  1991                       
                                                 35  .........  .........  500SE................................    126.036  1988                       
                                                 40  .........  .........  300TE................................    124.090  1990                       
                                                 45  .........  .........  190E.................................    201.024  1991                       
                                                 48  .........  .........  420SEL...............................    126.035  1990                       
                                                 50  .........  .........  500SE................................    140.050  1992                       
                                                 54  .........  .........  300SL................................    129.061  1992                       
                                                 56  .........  .........  500E.................................    124.036  1991                       
                                                 60  .........  .........  500SL................................    129.006  1992                       
                                                 63  .........  .........  500SEL...............................    126.037  1991                       
                                                 64  .........  .........  300CE................................    124.051  1990                       
                                                 66  .........  .........  500SEC...............................    126.044  1990                       
                                                 67  .........  .........  300SE................................    140.032  1993                       
                                                 68  .........  .........  300SE................................    126.024  1990                       
                                                 69  .........  .........  300SE................................    140.032  1992                       
                                                 71  .........  .........  190E.................................    201.028  1992                       
                                                 74  .........  .........  230E.................................    124.023  1991                       
                                                 75  .........  .........  200E.................................    124.019  1993                       
                                                 83  .........  .........  300CE................................    124.051  1991                       
                                                 84  .........  .........  230CE................................    124.043  1991                       
                                                 85  .........  .........  S280.................................    140.028  1994                       
                                                 89  .........  .........  560SEL...............................    126.039  1990                       
                                                105  .........  .........  260E.................................    124.026  1992                       
                                                109  .........  .........  200E.................................    124.012  1991                       
                                                114  .........  .........  300E.................................    124.031  1992                       
                                                117  .........  .........  300CE................................    124.050  1992                       
                                                120  .........  .........  S320.................................    140.033  1994                       
                                                121  .........  .........  600SL................................    129.076  1992                       
                                                126  .........  .........  190E.................................    201.018  1992                       
                                                127  .........  .........  230E.................................    124.023  1993                       
                                                130  .........  .........  600SL................................    129.076  1992, 1993                 
                                                140  .........  .........  500SL................................    129.067  1993-1995                  
                                                141  .........  .........  560SEC...............................    126.045  1990                       
                                                142  .........  .........  320SL................................  .........  1992, 1993                 
                                                147  .........  .........  500SEL...............................  .........  1992-1993                  
                                                153  .........  .........  500SEL...............................  .........  1990                       
                                                154  .........  .........  500SE................................  .........  1990                       
                                                157  .........  .........  C220.................................  .........  1995                       
                                                163  .........  .........  E500.................................  .........  1994                       
                                                166  .........  .........  280E.................................  .........  1993                       
                                                166  .........  .........  E280.................................  .........  1994-1996                  
                                                167  .........  .........  220TE Station Wagon..................  .........  1993-1996                  
                                                168  .........  .........  220E.................................  .........  1993                       
                                                168  .........  .........  E220.................................  .........  1994-1996                  
                                                169  .........  .........  420E.................................  .........  1993                       
                                                169  .........  .........  E420.................................  .........  1994-1996                  
                                                172  .........  .........  250D.................................  .........  1992                       
                                                185  .........  .........  600 SEC Coupe........................  .........  1993                       
                                                185  .........  .........  S600 Coupe...........................  .........  1994-1996                  
                                                                        3  300GE................................    463.228  1993                       
                                                                        5  300GE................................    463.228  1990-1992, 1994            
                                                                        6  G320.................................  .........  1995                       
                                                                       11  463..................................  .........  1996                       
                                                                       13  463 LWB V-8..........................  .........  1992-1996                  
                                                                       14  463 SWB..............................  .........  1990-1996                  
--------------------------------------------------------------------------------------------------------------------------------------------------------

[61 FR 51243, Oct. 1, 1996]



PART 594--SCHEDULE OF FEES AUTHORIZED BY 49 U.S.C. 30141--Table of Contents




Sec.
594.1  Scope.
594.2  Purpose.
594.3  Applicability.
594.4  Definitions.
594.5  Establishment and payment of fees.
594.6  Annual fee for administration of the registration program.
594.7  Fee for filing petition for a determination whether a vehicle is 
          eligible for importation.

[[Page 817]]

594.8  Fee for importing a vehicle pursuant to a determination by the 
          Administrator.
594.9  Fee for reimbursement of bond processing costs.
594.10  Fee for review and processing of conformity certificate.

    Authority: 49 U.S.C. 30141, 31 U.S.C. 9701; delegation of authority 
at 49 CFR 1.50.

    Source:  54 FR 40107, Sept. 29, 1989, unless otherwise noted.



Sec. 594.1  Scope.

    This part establishes the fees authorized by 49 U.S.C. 30141.
[61 FR 51045, Sept. 30, 1996]



Sec. 594.2  Purpose.

    The purposes of this part is to ensure that NHTSA is reimbursed for 
costs incurred in administering the importer registration program, in 
making determinations whether a nonconforming vehicle is eligible for 
importation into the United States, and in processing the bond furnished 
to the Secretary of the Treasury given to ensure that an imported 
vehicle not originally manufactured to conform to all applicable Federal 
motor vehicle safety standards is brought into compliance with the 
safety standards, or will be exported, or abandoned to the United 
States.



Sec. 594.3  Applicability.

    This part applies to any person who applies to NHTSA to be granted 
the status of Registered Importer under part 592 of this chapter, to any 
person who has been granted such status, to any manufacturer not a 
Registered Importer who petitions the Administrator for a determination 
pursuant to part 593 of this chapter, and to any person who imports a 
motor vehicle into the United States pursuant to such determination.
[55 FR 40667, Oct. 4, 1990]



Sec. 594.4  Definitions.

    All terms used in this part that are defined in 49 U.S.C. 30102 are 
used as defined in that section.
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration.
    NHTSA means the National Highway Traffic Safety Administration.
    Registered Importer means any person who has been granted the status 
of registered importer under part 592 of this chapter, and whose 
registration has not been revoked.
[54 FR 40107, Sept. 29, 1989, as amended at 61 FR 51045, Sept. 30, 1996]



Sec. 594.5  Establishment and payment of fees.

    (a) The fees established by this part continue in effect until 
adjusted by the Administrator. The Administrator reviews the amount or 
rate of fees established under this part and, if appropriate, adjusts 
them by rule at least every 2 years.
    (b) The fees applicable in any fiscal year are established before 
the beginning of such year. Each fee is calculated in accordance with 
this part, and is published in the Federal Register not later than 
September 30 of each year.
    (c) An applicant for status as Registered Importer shall submit an 
initial annual fee with the application. A Registered Importer shall pay 
an annual fee not later than October 31 of each year. The fee is that 
specified in Sec. 594.6(i).
    (d) A person who petitions the Administrator for a determination 
that a vehicle is eligible for importation shall file with the petition 
the fee specified in Sec. 594.7(e).
    (e) A person who imports a vehicle covered by a determination of the 
Administrator shall pay the fee specified in either Sec. 594.8 (b) or 
(c), as appropriate. Such fee shall be transmitted to the Administrator 
by the Registered Importer responsible for such vehicle at the time it 
furnishes a certificate of conformity pursuant to Sec. 591.7(e) of this 
chapter.
    (f) A fee for reimbursement for bond processing costs shall be filed 
with each certificate of conformity furnished the Administrator.
    (g) A fee for the review and processing of a conformity certificate 
shall be submitted with each certificate of conformity furnished to the 
Administrator.
    (h) No application or petition will be accepted for filing or 
processed before payment of the full amount specified. Except as 
provided in Sec. 594.6(d), a fee

[[Page 818]]

shall be paid irrespective of NHTSA's disposition of the application, or 
of a withdrawal of an application.
    (i) Fee payments shall be by check, draft, money order, or 
Electronic Funds Transfer System made payable to the Treasurer of the 
United States.
[54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4, 1990; 
62 FR 50882, Sept. 29, 1997]

    Effective Date Note: At 62 FR 50882, Sept. 29, 1997, . Sec. 594.5 
was amended by redesignating paragraphs (g) and (h) as paragraphs (h) 
and (i), respectively, and by adding a new paragraph (g), effective Oct. 
29, 1997.



Sec. 594.6  Annual fee for administration of the registration program.

    (a) Each person filing an application to be granted the status of a 
Registered Importer pursuant to part 592 of this chapter on or after 
October 1, 1996, shall pay an annual fee of $501, as calculated below, 
based upon the direct and indirect costs attributable to:
    (1) Processing and acting upon such application;
    (2) Any inspection deemed required for a determination upon such 
application;
    (3) The estimated remaining activities of administering the 
registration program in the fiscal year in which such application is 
intended to become effective.
    (b) That portion of the initial annual fee attributable to the 
processing of the application for applications file on and after October 
1, 1996, is $301. The sum of $301, representing this portion, shall not 
be refundable if the application is denied or withdrawn.
    (c) If, in order to make a determination upon an application, NHTSA 
must make an inspection of the applicant's facilities, NHTSA notifies 
the applicant in writing after the conclusion of any such inspection, 
that a supplement to the initial annual fee in a stated amount is due 
upon receipt of such notice to recover the direct and indirect costs 
associated with such inspection and notification, and that no 
determination will be made upon the application until such sum is 
received. Such sum is not refundable if the application is denied or 
withdrawn.
    (d) That portion of the initial annual fee attributable to the 
remaining activities of administering the registration program on and 
after October 1, 1996, is set forth in subsection (i) of this section. 
This portion shall be refundable if the application is denied, or 
withdrawn before final action upon it.
    (e) Each Registered Importer who wishes to maintain the status of 
Registered Importer shall pay a regular annual fee based upon the direct 
and indirect costs of administering the registration program, including 
the suspension and reinstatement, and revocation of such registration.
    (f) The elements of administering the registration program that are 
included in the regular annual fee are:
    (1) Calculating, revising, and publishing the fees to apply in the 
next fiscal year, including such coordination as may be required with 
the U.S. Customs Service.
    (2) Processing and reviewing the annual statement attesting to the 
fact that no material change has occurred in the Registered Importer's 
status since filing its original application.
    (3) Processing the annual fee.
    (4) Processing and reviewing any amendments to an annual statement 
received in the course of a fiscal year.
    (5) Verifying through inspection or otherwise that a Registered 
Importer is complying with the requirements of Sec. 592.6(b)(3) of this 
chapter for recordkeeping.
    (6) Verifying through inspection or otherwise that a Registered 
Importer is able technically and financially to carry out its 
responsibilities pursuant to 15 U.S.C. 1411 et seq.
    (7) Invoking procedures for suspension of registration and its 
reinstatement, and for revocation of registration pursuant to Sec. 592.7 
of this chapter.
    (g) The direct costs included in establishing the annual fee for 
maintaining registered importer status are the estimated costs of 
professional and clerical staff time, computer and computer operator 
time, and postage, per Registered Importer. The direct costs included in 
establishing the annual fee for a specific Registered Importer are costs 
of transportation and per diem attributable to inspections conducted

[[Page 819]]

with respect to that Registered Importer in administering the 
registration program, which have not been included in a previous annual 
fee.
    (h) The indirect costs included in establishing the annual fee for 
maintaining Registered Importer status are a pro rata allocation of the 
average salary and benefits of persons employed in processing annual 
statements, or changes thereto, in recommending continuation of 
Registered Importer status, and a pro rata allocation of the costs 
attributable to maintaining the office space, and the computer or word 
processor. This cost is $7.07 per man-hour for the period beginning 
October 1, 1996.
    (i) Based upon the elements, and indirect costs in paragraphs (f), 
(g), and (h) of this section, the component of the initial annual fee 
attributable to administration of the registration program, covering the 
period beginning October 1, 1996, is $200. When added to the costs of 
registration of $301, as set forth in paragraph (b) of this section, the 
costs per applicant to be recovered through the annual fee are $501. The 
annual renewal registration fee for the period beginning October 1, 
1996, is $332.
[54 FR 40107, Sept. 29, 1989; 55 FR 78, Jan. 2, 1990, as amended at 55 
FR 40667, Oct. 4, 1990; 56 FR 49429, Sept. 30, 1991; 58 FR 51023, Sept. 
30, 1993; 61 FR 51045, Sept. 30, 1996]



Sec. 594.7  Fee for filing petition for a determination whether a vehicle is eligible for importation.

    (a) Each manufacturer or registered importer who petitions NHTSA for 
a determination that--
    (1) A nonconforming vehicle is substantially similar to a vehicle 
originally manufactured for importation into and sale in the United 
States and of the same model year as the model for which petition is 
made, and is capable of being readily modified to conform to all 
applicable Federal motor vehicle safety standards, or
    (2) A nonconforming vehicle has safety features that comply with or 
are capable of being modified to comply with all applicable Federal 
motor vehicle safety standards,

shall pay a fee based upon the direct and indirect costs of processing 
and acting upon such petition.
    (b) The direct costs attributable to processing a petition filed 
pursuant to paragraph (a) of this section include the average cost per 
professional staff-hour, computer and computer operator time, and 
postage. The direct costs also include those attributable to any 
inspection of a vehicle requested by a petitioner in substantiation of 
its petition.
    (c) The indirect costs attributable to processing and acting upon a 
petition filed pursuant to paragraph (a) of this section include a pro 
rata allocation of the average salary and benefits of persons employed 
in processing the petitions and recommending decisions on them, and a 
pro rata allocation of the costs attributable to maintaining the office 
space, and the computer or word processor.
    (d) The direct costs attributable to acting upon a petition filed 
pursuant to paragraph (a) of this section, also include the cost of 
publishing a notice in the Federal Register seeking public comment, the 
cost of publishing a second notice with the agency's determination, and 
a pro rata share of the cost of publishing an annual list of 
nonconforming vehicles determined to be eligible for importation.
    (e) For petitions filed on and after October 1, 1996, the fee 
payable for a petition seeking a determination under paragraph (a)(1) of 
this section is $199. The fee payable for a petition seeking a 
determination under paragraph (a)(2) of this section is $721. If the 
petitioner requests an inspection of a vehicle, the sum of $550 shall be 
added to such fee. No portion of this fee is refundable if the petition 
is withdrawn or denied.
    (f) In adopting a fee for the next fiscal year, the Administrator 
employs data based upon the cost of determinations and the amount of 
fees received for the 12-month period ending June 30 of the fiscal year 
preceding that fiscal year.
[54 FR 40107, Sept. 29, 1989, as amended at 55 FR 40667, Oct. 4, 1990; 
56 FR 49429, Sept. 30, 1991; 58 FR 51023, Sept. 30, 1993; 61 FR 51045, 
Sept. 30, 1996]

[[Page 820]]



Sec. 594.8  Fee for importing a vehicle pursuant to a determination by the Administrator.

    (a) A fee as specified in paragraphs (b) and (c) of this section 
shall be paid by each importer of a vehicle covered by a determination 
made under part 593 of this chapter to cover the direct and indirect 
costs incurred by NHTSA in making such determinations.
    (b) If a determination has been made pursuant to a petition, the fee 
for each vehicle is $134. The direct and indirect costs that determine 
the fee are those set forth in Secs. 594.7(b), (c), and (d).
    (c) If a determination has been made pursuant to the Administrator's 
initiative, the fee for each vehicle is $134. The direct and indirect 
costs that determine the fee are those set forth in Secs. 594.7(b), (c), 
and (d), and references to ``petition'' shall be understood as relating 
to NHTSA's documents that serve as a basis for initiating determinations 
on its own initiative.
[55 FR 40667, Oct. 4, 1990, as amended at 58 FR 51023, Sept. 30, 1993; 
61 FR 51045, Sept. 30, 1996]



Sec. 594.9  Fee for reimbursement of bond processing costs.

    (a) Each registered importer shall pay a fee based upon the direct 
and indirect costs of processing each bond furnished to the Secretary of 
the Treasury with respect to each vehicle for which it furnishes a 
certificate of conformity to the Administrator pursuant to Sec. 591.7(e) 
of this chapter.
    (b) The direct and indirect costs attributable to processing a bond 
are provided to NHTSA by the U.S. Customs Service.
    (c) The bond processing fee for each vehicle imported on and after 
October 1, 1996, for which a certificate of conformity is furnished, is 
$5.15.
[54 FR 40107, Sept. 29, 1989, as amended at 56 FR 49429, Sept. 30, 1991; 
58 FR 51023, Sept. 30, 1993; 61 FR 51045, Sept. 30, 1996]



Sec. 594.10  Fee for review and processing of conformity certificate.

    (a) Each registered importer shall pay a fee based on the agency's 
direct and indirect costs for the review and processing of each 
certificate of conformity furnished to the Administrator pursuant to 
Sec. 591.7(e) of this chapter.
    (b) The direct costs attributable to the review and processing of a 
certificate of conformity include the estimated cost of contract and 
professional staff time, computer usage, and record assembly, marking, 
shipment and storage costs.
    (c) The indirect costs attributable to the review and processing of 
a certificate of conformity include a pro rata allocation of the average 
benefits of persons employed in reviewing and processing the 
certificates, and a pro rata allocation of the costs attributable to the 
rental and maintenance of office space and equipment, the use of office 
supplies, and other overhead items.
    (d) For certificates of conformity submitted on and after October 
29, 1997, the fee is $14.00.
[62 FR 50882, Sept. 29, 1997]

    Effective Date Note: At 62 FR 50882, Sept. 29, 1997, Sec. 594.10 was 
added, effective Oct. 29, 1997.

[[Page 821]]



CHAPTER VI--FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------
Part                                                                Page
601             Organization, functions, and procedures.....         822
604             Charter service.............................         826
605             School bus operations.......................         834
609             Transportation for elderly and handicapped 
                    persons.................................         841
613             Planning assistance and standards...........         843
614             Transportation infrastructure management....         844
622             Environmental impact and related procedures.         844
630             Uniform system of accounts and records and 
                    reporting system........................         845
633             Project management oversight................         850
639             Capital leases..............................         853
653             Prevention of prohibited drug use in transit 
                    operations..............................         857
654             Prevention of alcohol misuse in transit 
                    operations..............................         884
659             Rail fixed guideway systems; State safety 
                    oversight...............................         912
661             Buy America requirements--Surface 
                    Transportation Assistance Act of 1982, 
                    as amended..............................         915
663             Pre-award and post-delivery audits of 
                    rolling stock purchases.................         923
665             Bus testing.................................         927

  Editorial Note:  Nomenclature changes to Chapter VI appear at 57 FR 
13657, Apr. 17, 1992.

[[Page 822]]



PART 601--ORGANIZATION, FUNCTIONS, AND PROCEDURES--Table of Contents




                           Subpart A--General

Sec.
601.1  Purpose.
601.2  Organization of the Administration.
601.3  General responsibilities.
601.4  Responsibilities of the Administrator.

                         Subpart B--Delegations

601.10  Delegations of authority.

              Subpart C--Public Availability of Information

601.20  Sources of information.

    Authority:  Sec. 9, Department of Transportation Act (49 U.S.C. 
1657, 1659); Reorganization Plan No. 2 of 1968 (82 Stat. 1369); and 49 
CFR 1.5.



                           Subpart A--General

    Source:  41 FR 56808, Dec. 30, 1976, unless otherwise noted.



Sec. 601.1  Purpose.

    This part describes the organization or the Federal Transit 
Administration (``FTA'') an operating administration within the 
Department of Transportation. This part also describes the general 
responsibilities and authority of the officials directing the various 
offices of which FTA is composed. In addition, this part describes the 
sources and locations of available FTA program information.



Sec. 601.2  Organization of the Administration.

    (a) The headquarters organization of FTA is composed of 10 principal 
offices which function under the overall direction of the Federal 
Transit Administrator (``the Administrator'') and Deputy Administrator. 
These offices are:
    (1) Office of the Administrator.
    (2) Office of the Associate Administrator for Administration.
    (3) Office of Chief Counsel.
    (4) Office of Civil Rights.
    (5) Office of Public Affairs.
    (6) Office of the Associate Administrator for Transit Assistance.
    (7) Office of the Associate Administrator for Policy and Program 
Development.
    (8) Office of the Associate Administrator for Transportation 
Planning.
    (9) Office of the Associate Administrator for Transportation 
Management and Demonstrations.
    (10) Office of the Associate Administrator for Technology 
Development and Deployment.

The Administrator receives staff support from the Executive Secretariat 
which coordinates internal document dissemination and project 
assignments and ensures policy compliance.
    (b) The Office of the Administrator and the Offices of Chief 
Counsel, Public Affairs, the Associate Administrator for Administration, 
the Associate Administrator for Transit Assistance, the Associate 
Administrator for Policy and Program Development, and the Associate 
Administrator for Transportation Planning are located in the Department 
of Transportation Building, 400 7th Street, SW., Washington, DC 20590. 
The Offices of Civil Rights, the Associate Administrator for Technology 
Development and Deployment, and the Associate Administrator for 
Transportation Management and Demonstrations are located in the 
Transpoint Building, 2100 2nd Street, SW., Washington, DC 20590.

------------------------------------------------------------------------
        Region/States                Office/address        Telephone No.
------------------------------------------------------------------------
I--Connecticut, Maine,         FTA Representative, c/o      617-494-2055
 Massachusetts, New             Transportation Systems                  
 Hampshire, Rhode Island, and   Center, Kendall Square,                 
 Vermont.                       Room 277, 55 Broadway,                  
                                Cambridge, Mass. 02142.                 
II--New York, New Jersey,      FTA Representative, 26       212-264-8162
 Puerto Rico, and Virgin        Federal Plaza, Suite                    
 Islands.                       507, New York, N.Y.                     
                                10007.                                  
III--Delaware, District of     FTA Representative, 434      215-597-8098
 Columbia, Maryland,            Walnut St., Suite 1010,                 
 Pennsylvania, Virginia, and    Philadelphia, Pa. 19106.                
 West Virginia.                                                         
IV--Alabama, Florida,          FTA Representative, 1720     404-526-3948
 Georgia, Kentucky,             Peachtree Rd. NW., Suite                
 Mississippi, North Carolina,   400, Atlanta, Ga. 30309.                
 South Carolina, and                                                    
 Tennessee.                                                             
V--Illinois, Indiana,          FTA Representative, 300      312-353-0100
 Minnesota, Michigan, Ohio,     South Wacker Dr., Suite                 
 and Wisconsin.                 1740, Chicago, Ill.                     
                                60606.                                  
VI--Arkansas, Louisiana, New   FTA Representative, 819      817-334-3787
 Mexico, Oklahoma, and Texas.   Taylor St., Suite 3A32,                 
                                Fort Worth, Tex. 76102.                 

[[Page 823]]

                                                                        
VII--Iowa, Kansas, Missouri,   FTA Representative, 6301     816-926-5053
 and Nebraska.                  Pork Hill Rd., Room 303,                
                                Kansas City, Mo. 64131.                 
VIII--Colorado, Montana,       FTA Representative,          303-837-3242
 North Dakota, South Dakota,    Prudential Plaza, Suite                 
 Utah, and Wyoming.             1822, 1050 17th St.,                    
                                Denver, Colo. 80202.                    
IX--Arizona, California,       FTA Representative, Two      415-556-2884
 Hawaii, Nevada, Guam, and      Embarcadero Center,                     
 American Samoa.                Suite 620, San                          
                                Francisco, Calif. 94111.                
X--Alaska, Idaho, Oregon, and  FTA Representative,          206-442-4210
 Washington.                    Federal Bldg., Suite                    
                                3106, 915 2d Ave.,                      
                                Seattle, Wash. 98174.                   
------------------------------------------------------------------------



Sec. 601.3  General responsibilities.

    The general responsibilities of each of the offices which comprise 
the headquarters organization of FTA are:
    (a) Office of the Associate Administrator for Administration. 
Directed by an Associate Administrator for Administration, this office 
provides general administrative support services for FTA, including 
financial management, personnel administration, audit, procurement, 
logistical and management information systems.
    (b) Office of Chief Counsel. Directed by a Chief Counsel, this 
office provides legal advice and services to the Administrator and other 
FTA officials; coordinates with and provides support to the General 
Counsel of DOT on matters involving urban mass transportation; and, 
provides liaison between FTA and the Department of Labor regarding the 
administration of section 13(c) of Federal Mass Transit Act of 1964, as 
amended (``the Act'').
    (c) Office of Public Affairs. Directed by a Director of Public 
Affairs, this office advises and assists the Administrator in the area 
of public relations and in the dissemination to the public and the news 
media of information about FTA programs, projects and activities.
    (d) Office of the Associate Administrator for Policy and Program 
Development. Directed by an Associate Administrator for Policy and 
Development, this office advises and assists the Administrator in the 
development and evaluation of policies and plans for implementing the 
functions and programs authorized by the Act; coordinates FTA activities 
with those of other agencies; and manages and administers the University 
Research Program under section 11 of the Act (49 U.S.C. 1607(c)). This 
office has three organizational components: The Office of Policy 
Development; the Office of Program Evaluation; and the Office of Policy 
Research.
    (e) Office of the Associate Administrator for Transit Assistance. 
Directed by an Associate Administrator for Transit Assistance, this 
office reviews and processes all applications for urban mass 
transportation capital and operating assistance grants and loans under 
sections 3, 4, 5, 16 and 17 of the Act (49 U.S.C. 1602, 1603, 1604, 1612 
and 1613); reviews and processes applications for Federal assistance to 
the Washington Metropolitan Area Transit Authority (WMATA) under the 
Transportation Act of 1972 and the National Capital Area Transit Act of 
1972; directs the evaluation and analysis of proposed annual programs 
and individual programs and individual projects; and approves and 
recommends for approval annual programs and individual projects. This 
office has three operating components which direct and coordinate post-
approval grant activities: the Office of Grant Assistance, the Office of 
Program Support, and the Office of Program Analysis.
    (f) Office of the Associate Administrator for Transportation 
Planning. Directed by an Associate Administrator for Transportation 
Planning, this office assists the Administrator in directing, 
coordinating and controlling FTA's transportation planning assistance 
and reviews planning activities both in relation to FTA-supported State 
and local actions and planning policy interaction within the Department 
of Transportation and with other Federal agencies; and administers 
grants to States and local public bodies under section 9 of the Act (49 
U.S.C. 1607a). This office has two organizational components: the Office 
of Planning Assistance and the Office of Planning Methodology and 
Technical Support.
    (g) Office of the Associate Administrator for Transportation 
Management and

[[Page 824]]

Demonstrations. Directed by an Associate Administrator for 
Transportation Management and Demonstrations, this office assists the 
Administrator in directing, conducting and controlling research and 
demonstration activities, including information dissemination, to foster 
the development of methods for improving transit management and 
operations from the perspectives of the operator and the user; 
administers grant and procurement contracts to demonstrate facilities, 
methods and techniques under section 6(a) of the Act (49 U.S.C. 1605), 
and managerial training fellowship grants under section 10 of the Act 
(49 U.S.C. 1607b). This office has two organizational components: the 
Office of Transit Management and the Office of Service and Methods 
Demonstrations.
    (h) Office of the Associate Administrator for Technology Development 
and Deployment. Directed by an Associate Administrator for Technology 
Development and Deployment, this office is responsible for developing 
and administering a program of research, development, testing, 
evaluation, operational demonstration, product qualification, 
standardization, analysis, and information exchange concerning new 
products intended for use in transportation systems assisted by FTA. The 
office is also responsible for FTA's safety and system assurance 
function and for advising the Administrator on matters relating to 
technology. This office administers research, development and 
demonstration projects under section 6(a) of the Act (49 U.S.C. 1605).
    (i) Office of Civil Rights. Directed by a Director of Civil Rights, 
this office advises and assists the Administrator and other FTA 
officials in implementing compliance with applicable laws and directives 
pertaining to civil rights and equal employment opportunity, both within 
FTA and in the conduct of urban mass transportation projects and 
programs.



Sec. 601.4  Responsibilities of the Administrator.

    The Administrator is responsible for the planning, direction and 
control of the activities of FTA, and has authority to approve urban 
mass transportation grants, loans, and contracts. At the direction of 
the Administrator, the Deputy Administrator is authorized to act for and 
on behalf of the Administrator. In the event of the absence or 
disability of the Administrator, the following officials shall, in the 
order named, assume and perform the duties of the Administrator:
    (a) Deputy Administrator.
    (a-1) Executive Director.
    (b) Associate Administrator for Policy, Budget and Program 
Development.
    (c) Associate Administrator for Planning, Management and 
Demonstrations.
    (d) Chief Counsel.
    (e) Associate Administrator for Transit Assistance.
    (f) Associate Administrator for Technology Development and 
Deployment.
    (g) [Reserved]
    (h) Associate Administrator for Administration.

(Sec. 12, Federal Mass Transit Act of 1964, 49 U.S.C. 1608 and 49 CFR 
1.51)
[42 FR 59755, Nov. 21, 1977, as amended at 44 FR 32705, June 7, 1979; 45 
FR 58540, Sept. 4, 1980]



                         Subpart B--Delegations



Sec. 601.10  Delegations of authority.

    (a) Pursuant to authority delegated to the Administrator by 49 CFR 
1.45(b) and 1.51 of the regulations of the Office of the Secretary of 
Transportation, the following powers and duties of the Administrator are 
redelegated to the officials indicated--
    (1) The Associate Administrator for Transit Assistance is delegated 
authority to execute grant contracts, loan agreements, and amendments 
thereto with respect to approved capital and operating grants, loans and 
advanced land acquisition loan projects under sections 3, 4, 5, 16 and 
17 of the Act (49 U.S.C. 1602, 1603, 1604, 1612 and 1613); under limited 
circumstances review and approve applications for grants and grant 
amendments under the FT Act and section 110 of the Federal-Aid Highway 
Act of 1976 and 121(a) of the Federal-Aid Highway Act of 1973, as 
amended (23 U.S.C. 103 (e) (4) and 142). The Associate Administrator is 
further authorized, in connection with the administration of those 
projects, to approve requisitions for funds, third-

[[Page 825]]


party contracts, and project budget amendments within previously 
authorized limits.
    (2) The Associate Administrator for Policy and Program Development 
is delegated authority to execute and amend grant contracts and 
amendments for university research and training projects under section 
11 of the Act (49 U.S.C. 1607c). The Associate Administrator is further 
authorized in connection with the administration of those projects to 
approve requisitions for funds, third-party contracts and project budget 
amendments within previously authorized limits.
    (3) The Associate Administrator for Technology Development and 
Deployment is delegated authority to execute and amend grant contracts 
and procurement requests for approved projects under section 6(a) of the 
Act (49 U.S.C. 1605); The Associate Administrator is further authorized, 
in connection with the administration of grant contracts, procurement 
contracts, interagency reimbursable agreements and purchase orders, to 
approve requisitions for funds, third-party contracts, and project 
budget amendments within previously authorized limits.
    (4) The Associate Administrator for Transportation Planning is 
delegated authority to execute and amend grant contracts and interagency 
agreements for planning, engineering, architectural feasibility and 
operational improvement study projects under section 9 of the Act (48 
U.S.C. 1607a); review and approve grant applications and grant 
amendments requested pursuant to section 9 of the Act by urbanized areas 
of less than 500,000 population. The Associate Administrator is further 
authorized in connection with the administration of such contracts to 
approve requisitions for funds, third-party contracts and project budget 
amendments within previously authorized limits.
    (5) The Associate Administrator for Transportation Management and 
Demonstrations is delegated authority to execute and amend grant 
contracts for projects designed to demonstrate facilities, methods and 
techniques of transit management and operations under section 6(a) of 
the Act (49 U.S.C. 1605) and for approved managerial training fellowship 
projects under section 10 of the Act (49 U.S.C. 1607b). The Associate 
Administrator is further authorized, in connection with the 
administration of such projects to approve requisitions for project 
funds, third-party contracts and project budget amendments within 
previously authorized limits.
    (b) All authority delegated to an official listed in paragraph (a) 
of this section may be redelegated by that official to one or more 
employees under his jurisdiction.
[41 FR 56809, Dec. 30, 1976]



              Subpart C--Public Availability of Information



Sec. 601.20  Sources of information.

    (a) The Federal Transit Administration has published a series of 
internal and external directives which contain the history, 
organization, policy, procedures, criteria, guidelines, interpretations 
and general regulations formulated and adopted by FTA as guidance for 
grant recipients, and the general public. All directives are listed in 
FTA Notice N 0000.17 ``Directives Checklist.''
    (b) Single copies of the checklist or any directive may be obtained 
without charge upon written request either to the Director, Office of 
Public Affairs, Federal Transit Administration, Room 9314, 400 Seventh 
Street, SW., Washington, DC 20590, or any Federal Transit Administration 
regional office listed in Sec. 601.2.
    (c) The Federal Transit Administration maintains, under the 
supervision of the Director of Public Affairs, a document inspection 
facility in Room 9314 at the headquarters of the Department of 
Transportation Building (Nassif Building), 400 Seventh Street, SW., 
Washington, DC 20590, through which the following FTA documents may be 
obtained:
    (1) An index to, and copies of, the internal and external directives 
of the Federal Transit Administration.
    (2) Any proposed or final regulation issued by the Federal Transit 
Administration, and any background information for these regulations.

[[Page 826]]

    (d) Any person desiring to inspect any of these records, or obtain a 
copy thereof, must submit a request in writing, specifying the record to 
be inspected or copied to the Director, Office of Public Affairs, 
Federal Transit Administration, Room 9314, 400 Seventh Street, SW., 
Washington, DC 20590, accompanied by the appropriate fee for copies 
prescribed in 49 CFR part 7, subpart I.

(5 U.S.C. 552; 49 U.S.C. 1657; 49 CFR 7.1(d))
[47 FR 55684, Dec. 13, 1982]



PART 604--CHARTER SERVICE--Table of Contents




                           Subpart A--General

Sec.
604.1  Purpose.
604.3  Applicability.
604.5  Definitions.
604.7  Charter agreement.
604.9  Charter service.
604.11  Procedures for determining if there are any willing and able 
          private charter operators.
604.13  Reviewing evidence submitted by private charter operators.

                      Subpart B--Complaint Process

604.15  Filing a complaint.
604.17  Remedies.
604.19  Appeals.
604.21  Judicial review.


Appendix A to Part 604

    Authority:  49 U.S.C. 5323(d); 23 U.S.C. 103(e)(4); 142(a); and 
142(c); and 49 CFR 1.51.

    Source:  52 FR 11933, Apr. 13, 1987, unless otherwise noted.



                           Subpart A--General



Sec. 604.1  Purpose.

    The purpose of this part is to implement section 3(f) and section 
12(c)(6) of the FT Act.



Sec. 604.3  Applicability.

    This part applies to all applicants and recipients of Federal 
financial assistance under:
    (a) Sections 3 (excluding section 16(b)(2)), 5, 9A, 9 or 18 of the 
FT Act; or
    (b) Sections 103(e)(4), 142(a), or 142(c) of Title 23 United States 
Code which permit the use of Federal-Aid Highway funds to purchase 
buses.



Sec. 604.5  Definitions.

    (a) All definitions in the FT Act (at 49 U.S.C. 1608) are applicable 
to this part, except as may otherwise be provided in this section.
    (b) The Acts means the FT Act and those parts of Title 23 United 
States Code, 23 U.S.C. 103(e)(4), 142(a) and 142(c), that provide for 
assistance to public bodies for purchasing buses.
    (c) Administrator means the Administrator of FTA or his or her 
designee.
    (d) Categories of Revenue Vehicle means bus or van.
    (e) Charter Service means transportation using buses or vans, or 
facilities funded under the Acts of a group of persons who pursuant to a 
common purpose, under a single contract, at a fixed charge (in 
accordance with the carrier's tariff) for the vehicle or service, have 
acquired the exclusive use of the vehicle or service to travel together 
under an itinerary either specified in advance or modified after having 
left the place of origin. This definition includes the incidental use of 
FTA funded equipment for the exclusive transportation of school 
students, personnel, and equipment.
    (f) Chief Counsel means the Chief Counsel of FTA.
    (g) Days means calendar days in subpart A and Federal working days 
in subpart B.
    (h) Designated Official means the applicant's and recipient's 
employee authorized to file applications on behalf of the applicant or 
to enter into agreements on behalf of the recipient.
    (i) Incidental Charter Service means charter service which does not: 
(1) interfere with or detract from the provision of the mass 
transportation service for which the equipment or facilities were funded 
under the Acts; or (2) does not shorten the mass transportation life of 
the equipment or facilities.
    (j) Interested Party means an individual, partnership, corporation, 
association, or public or private organization that has a financial 
interest which is adversely affected by the act or acts of a recipient 
regarding charter service.
    (k) Non-urbanized area means an area with a population of less than 
50,000 people.

[[Page 827]]

    (l) Recipient means one that has received or is receiving Federal 
financial assistance under the Acts. The term includes subrecipients of 
a recipient, subrecipients in FTA's State administered programs, public 
bodies that receive assistance that will be passed on to another public 
or quasi-public body, any operator for a recipient, whether publicly or 
privately owned, and may include lessees of federally assisted buses and 
other equipment. For any FTA State administered program, the State is 
the recipient.
    (m) State Administered Program means any FTA grant program in which 
the State is the recipient of funds, passes the funds to subrecipients, 
and administers the program for FTA.
    (n) FT Act means the Federal Mass Transit Act of 1964, as amended, 
49 U.S.C. 1601 et seq.
    (o) FTA means the Federal Transit Administration.
    (p) Willing and able means having the desire, having the physical 
capability of providing the categories of revenue vehicles requested, 
and possessing the legal authority, including the necessary safety 
certifications, licenses and other legal prerequisites, to provide 
charter service in the area in which it is proposed to be provided.



Sec. 604.7  Charter agreement.

    (a) Every applicant for financial assistance under sections 3 
(excluding section 16(b)(2)), 5, 9A, 9 or 18 of the FT Act, or under 23 
U.S.C. 103(e)(4), 142(a) or 142(c), must include two copies of a charter 
bus agreement signed by the applicant's designated official with each 
grant application submitted to FTA after May 13, 1987. For FTA's State 
administered programs, the State is the applicant.
    (b) The text of the agreement must be as follows:

    I, (name), (title), agree that (name of applicant) and all 
recipients through (name of applicant) will provide charter service that 
uses equipment or facilities provided under the Federal Mass Transit Act 
of 1964, as amended (49 U.S.C. 1601 et seq.) or under 23 U.S.C. 
103(e)(4), 142(a) or 142(c) (the Acts) only to the extent that there are 
no private charter service operators willing and able to provide the 
charter service that (name of applicant) and all recipients through 
(name of applicant) desire to provide unless one or more of the 
exceptions in 49 CFR 604.9 applies.
    I further agree that (name of applicant) and all recipients through 
(name of applicant) will comply with the provisions in 49 CFR part 604 
before they provide any charter service using equipment or facilities 
provided under the Acts, that the requirements of 49 CFR part 604 will 
apply to any such charter service that is provided, and that the 
definitions in 49 CFR part 604 apply to this agreement.

                                Applicant

 _______________________________________________________________________

Name

 _______________________________________________________________________

Title

 _______________________________________________________________________

Date

                     Federal Transit Administration

 _______________________________________________________________________

Name

 _______________________________________________________________________

Title

 _______________________________________________________________________

Date

    (c) If FTA approves the grant application, the approving official 
shall sign the agreement when the grant application is approved. One 
copy of the signed agreement will be retained by FTA and the other copy 
will be returned to the recipient, formerly the applicant.
    (d) Once the applicant and FTA enter into a charter agreement, the 
applicant may incorporate that agreement by reference into any 
subsequent grant application instead of submitting an agreement under 49 
CFR 604.7(a).
    (e) Each State in FTA's State administered programs must:
    (1) Obtain a certification of compliance with this part from each of 
its current subrecipients within 60 days of May 13, 1987. The 
certification shall state: ``(Name of subrecipient) certifies that it 
shall comply with 49 CFR part 604 in the provision of any charter 
service provided with FTA funded equipment or facilities.'';
    (2) Retain this certification as long as the subrecipient is a 
subrecipient; and

[[Page 828]]

    (3) Assure in each application submitted to FTA after May 13, 1987, 
that all subrecipients have submitted the certification.
    (f) If any recipient does not anticipate submitting a grant 
application to FTA during Federal fiscal year 1987, the recipient must 
submit two copies of the agreement set forth in Sec. 604.7(b) of this 
part within 60 days of May 13, 1987, to the appropriate FTA regional 
office. FTA will sign the agreement, retain one copy of the agreement 
and return the other to the recipient.

(Approved by the Office of Management and Budget under Control No. 2132-
0543)



Sec. 604.9  Charter service.

    (a) If a recipient desires to provide any charter service using FTA 
equipment or facilities the recipient must first determine if there are 
any private charter operators willing and able to provide the charter 
service which the recipient desires to provide. To the extent that there 
is at least one such private operator, the recipient is prohibited from 
providing charter service with FTA funded equipment or facilities unless 
one or more of the exceptions in Sec. 604.9(b) applies.
    (b) Exceptions. (1) A recipient may provide any and all charter 
service with FTA funded equipment and facilities to the extent that 
there are no willing and able private charter operators.
    (2) A recipient may enter into a contract with a private charter 
operator to provide charter equipment to or service for the private 
charter operator if:
    (i) The private charter operator is requested to provide charter 
service that exceeds its capacity; or
    (ii) The private charter operator is unable to provide equipment 
accessible to elderly and handicapped persons itself.
    (3) A recipient in a non-urbanized area may petition FTA for an 
exception to provide charter service directly to the customer if the 
charter service provided by the willing and able private charter 
operator or operators would create a hardship on the customer because:
    (i) The willing and able private charter operator or operators 
impose minimum durations pursuant to State regulation and the desired 
trip length is shorter than the mandatory trip length; or
    (ii) The willing and able private operator or operators are located 
too far from the origin of the charter service.
    (4) Any recipient may petition the Administrator for an exception to 
provide charter service directly to the customer for special events to 
the extent that private charter operators are not capable of providing 
the service.
    (5) A recipient may execute a contract with a government entity or a 
private, non-profit organization exempt from taxation under subsection 
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue 
Code to provide charter service upon obtaining a certification from that 
entity or organization which states that:

    (i) [the entity/organization] certifies that it is a government 
entity or an organization exempt from taxation under subsection 
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue 
Code; there will be a significant number of handicapped persons as 
passengers on this charter trip; the requested charter trip is 
consistent with the function and purpose of [the entity/organization]; 
and the charter trip will be organized and operated in compliance with 
Title VI of the Civil Rights Act of 1964, as amended; and, section 19 of 
the Federal Mass Transit Act of 1964, as amended, and 49 CFR part 27; 
or, 45 CFR part 80; or,
    (ii) [the entity/organization] certifies that it is a government 
entity or an organization exempt from taxation under subsection 
501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue 
Code; [the entity/organization] is a qualified social service agency 
under appendix A of 49 CFR part 604, as a recipient of funds, either 
directly or indirectly, under one or more of the Federal programs listed 
in appendix A; the requested charter trip is consistent with the 
function and purpose of [the entity/organization]; and the charter trip 
will be organized and operated in compliance with Title VI of the Civil 
Rights Act of 1964, as amended; and, Section 19 of the Federal Mass 
Transit Act of 1964, as amended, and 49 CFR part 27; or, 45 CFR part 80.
    (iii) [the entity/organization] certifies that it is a government 
entity or organization exempt from taxation under subsection 501(c)(1), 
501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue Code; [the 
entity/organization] either receives or is eligible to receive

[[Page 829]]

directly or indirectly, from a State or local governmental body public 
welfare assistance funds for purposes whose implementation may require 
the transportation of a group of transit-advantaged or transit-dependent 
persons; following a petition presented by the State in which the entity 
or organization resides, FTA has determined in writing that an FTA 
recipient may contract directly with the entity or organization for 
charter services; the requested charter trip is consistent with the 
functions and purposes of the entity or organization; and the charter 
trip will be organized and operated in compliance with Title VI of the 
Civil Rights Act of 1964, as amended; and section 19 of the Federal Mass 
Transit Act of 1964, as amended, and 49 CFR part 27; or, 45 CFR part 80.

    (6) A recipient in a non-urbanized area may execute a contract with 
a government entity or a private, non-profit organization exempt from 
taxation under subsection 501(c)(1), 501(c)(3), 501(c)(4), or 501(c)(19) 
of the Internal Revenue Code to provide charter service upon obtaining a 
certification from that entity or organization which states that:

    [the entity/organization] certifies that it is a government entity 
or an organization exempt from taxation under subsection 501(c)(1), 
501(c)(3), 501(c)(4), or 501(c)(19) of the Internal Revenue Code; more 
than 50% of the passengers on this charter trip will be elderly; the 
requested charter trip is consistent with the function and purpose of 
[the entity/organization]; and the charter trip will be organized and 
operated in compliance with Title VI of the Civil Rights Act of 1964, as 
amended; and, Section 19 of the Federal Mass Transit Act of 1964, as 
amended, and 49 CFR part 27; or, 45 CFR part 80.

    (7) A recipient may provide charter service directly to the customer 
where a formal agreement has been executed between the recipient and all 
private charter operators it has determined to be willing and able in 
accordance with this part, provided that:
    (i) The agreement specifically allows the recipient to provide the 
particular type of charter trip;
    (ii) The recipient has provided for such an agreement in its annual 
public charter notice published pursuant to this part before undertaking 
any charter service pursuant to this exception; and
    (iii) If a recipient has received several responses to its annual 
public charter notice but ceased its review process after determining 
that one private operator was willing and able, it must, before 
concluding a formal charter agreement under this section, complete the 
review process to ensure that all the willing and able private operators 
are valid parties to the agreement.
    (8) During the demonstration period described in paragraph 
(b)(8)(iv) of this section, recipients in the FTA-selected sites may 
submit applications to provide charter service to an advisory panel 
equally representative of public transit providers or local business 
organizations and local private operators, and which has either been 
created for such purpose by the grantee, the State Department of 
Transportation (State DOT), or metropolitan planning organization (MPO), 
or which is part of the recipient's existing private sector consultation 
process.
    (i) The advisory panel will forward these applications to the State 
DOT or MPO, which will grant those recommended by unanimous vote of the 
advisory panel.
    (ii) If the advisory panel does not unanimously endorse an 
application, the State DOT or MPO will make a decision to grant or deny 
the application based on the following criteria:
    (A) Cost evaluation. A recipient may provide charter service when it 
can do so at a significantly lower cost than can private charter 
operators. Cost differences may be considered significant when there is 
approximately a twenty percent difference between the average charge for 
service by private operators and the recipient's fully allocated cost of 
providing the service, or when the advisory panel determines them to be 
significant.
    (B) Equipment uniqueness. A recipient may provide charter service 
using equipment that is not available from a private source, when such 
equipment is essential to the purpose of the charter trip.
    (C) Service nature. A recipient may provide unscheduled or demand 
responsive service that could not be provided by a private operator 
without advance notice or at a substantial surcharge to the customer.
    (D) Specific local factors. A recipient may provide service which 
responds to a clear need that cannot be met by the

[[Page 830]]

local private sector, and which is important to the economic or social 
health and vitality of the local area.
    (iii) The State DOT or MPO may not grant applications to provide 
service that would jeopardize the economic vitality of individual 
private charter operators or would seriously detract from private 
charter business.
    (iv) The service described in this subsection may be provided only 
during the demonstration program to be conducted through October 31, 
1995, in the following sites:
    (A) Monterey, California;
    (B) Oklahoma City, Oklahoma;
    (C) St. Louis, Missouri;
    (D) Yolo County, California;
    (E) Four sites within the State of Michigan.
    (c) The process for requesting and granting an exception under 49 
CFR 604.9(b)(3):
    (1) The recipient must provide the private charter operators that it 
has determined are willing and able in accordance with this part with a 
written notice explaining why it is seeking an exception and state that 
they have at least 30 days to submit written comments to the recipient 
on the request;
    (2) The recipient must send a copy of the notice, all comments 
received, and any further information it desires in support of its 
request to the Chief Counsel.
    (3) The Chief Counsel shall review the materials submitted and issue 
a written decision denying or granting in whole or in part the request. 
In making this decision, the Chief Counsel may seek such additional 
information as the Chief Counsel determines is needed.
    (4) Any exception that the Chief Counsel grants under 49 CFR 
604.9(b)(3) shall be effective for not longer than 12 months from the 
date that the Chief Counsel grants it.
    (d) The process for requesting and granting and exception under 49 
CFR 604.9(b)(4):
    (1) The recipient must submit its petition for an exception to the 
Administrator at least 90 days prior to the day or days on which it 
desires to provide charter service.
    (2) The petition must describe the event, explain how it is special, 
and explain the amount of charter service which private charter 
operators are not capable of providing.
    (3) The Administrator will review the materials and issue a written 
decision denying or granting in whole or in part the request. In making 
this decision, the Administrator may seek such additional information as 
the Administrator determines is needed.
    (4) Any exception granted by the Administrator under 49 CFR 
604.9(b)(4) shall be effective solely for the event for which the 
recipient requests an exception.
    (e) Any charter service that a recipient provides under any of the 
exceptions in this part must be incidental charter service.
[52 FR 11933, Apr. 13, 1987, as amended at 53 FR 53355, Dec. 30, 1988; 
58 FR 36899, July 9, 1993; 58 FR 52685, Oct. 12, 1993; 59 FR 51134, Oct. 
7, 1994]



Sec. 604.11  Procedures for determining if there are any willing and able private charter operators.

    (a) To determine if there is at least one private charter operator 
willing and able to provide the charter service that the recipient 
desires to provide, the recipient must complete a public participation 
process:
    (1) At least 60 days before it desires to begin to provide charter 
service if it is not doing so on May 13, 1987; or
    (2) Not more than 90 days after May 13, 1987 if the recipient is 
providing charter service on May 13, 1987 and desires to continue to 
provide charter service.
    (b) The public participation process must at a minimum include:
    (1) Placing a notice in a newspaper, or newspapers, of general 
circulation within the proposed geographic charter service area;
    (2) Sending a copy of the notice to all private charter service 
operators in the proposed geographic charter service area and to any 
private charter service operator that requests notice;
    (3) Sending a copy of the notice to the United Bus Owners of America 
, 1300 L Street, NW., suite 1050, Washington, DC 20005, and the American 
Bus Association, 1100 New York Avenue, NW, Suite 1050, Washington, DC 
20005-3934.
    (c) The notice must:

[[Page 831]]

    (1) State the recipient's name;
    (2) Describe the charter service that the recipient proposes to 
provide limited to the days, times of day, geographic area, and 
categories of revenue vehicle, but not the capacity or the duration of 
the charter service.
    (3) Include a statement providing any private charter operator 
desiring to be considered willing and able with at least 30 days from 
the date of the notice to submit written evidence to prove that it is 
willing and able;
    (4) State the address to which the evidence must be sent.
    (5) Include a statement that the evidence necessary for the 
recipient to determine if a private charter operator is willing and able 
includes only the following:
    (i) A statement that the private operator has the desire and the 
physical capability to actually provide the categories of revenue 
vehicle specified; and
    (ii) A copy of the documents to show that the private charter 
operator has the requisite legal authority to provide the proposed 
charter service and that it meets all necessary safety certification, 
licensing and other legal requirements to provide the proposed charter 
service.
    (6) Include a statement that the recipient shall review only that 
evidence submitted by the deadline, shall complete its review within 30 
days of the deadline, and within 60 days of the deadline shall inform 
each private operator that submitted evidence what the results of the 
review are.
    (7) Include a statement that the recipient shall not provide any 
charter service using equipment or facilities funded under the Acts to 
the extent that there is at least one willing and able private charter 
operator unless the recipient qualifies for one or more of the 
exceptions in 49 CFR 604.9(b).
    (d) Any recipient that desires to continue to provide charter 
service using FTA funded equipment or facilities shall follow the 
procedures in 49 CFR 604.11 (b) and (c) annually during the month in 
which it published its first newspaper notice to redetermine the extent 
to which there is at least one willing and able private charter 
operator.
    (e) Any recipient, including the State in State administered 
programs, may elect to comply with this procedure for all of its 
subrecipients, or delegate this responsibility to the subrecipients, or 
delegate this responsibility to only some of its subrecipients.

(Approved by the Office of Management and Budget under Control No. 2132-
0543)

[52 FR 11933, Apr. 13, 1987, as amended at 55 FR 34932, Aug. 27, 1990; 
59 FR 43778, Aug. 25, 1994]



Sec. 604.13  Reviewing evidence submitted by private charter operators.

    (a) The recipient shall review the evidence submitted in response to 
the notice given under 49 CFR 604.11 within 30 days of the deadline for 
the submission of evidence.
    (b) Within 60 days of the deadline for the submission of evidence, 
the recipient shall notify each private charter operator that submitted 
evidence of the recipient's decision.
    (c) The recipient must review the evidence submitted to determine if 
the evidence proves that the private charter operator has:
    (1) The desire and the physical capability to actually provide 
charter service using the categories of revenue vehicles; and
    (2) The required legal authority and the necessary safety 
certifications, licenses and other legal requirements to provide charter 
service.
    (d) The recipient must determine that a private charter operator 
which meets the requirements in 49 CFR 604.13(c) is willing and able.
    (e) A recipient may look behind the evidence submitted by a private 
charter operator only if the recipient has reasonable cause to believe 
that some or all of the evidence has been falsified.
    (f) A recipient may, within its discretion, stop reviewing the 
evidence submitted by private charter operators when the recipient has 
determined that there is one or more private charter operators willing 
and able to provide all of the charter service that the recipient 
proposed to provide in its notice. A recipient may, however, review the 
evidence submitted by all private charter operators and create a roster 
of willing and able private charter operators.

[[Page 832]]

    (g) The entity that complies with the public participation process 
under 49 CFR 604.11(e) shall be responsible for complying with the 
requirements in 49 CFR 604.13.

(Approved by the Office of Management and Budget under Control No. 2132-
0543)



                      Subpart B--Complaint Process



Sec. 604.15  Filing a complaint.

    (a) An interested party (``complainant'') who believes that a 
recipient is in violation of the requirements of this part may submit a 
written complaint to the FTA Regional Administrator. The complainant 
shall also send a copy of the complaint to the recipient 
(``respondent'').
    (b) If the Regional Administrator determines that the complaint is 
not without obvious merit and that it states grounds on which relief may 
be granted, the Regional Administrator shall advise the complainant and 
respondent to attempt to conciliate the dispute. The period for informal 
conciliation shall last for up to 30 days from the date of receipt of 
the Regional Administrator's order unless an extension is mutually 
agreed upon by the parties.
    (c) If the parties are unable to conciliate the dispute, either 
party may so notify the Regional Administrator in writing. The Regional 
Administrator shall send a copy of the complaint to the respondent and 
provide it with 30 days from the receipt of the notice to provide 
written evidence to show that no violation has occurred. The respondent 
shall provide a copy of this information to the complainant.
    (d) After the Regional Administrator receives that respondent's 
evidence, the Regional Administrator shall inform the complainant that 
it has 30 days from the receipt of the notice to rebut the respondent's 
evidence. The complainant shall provide a copy of its rebuttal to the 
respondent.
    (e) The Regional Administrator shall review the evidence submitted 
and prepare a written decision. The Regional Administrator shall attempt 
to transmit the written decision to the parties within 30 days of 
receiving all of the evidence.
    (f) If the Regional Administrator determines that further 
investigation is necessary, including the submission of additional 
information or the holding of an informal evidentiary hearing, the 
Regional Administrator shall so inform the parties in writing.
    (g) Either party may request an informal evidentiary hearing prior 
to the transmission of the Regional Administrator's decision. The 
Regional Administrator may grant or deny the request.
    (h) If an informal evidentiary hearing is held, the date and 
location shall be arranged by the Regional Administrator in consultation 
with the parties. Any new evidence introduced by the parties at the 
informal evidentiary hearing shall be submitted to the Regional 
Administrator within 10 days after the hearing.
    (i) The Regional Administrator may extend the deadlines imposed in 
this part for administrative convenience by notifying all parties in 
writing of the extensions.
[52 FR 11933, Apr. 13, 1987, as amended at 58 FR 52685, Oct. 12, 1993]



Sec. 604.17  Remedies.

    (a) If the Regional Administrator determines that a violation of 
this part has occurred, the Regional Administrator may order such 
remedies as the Regional Administrator determines are appropriate.
    (b) If the Regional Administrator determines that there has been a 
continuing pattern of violation of this part, the Regional Administrator 
may bar the respondent from the receipt of further financial assistance 
for mass transportation facilities and equipment.
[52 FR 11933, Apr. 13, 1987, as amended at 58 FR 52685, Oct. 12, 1993]



Sec. 604.19  Appeals.

    (a) The losing party may appeal the Regional Administrator's 
decision to the Administrator within 10 days of receipt of the decision. 
The losing party (''appellant'') shall include in its appeal the basis 
for the appeal and evidence to support the position. The appellant shall 
send a copy of the appeal to the prevailing party (''appellee'').

[[Page 833]]

    (b) The Administrator will only take action on an appeal if the 
appellant presents evidence that there are new matters of fact or points 
of law that were not available or not known during the investigation of 
the complaint.
    (c) If the Administrator takes action on an appeal, the 
Administrator shall provide the appellee with 10 days from the receipt 
of the notice to respond to the evidence contained in the appeal.
    (d) The Administrator shall send a copy of the appellee's response 
to the appellant and provide it with 10 days from the receipt of the 
notice to rebut the appellee's response.
    (e) The Administrator shall endeavor to make a final determination 
on the appeal within 10 days of the receipt of the appellant's rebuttal.
[52 FR 11933, Apr. 13, 1987, as amended at 58 FR 52685, Oct. 12, 1993]



Sec. 604.21  Judicial review.

    The Regional Administrator's decision, or the Administrator's 
decision on appeal, shall be final and conclusive on all parties, but it 
is subject to judicial review pursuant to sections 701-706 of Title 5 of 
the United States Code.
[52 FR 11933, Apr. 13, 1987, as amended at 58 FR 52685, Oct. 12, 1993]

                         Appendix A to Part 604

    The following is a list of Federal assistance programs administered 
under the United States Department of Health and Human Services (HHS). 
The financial assistance under each of these HHS programs includes 
funding for the transportation needs of the program beneficiaries.

------------------------------------------------------------------------
               Program title                           Agency           
------------------------------------------------------------------------
Project Grant and Cooperative Agreements    Public Health Service, HHS. 
 for Tuberculosis Control Programs.                                     
Mental Health Service for Cuban Entrants..  Public Health Service, HHS. 
Mental Health Planning and Demonstration    Public Health Service, HHS. 
 Projects.                                                              
Alcohol, Drug Abuse Treatment and           Public Health Service, HHS. 
 Rehabilitation Block Grant.                                            
Family Planning-Services..................  Public Health Service, HHS. 
Community Health Centers..................  Public Health Service, HHS. 
Indian Health Services--Health Management   Public Health Service, HHS. 
 Development Program.                                                   
Migrant Health Centers Grants.............  Public Health Service, HHS. 
Childhood Immunization Grants.............  Public Health Service, HHS. 
Administration for Children, Youth and      Office of Human Development 
 Families (ACYF)--Head Start.                Services, HHS.             
ACYF Child Welfare Research and             Office of Human Development 
 Demonstration Program.                      Services, HHS.             
ACYF Runaway and Homeless Youth...........  Office of Human Development 
                                             Services, HHS.             
ACYF Adoption Opportunities...............  Office of Human Development 
                                             Services, HHS.             
ACYF Child Abuse and Neglect (State         Office of Human Development 
 Grants).                                    Services, HHS.             
ACYF Child Abuse and Neglect Discretionary  Office of Human Development 
                                             Services, HHS.             
Administration for Native Americans (ANA)   Office of Human Development 
 Native American Programs--Financial         Services, HHS.             
 Assistance Grants.                                                     
ANA Research, Demonstration and Evaluation  Office of Human Development 
                                             Services, HHS.             
ANA Training and Technical Assistance.....  Office of Human Development 
                                             Services, HHS.             
Administration of Developmental             Office of Human Development 
 Disabilities (ADD)--Basic Support and       Services, HHS.             
 Advocacy Grants.                                                       
ADD Special Projects......................  Office of Human Development 
                                             Services, HHS.             
ADD University Affiliated Facilities......  Office of Human Development 
                                             Services, HHS.             
Administration on Aging (ADA) Special       Office of Human Development 
 Programs for the Aging--Grants for          Services, HHS Title III,   
 Supportive Services and Senior Centers.     Part B--                   
ADA Title III, Part C, Nutrition Services.  Office of Human Development 
                                             Services, HHS.             
ADA Grants to Indian Tribes...............  Office of Human Development 
                                             Services, HHS.             
ADA Training, Research and Discretionary    Office of Human Development 
 Projects and Programs.                      Services, HHS.             
Social Service Block Grant................  Office of Human Development 
                                             Services, HHS.             
Medical Assistance Program Title XIX......  Health Care Financing       
                                             Medicaid; Administration,  
                                             HHS.                       
Medicare--Supplemental Medical Insurance..  Health Care Financing       
                                             Administration, HHS.0      
Aid to Families with Dependent Children     Family Support              
 (AFDC)--Maintenance Assistance.             Administration, HHS.       
Work Incentive Program....................  Family Support              
                                             Administration, HHS.       
Community Service Block Grant (CSBG)......  Family Support              
                                             Administration, HHS.       
CSBG Discretionary Awards.................  Family Support              
                                             Administration, HHS.       
CSBG Discretionary Awards--Community Food   Family Support              
 and Nutrition.                              Administration, HHS.       
Social Security--Disability Insurance.....  Social Security             
                                             Administration, HHS.       
Supplemental Security Income..............  Social Security             
                                             Administration, HHS.       
Home Health Services and Training.........  Public Health Service, HHS. 
Coal Miners Respiratory Impairment          Public Health Service, HHS. 
 Treatment Clinics and Services.                                        
Preventive Health Services--Sexually        Public Health Service, HHS. 
 Transmitted Diseases Control Grants.                                   

[[Page 834]]

                                                                        
Health Programs for Refugees..............  Public Health Service, HHS. 
------------------------------------------------------------------------

[53 FR 53355, Dec. 30, 1988]



PART 605--SCHOOL BUS OPERATIONS--Table of Contents




                           Subpart A--General

Sec.
605.1  Purpose.
605.2  Scope.
605.3  Definitions.
605.4  Public hearing requirement.

                    Subpart B--School Bus Agreements

605.10  Purpose.
605.11  Exemptions.
605.12  Use of project equipment.
605.13  Tripper service.
605.14  Agreement.
605.15  Content of agreement.
605.16  Notice.
605.17  Certification in lieu of notice.
605.18  Comments by private school bus operators.
605.19  Approval of school bus operations.

Subpart C--Modification of Prior Agreements and Amendment of Application 
                             for Assistance

605.20  Modification of prior agreements.
605.21  Amendment of applications for assistance.

              Subpart D--Complaint Procedures and Remedies

605.30  Filing a complaint.
605.31  Notification to the respondent.
605.32  Accumulation of evidentiary material.
605.33  Adjudication.
605.34  Remedy where there has been a violation of the agreement.
605.35  Judicial review.

                    Subpart E--Reporting and Records

605.40  Reports and information.


Appendix A to Part 605

    Authority:  Federal Mass Transit Act of 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 49 
CFR 1.51.

    Source:  41 FR 14128, Apr. 1, 1976, unless otherwise noted.



                           Subpart A--General



Sec. 605.1  Purpose.

    (a) The purpose of this part is to prescribe policies and procedures 
to implement section 109(a) of the National Mass Transportation 
Assistance Act of 1974 (Pub. L. 93-503; November 26, 1974; 88 Stat. 
1565). Section 109(a) adds a new section 3(g) to the Federal Mass 
Transit Act of 1964, as amended (49 U.S.C. 1602(g)) and differs from 
section 164(b) of the Federal-Aid Highway Act of 1973 (49 U.S.C. 
1602a(b)) in that section 3(g) applies to all grants for the 
construction or operation of mass transportation facilities and 
equipment under the Federal Mass Transit Act, and is not limited to 
grants for the purchase of buses as is section 164(b).
    (b) By the terms of section 3(g) no Federal financial assistance may 
be provided for the construction or operation of facilities and 
equipment for use in providing public mass transportation service to an 
applicant unless the applicant and the Administrator enter into an 
agreement that the applicant will not engage in school bus operations 
exclusively for the transportation of students and school personnel, in 
competition with private school bus operators.



Sec. 605.2  Scope.

    These regulations apply to all recipients of financial assistance 
for the construction or operation of facilities and equipment for use in 
providing mass transportation under: (a) The Federal Mass Transit Act of 
1964, as amended (49 U.S.C. 1601 et seq.); (b) 23 U.S.C. 142 (a) and 
(c); and 23 U.S.C. 103 (e)(4).



Sec. 605.3  Definitions.

    (a) Except as otherwise provided, terms defined in the Federal Mass 
Transit Act of 1964, as amended (49 U.S.C. 1604, 1608) are used in this 
part as so defined.
    (b) For purposes of this part--
    The Acts means the Federal Mass Transit Act of 1964, as amended (49 
U.S.C. 1601 et seq.); 23 U.S.C. 142 (a) and (c); and 23 U.S.C. 
103(e)(4).
    Administrator means the Federal Mass Transit Administrator or his 
designee.

[[Page 835]]

    Adequate transportation means transportation for students and school 
personnel which the Administrator determines conforms to applicable 
safety laws; is on time; poses a minimum of discipline problems; is not 
subject to fluctuating rates; and is operated efficiently and in harmony 
with state educational goals and programs.
    Agreement means a contractual agreement required under section 3(g) 
of the Federal Mass Transit Act of 1964, as amended (49 U.S.C. 1602(g)).
    Applicant means applicant for assistance under the Acts.
    Assistance means Federal financial assistance for the purchase of 
buses and the construction or operation of facilities and equipment for 
use in providing mass transportation services under the Acts, but does 
not include research, development and demonstration projects funded 
under the Acts.
    Grant contract means the contract between the Government and the 
grantee which states the terms and conditions for assistance under the 
Acts.
    Government means the Government of the United States of America.
    Grantee means a recipient of assistance under the Acts.
    Incidental means the transportation of school students, personnel 
and equipment in charter bus operations during off peak hours which does 
not interfere with regularly scheduled service to the public (as defined 
in the Opinion of the Comptroller General of the United States, B160204, 
December 7, 1966, which is attached as appendix A of this part).
    Interested party means an individual, partnership, corporation, 
association or public or private organization that has a financial 
interest which is adversely affected by the act or acts of a grantee 
with respect to school bus operations.
    Reasonable Rates means rates found by the Administration to be fair 
and equitable taking into consideration the local conditions which 
surround the area where the rate is in question.
    School bus operations means transportation by bus exclusively for 
school students, personnel and equipment in Type I and Type II school 
vehicles as defined in Highway Safety Program Standard No. 17.
    Tripper service means regularly scheduled mass transportation 
service which is open to the public, and which is designed or modified 
to accommodate the needs of school students and personnel, using various 
fare collections or subsidy systems. Buses used in tripper service must 
be clearly marked as open to the public and may not carry designations 
such as ``school bus'' or ``school special''. These buses may stop only 
at a grantee or operator's regular service stop. All routes traveled by 
tripper buses must be within a grantee's or operator's regular route 
service as indicated in their published route schedules.
    Urban area means the entire area in which a local public body is 
authorized by appropriate local, State and Federal law to provide 
regularly scheduled mass transportation service. This includes all areas 
which are either: (a) Within an ``urbanized area'' as defined and fixed 
in accordance with 23 CFR part 470, subpart B; or (b) within an ``urban 
area'' or other built-up place as determined by the Secretary under 
section 12(c)(4) of the Federal Mass Transit Act of 1964, as amended (49 
U.S.C. 1608(c)(4)).



Sec. 605.4  Public hearing requirement.

    Each applicant who engages or wishes to engage in school bus 
operations shall afford an adequate opportunity for the public to 
consider such operations at the time the applicant conducts public 
hearings to consider the economic, social or environmental effects of 
its requested Federal financial assistance under section 3(d) of the 
Federal Mass Transit Act of 1964, as amended (49 U.S.C. 1602(d)).



                    Subpart B--School Bus Agreements



Sec. 605.10  Purpose.

    The purpose of this subpart is to formulate procedures for the 
development of an agreement concerning school bus operations.

[[Page 836]]



Sec. 605.11  Exemptions.

    A grantee or applicant may not engage in school bus operations in 
competition with private school bus operators unless it demonstrates to 
the satisfaction of the Administrator as follows:
    (a) That it operates a school system in its urban area and also 
operates a separate and exclusive school bus program for that school 
system; or
    (b) That private school bus operators in the urban area are unable 
to provide adequate transportation, at a reasonable rate, and in 
conformance with applicable safety standards; or
    (c) That it is a state or local public body or agency thereof (or a 
direct predecessor in interest which has acquired the function of so 
transporting schoolchildren and personnel along with facilities to be 
used therefor) who was so engaged in school bus operations:
    (1) In the case of a grant involving the purchase of buses--anytime 
during the 12-month period immediately prior to August 13, 1973.
    (2) In the case of a grant for construction or operating of 
facilities and equipment made pursuant to the FT Act as amended (49 
U.S.C. 1601 et seq.), anytime during the 12-month period immediately 
prior to November 26, 1974.



Sec. 605.12  Use of project equipment.

    No grantee or operator of project equipment shall engage in school 
bus operations using buses, facilities or equipment funded under the 
Acts. A grantee or operator may, however, use such buses, facilities and 
equipment for the transportation of school students, personnel and 
equipment in incidental charter bus operations. Such use of project 
equipment is subject to part 604 of Federal Mass Transit Regulations.



Sec. 605.13  Tripper service.

    The prohibition against the use of buses, facilities and equipment 
funded under the Acts shall not apply to tripper service.



Sec. 605.14  Agreement.

    Except as provided in Sec. 605.11 no assistance shall be provided 
under the Acts unless the applicant and the Administrator shall have 
first entered into a written agreement that the applicant will not 
engage in school bus operations exclusively for the transportation of 
students and school personnel in competition with private school bus 
operators.



Sec. 605.15  Content of agreement.

    (a) Every grantee who is not authorized by the Administrator under 
Sec. 605.11 of this part to engage in school bus operations shall, as a 
condition of assistance, enter into a written agreement required by 
Sec. 605.14 which shall contain the following provisions:
    (1) The grantee and any operator of project equipment agrees that it 
will not engage in school bus operations in competition with private 
school bus operators.
    (2) The grantee agrees that it will not engage in any practice which 
constitutes a means of avoiding the requirements of this agreement, part 
605 of the Federal Mass Transit Regulations, or section 164(b) of the 
Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).
    (b) Every grantee who obtains authorization from the Administrator 
to engage in school bus operations under Sec. 605.11 of this part shall, 
as a condition of assistance, enter into a written agreement required by 
Sec. 605.14 of this part which contains the following provisions:
    (1) The grantee agrees that neither it nor any operator of project 
equipment will engage in school bus operations in competition with 
private school bus operators except as provided herein.
    (2) The grantee, or any operator of project equipment, agrees to 
promptly notify the Administrator of any changes in its operations which 
might jeopardize the continuation of an exemption under Sec. 605.11.
    (3) The grantee agrees that it will not engage in any practice which 
constitutes a means of avoiding the requirements of this agreement, part 
605 of the Federal Transit Administration regulations or section 164(b) 
of the Federal-Aid Highway Act of 1973 (49 U.S.C. 1602a(b)).
    (4) The grantee agrees that the project facilities and equipment 
shall

[[Page 837]]

be used for the provision of mass transportation services within its 
urban area and that any other use of project facilities and equipment 
will be incidental to and shall not interfere with the use of such 
facilities and equipment in mass transportation service to the public.



Sec. 605.16  Notice.

    (a) Each applicant who engages or wishes to engage in school bus 
operations shall include the following in its application:
    (1) A statement that it has provided written notice to all private 
school bus operators operating in the urban area of its application for 
assistance and its proposed or existing school bus operations;
    (2) A statement that it has published in a newspaper of general 
circulation in its urban area a notice of its application and its 
proposed or existing school bus operations;
    (b) The notice required by paragraphs (a) (1) and (2) of this 
section shall include the following information:
    (1) A description of the area to be served by the applicant.
    (2) An estimation of the number of each type of bus which will be 
employed on the proposed school bus operations, and the number of 
weekdays those buses will be available for school bus operations.
    (3) A statement of the time, date, and place of public hearings 
required under section 3(d) of the Federal Mass Transit Act of 1964, as 
amended (49 U.S.C. 1602(d)), to be held on the application for 
assistance.
    (4) A statement setting forth reasons the applicant feels it should 
be allowed to engage in school bus operations under Sec. 605.11 of this 
part.
    (c) Copies of the application for assistance and notice required by 
paragraph (a) of this shall be available for inspection during the 
regular business hours at the office of the applicant.



Sec. 605.17  Certification in lieu of notice.

    If there are no private school bus operators operating in the 
applicant's urban area, the applicant may so certify in its application 
in lieu of meeting the requirements of Sec. 605.16. This certification 
shall be accompanied by a statement that the applicant has published, in 
a newspaper of general circulation in its urban area, a notice stating 
that it has applied for assistance as provided under Sec. 605.16(b) and 
that it has certified that there are no private school bus operators 
operating in its urban area. A copy of the notice as published shall be 
included.



Sec. 605.18  Comments by private school bus operators.

    Private school bus operators may file written comments on an 
applicant's proposed or existing school bus operations at the time of 
the public hearing held pursuant to section 3(d) of the Federal Mass 
Transit Act of 1964, as amended (49 U.S.C. 1602(d)). The comments of 
private school bus operators must be submitted by the applicant to the 
Administrator together with the transcript of this public hearing.



Sec. 605.19  Approval of school bus operations.

    (a) The Administrator will consider the comments filed by private 
school bus operators prior to making any findings regarding the 
applicant's proposed or existing school bus operations.
    (b) After a showing by the applicant that it has complied with the 
requirements of 49 U.S.C. 1602(d) and this subpart, the Administrator 
may approve its school bus operations.
    (c) If the Administrator finds that the applicant has not complied 
with the notice requirement of this part or otherwise finds that the 
applicant's proposed or existing school bus operations are unacceptable, 
he will so notify the applicant in writing, stating the reasons for his 
findings.
    (d) Within 20 days after receiving notice of adverse findings from 
the Administrator, an applicant may file written objections to the 
Administrator's findings or submit a revised proposal for its school bus 
operations. If an applicant revises its proposed or existing school bus 
operations, it shall mail a copy of these revisions along with the 
findings of the administrator to private school bus operators required 
to be notified under Sec. 605.16.
    (e) Private school bus operators who receive notice under paragraph 
(d) of this section may within 20 days after

[[Page 838]]

receipt of notice file written comments on the proposed revisions with 
the Administrator. The Administrator will consider these comments prior 
to his approval of a proposed revision by the applicant.
    (f) Upon receipt of notice of approval of its school bus operations, 
the applicant may enter into an agreement with the Administrator under 
Sec. 605.14.



Subpart C--Modification of Prior Agreements and Amendment of Application 
                             for Assistance



Sec. 605.20  Modification of prior agreements.

    (a) Any grantee which, prior to the adoption of this part, entered 
into an agreement required by section 164(b) of the Federal-Aid Highway 
Act of 1973 (49 U.S.C. 1602(a)(b)), or section 3(g) of the Federal Mass 
Transit Act of 1964, as amended (49 U.S.C. 1602(g)), who engages or 
wishes to engage in school bus operations in competition with private 
school bus operators, shall seek modification of that agreement in 
accordance with paragraphs (b) through (d) of this section.
    (b) The grantee shall develop a statement setting forth in detail 
the reasons it feels it should be allowed to engage in school bus 
operations under Sec. 605.11 of this part. A copy of the statement 
should be provided private school bus operators who provide service in 
the grantee's urban area.
    (c) The grantee shall allow 30 days for persons receiving notice 
under this section to respond with written comments concerning its 
proposed or existing school bus operations.
    (d) After receiving written comments, the grantee shall send his 
proposal with written comments thereon to the Administrator for his 
review under Sec. 605.17.



Sec. 605.21  Amendment of applications for assistance.

    Pending applications for assistance upon which public hearings have 
been held pursuant to section 3(d) of the Federal Mass Transit Act of 
1964, as amended (49 U.S.C. 1602(d)), and applications which have been 
approved by the Administrator but for which no grant contract has been 
executed, shall be amended by the applicant to conform to this part by 
following the procedures of Sec. 605.20(b) through (d).



              Subpart D--Complaint Procedures and Remedies



Sec. 605.30  Filing a complaint.

    Any interested party may file a complaint with the Administrator 
alleging a violation or violations of terms of an agreement entered into 
pursuant to Sec. 605.14. A complaint must be in writing, must specify in 
detail the action claimed to violate the agreement, and must be 
accompanied by evidence sufficient to enable the Administrator to make a 
preliminary determination as to whether probable cause exists to believe 
that a violation of the agreement has taken place.



Sec. 605.31  Notification to the respondent.

    On receipt of any complaint under Sec. 605.30, or on his own motion 
if at any time he shall have reason to believe that a violation may have 
occurred, the Administrator will provide written notification to the 
grantee concerned (hereinafter called ``the respondent'') that a 
violation has probably occurred. The Administrator will inform the 
respondent of the conduct which constitutes a probable violation of the 
agreement.



Sec. 605.32  Accumulation of evidentiary material.

    The Administrator will allow the respondent not more than 30 days to 
show cause, by submission of evidence, why no violation should be deemed 
to have occurred. A like period shall be allowed to the complainant, if 
any, during which he may submit evidence to rebut the evidence offered 
by the respondent. The Administrator may undertake such further 
investigation, as he may deem necessary, including, in his discretion, 
the holding of an evidentiary hearing or hearings.



Sec. 605.33  Adjudication.

    (a) After reviewing the results of such investigation, including 
hearing transcripts, if any, and all evidence submitted by the parties, 
the Administrator will make a written determination as to whether the 
respondent has

[[Page 839]]

engaged in school bus operations in violation of the terms of the 
agreement.
    (b) If the Administrator determines that there has been a violation 
of the agreement, he will order such remedial measures as he may deem 
appropriate.
    (c) The determination by the Administrator will include an analysis 
and explanation of his findings.



Sec. 605.34  Remedy where there has been a violation of the agreement.

    If the Administrator determines, pursuant to this subpart, that 
there has been a violation of the terms of the agreement, he may bar a 
grantee or operator from the receipt of further financial assistance for 
mass transportation facilities and equipment.



Sec. 605.35  Judicial review.

    The determination of the Administrator pursuant to this subpart 
shall be final and conclusive on all parties, but shall be subject to 
judicial review pursuant to title 5 U.S.C. 701-706.



                    Subpart E--Reporting and Records



Sec. 605.40  Reports and information.

    The Administrator may order any grantee or operator for the grantee, 
to file special or separate reports setting forth information relating 
to any transportation service rendered by such grantee or operator, in 
addition to any other reports required by this part.

                         Appendix A to Part 605

                                          Comptroller General of the    
                                                        United States,  
                                       Washington, DC, December 7, 1966.
    Dear Mr. Wilson: The enclosure with your letter of October 4, 1966, 
concerns the legality of providing a grant under the Federal Mass 
Transit Act of 1964 to the City of San Diego, (City), California. The 
problem involved arises in connection with the definition in subsection 
9(d)(5) of the Act, 49 U.S.C. 1608(d)(5), excluding charter or 
sightseeing service from the term ``mass transportation.''
    It appears from the enclosure with your letter that the City 
originally included in its grant application a request for funds to 
purchase 8 buses designed for charter service. Subsequently the City 
amended its application by deleting a request for a portion of the funds 
attributable to the charter bus coaches. However, in addition to the 8 
specially designed charter buses initially applied for, the City 
allegedly uses about 40 of its transit type buses to a substantial 
extent for charter-type services. In light of these factors surrounding 
the application by the City, the enclosure requests our opinion with 
regard to the legality of grants under the Act as it applies to certain 
matters (in effect questions), which are numbered and quoted below and 
answered in the order presented.
    Number one:
    ``The grant of funds to a City to purchase buses and equipment which 
are intended for substantial use in the general charter bus business as 
well as in the Mass Transportation type business.''
    The Federal Mass Transit Act of 1964 does not authorize grants to 
assist in the purchase of buses or other equipment for any service other 
than urban mass transportation service. Section 3(a) of the Act limits 
the range of eligible facilities and equipment to ``* * * buses and 
other rolling stock, and other real or personal property needed for an 
efficient and coordinated mass transportation system.'' In turn, ``mass 
transportation'' is defined, in section 9(d)(5) of the Act, specifically 
to exclude charter service. We are advised by the Department of Housing 
and Urban Development (HUD) that under these provisions, the Department 
has limited its grants to the purchase of buses of types suitable to 
meet the needs of the particular kind of urban mass transportation 
proposed to be furnished by the applicant.''
    HUD further advises that:
    ``One of the basic facts of urban mass transportation operations is 
that the need for rolling stock is far greater during the morning and 
evening rush hours on weekdays than at any other time. For that reason, 
any system which has sufficient rolling stock to meet the weekday rush-
hour needs of its customers must have a substantial amount of equipment 
standing idle at other times, as well as drivers and other personnel 
being paid when there is little for them to do. To relieve this 
inefficient and uneconomical situation, quite a number of cities have 
offered incidental charter service using this idle equipment and 
personnel during the hours when the same are not needed for regularly 
scheduled runs. Among the cities so doing are Cleveland, Pittsburgh, 
Alameda, Tacoma, Detroit and Dallas.
    ``Such service contributes to the success of urban mass 
transportation operations by bringing in additional revenues and 
providing full employment to drivers and other employees. It may in some 
cases even reduce the need for Federal capital grant assistance.
    ``We do not consider that there is any violation of either the 
letter or the spirit of the Act as a result of such incidental use of 
buses in charter service. To guard against

[[Page 840]]

abuses, every capital facilities grant contract made by this Department 
contains the following provisions:
    `` `Sec. 4. Use of Project Facilities and Equipment--The Public Body 
agrees that the Project facilities and equipment will be used for the 
provision of mass transportation service within its urban area for the 
period of the useful life of such facilities and equipment. . . . The 
Public Body further agrees that during the useful life of the Project 
facilities and equipment it will submit to HUD such financial statements 
and other data as may be deemed necessary to assure compliance with this 
Section.' ''
    It is our view that grants may be made to a city under section 3(a) 
of the Act to purchase buses needed by the city for an efficient and 
coordinated mass transportation system, even though the city may intend 
to use such buses for charter use when the buses are not needed on 
regularly scheduled runs (i.e. for mass transportation purposes) and 
would otherwise be idle.
    Number two:
    ``Whether a grant of such funds is proper if charter bus use is 
incidental to mass public transportation operations. If so, what is the 
definition of incidental use.''
    We are advised by HUD that under its legislative authority, it 
cannot and does not take charter service requirements into consideration 
in any way in evaluating the needs of a local mass transportation system 
for buses or other equipment.
    HUD further advises that:
    ``However, as indicated above, we are of the opinion that any lawful 
use of project equipment which does not detract from or interfere with 
the urban mass transportation service for which the equipment is needed 
would be deemed an incidental use of such equipment, and that such use 
of project equipment is entirely permissible under our legislation. What 
uses are in fact incidental, under this test, can be determined only on 
a case-by-case basis.''
    In view of what we stated above in answer to the first question, the 
first part of question two is answered in the affirmative.
    As to the second part of the question, in Security National 
Insurance Co. v. Secuoyah Marina, 246F.2d 830, ``incident'' is defined 
as meaning ``that which appertains to something else which is primary.'' 
Thus, we cannot say HUD's definition of incidental use as set forth 
above is unreasonable. Under the Act involved grants may be made to 
purchase buses only if the buses are needed for an efficient and 
coordinated mass transportation system. It would appear that if buses 
are purchased in order to meet this need, and are, in fact, used to meet 
such need, the use of such buses for charter service when not needed for 
mass transportation services would, in effect, be an ``incidental use,'' 
insofar as pertinent here. In our opinion such incidental use would not 
violate the provisions of the 1964 Act.
    Number three:
    ``The grant of funds for mass public transportation purposes to a 
City which has expressed an intent to engage in the general charter bus 
business when such funds would in effect constitute a subsidy to the 
City of its intended charter bus operations; i.e. freeing Municipal 
funds with which to purchase charter bus equipment.''
    Section 4(a) of the 1954 Act (49 U.S.C. 1603(a)) provides, in part, 
as follows:
    ``* * * The Administrator (now Secretary), on the basis of 
engineering studies, studies of economic feasibility, and data showing 
the nature and extent of expected utilization of the facilities and 
equipment, shall estimate what portion of the cost of a project to be 
assisted under section 1602 of this title cannot be reasonably financed 
from revenues--which portion shall hereinafter be called `net project 
cost'. The Federal grant for such a project shall not exceed two-thirds 
of the net project cost. The remainder of the net project cost shall be 
provided, in cash, from sources other than Federal funds * * *.''
    It is clear from the legislative history of the Act involved that 
the ``revenues'' to be considered are mass transportation system 
revenues including any revenues from incidental charter operations. 
There is nothing in the language of the Act which requires HUD to take 
into account the status of the general funds of an applicant city in 
determining how much capital grant assistance to extend to that city.
    It should be noted that in a sense nearly every capital grant to a 
city constitutes a partial subsidy of every activity of the city which 
is supported by tax revenues, since it frees tax revenues for such other 
uses.
    Number four:
    ``With specific reference to the application of the City of San 
Diego for funds under its application to the Department of Housing and 
Urban Development dated June 2, 1966, whether the Act permits a grant to 
purchase equipment wherein 25 percent of such equipment will be used 
either exclusively or substantially in the operation of charter bus 
services.''
    As to the City of San Diego's grant application, we have been 
advised by HUD as follows:
    ``As explained above, the Act authorizes assistance only for 
facilities to be used in mass transportation service. We could not, 
therefore, assist San Diego in purchasing any equipment to be used 
`exclusively' in the operation of charter bus service. Furthermore, as 
also explained above, assisted mass transportation equipment can be used 
only incidentally for such charter services.
    ``Whether equipment used `substantially' in such service qualifies 
under this rule can be answered only in the light of the specifics

[[Page 841]]

of the San Diego situation. * * * we have already, during our 
preliminary review of the City's application, disallowed about $150,000 
of the proposed project cost which was allocated to the purchase of 
eight charter-type buses.
    ``The final application of the City of San Diego is presently under 
active consideration by this Department. In particular, we have 
requested the City to furnish additional information as to the nature 
and extent of the proposed use, if any, of project facilities and 
equipment in charter service, so that we can further evaluate the 
application under the criteria above set forth. We have also requested 
similar information from Mr. Fredrick J. Ruane, who has filed a 
taxpayers' suit (Superior Court for San Diego County Civil 297329) 
against the City, contesting its authority to engage in charter bus 
operations.''
    As indicated above, it is clear that under the Act in question 
grants may not legally be made to purchase buses to be used 
``exclusively'' in the operation of charter bus service. However, in 
view of the purposes of the Act involved it is our opinion that a city 
which has purchased with grant funds buses needed for an efficient mass 
transportation system, is not precluded by the act from using such buses 
for charter service during idle or off-peak periods when the buses are 
not needed for regularly scheduled runs. As indicated above, such a use 
would appear to be an incidental use.
    The fourth question is answered accordingly.
    As requested, the correspondence enclosed with your letter is 
returned herewith.
Sincerely yours,

                                                   Frank H. Weitzel,    
                                         Assistant Comptroller General  
                                                   of the United States.
    Enclosures:
    The Honorable Bob Wilson, House of Representatives.

                                                         March 29, 1976.

                      Inflationary Impact Statement

               final regulations on school bus operations

    I certify that, in accordance with Executive Order 11821, dated 
November 27, 1974, and Departmental implementing instructions, an 
Inflationary Impact Statement is not required for final regulations on 
School Bus Operations.

                                               Robert E. Patricelli,    
                                                  Federal Mass Transit  
                                                          Administrator.



PART 609--TRANSPORTATION FOR ELDERLY AND HANDICAPPED PERSONS--Table of Contents




Sec.
609.1  Purpose.
609.3  Definitions.
609.5  Applicability.
609.23  Reduced fare.


Appendix A to Part 609--Elderly and Handicapped

    Authority:  49 U.S.C. 5307(d) and 5308(b); 23 U.S.C. 134, 135 and 
142; 29 U.S.C. 794; 49 CFR 1.51.

    Source:  41 FR 18239, Apr. 30, 1976, unless otherwise noted.



Sec. 609.1  Purpose.

    The purpose of this part is to establish formally the requirements 
of the Federal Transit Administration (FTA) on transportation for 
elderly and handicapped persons.



Sec. 609.3  Definitions.

    As used herein:
    Elderly and handicapped persons means those individuals who, by 
reason of illness, injury, age, congenital malfunction, or other 
permanent or temporary incapacity or disability, including those who are 
nonambulatory wheelchair-bound and those with semi-ambulatory 
capabilities, are unable without special facilities or special planning 
or design to utilize mass transportation facilities and services as 
effectively as persons who are not so affected.



Sec. 609.5  Applicability.

    This part, which applies to projects approved by the Federal Transit 
Administrator on or after May 31, 1976, applies to all planning, 
capital, and operating assistance projects receiving Federal financial 
assistance under sections 5307 or 5308 of the Federal transit laws (49 
U.S.C. Chapter 53), and nonhighway public mass transportation projects 
receiving Federal financial assistance under: (1) Subsection (a) or (c) 
of section 142 of title 23, United States Code; and (2) paragraph (4) of 
subsection (e) of section 103, title 23, United States Code. However, 
under certain circumstances evident in Secs. 609.13 through 609.21, the 
latter sections

[[Page 842]]

apply to fixed facilities and vehicles included in projects approved 
before May 31, 1976. Sections in this part on capital assistance 
applications, fixed facilities, and vehicles apply expressly to capital 
assistance projects receiving Federal financial assistance under any of 
the above statutes.
[41 FR 18239, Apr. 30, 1976, as amended at 61 FR 19562, May 2, 1996]



Sec. 609.23  Reduced fare.

    Applicants for financial assistance under section 5307 of the 
Federal transit laws (49 U.S.C. Chapter 53), must, as a condition to 
receiving such assistance, give satisfactory assurances, in such manner 
and form as may be required by the Federal Transit Administrator and in 
accordance with such terms and conditions as the Federal Transit 
Administrator may prescribe, that the rates charged elderly and 
handicapped persons during non-peak hours for transportation utilizing 
or involving the facilities and equipment of the project financed with 
assistance under this section will not exceed one-half of the rates 
generally applicable to other persons at peak hours, whether the 
operation of such facilities and equipment is by the applicant or is by 
another entity under lease or otherwise.
[41 FR 18239, Apr. 30, 1976, as amended at 61 FR 19562, May 2, 1996]

             Appendix A to Part 609--Elderly and Handicapped

    The definitions of the term elderly and handicapped as applied under 
FTA's elderly and handicapped half-fare program (49 CFR part 609) shall 
apply to this rule. This permits a broader class of handicapped persons 
to take advantage of the exception than would be permitted under the 
more restrictive definition applied to the non-discrimination provisions 
of the Department's section 504 program (49 CFR 27.5), which includes 
only handicapped persons otherwise unable to use the recipient's bus 
service for the general public.
    Accordingly, for the purposes of this part, the definition of 
elderly persons may be determined by the FTA recipient but must, at a 
minimum, include all persons 65 years of age or over.
    Similarly, the definition of handicapped persons is derived from the 
existing regulations at 49 CFR 609.3 which provide that Handicapped 
persons means those individuals who, by reason of illness, injury, age, 
congenital malfunction, or other permanent or temporary incapacity or 
disability, including those who are nonambulatory wheelchair-bound and 
those with semi-ambulatory capabilities, are unable without special 
facilities or special planning or design to utilize mass transportation 
facilities and services as effectively as persons who are not so 
affected.
    To assist in understanding how the definitions might be applied to 
administration of the charter rule, the following questions and answers 
previously published by FTA for the half-fare program in FTA C 9060.1, 
April 20, 1978, are reproduced:
    1. Question: Can the definition of elderly or handicapped be 
restricted on the basis of residency, citizenship, income, employment 
status, or the ability to operate an automobile?
    Answer: No. Section 5(m) is applicable to elderly and handicapped 
persons. It is FTA's policy that such categorical exceptions are not 
permitted under the Act.
    2. Question: Can the eligibility of temporary handicaps be 
restricted on the basis of their duration?
    Answer: Handicaps of less than 90 days duration may be excluded. 
Handicaps of more than 90 days duration must be included.
    3. Question: Can the definition of handicap be limited in any way?
    Answer: FTA has allowed applicants to exclude some conditions which 
appear to meet the functional definition of handicap provided in section 
5302(a)(5) of the Federal transit laws (49 U.S.C. Chapter 53). These 
include pregnancy, obesity, drug or alcohol addiction, and certain 
conditions which do not fall under the statutory definition (e.g., loss 
of a finger, some chronic heart or lung conditions, controlled epilepsy, 
etc.). Individuals may also be excluded whose handicap involves a 
contagious disease or poses a danger to the individual or other 
passengers. Other exceptions should be reviewed on a case-by-case basis.
    4. Question: Is blindness considered a handicap under Section 5(m)?
    Answer: Yes.
    5. Question: Is deafness considered a handicap under section 5(m)?
    Answer: As a rule, no, because deafness, especially on buses, is not 
considered a disability which requires special planning, facilities, or 
design. However, deafness is recognized as a handicap in the Department 
of Transportation's ADA regulation, and applicants for Section 5 
assistance are encouraged to include the deaf as eligible for off-peak 
half-fares.
    6. Question: Is mental illness considered a handicap under section 
5(m)?
    Answer: As a rule, no, because of the difficulty in establishing 
criteria or guidelines

[[Page 843]]

for defining eligibility. However, FTA encourages applicants to provide 
the broadest possible coverage in defining eligible handicaps, including 
mental illness.
    7. Question: Can operators delegate the responsibility for 
certifying individuals as eligible to other agencies?
    Answer: Yes, provided that such agencies administer the 
certification of individuals in an acceptable manner and are reasonably 
accessible to the elderly and handicapped. Many operators currently make 
extensive use of social service agencies (both public and private) to 
identify and certify eligible individuals.
    8. Question: Can operators require elderly and handicapped 
individuals to be recognized by any existing agency (e.g., require that 
handicapped persons be receiving Social Service or Veterans' 
Administration benefits)?
    Answer: Recognition by such agencies is commonly used to certify 
eligible individuals. However, such recognition should not be a 
mandatory prerequisite for eligibility. For example, many persons with 
eligible temporary handicaps may not be recognized as handicapped by 
social service agencies.
    9. Question: Can the operator require that elderly and handicapped 
persons come to a central office to register for an off-peak half-fare 
program?
    Answer: FTA strongly encourages operators to develop procedures 
which maximize the availability of off-peak half-fares to eligible 
individuals. Requiring individuals to travel to a single office which 
may be inconveniently located is not consistent with this policy, 
although it is not strictly prohibited. FTA reserves the right to review 
such local requirements on a case-by-case basis.
    10. Question: Must ID cards issued by one operator be transferable 
to another?
    Answer: No. However, FTA encourages consistency among off-peak 
procedures and the maximizing of availability to eligible individuals, 
especially among operators within a single urban area. Nevertheless, 
each operator is permitted to require its own certification of 
individuals using its service.
    11. Question: Can an operator require an elderly or handicapped 
person to submit to a procedure certifying their eligibility before they 
can receive half-fare? For example, if an operator requires eligible 
individuals to have a special ID card, can the half-fare be denied to an 
individual who can otherwise give proof of age, etc, but does not have 
an ID card?
    Answer: Yes, although FTA does not endorse this practice.
[53 FR 53356, Dec. 30, 1988. Redesignated and amended at 61 FR 19562, 
May 2, 1996]



PART 613--PLANNING ASSISTANCE AND STANDARDS--Table of Contents




     Subpart A--Metropolitan Transportation Planning and Programming

Sec.
613.100  Metropolitan transportation planning and programming.

      Subpart B--Statewide Transportation Planning and Programming

613.200  Statewide transportation planning and programming.

 Subpart C--Coordination of Federal and Federally Assisted Programs and 
                                Projects

613.300  Coordination of Federal and federally assisted programs and 
          projects.

    Authority:  23 U.S.C 134, 135, and 217(g); 42 U.S.C. 3334, 4233, 
4332, 7410 et seq; 49 U.S.C. 5303-5306, 5323(k); and 49 CFR 1.48(b), 
1.51(f) and 21.7(a).



     Subpart A--Metropolitan Transportation Planning and Programming



Sec. 613.100  Metropolitan transportation planning and programming.

    The regulations in 23 CFR part 450, subpart C, shall be followed in 
complying with the requirements of this subpart. 23 CFR part 450, 
subpart C, requires a metropolitan planning organization (MPO) be 
designated for each urbanized area and that the metropolitan area have a 
continuing, cooperative, and comprehensive transportation planning 
process that results in plans and programs that consider all 
transportation modes. These plans and programs shall lead to the 
development of an integrated, intermodal metropolitan transportation 
system that facilitates the efficient, economic movement of people and 
goods.
[58 FR 58079, Oct. 28, 1993]



      Subpart B--Statewide Transportation Planning and Programming



Sec. 613.200  Statewide transportation planning and programming.

    The regulations in 23 CFR part 450, subpart B, should be followed in 
complying with the requirements of this

[[Page 844]]

subpart. 23 CFR part 450, subpart B, requires each State to carry out an 
intermodal statewide transportation planning process, including the 
development of a statewide transportation plan and transportation 
improvement program that facilitates the efficient, economic movement of 
people and goods in all areas of the State, including those areas 
subject to the requirements of 23 U.S.C. 135 and sections 3, 5, 8, 9 and 
26 of the Federal Transit Act (49 U.S.C. app. 1602, 1604, 1607, 1607a, 
and 1622).
[58 FR 58079, Oct. 28, 1993]



 Subpart C--Coordination of Federal and Federally Assisted Programs and 
                                Projects



Sec. 613.300  Coordination of Federal and federally assisted programs and projects.

    The coordination of Federal and federally assisted programs and 
projects implementing OMB revised Circular No. A-95, which are set forth 
in 23 CFR part 420, subpart C, are incorporated into this subpart.
[41 FR 33443, Aug. 9, 1976]



PART 614--TRANSPORTATION INFRASTRUCTURE MANAGEMENT--Table of Contents




    Authority:  23 U.S.C. 303; 49 U.S.C. 5303-5305; and 49 CFR 1.48 and 
1.51.

    Source: 61 FR 67175, Dec. 19, 1996, unless otherwise noted.



Sec. 614.101  Cross-reference to management systems.

    The regulations in 23 CFR Part 500, subparts A and B shall be 
followed in complying with the requirements of this part. Part 500, 
subparts A and B implement 23 U.S.C. 303 for State development, 
establishment, and implementation of systems for managing traffic 
congestion (CMS), public transportation facilities and equipment (PTMS), 
intermodal transportation facilities and systems (IMS), and traffic 
monitoring for highways and public transportation facilities and 
equipment.



PART 622--ENVIRONMENTAL IMPACT AND RELATED PROCEDURES--Table of Contents




                   Subpart A--Environmental Procedures

Sec.
622.101  Cross-reference to procedures.

                          Subpart B--[Reserved]

             Subpart C--Requirements for Energy Assessments

622.301  Buildings.



                   Subpart A--Environmental Procedures

    Authority:  42 U.S.C. 4321 et seq.; 49 U.S.C. 1601 et seq.; 49 CFR 
1.51.



Sec. 622.101  Cross-reference to procedures.

    The procedures for complying with the National Environmental Policy 
Act of 1969, as amended (42 U.S.C. 4321 et seq.), and related statutes, 
regulations, and orders are set forth in part 771 of title 23 of the 
Code of Federal Regulations.
[52 FR 32660, Aug. 28, 1987]



                          Subpart B--[Reserved]



             Subpart C--Requirements for Energy Assessments

    Authority:  Sec. 403(b), Pub. L. 95-620; E.O. 12185.



Sec. 622.301  Buildings.

    (a) FTA assistance for the construction, reconstruction, or 
modification of buildings for which applications are submitted to FTA 
after October 1, 1980, will be approved only after the completion of an 
energy assessment. An energy assessment shall consist of an analysis of 
the total energy requirements of a building, within the scope of the 
proposed construction activity and at a level of detail appropriate to 
that scope, which considers:
    (1) Overall design of the facility or modification, and alternative 
designs;
    (2) Materials and techniques used in construction or rehabilitation;

[[Page 845]]

    (3) Special or innovative conservation features that may be used;
    (4) Fuel requirements for heating, cooling, and operations essential 
to the function of the structure, projected over the life of the 
facility and including projected costs of this fuel; and
    (5) Kind of energy to be used, including:
    (i) Consideration of opportunities for using fuels other than 
petroleum and natural gas, and
    (ii) Consideration of using alternative, renewable energy sources.
    (b) Compliance with the requirements of paragraph (a) of this 
section shall be documented as part of the Environmental Assessment or 
Environmental Impact Statement for projects which are subject to a 
requirement for one. Projects for which there is no environmental 
assessment or EIS shall document compliance by submission of appropriate 
material with the application for FTA assistance for actual 
construction.
    (c) The cost of undertaking and documenting an energy assessment may 
be eligible for FTA participation if the requirements of Federal 
Management Circular 74-4 (A-87) are met.
    (d) This requirement shall not apply to projects for which the final 
project application or environmental assessment have been submitted to 
FTA prior to October 1, 1980.
[45 FR 58038, Aug. 29, 1980]



PART 630--UNIFORM SYSTEM OF ACCOUNTS AND RECORDS AND REPORTING SYSTEM--Table of Contents




Sec.
630.1  Purpose.
630.2  Scope.
630.3  Definitions.
630.4  Requirements.
630.5  Failure to report data.
630.6  Late and incomplete reports.
630.7  Failure to respond to questions.
630.8  Questionable data items.
630.9  Notice of FTA action.
630.10  Waiver of reporting requirements.
630.11  Data adjustments.
630.12  Display of OMB control numbers.


Appendix to Part 630--Overview and Explanation of the Urban Mass 
          Transportation Industry Uniform System of Accounts and Records 
          and Reporting System

    Authority:  Sec. 111, Pub. L. 93-503, 88 Stat. 1573 (49 U.S.C. 
1611); Secs. 303(a) and 304(c), Public Law 97-424, 96 Stat. 2141 (49 
U.S.C. 1607); and 49 CFR 1.51.

    Source:  58 FR 4888, Jan. 15, 1993, unless otherwise noted.



Sec. 630.1  Purpose.

    The purpose of this part is to prescribe requirements and procedures 
necessary for compliance with the Uniform System of Accounts and Records 
and Reporting System mandated by section 15 of the Federal Transit Act, 
as amended, 49 U.S.C. 1611, and to set forth the procedures for 
addressing a reporting agency's failure to comply with these 
requirements.



Sec. 630.2  Scope.

    This part applies to all applicants and beneficiaries of Federal 
financial assistance under section 9 of the Federal Transit Act, as 
amended (49 U.S.C. 1607a).



Sec. 630.3  Definitions.

    (a) Except as otherwise provided, terms defined in the Federal 
Transit Act, as amended (49 U.S.C. 1601 et seq.), are used in this part 
as so defined.
    (b) Terms defined in the current editions of the Urban Mass 
Transportation Industry Uniform System of Accounts and Records and the 
annual Reporting Manual, are used in this part as so defined.
    (c) For purposes of this part:
    Administrator means the Federal Transit Administrator or the 
Administrator's designee.
    Applicant means an applicant for assistance under section 9 of the 
Federal Transit Act, as amended.
    Assistance means Federal financial assistance for the acquisition, 
construction, or operation of public mass transportation services.
    Beneficiary means any organization operating and delivering urban 
transit services that directly receives benefits from assistance under 
section 9 of the Federal Transit Act, as amended.
    Chief Executive Officer (CEO) means the principal executive in 
charge of and responsible for the reporting agency.

[[Page 846]]

    Current edition of the Urban Mass Transportation Industry Uniform 
System of Accounts and Records and the Reporting Manual means the most 
recently issued edition of the reference documents.
    Days mean calendar days.
    The Federal Transit Act means the Federal Transit Act, as amended 
(49 U.S.C. 1601a et seq.)
    Mass Transportation Agency or transit agency means an agency 
authorized to transport people by bus, rail, or other conveyance, either 
publicly or privately owned, and which provides to the public general or 
special service (but not including school, charter, or sightseeing 
service) on a regular and continuing, scheduled or unscheduled, basis. 
Transit agencies are classified according to the mode of transit service 
operated. A multi-mode transit agency operates two or more modes, which 
are defined in the current editions of the Urban Mass Transportation 
Industry Uniform System of Accounts and Records and the Reporting 
Manual.
    Reference Document(s) means the current editions of the Urban Mass 
Transportation Industry Uniform System of Accounts and Records, and the 
Reporting Manual. These documents are subject to periodic revision. 
Beneficiaries and applicants are responsible for using the current 
editions of the reference documents.
    Reporting agency means the agency required to submit a report under 
section 15.



Sec. 630.4  Requirements.

    (a) Uniform system of accounts and records. Each applicant for and 
direct beneficiary of Federal financial assistance under section 9 of 
the Federal Transit Act must comply with the applicable requirements of 
the section 15 Uniform System of Accounts and Records, as set forth in 
the current edition of the ``Urban Mass Transportation Industry Uniform 
System of Accounts and Records''; the ``Reporting Manual''; Circulars; 
and other reference documentation.
    (b) Reporting system. Each applicant for, and direct beneficiary of, 
Federal financial assistance under section 9 of the Federal Transit Act 
must comply with the applicable requirements of the section 15 Reporting 
System, as set forth in the current edition of the ``Urban Mass 
Transportation Industry Uniform System of Accounts and Records''; the 
``Reporting Manual''; Circulars; and other reference documentation.
    (c) Copies. Copies of these referenced documents are available from 
the Federal Transit Administration, Office of Grants Management, Audit 
Review and Analysis Division, P.O. Box 61126, Washington, DC 20039-1126. 
These reference documents are subject to periodic revision. Revisions of 
these documents will be mailed to all persons required to comply and a 
notice of any significant changes in these reference documents will be 
published in Federal Register.



Sec. 630.5  Failure to report data.

    Failure to report data in accordance with this part will result in 
the reporting agency being ineligible to receive any section 9 grants 
directly or indirectly (e.g., a public agency receiving The FTA funds 
through another public agency rather than directly from the FTA). This 
ineligibility applies to all reporting agencies without regard to the 
size of the urbanized area served by the reporting agency.



Sec. 630.6  Late and incomplete reports.

    (a) Late reports. Each reporting agency shall ensure that its report 
is received by the FTA on due dates prescribed in the annual Reporting 
Manual. A reporting agency may request an extension of 30 days after the 
due date. The FTA will treat a failure to submit the required report by 
the due date as failure to report data under Sec. 630.05.
    (b) Incomplete reports. The FTA will treat any report or submission 
which does not contain all the necessary reporting forms, data, or 
certifications for services directly operated by the reporting agency in 
substantial conformance with the definitions, procedures, and format 
requirements set out in the section 15 Uniform System of Accounts and 
Records and Reporting System as failure to report data under 
Sec. 630.05. The FTA will treat the submission of a report with 
incomplete data or missing

[[Page 847]]

forms for services provided under contract to the reporting agency by 
private or public carriers as failure to report data under Sec. 630.05 
provided that the reporting agency has exhausted all possibilities for 
obtaining this information.



Sec. 630.7  Failure to respond to questions.

    The FTA will review each section 15 report to verify the 
reasonableness of the data submitted. If any of the data do not appear 
reasonable, the FTA will notify the reporting agency of this fact and 
request written justification to document the accuracy of the questioned 
data. Failure of a reporting agency to make a good faith written 
response to this request will be treated under Sec. 630.5 as failure to 
report data.



Sec. 630.8  Questionable data items.

    The FTA may enter a zero or adjust any questionable data item(s) in 
a reporting agency's section 15 report used in computing the section 9 
apportionment. These adjustments may be made if any data appear 
inaccurate or have not been collected and reported in accordance with 
the FTA's definitions and/or confidence and precision levels, or if 
there is lack of adequate documentation or a reliable recordkeeping 
system.



Sec. 630.9  Notice of FTA action.

    Before taking final action under Sec. 630.5, Sec. 630.6, Sec. 630.7 
or Sec. 630.8, the FTA will transmit a written request to the reporting 
agencies to provide the necessary information within a specified 
reasonable period of time. The FTA will advise the reporting agency of 
its final decision in this regard.



Sec. 630.10  Waiver of reporting requirements.

    Waivers of one or more sections of the reporting requirements may be 
granted at the discretion of the Administrator on a written showing that 
the party seeking the waiver cannot furnish the required data without 
unreasonable expense and inconvenience. Each waiver will be for a 
specified period of time.



Sec. 630.11  Data adjustments.

    Errors in the data used in making the apportionment may be 
discovered after any particular year's apportionment is completed. If 
so, the FTA shall make adjustments to correct these errors in a 
subsequent year's apportionment to the extent feasible.



Sec. 630.12  Display of OMB control numbers.

    All of the information collection requests in this part have been 
approved by the Office of Management and Budget under control number 
2132-0008.

   Appendix A to Part 630--Overview and Explanation of the Urban Mass 
   Transportation Industry Uniform System of Accounts and Records and 
                            Reporting System

                             A. Introduction

    Section 15 of the Federal Transit Act, as amended, provides for 
establishment of two information-gathering analytic systems: A Uniform 
System of Accounts and Records, and a Reporting System for the 
collection and dissemination of public mass transportation financial and 
operating data by uniform categories. The purpose of these two Systems 
is to provide information on which to base public transportation 
planning and public sector investment decisions. The section 15 system 
is administered by the Federal Transit Administration (FTA).
    The Uniform System of Accounts and Records consists of:
     Various categories of accounts and records for classifying 
financial and operating data;
     Precise definitions as to what data elements are to be 
included in these categories; and
     Definitions of practices for systematic colloection and 
recording of such information.
     While a specific accounting system is recommended for this 
recordkeeping, it is possible to make a translation from most existing 
accounting systems to comply with the Section 15 Reporting System, which 
consists of forms and procedures:
     For transmitting data from transit agencies to the FTA;
     For editing and storing the data; and
     For the FTA to report information to various groups.
    Under the terms of section 15 of the Federal Transit Act, as 
amended, all applicants for, and beneficiaries of, Federal assistance 
under section 9 of the Act (under the formula grant programs) must 
comply with the Reporting System and the Uniform System of

[[Page 848]]

Accounts and Records in order to be eligible for Federal grants. It 
should be noted that separate and complete Section 15 reports must be 
submitted by or for each purchased transportation service provider that 
operates 100 or more revenue vehicles for the purchased service during 
the maximum service period.

                       B. Purpose of This Appendix

    This appendix presents a general introduction to the structure and 
operation of the two Systems. It is not a detailed set of instructions 
for completion of a Section 15 report or establishment of a System of 
Accounts and Records. Persons in need of more information should refer 
to the current editions of the Urban Mass Transportation Industry 
Uniform System of Accounts and Records and the Reporting Manual, 
available from: Federal Transit Administration, Audit Review and 
Analysis Division, Office of Capital and Formula Assistance, P.O. Box 
61126, Washington, DC 20039-1126.
    The FTA periodically updates these reference documents or 
supplements them to revise or clarify section 15 definitions, reporting 
forms and instructions. Section 630.4 makes clear that reporting 
agencies must use the most recent edition of reference documents and 
reporting forms to comply with the section 15 requirements. The FTA 
therefore encourages local officials to check with the FTA before 
completing a Section 15 report to avoid unnecessary efforts and delays.

               C. Special (Reduced) Reporting Requirements

    Certain information collection and recording requirements were 
tailored to accommodate the unique characteristics of certain 
transportation modes. Reduced requirements were permitted during limited 
time periods to ease transition to complete reporting for these modes. 
Reduced reporting requirements for commuter rail systems and vanpool 
services ended in the 1987 report year. In addition, the reduced 
reporting requirements for private subscription and private noncontract 
conventional bus service is eliminated for the 1992 report year.

  D. A Single Required Level of Section 15 Reporting and Recordkeeping

    The FTA has developed a single required reporting format for use by 
all transit agencies. The single required level accommodates variations 
in size, local laws, and modes of transport.
    The Uniform Systems also contain a limited amount of additional more 
detailed financial and operational data that can be submitted at the 
reporting agency's option. Because the optional subcategories of data 
can be aggregated to the required level, these subcategories define the 
more aggregated data. The definitions for data reported at the required 
level are consistent with, and summarized from, those for the more 
detailed optional data.

              E. The Uniform System of Accounts and Records

    The Uniform System of Accounts and Records (USOA) consists of a 
financial accounting and operational recordkeeping system designed for 
mass transportation managers and planners. Its uniformity permits more 
thorough and accurate comparisons and analyses of different transit 
agencies' operating costs and efficiencies than if each had a unique 
recordkeeping and accounting system. The System establishes various 
categories of accounts and records for classifying mass transportation 
operating and financial data, and includes precise definitions of 
transportation terminology to ensure that all users share a common 
understanding of how to use and interpret the collected data.

               (1) Use of the Accounts and Records System

    Beneficiaries of, and applicants for, Federal assistance are not 
required to use the Uniform System of Accounts and Records in keeping 
their own records. If an applicant or beneficiary chooses not to use the 
System, however, it must nevertheless be able to translate its accounts 
and records system to the accounts prescribed in the System. The 
accounting system that the reporting agency uses must permit preparation 
of financial and operating data that conform to the Uniform System 
directly from its records at the end of the fiscal year, and must be 
consistent with the following:
    (i) The data must have been developed using the accrual method of 
accounting. Those transit systems that use cash-basis accounting, in 
whole or in part, must make work sheet adjustments in their account 
books to record the data on the accrual basis.
    (ii) Reporting agencies must follow or be able to directly translate 
their system to the accounting treatment specified in the publication 
``Uniform System of Accounts and Records.''
    (iii) The reporting agency's accounting categories (chart of 
accounts) must be correctly related, using a clear audit trail, to the 
accounting categories prescribed in the Uniform System of Accounts and 
Records.

     (2) General Structure of Uniform System of Accounts and Records

    In the Section 15 Uniform System of Accounts and Records, operating 
expenses incurred by the transit system are classified by transit mode. 
The FTA developed expense classifications in two dimensions for 
uniformity and to enhance the usefulness of the

[[Page 849]]

data collected under section 15. The classifications are typical of 
those of most transit accounting systems. The two dimensions are:
    (i) The type of expenditure (expense object class); and
    (ii) The function or activity performed.
    Operating expenses can be identified either in function or object 
class categories, or cross-classified, allowing identification using 
both categories. The Uniform System also categorizes expenditures by 
four basic functions submitted by all reporting agencies. A limited 
number of additional details are optional. All reporting agencies are 
required to use a single set of object class categories.
    The Uniform System has a single set of revenue object classes to be 
used by all reporting agencies, and provides a limited number of 
additional details that are optional.
    The Uniform System provides a classification for sources and uses of 
capital to be submitted by all reporting agencies. These classifications 
replace capital information previously required on the balance sheet and 
capital subsidiary schedule.
    The Uniform System of Accounts and Records also includes collecting 
and recording of certain operating data elements.
    Details and definitions of the expense object classes, functions, 
revenue object classes, sources and uses of capital, and operating data 
elements are contained in the current edition of the ``Reporting 
Manual,'' which is updated annually, and the USOA reference documents.

                         F. The Reporting System

    (1) The Section 15 Reporting System consists of forms and procedures 
for transmitting data from transit agencies to the FTA. All 
beneficiaries of Federal financial assistance must submit the required 
forms and information in order to allow the FTA to: (1) Store and 
generate information on the Nation's mass transportation systems; and 
(2) calculate apportionment allocations for the section 9 formula grant 
program (for urbanized areas of 200,000 or more inhabitants). Agencies 
submitting Section 15 reports may only submit data for transit services 
which they directly operate and purchase under contract from public 
agencies and/or private carriers.
    Separate and complete Section 15 reports must be submitted by or for 
each purchased transportation service provider that operates 100 or more 
revenue vehicles for the purchased service during the maximum service 
period. The reporting requirements include the following major segments, 
which are based on information assembled through the Uniform System of 
Accounts and Records:
    1. Capital report.
    2. Revenue report.
    3. Expense report.
    4. Nonfinancial operating data reports.
    5. Miscellaneous auxiliary questionnaires and subsidiary schedules.
    6. Data declarations.
    (2) The Section 15 Reporting System includes two data declarations.
    (a) The Chief Executive Officer (CEO) Certification.
    The CEO of each reporting agency is required to submit a 
certification with each annual Section 15 report. The certification must 
attest:
     To the accuracy of all data contained in the Section 15 
report;
     That all data submitted in the Section 15 report are in 
accord with Section 15 definitions;
     If applicable, that the reporting agency's accounting 
system used to derive all data submitted in the Section 15 report is the 
section 15 Uniform System of Accounts and Records and that a Section 15 
report using this system was certified by an independent auditor in a 
previous report year;
     If applicable, the fact that the reporting agency's 
internal accounting system is other than the Uniform System of Accounts 
and Records, and that its: (i) accounting system uses the accrual basis 
of accounting, (ii) accounting system is directly translated, using a 
clear audit trail, to the accounting treatment and categories specified 
by the section 15 Uniform System of Accounts and Records, and (iii) 
accounting system and direct translation to the Uniform System of 
Accounts and Records are the same as those certified by an independent 
auditor in a previous reporting year; and
     That a 100% count of passenger mile data was conducted or 
that the sampling method used to collect passenger mile data for each 
mode/type of service meets the FTA requirements.
    (b) Auditor Statement on Section 15 Financial Data Reporting Forms 
and Section 9 Data.
    Reporting agencies must submit with their Section 15 report a 
statement signed by an independent public accountant or other 
responsible independent entity such as a state audit agency. This 
statement must express an opinion on whether the financial data 
reporting forms in the Section 15 report present fairly, in all material 
respects, the information required to be set forth therein in accordance 
with the Uniform System of Accounts and Records. The statement shall 
also indicate whether any of the reporting forms or data elements do not 
conform to the section 15 requirements, and describe the discrepancies. 
The statement must consider both required and optional data entries.
    Each agency is required to file an Auditor Statement unless it 
received a written waiver from the FTA. The criteria in either Condition 
I or Condition II for granting a financial data waiver are:

[[Page 850]]

    Condition I. The reporting agency (1) has adopted the Industry 
Uniform System of Accounts and Records (USOA) and (2) has previously 
submitted a Section 15 report that was compiled using the USOA and was 
reviewed by an independent auditor; or
    Condition II. The reporting agency (1) uses an internal accounting 
system other than the accounting system prescribed by the USOA, (2) uses 
the accrual basis of accounting, (3) directly translates the system and 
accounting categories, using a clear audit trail, to the accounting 
treatment and categories specified by the USOA, and (4) has previously 
submitted a Section 15 report that was compiled using the same internal 
accounting system and translation to the USOA and was reviewed by an 
independent auditor.
    For agencies that have received a waiver, the CEO annual 
Certification must verify that the financial data meet one of the above 
two conditions.
    Additionally, all reporting agencies that are in or serve urbanized 
areas with populations of 200,000 or more and whose report covers 100 or 
more vehicles in annual maximum service across all modes and types of 
service must have an independent auditor review all section 15 data used 
in the section 9 formula allocation. The statement should discuss, by 
mode and type of service: directional route miles, vehicle revenue 
miles, passenger miles, and operating cost, and include both directly 
operated and purchased service. The independent, certified public 
accountant shall perform the verification in accordance with the 
``Statements on Standards for Attestation Engagements'' issued by the 
American Institute of Certified Public Accountants. The specific 
procedures to be reviewed are described in the most recent Section 15 
Reporting Manual.



PART 633--PROJECT MANAGEMENT OVERSIGHT--Table of Contents




                      Subpart A--General Provisions

Sec.
633.1  Purpose.
633.3  Scope.
633.5  Definitions.

            Subpart B--Project Management Oversight Services

633.11  Covered projects.
633.13  Initiation of PMO services.
633.15  Access to information.
633.17  PMO contractor eligibility.
633.19  Financing the PMO program.

                   Subpart C--Project Management Plans

633.21  Basic requirement.
633.23  FTA review of PMP.
633.25  Contents of a project management plan.
633.27  Implementation of a project management plan.
633.29  PMP waivers.

    Authority:  49 U.S.C. 1601 et. seq., 1619.

    Source:  54 FR 36711, Sept. 1, 1989, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 633.1  Purpose.

    This part implements section 324 of the Surface Transportation and 
Uniform Relocation Assistance Act of 1987 (Pub. L. 100-17), which added 
section 23 to the FT Act. The part provides for a two-part program for 
major capital projects receiving assistance from the agency. First, 
subpart B discusses project management oversight, designed primarily to 
aid FTA in its role of ensuring successful implementation of federally-
funded projects. Second, subpart C discusses the project management plan 
(PMP) required of all major capital projects. The PMP is designed to 
enhance the recipient's planning and implementation efforts and to 
assist FTA's grant application analysis efforts.



Sec. 633.3  Scope.

    This rule applies to a recipient of Federal financial assistance 
undertaking a major capital project using funds made available under:
    (a) Sections 3, 9, or 18 of the Federal Mass Transit Act of 1964, as 
amended;
    (b) 23 U.S.C. 103(e)(4); or
    (c) Section 14(b) of the National Capital Transportation Amendments 
of 1979 (93 Stat. 1320, Pub. L. 96-184).



Sec. 633.5  Definitions.

    As used in this part:
    Administrator means the Administrator of the Federal Transit 
Administration or the Administrator's designee.
    Days means calendar days.
    Fixed guideway means any public transportation facility which 
utilizes and occupies a separate right-of-way or rails. This includes, 
but is not limited to, rapid rail, light rail, commuter rail, automated 
guideway transit, people movers, and exclusive facilities for

[[Page 851]]

buses and other high occupancy vehicles.
    Full funding agreement means a written agreement between FTA and a 
recipient that establishes a financial ceiling with respect to the 
Government's participation in a project; sets forth the scope of a 
project; and sets forth the mutual understanding, terms, and conditions 
relating to the construction and management of a project.
    Major capital project means a project that:
    (1) Involves the construction of a new fixed guideway or extension 
of an existing fixed guideway;
    (2) Involves the rehabilitation or modernization of an existing 
fixed guideway with a total project cost in excess of $100 million; or
    (3) The Administrator determines is a major capital project because 
the project management oversight program will benefit specifically the 
agency or the recipient. Typically, this means a project that:
    (i) Generally is expected to have a total project cost in excess of 
$100 million or more to construct;
    (ii) Is not exclusively for the routine acquisition, maintenance, or 
rehabilitation of vehicles or other rolling stock;
    (iii) Involves new technology;
    (iv) Is of a unique nature for the recipient; or
    (v) Involves a recipient whose past experience indicates to the 
agency the appropriateness of the extension of this program.
    Project management oversight means the monitoring of a major capital 
project's progress to determine whether a project is on time, within 
budget, in conformance with design criteria, constructed to approved 
plans and specifications and is efficiently and effectively implemented.
    Project management plan means a written document prepared by a 
recipient that explicitly defines all tasks necessary to implement a 
major capital project.
    Recipient means a direct recipient of Federal financial assistance 
from FTA.
    FT Act means the Federal Mass Transit Act of 1964, as amended.
    FTA means the Federal Transit Administration.



            Subpart B--Project Management Oversight Services



Sec. 633.11  Covered projects.

    The Administrator may contract for project management oversight 
services when the following two conditions apply:
    (a) The recipient is using funds made available under section 3, 9, 
or 18 of the Federal Mass Transit Act of 1964, as amended; 23 U.S.C. 
103(e)(4); or section 14(b) of the National Capital Transportation 
Amendments of 1979; and
    (b) The project is a ``major capital project''.



Sec. 633.13  Initiation of PMO services.

    PMO services will be initiated as soon as it is practicable, once 
the agency determines this part applies. In most cases, this means that 
PMO will begin during the preliminary engineering phase of the project. 
However, consistent with other provisions in this part, the 
Administrator may determine that a project is a ``major capital 
project'' at any point during its implementation. Should this occur, PMO 
will begin as soon as practicable after this agency determination.



Sec. 633.15  Access to information.

    A recipient of FTA funds for a major capital project shall provide 
the Administrator and the PMO contractor chosen under this part access 
to its records and construction sites, as reasonably may be required.



Sec. 633.17  PMO contractor eligibility.

    (a) Any person or entity may provide project management oversight 
services in connection with a major capital project, with the following 
exceptions:
    (1) An entity may not provide PMO services for its own project; and
    (2) An entity may not provide PMO services for a project if there 
exists a conflict of interest.
    (b) In choosing private sector persons or entities to provide 
project management oversight services, FTA uses the procurement 
requirements in the government-wide procurement regulations, found at 48 
CFR CH I.

[[Page 852]]



Sec. 633.19  Financing the PMO program.

    (a) FTA is authorized to expend up to \1/2\ of 1 percent of the 
funds made available each fiscal year under sections 3, 9, or 18 of the 
FT Act, 23 U.S.C. 103(e)(4), or section 14(b) of the National Capital 
Transportation Amendments of 1979 (93 Stat. 1320) to contract with any 
person or entity to provide a project management oversight service in 
connection with a major capital project as defined in this part.
    (b) A contract entered into between FTA and a person or entity for 
project management oversight services under this part will provide for 
the payment by FTA of 100 percent of the cost of carrying out the 
contract.



                   Subpart C--Project Management Plans



Sec. 633.21  Basic requirement.

    (a) If a project meets the definition of major capital project, the 
recipient shall submit a project management plan prepared in accordance 
with Sec. 633.25 of this part, as a condition of Federal financial 
assistance. As a general rule, the PMP must be submitted during the 
grant review process and is part of FTA's grant application review. This 
section applies if:
    (1) The project fails under one of the automatic major capital 
investment project categories (Sec. 633.5(1) or (2) of this part); or
    (2) FTA makes a determination that a project is a major capital 
project, consistent with the definition of major capital project in 
Sec. 633.5. This determination normally will be made during the grant 
review process. However, FTA may make such determination after grant 
approval.
    (b)(1) FTA will notify the recipient when it must submit the PMP. 
Normally, FTA will notify the recipient sometime during the grant review 
process. If FTA determines the project is major under its discretionary 
authority after the grant has been approved, FTA will inform the 
recipient of its determination as soon as possible.
    (2) Once FTA has notified the recipient that it must submit a plan, 
the recipient will have a minimum of 90 days to submit the plan.



Sec. 633.23  FTA review of PMP.

    Within 60 days of receipt of a project management plan, the 
Administrator will notify the recipient that:
    (a) The plan is approved;
    (b) The plan is disapproved, including the reasons for the 
disapproval;
    (c) The plan will require modification, as specified, before 
approval; or
    (d) The Administrator has not yet completed review of the plan, and 
state when it will be reviewed.



Sec. 633.25  Contents of a project management plan.

    At a minimum, a recipient's project management plan shall include--
    (a) A description of adequate recipient staff organization, complete 
with well-defined reporting relationships, statements of functional 
responsibilities, job descriptions, and job qualifications;
    (b) A budget covering the project management organization, 
appropriate consultants, property acquisition, utility relocation, 
systems demonstration staff, audits, and such miscellaneous costs as the 
recipient may be prepared to justify;
    (c) A construction schedule;
    (d) A document control procedure and recordkeeping system;
    (e) A change order procedure which includes a documented, systematic 
approach to the handling of construction change orders;
    (f) A description of organizational structures, management skills, 
and staffing levels required throughout the construction phase;
    (g) Quality control and quality assurance programs which define 
functions, procedures, and responsibilities for construction and for 
system installation and integration of system components;
    (h) Material testing policies and procedures;
    (i) Plan for internal reporting requirements including cost and 
schedule control procedures; and
    (j) Criteria and procedures to be used for testing the operational 
system or its major components;

[[Page 853]]



Sec. 633.27  Implementation of a project management plan.

    (a) Upon approval of a project management plan by the Administrator 
the recipient shall begin implementing the plan.
    (b) If a recipient must modify an approved project management plan, 
the recipient shall submit the proposed changes to the Administrator 
along with an explanation of the need for the changes.
    (c) A recipient shall submit periodic updates of the project 
management plan to the Administrator. Such updates shall include, but 
not be limited to:
    (1) Project budget;
    (2) Project schedule;
    (3) Financing, both capital and operating;
    (4) Ridership estimates, including operating plan; and
    (5) Where applicable, the status of local efforts to enhance 
ridership when estimates are contingent, in part, upon the success of 
such efforts.
    (d) A recipient shall submit current data on a major capital 
project's budget and schedule to the Administrator on a monthly basis.



Sec. 633.29  PMP waivers.

    A waiver will be considered upon initiation by the grantee or by the 
agency itself. The Administrator may, on a case-by-case basis, waive:
    (a) Any of the PMP elements in Sec. 633.25 of this part if the 
Administrator determines the element is not necessary for a particular 
plan; or
    (b) The requirement of having a new project management plan 
submitted for a major capital project if a recipient seeks to manage the 
major capital project under a previously-approved project management 
plan.



PART 639--CAPITAL LEASES--Table of Contents




                           Subpart A--General

Sec.
639.1  General overview of part.
639.3  Purpose of this part.
639.5  Scope of this part.
639.7  Definitions.

                         Subpart B--Requirements

639.11  Lease qualification requirements.
639.13  Eligible types of leases.
639.15  Eligible forms of grant.
639.17  Eligible lease costs.
639.19  Other Federal requirements.

                      Subpart C--Cost-Effectiveness

639.21  Determination of cost-effectiveness.
639.23  Calculation of purchase or construction cost.
639.25  Calculation of lease cost.
639.27  Minimum criteria.

                       Subpart D--Lease Management

639.31  Early lease termination or modification.
639.33  Management of leased assets.

    Authority:  49 U.S.C. 5307; 49 CFR 1.51.

    Source:  56 FR 51794, Oct. 15, 1991, unless otherwise noted.



                           Subpart A--General



Sec. 639.1  General overview of part.

    This part contains the requirements to quality for capital 
assistance when leasing facilities or equipment under section 9 of the 
FT Act. The regulation is set out in four subparts, with this subpart A 
containing general information on scope and definitions. Subpart B 
contains the principal requirements of the part, including eligibility 
requirements, the self-certification system used, and identification of 
the various forms of leases and grants that are eligible under the 
program. Subpart B also contains a section on other Federal requirements 
that may apply. Subpart C includes the actual calculations that each 
recipient should undertake before certifying that a lease is cost-
effective. Finally, subpart D contains requirements on early lease 
termination and project management in general.



Sec. 639.3  Purpose of this part.

    This rule implements section 308 of the Surface Transportation and 
Uniform Relocation Assistance Act of 1987 (Pub. L. 100-17). Section 308 
amended section 9(j) of the FT Act to allow section 9 recipients to use 
capital funds to finance the leasing of facilities and equipment on 
condition that the leasing arrangements are most cost effective than 
purchase or construction.

[[Page 854]]

This part prescribes the policies and procedures governing the 
determination whether a lease is cost effective and to what extent it is 
eligible for capital assistance under section 9 of the FT Act.



Sec. 639.5  Scope of this part.

    This part applies to all requests for capital assistance under 
section 9 of the FT Act where the proposed method of obtaining a capital 
asset is by lease rather than purchase or construction.



Sec. 639.7  Definitions.

    In this part:
    Applicant is included in the term ``recipient''.
    Capital asset means facilities or equipment with a useful life of at 
least one year, which are eligible for capital assistance.
    Capital assistance means Federal financial assistance for capital 
projects under section 9 of the FT Act.
    Capital lease means any transaction whereby the recipient acquires 
the right to use a capital asset without obtaining full ownership 
regardless of the tax status of the transaction.
    Equipment means non-expendable personal property.
    Facilities means real property, including land, improvements and 
fixtures.
    Interest rate means the most advantageous interest rate actually 
available to the recipient in the market.
    Present value means the value at the time of calculation of a future 
payment, or series of future payments discounted by the time value of 
money as represented by an interest rate or similar cost of funds.
    Recipient means an entity that receives Federal financial assistance 
from FTA, including an entity that receives Federal financial assistance 
from FTA through a State or other public body. In this part, a recipient 
includes an applicant for Federal financial assistance.
    FT Act means the Federal Mass Transit Act of 1964, as amended, 49 
U.S.C. 1601 et seq.
    FTA means the Federal Transit Administration.



                         Subpart B--Requirements



Sec. 639.11  Lease qualification requirements.

    (a) A lease may qualify for capital assistance if it meets the 
following criteria:
    (1) The capital asset to be acquired by lease is otherwise eligible 
for capital assistance;
    (2) There is or will be no existing Federal interest in the capital 
asset as of the date the lease will take effect unless as determined 
pursuant to Sec. 639.13(b); and
    (3) Lease of the capital asset is more cost-effective than purchase 
or construction of the asset, as determined under subpart C of this 
part.
    (b) Once a lease has been qualified for capital assistance, it need 
not be re-qualified absent an affirmative act or omission by the 
recipient that vitiates the cost-effectiveness determination.



Sec. 639.13  Eligible types of leases.

    (a) General. Any leasing arrangement, the terms of which provide for 
the recipient's use of a capital asset, potentially is eligible as a 
capital project under section 9 of the FT Act, regardless of the 
classification of the leasing arrangement for tax purposes.
    (b) Special circumstances. A recipient may request FTA to determine 
the eligibility of a certain financial arrangement if the recipient 
believes it might not meet the requirements of this part.
    (c) Lump sum lease. A recipient that wishes to enter into a lease 
which requires the draw down of a single lump sum payment at the 
inception of the lease (or payments in advance of the incurrence of 
costs) rather than periodic payments during the life of the lease must 
notify FTA prior to execution of the lease concerning how it will ensure 
satisfactory continuing control of the asset for the duration of the 
lease. FTA has the right to disapprove any arrangements where it has not 
been demonstrated that the recipient will have control over the asset. 
FTA may require the recipient to submit its cost-effectiveness 
comparison for review.
    (d) Pre-existing lease. A lease entered into before grant approval, 
or before November 14, 1991 may be eligible for

[[Page 855]]

capital assistance for costs incurred after approval of such a lease by 
FTA under this part, if
    (1) The lease is otherwise eligible under this part;
    (2) The recipient can demonstrate that the lease, when entered into, 
was more cost effective than purchase or construction; and
    (3) The procurement of the asset by lease was in accordance with 
Federal requirements that applied at the time the procurement tool 
place.



Sec. 639.15  Eligible forms of grant.

    A recipient may choose to receive capital assistance for a capital 
lease approved under this part--
    (a) In a single grant under which lease payments may be drawn down 
periodically for the life of the lease; or
    (b) In increments that are obligated by FTA periodically (usually in 
annual section 9 grants). In this case, a recipient--
    (1) Must certify to FTA that it has the financial capacity to meet 
its future obligations under the lease in the event Federal funds are 
not available for capital assistance in subsequent years; and
    (2) May incur costs under its lease before FTA's obligation of 
future increments of funding for such a lease. These costs are 
reimbursable in future grants, so long as the terms of the lease do not 
substantially change.



Sec. 639.17  Eligible lease costs.

    (a) All costs directly attributable to making a capital asset 
available to the lessee are eligible for capital assistance, including, 
but not limited to--
    (1) Finance charges, including interest;
    (2) Ancillary costs such as delivery and installation charges; and
    (3) Maintenance costs.
    (b) Any asset leased under this part must be eligible for capital 
assistance under a traditional purchase or construction grant.
[61 FR 25090, May 17, 1996]



Sec. 639.19  Other Federal requirements.

    (a) A recipient of capital assistance for a capital lease is subject 
to the same statutory and administrative requirements as a recipient who 
purchases or constructs a capital asset.
    (b) A lessor of a capital lease is subject to the same statutory and 
administrative requirements as a direct seller of the same capital asset 
would be when the lessor--
    (1) Purchases or constructs a capital asset in contemplation of 
leasing it to a recipient; or
    (2) Modifies an existing capital asset in contemplation of leasing 
it to a recipient.



                      Subpart C--Cost-Effectiveness



Sec. 639.21  Determination of cost-effectiveness.

    (a) To qualify a lease for capital assistance, a recipient must--
    (1) Make a written comparison of the cost of leasing the asset with 
the cost of purchasing or constructing it; and
    (2) Certify to FTA before entering into the lease or before 
receiving a capital grant for the asset, whichever is later, that 
obtaining the asset by lease is more cost-effective than purchase or 
construction of such asset.
    (b) For purposes of this part, obtaining the asset by lease is more 
cost-effective than purchase or construction when the lease cost 
calculated under Sec. 639.25 of this part is less than the purchase cost 
calculated under Sec. 639.23 of this part.
    (c) If a recipient is unable to perform the prescribed cost-
effectiveness comparison as described in this subpart, it may ask FTA to 
approve an alternate form of cost-effectiveness evaluation.



Sec. 639.23  Calculation of purchase or construction cost.

    (a) For purposes of this subpart, the purchase or construction cost 
of a capital asset is--
    (1) The estimated cost to purchase or construct the asset; plus
    (2) Ancillary costs such as delivery and installation; plus
    (3) The net present value of the estimated future cost to provide 
any other service or benefit requested by the applicant in its proposal 
to obtain the capital asset.
    (b) The estimated cost to purchase or construct must be--
    (1) Reasonable;

[[Page 856]]

    (2) Based on realistic current market conditions; and
    (3) Based on the expected useful life of the asset in mass 
transportation service, as indicated in paragraph (c) of this section.
    (c) For purposes of this part, the expected useful life of a revenue 
vehicle is the useful life which is established by FTA for recipients of 
Federal assistance under FTA's Circulars for section 9 recipients. For 
assets other than revenue vehicles, the applicant is responsible for 
establishing a reasonable expected useful life. If the recipient does 
not intend to use the capital asset it is proposing to obtain by lease 
in mass transportation service for its entire expected useful life, when 
calculating the purchase cost, the recipient must calculate the fair 
market value of the asset as of the date the lease will terminate 
pursuant to Guidelines found in section 108(b) of part II Standard Terms 
and Conditions for valuation of property withdrawn from transit use 
before the end of its useful life and subtract that amount from the 
purchase price. The resulting amount is the purchase price for purposes 
of this rule.



Sec. 639.25  Calculation of lease cost.

    (a) For purposes of this part, the lease cost of a capital asset 
is--
    (1) The cost to lease the asset for the same use and same time 
period specified in the recipient's proposal to obtain the asset by 
purchase or construction; plus
    (2) Ancillary costs such as delivery and installation; plus
    (3) The net present value of the estimated future cost to provide 
any other service or benefit requested by the applicant in its proposal 
to obtain the capital asset.
    (b) The estimated lease costs must be reasonable, based on realistic 
market conditions applicable to the recipient and must be expressed in 
present value terms.



Sec. 639.27  Minimum criteria.

    In making the comparison between leasing and purchasing or 
constructing an asset, recipients should ascribe a realistic dollar 
value to any non-financial factors that are considered by using 
performance-based specifications in the comparison. In addition to 
factors unique to each recipient, the following factors are to be used 
where possible and appropriate:
    (a) Operation costs;
    (b) Reliability of service;
    (c) Maintenance costs;
    (d) Difference in warranties;
    (e) Passenger comfort;
    (f) Insurance costs;
    (g) Costs/savings related to timing of acquisition of asset.
    (h) Value of asset at expiration of the lease.



                       Subpart D--Lease Management



Sec. 639.31  Early lease termination or modification.

    (a) Except as provided in paragraph (c) of this section, if a 
capital lease under this part is terminated or its terms substantially 
modified before the end of the period used in the cost-effectiveness 
evaluation, or if the recipient by an affirmative act or omission 
vitiates the cost-effectiveness determination of the lease, future lease 
costs will no longer qualify as eligible capital expenses. In addition, 
the recipient must reimburse the project--
    (1) Any Federal funds paid for the portion of the lease term 
eliminated by early termination; and
    (2) The Federal share of the excess, if any, of the present value of 
lease costs, which exceeds the purchase costs as calculated under 
subpart C of this part for the period of the lease up to the point of 
termination.
    (b) Penalties resulting from early termination of a capital lease 
under this part are not eligible for Federal financial assistance.
    (c) Paragraph (a) of this section does not apply if a lessor 
defaults on or otherwise does not meet its obligations under the capital 
lease and the recipient takes appropriate action to ensure that the 
procurement continues to be cost-effective. FTA shall be notified of any 
such event.



Sec. 639.33  Management of leased assets.

    Each recipient must maintain an inventory of capital assets acquired 
by standard FTA project management guidelines.

[[Page 857]]



PART 653--PREVENTION OF PROHIBITED DRUG USE IN TRANSIT OPERATIONS--Table of Contents




                           Subpart A--General

Sec.
653.1  Overview.
653.3  Purpose.
653.5  Applicability.
653.7  Definitions.
653.9  Preemption of State and local laws.
653.11  Other requirements imposed by an employer.
653.13  Starting date for drug testing programs.

                     Subpart B--Program Requirements

653.21  Requirement to establish an anti-drug program.
653.23  Required elements of an anti-drug testing program.
653.25  Policy statement contents.
653.27  Requirement to disseminate policy.
653.29  Education and training programs.
653.31  Drug testing.
653.33  Notice requirement.
653.35  Action when employee has a verified positive drug test result.
653.37  Referral, evaluation, and treatment.

                    Subpart C--Types of Drug Testing

653.41  Pre-employment testing.
653.43  Reasonable suspicion testing.
653.45  Post-accident testing.
653.47  Random testing.
653.49  Return to duty testing.
653.51  Follow-up testing.

                   Subpart D--Drug Testing Procedures

653.61  Compliance with testing procedures requirements.
653.63  Substance abuse professional.
653.65  Supervisor acting as collection site person.

                 Subpart E--Administrative Requirements

653.71  Retention of records.
653.73  Reporting of results in a management information system.
653.75  Access to facilities and records.

                    Subpart F--Certifying Compliance

653.81  Compliance a condition of FTA financial assistance.
653.83  Requirement to certify compliance.


Appendix A to Part 653--[Reserved]

Appendix B to Part 653--FTA Drug Testing Management Information System 
          (MIS) Data Collection Form

Appendix C to Part 653--FTA Drug Testing Management Information System 
          (MIS) ``EZ'' Data Collection Form

    Authority:  49 U.S.C. 5331; 49 CFR 1.51.

    Source:  59 FR 7589, Feb. 15, 1994, unless otherwise noted.



                           Subpart A--General



Sec. 653.1  Overview.

    (a) This part describes the anti-drug program to be implemented by a 
recipient of certain funding from the Federal Transit Administration.
    (b) The part includes six subparts. Subpart A covers the general 
requirements of the FTA anti-drug program. Subpart B specifies the basic 
requirements of each employer's anti-drug program, including the types 
of tests to be conducted, and the elements required to be in each 
employer's drug testing program. Subpart C describes the different types 
of drug tests to be conducted. Subpart D describes a new drug testing 
procedural requirement mandated by the Act. Subpart E contains 
administrative matters such as reports and recordkeeping requirements. 
Subpart F specifies how a recipient certifies compliance with the rule.



Sec. 653.3  Purpose.

    The purpose of this part is to require a recipient to implement an 
anti-drug program to deter and detect the use of prohibited drugs by 
covered employees.



Sec. 653.5  Applicability.

    (a) Except as specifically excluded in paragraph (b) of this 
section, this part applies to a recipient under--
    (1) Section 3, 9, or 18 of the Federal Transit Act, as amended (FT 
Act); or
    (2) Section 103(e)(4) of title 23 of the United States Code.
    (b) A recipient operating a railroad regulated by the Federal 
Railroad Administration (FRA) shall follow 49 CFR parts 219 and 382, as 
appropriate, and Sec. 653.83 of this part for its railroad operations, 
and this part for its non-railroad operations, if any.

    Note: For recipients who operate marine vessels, see also Coast 
Guard regulations at 33 CFR part 95 and 46 CFR parts 4,5, and 16.)

[59 FR 7589, Feb. 15, 1994, as amended at 60 FR 12297, Mar. 6, 1995]

[[Page 858]]



Sec. 653.7  Definitions.

    As used in this part--
    Accident means an occurrence associated with the operation of a 
vehicle, if as a result--
    (1) An individual dies;
    (2) An individual suffers a bodily injury and immediately receives 
medical treatment away from the scene of the accident;
    (3) With respect to an occurrence in which the mass transit vehicle 
involved is a bus, electric bus, van, or automobile, one or more 
vehicles incurs disabling damage as the result of the occurrence and is 
transported away from the scene by a tow truck or other vehicle;
    (4) With respect to an occurrence in which the mass transit vehicle 
involved is a rail car, trolley car, trolley bus, or vessel, the mass 
transit vehicle is removed from revenue service.
    Administrator means the Administrator of the Federal Transit 
Administration or the Administrator's designee.
    Anti-drug program means a program to detect and deter the use of 
prohibited drugs as required by this part.
    Canceled test means a test that has been declared invalid by a 
Medical Review Officer. It is neither a verified positive nor a verified 
negative test, and includes a specimen rejected for testing by a 
laboratory.
    Certification means a recipient's written statement, authorized by 
the organization's governing board or other authorizing official, that 
the recipient has complied with the provisions of this part. (See 
Sec. 653.77 for certification requirements.)
    Chain-of-custody means the procedures in part 40 of this title 
concerning the handling of a urine specimen.
    Consortium means an entity, including a group or association of 
employers, operators, recipients, subrecipients, or contractors, which 
provides drug testing as required by this part, or other DOT drug 
testing rule, and which acts on behalf of the employer.
    Contractor means a person or organization that provides a service 
for a recipient, subrecipient, employer, or operator consistent with a 
specific understanding or arrangement. The understanding can be a 
written contract or an informal arrangement that reflects an ongoing 
relationship between the parties.
    Covered employee means a person, including an applicant or 
transferee, who performs a safety-sensitive function for an entity 
subject to this part; however, a volunteer is covered only if operating 
a vehicle designed to transport sixteen or more passengers, including 
the driver.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusion. Damage to motor vehicles that could have been driven, 
but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage which can be remedied temporarily at the 
scene of the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which makes 
them inoperative.
    DOT means the United States Department of Transportation.
    DOT agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring drug testing (see parts 199, 219, 382, and 653 of this title; 
14 CFR part 121, appendix J; 33 CFR part 95; and 46 CFR parts 4 and 16).
    Employer means a recipient or other entity that provides mass 
transportation service or which performs a safety-sensitive function for 
such recipient or other entity. This term includes subrecipients, 
operators, and contractors.
    FTA means the Federal Transit Administration, an agency of the U.S. 
Department of Transportation.
    Large operator means a recipient or subrecipient primarily operating 
in an urbanized area of 200,000 or more in population.
    Medical Review Officer (MRO) means a licensed physician (medical 
doctor or doctor of osteopathy) responsible for receiving laboratory 
results generated

[[Page 859]]

by an employer's drug testing program who has knowledge of substance 
abuse disorders and has appropriate medical training to interpret and 
evaluate an individual's confirmed positive test result together with 
his or her medical history and any other relevant biomedical 
information.
    Positive rate means the number of positive results for random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part, divided by the total number of random drug 
tests conducted under this part plus the number of refusals of random 
tests required by this part.
    Prohibited drug means marijuana, cocaine, opiates, amphetamines, or 
phencyclidine.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electromagnetic guideways, including (1) commuter or 
other short-haul rail passenger service in a metropolitan or suburban 
area, as well as any commuter rail service which was operated by the 
Consolidated Rail Corporation as of January 1, 1979, and (2) high speed 
ground transportation systems that connect metropolitan areas, without 
regard to whether they use new technologies not associated with 
traditional railroads. Such term does not include rapid transit 
operations within an urban area that are not connected to the general 
railroad system of transportation.
    Recipient means an entity receiving Federal financial assistance 
under section 3, 9, or 18, of the FT Act, or under section 103(e)(4) of 
title 23 of the United States Code.
    Refuse to submit means that a covered employee fails to provide a 
urine sample as required by 49 CFR part 40, without a genuine inability 
to provide a specimen (as determined by a medical evaluation), after he 
or she has received notice of the requirement to be tested in accordance 
with the provisions of this part, or engages in conduct that clearly 
obstructs the testing process.
    Safety-sensitive function means any of the following duties:
    (1) Operating a revenue service vehicle, including when not in 
revenue service;
    (2) Operating a nonrevenue service vehicle, when required to be 
operated by a holder of a Commercial Driver's License;
    (3) Controlling dispatch or movement of a revenue service vehicle;
    (4) Maintaining a revenue service vehicle or equipment used in 
revenue service, unless the recipient receives section 3 funding and is 
in an area of less than 50,000 in population or section 18 funding and 
contracts out such services; or
    (5) Carrying a firearm for security purposes.
    Small operator means a recipient or subrecipient primarily operating 
in a nonurbanized area or in an urbanized area of less than 200,000 in 
population.
    Vehicle means a bus, electric bus, van, automobile, rail car, 
trolley car, trolley bus, or vessel. A mass transit vehicle is a vehicle 
used for mass transportation or for ancillary services.
    Verified negative (drug test result) means a drug test result 
reviewed by a medical review officer and determined to have no evidence 
of prohibited drug use.
    Verified positive (drug test result) means a drug test result 
reviewed by a medical review officer and determined to have evidence of 
prohibited drug use.
[59 FR 7589, Feb. 15, 1994, as amended at 59 FR 62230, Dec. 2, 1994; 60 
FR 12297, Mar. 6, 1995; 60 FR 39620, Aug. 2, 1995; 61 FR 37224, July 17, 
1996]



Sec. 653.9  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order to the 
extent that:
    (1) Compliance with both the State or local requirement and any 
requirement in this part is not possible; or
    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.
    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property,

[[Page 860]]

whether the provisions apply specifically to transportation employees or 
employers or to the general public.



Sec. 653.11  Other requirements imposed by an employer.

    An employer may not impose requirements that are inconsistent with, 
contrary to, or frustrate the provisions of this part.



Sec. 653.13  Starting date for drug testing programs.

    (a) Large employers. Each recipient operating primarily in an 
urbanized area of 200,000 or more in population on March 17, 1994 shall 
implement the requirements of this part beginning on January 1, 1995.
    (b) Small employers. Each recipient operating primarily in a 
nonurbanized area or in an urbanized area of 200,000 or less in 
population on March 17, 1994 shall implement the requirements of this 
part beginning on January 1, 1996.
    (c) An employer shall have an anti-drug program that conforms to 
this part by January 1, 1996, or by the date the employer begins 
operations, whichever is later.
[59 FR 7589, Feb. 15, 1994, as amended at 60 FR 12297, Mar. 3, 1995]



                     Subpart B--Program Requirements



Sec. 653.21  Requirement to establish an anti-drug program.

    Each employer shall establish an anti-drug program consistent with 
the requirements of this part.



Sec. 653.23  Required elements of an anti-drug testing program.

    An anti-drug program shall include the following:
    (a) A statement describing the employer's policy on prohibited drug 
use in the workplace, including the consequences associated with 
prohibited drug use. This policy statement shall include all of the 
elements specified in Sec. 653.25. Each employer shall disseminate the 
policy consistent with the provisions of Sec. 653.27.
    (b) An education and training program which meets the requirements 
of Sec. 653.29.
    (c) A testing program, as described in Sec. 653.31 that meets the 
requirements of this part and part 40 of this title.
    (d) Procedures for assessing the covered employee who has a verified 
positive drug test result as described in Sec. 653.37.



Sec. 653.25  Policy statement contents.

    The policy statement shall be adopted by the local governing board 
of the employer or operator, be made available to each covered employee, 
and shall include, at a minimum, detailed discussion of:-
    (a) The identity of the person designated by the employer to answer 
employee questions about the anti-drug program.
    (b) The categories of employees who are subject to the provisions of 
this part.
    (c) Specific information concerning the behavior that is prohibited 
by this part.
    (d) The specific circumstances under which a covered employee will 
be tested for prohibited drugs under the provisions of this part.
    (e) The procedures that will be used to test for the presence of 
drugs, protect the employee and the integrity of the drug testing 
process, safeguard the validity of the test results, and ensure the test 
results are attributed to the correct covered employee.
    (f) The requirement that a covered employee submit to drug testing 
administered in accordance with this part.
    (g) A description of the kind of behavior that constitutes a refusal 
to take a drug test and a statement that such a refusal constitutes a 
verified positive drug test result.
    (h) The consequences for a covered employee who has a verified 
positive drug test result or refuses to submit to a drug test under this 
part, including the mandatory requirements that the covered employee be 
removed immediately from his or her safety-sensitive function and be 
evaluated by a substance abuse professional.
    (i) If the employer implements elements of an anti-drug program that 
are in addition to this part (See Sec. 653.31), the employer shall give 
each covered

[[Page 861]]

employee specific information concerning which provisions are mandated 
by this part and which are not.



Sec. 653.27  Requirement to disseminate policy.

    Each employer shall provide written notice to every covered employee 
and to representatives of employee organizations of the employer's anti-
drug policies and procedures.



Sec. 653.29  Education and training programs.

    Each employer shall establish an employee education and training 
program for all covered employees, including:
    (a) Education. The education component shall include display and 
distribution to every covered employee of: informational material and a 
community service hot-line telephone number for employee assistance, if 
available.
    (b) Training--(1) Covered employees. Covered employees must receive 
at least 60 minutes of training on the effects and consequences of 
prohibited drug use on personal health, safety, and the work 
environment, and on the signs and symptoms which may indicate prohibited 
drug use.
    (2) Supervisors. Supervisors who may make reasonable suspicion 
determinations shall receive at least 60 minutes of training on the 
physical, behavioral, and performance indicators of probable drug use.



Sec. 653.31  Drug testing.

    (a) An employer shall establish a program which provides for testing 
for prohibited drugs and drug metabolites in the following 
circumstances: pre-employment, post-accident, reasonable suspicion, 
random, and return to duty/follow-up, as described in detail in each 
case in subpart C of this part.
    (b) When administering a drug test, an employer shall ensure that 
the following drugs are tested for:
    (1) Marijuana;
    (2) Cocaine;
    (3) Opiates;
    (4) Amphetamines; and
    (5) Phencyclidine.



Sec. 653.33  Notice requirement.

    Before performing a drug test under this part, each employer shall 
notify a covered employee that the drug test is required by this part. 
No employer shall falsely represent that a test is administered under 
this part.



Sec. 653.35  Action when employee has a verified positive drug test result.

    (a) As soon as practicable after receiving notice from the medical 
review officer (MRO) that an employee has a verified positive drug test 
result, or if an employee refuses to submit to a drug test, the employer 
shall require that a covered employee cease performing a safety-
sensitive function.
    (b) Before allowing the covered employee to resume performing a 
safety-sensitive function, the employer shall ensure that the covered 
employee meets the requirements of this part for returning to duty, 
including taking a return to duty drug test with a verified negative 
result, as required by Sec. 653.49.



Sec. 653.37  Referral, evaluation, and treatment.

    (a) A covered employee who has a verified positive drug test result 
or refuses to submit to a drug test under this part shall be advised by 
the employer of the resources available to the covered employee in 
evaluating and resolving problems associated with prohibited drug use, 
including the names, addresses, and telephone numbers of substance abuse 
professionals and counseling and treatment programs.
    (b)(1) The employer shall ensure that each covered employee who has 
a verified positive drug test result or refuses to take a drug test 
shall be evaluated by a substance abuse professional who shall determine 
whether the covered employee is in need of assistance in resolving 
problems associated with prohibited drug use.
    (2) Evaluation and rehabilitation may be provided by the employer, 
by a substance abuse professional under contract with the employer, or 
by a substance abuse professional not affiliated with the employer. The 
choice of substance abuse professional and assignment of costs shall be 
made in accordance with employer/employee agreements and employer 
policies.

[[Page 862]]

    (3) The employer shall ensure that a substance abuse professional 
who determines that a covered employee requires assistance in resolving 
problems with prohibited drug use does not refer the employee to the 
substance abuse professional's private practice from which the substance 
abuse professional receives remuneration or to a person or organization 
from which the substance abuse professional has a financial interest. 
This paragraph does not prohibit a substance abuse professional from 
referring an employee for assistance provided through--
    (i) A public agency, such as a State, county, or municipality;
    (ii) The employer or a person under contract to provide treatment 
for prohibited drug use problems on behalf of the employer;
    (iii) The sole source of therapeutically appropriate treatment under 
the employee's health insurance program; or
    (iv) The sole source of therapeutically appropriate treatment 
reasonably accessible to the employee.
    (c) An employer shall ensure that, before returning to duty to 
perform a safety-sensitive function, a covered employee has complied 
with the referral and evaluation provisions of this part and takes a 
return to duty drug test with a verified negative result under 
Sec. 653.49.
    (d) The requirements of this section do not apply to applicants.
[59 FR 7589, Feb. 15, 1994, as amended at 60 FR 12297, Mar. 6, 1995]



                    Subpart C--Types of Drug Testing



Sec. 653.41  Pre-employment testing.

    (a) An employer may not hire an applicant to perform a safety-
sensitive function unless the applicant takes a drug test with a 
verified negative result administered under this part.
    (b) An employer may not transfer an employee from a nonsafety-
sensitive function to a safety-sensitive function until the employee 
takes a drug test with a verified negative result administered under 
this part.
    (c) If an applicant or employee drug test is canceled, the employer 
shall require the employee or applicant to take another pre-employment 
drug test.



Sec. 653.43  Reasonable suspicion testing.

    (a) An employer shall conduct a drug test when the employer has 
reasonable suspicion to believe that the covered employee has used a 
prohibited drug.
    (b) An employer's determination that reasonable suspicion exists 
shall be based on specific, contemporaneous, articulable observations 
concerning the appearance, behavior, speech, or body odors of the 
covered employee. The required observations must be made by a supervisor 
who is trained in detecting the signs and symptoms of drug use.
[59 FR 7589, Feb. 15, 1994, as amended at 60 FR 12297, Mar. 6, 1995]



Sec. 653.45  Post-accident testing.

    (a)(1) Fatal accidents. As soon as practicable following an accident 
involving the loss of human life, an employer shall test each surviving 
covered employee operating the mass transit vehicle at the time of the 
accident. The employer shall also test any other covered employee whose 
performance could have contributed to the accident, as determined by the 
employer using the best information available at the time of the 
decision.
    (2) Nonfatal accidents. (i) As soon as practicable following an 
accident not involving the loss of human life, in which the mass transit 
vehicle involved is a bus, electric bus, van, or automobile, the 
employer shall test each covered employee operating the mass transit 
vehicle at the time of the accident unless the employer determines, 
using the best information available at the time of the decision, that 
the covered emplyee's performance can be completely discounted as a 
contributing factor to the accident. The employer shall also test any 
other covered employee whose performance could have contributed to the 
accident, as determined by the employer using the best information 
available at the time of the decision.
    (ii) As soon as practicable following an accident not involving the 
loss of human life, in which the mass transit vehicle involved is a rail 
car, trolley car, trolley bus, or vessel, the employer

[[Page 863]]

shall test each covered employee operating the mass transit vehicle at 
the time of the accident unless the employer determines, using the best 
information available at the time of the decision, that the covered 
employee's performance can be completely discounted as a contributing 
factor to the accident. The decision not to administer a test under this 
paragraph shall be based on the employer's determination, using the best 
available information at the time of the determination, that the 
employee's performance could not have contributed to the accident. The 
employer shall also test any other covered employee whose performance 
could have contributed to the accident, as determined by the employer 
using the best information available at the time of the decision.
    (b) An employer shall ensure that a covered employee required to be 
tested under this section is tested as soon as practicable and within 32 
hours of the accident. A covered employee who is subject to post-
accident testing who fails to remain readily available for such testing, 
including notifying the employer or the employer representative of his 
or her location if he or she leaves the scene of the accident prior to 
submission to such test, may be deemed by the employer to have refused 
to submit to testing.
    (c) Nothing in this section shall be construed to require the delay 
of necessary medical attention for the injured following an accident or 
to prohibit a covered employee from leaving the scene of an accident for 
the period necessary to obtain assistance in responding to the accident 
or to obtain necessary emergency medical care.
[59 FR 7589, Feb. 15, 1994, as amended at 60 FR 12297, Mar. 6, 1995; 60 
FR 39620, Aug. 2, 1995]



Sec. 653.47  Random testing.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random drug testing 
shall be 50 percent of covered employees.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random drug testing is based on the reported 
positive rate for the entire industry. All information used for this 
determination is drawn from the drug MIS reports required by this part. 
In order to ensure reliability of the data, the Administrator considers 
the quality and completeness of the reported data, may obtain additional 
information or reports from employers, and may make appropriate 
modifications in calculating the industry positive rate. Each year, the 
Administrator will publish in the Federal Register the minimum annual 
percentage rate for random drug testing of covered employees. The new 
minimum annual percentage rate for random drug testing will be 
applicable starting January 1 of the calendar year following 
publication.
    (c) When the minimum annual percentage rate for random drug testing 
is 50 percent, the Administrator may lower this rate to 25 percent of 
all covered employees if the Administrator determines that the data 
received under the reporting requirements of Sec. 653.73 for two 
consecutive calendar years indicate that the reported positive rate is 
less than 1.0 percent. However, after the initial two years of random 
testing by large transit operators and the initial first year of testing 
by small transit operators, the Administrator may lower the rate the 
following calendar year, if the combined positive testing rate is less 
than 1.0 percent, and if it would be in the interest of safety.
    (d) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the data received under the reporting requirements of 
Sec. 653.73 for any calendar year indicate that the reported positive 
rate is equal to or greater than 1.0 percent, the Administrator will 
increase the minimum annual percentage rate for random drug testing to 
50 percent of all covered employees.
    (e) The selection of employees for random drug testing shall be made 
by a scientifically valid method, such as a random number table or a 
computer-based random number generator that is matched with employees' 
Social Security numbers, payroll identification numbers, or other 
comparable identifying numbers. Under the selection process used, each 
covered employee shall

[[Page 864]]

have an equal chance of being tested each time selections are made.
    (f) The employer shall randomly select a sufficient number of 
covered employees for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
drug testing determined by the Administrator. If the employer conducts 
random drug testing through a consortium, the number of employees to be 
tested may be calculated for each individual employer or may be based on 
the total number of covered employees covered by the consortium who are 
subject to random drug testing at the same minimum annual percentage 
rate under this part or any DOT drug testing rule.
    (g) Each employer shall ensure that random drug tests conducted 
under this part are unannounced and that the dates for administering 
random tests are spread reasonably throughout the calendar year.
    (h) If a given covered employee is subject to random drug testing 
under the drug testing rules of more than one DOT agency for the same 
employer, the employee shall be subject to random drug testing at the 
percentage rate established for the calendar year by the DOT agency 
regulating more than 50 percent of the employee's function.
    (i) If an employer is required to conduct random drug testing under 
the drug testing rules of more than one DOT agency, the employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the covered employees who are subject to testing at the same 
required rate; or
    (2) Randomly select such employees for testing at the highest 
percentage rate established for the calendar year by any DOT agency to 
which the employer is subject.
[59 FR 62230, Dec. 2, 1994]



Sec. 653.49  Return to duty testing.

    (a) Return to duty. An employer shall ensure that, before returning 
to duty to perform a safety-sensitive function, each covered employee 
who has refused to submit to a drug test or has a verified positive drug 
test result--
    (1) Has been evaluated by a substance abuse professional to 
determine whether the covered employee has properly followed the 
recommendations for action by the substance abuse professional, 
including participation in any rehabilitation program;
    (2) Has taken a return to duty drug test with a verified negative 
result. If a test is canceled, the employer shall require the employee 
to take another return to duty drug test.
    (3) A substance abuse professional may recommend that the employee 
be subject to a return to duty alcohol test with a result indicating an 
alcohol concentration of less than 0.02, to be conducted in accordance 
with 49 CFR part 40.
    (b) Marine employers. Marine employers subject to U.S. Coast Guard 
chemical testing regulations shall ensure that each covered employee who 
has a verified positive drug test result administered under this part is 
evaluated by a Medical Review Officer.



Sec. 653.51  Follow-up testing.

    Each employer shall ensure that each covered employee who returns to 
duty after a required evaluation made under Sec. 653.37 is subject to 
unannounced follow-up drug testing as provided for in Sec. 653.63(d). 
The employer may require the employee to take one or more follow-up 
alcohol tests, with a result indicating an alcohol concentration of less 
than 0.04, as directed by the SAP, to be performed in accordance with 49 
CFR part 40.



                   Subpart D--Drug Testing Procedures



Sec. 653.61  Compliance with testing procedures requirements.

    The drug testing procedures of part 40 of this title apply to 
employers covered by this part, unless expressly provided otherwise in 
this part.



Sec. 653.63  Substance abuse professional.

    (a) An employer's anti-drug program shall have available the 
services of a designated substance abuse professional.
    (b) The substance abuse professional shall determine whether a 
covered employee who has refused to submit to a drug test or has a 
verified positive drug test result is in need of assistance in

[[Page 865]]

resolving problems associated with prohibited drug use. The substance 
abuse professional then recommends a course of action to the employee.
    (c) The substance abuse professional shall determine whether a 
covered employee who has refused to submit to a drug test or has a 
verified positive drug test result has properly followed the SAP's 
recommendations.
    (d) The substance abuse professional shall determine the frequency 
and duration of follow-up testing for a covered employee. Such employee 
shall be required to take a minimum of six follow-up drug tests with 
verified negative results during the first 12 months after returning to 
duty. After that period of time, the substance abuse professional may 
recommend to the employer the frequency and duration of follow-up drug 
testing, provided that the follow-up testing period ends 60 months after 
the employee returns to duty. In addition, follow-up testing may include 
testing for alcohol, as directed by the substance abuse professional, to 
be performed in accordance with 49 CFR part 40.



Sec. 653.65  Supervisor acting as collection site person.

    An employer shall not permit a direct supervisor of an employee to 
serve as the collection site person for a drug test of the employee.
[59 FR 7589, Feb. 15, 1994. Redesignated at 60 FR 12297, Mar. 6, 1995]



                 Subpart E--Administrative Requirements



Sec. 653.71  Retention of records.

    (a) General requirement. An employer shall maintain records of its 
anti-drug program as provided in this section. The records shall be 
maintained in a secure location with controlled access.
    (b) Period of retention. In determining compliance with the 
retention period requirement, each record shall be maintained for the 
specified period of time, measured from the date of the document's or 
data's creation. Each employer shall maintain the records in accordance 
with the following schedule:
    (1) Five years: Records of covered employee verified positive drug 
test results, documentation of refusals to take required drug tests, and 
covered employee referrals to the SAP, and copies of annual MIS reports 
submitted to FTA.
    (2) Two years: Records related to the collection process and 
employee training.
    (3) One year: Records of negative drug test results.
    (c) Types of records. The following specific records must be 
maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used.
    (ii) Documents relating to the random selection process.
    (iii) Documents generated in connection with decisions to administer 
reasonable suspicion drug tests.
    (iv) Documents generated in connection with decisions on post-
accident drug testing.
    (v) MRO documents verifying existence of a medical explanation of 
the inability of a covered employee to provide an adequate urine sample.
    (2) Records related to test results:
    (i) The employer's copy of the custody and control form.
    (ii) Documents related to the refusal of any covered employee to 
submit to a drug test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of a drug test administered under this part.
    (3) Records related to referral and return to duty and follow-up 
testing:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for referral for 
assistance in resolving problems associated with drug use.
    (ii) Records concerning a covered employee's entry into and 
completion of the program of treatment recommended by the substance 
abuse professional.
    (4) Records related to employee training:
    (i) Training materials on drug use awareness, including a copy of 
the employer's policy on prohibited drug use.
    (ii) Names of covered employees attending training on prohibited 
drug use

[[Page 866]]

and the dates and times of such training.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for drug testing based on reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies with the requirements for such training.
    (5) Copies of annual MIS reports submitted to FTA.



Sec. 653.73  Reporting of results in a management information system.

    (a) Each recipient shall submit to FTA's Office of Safety and 
Security by March 15 of each year a report covering the previous 
calendar year (January 1 through December 31), which summarizes the 
results of its anti-drug program.
    (b) Each recipient shall be responsible for ensuring the accuracy 
and timeliness of each report submitted by an employer, consortium or 
joint enterprise or by a third party service provider acting on the 
employer's behalf.
    (c) Each report that contains information on verified positive drug 
test results shall be submitted on the FTA Drug Testing Management 
Information System (MIS) Data Collection Form and shall include the 
following informational elements:
    (1) Number of FTA covered employees by employee category.
    (2) Number of covered employees subject to testing under the anti-
drug regulations of the United States Coast Guard.
    (3) Number of specimens collected by type of test (i.e., pre-
employment, periodic, random, etc.) and employee category.
    (4) Number of positives verified by a Medical Review Officer (MRO) 
by type of test, type of drug, and employee category.
    (5) Number of negatives verified by a MRO by type of test and 
employee category.
    (6) Number of persons denied a position as a covered employee 
following a verified positive drug test.
    (7) Number of covered employees verified positive by an MRO or who 
refused to submit to a drug test, who were returned to duty in covered 
positions during the reporting period (having complied with the 
recommendations of a substance abuse professional as described in 
Sec. 653.37).
    (8) Number of employees with tests verified positive by a MRO for 
multiple drugs.
    (9) Number of covered employees who were administered alcohol and 
drug tests at the same time, with both a verified positive drug test 
result and an alcohol test result indicating an alcohol concentration of 
0.04 or greater.
    (10) Number of covered employees who refused to submit to a random 
drug test required under this part.
    (11) Number of covered employees who refused to submit to a non-
random drug test required under this part.
    (12) Number of covered employees and supervisors who received 
training during the reporting period.
    (13) Number of fatal and nonfatal accidents which resulted in a 
verified positive post-accident drug test.
    (14) Number of fatalities resulting from accidents which resulted in 
a verified positive post-accident drug test.
    (15) Identification of FTA funding source(s).
    (d) If all drug test results were negative during the reporting 
period, the employer must use the ``EZ form'' (appendix C). It shall 
contain:
    (1) Number of FTA covered employees.
    (2) Number of covered employees subject to testing under the anti-
drug regulation of the United States Coast Guard.
    (3) Number of specimens collected and verified negative by type of 
test and employee category.
    (4) Number of covered employees verified positive by an MRO or who 
refused to submit to a drug test, who were returned to duty in covered 
positions during the reporting period (having complied with the 
recommendations of a substance abuse professional as described in 
Sec. 653.37).
    (5) Number of covered employees who refused to submit to a random 
drug test under this part and how many of those were random test 
refusals.

[[Page 867]]

    (6) Number of covered employees who refused to submit to a non-
random drug test required under this part.
    (7) Number of covered employees and supervisors who received 
training during the reporting period.
    (8) Identification of FTA funding source(s).



Sec. 653.75  Access to facilities and records.

    (a) Except as required by law, or expressly authorized or required 
in this section, no employer may release information pertaining to a 
covered employee that is contained in records required to be maintained 
by Sec. 653.71.
    (b) A covered employee is entitled, upon written request, to obtain 
copies of any records pertaining to the covered employee's use of 
prohibited drugs, including any records pertaining to his or her drug 
tests. The employer shall provide promptly the records requested by the 
employee. Access to a covered employee's records shall not be contingent 
upon payment for records other than those specifically requested.
    (c) An employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation or any DOT agency with regulatory authority over the 
employer or any of its employees or to a State oversight agency 
authorized to oversee rail fixed guideway systems.
    (d) An employer shall disclose data for its drug testing program and 
any other information pertaining to the employer's anti-drug program 
required to be maintained by this part, when requested by the Secretary 
of Transportation or any DOT agency with regulatory authority over the 
employer or covered employee or to a State oversight agency authorized 
to oversee rail fixed guideway systems.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's administration of a drug test following the 
accident under investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of written request from the covered employee. Subsequent 
disclosure by the employer is permitted only as expressly authorized by 
the terms of the covered employee's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a covered employee to the employee or the 
decisionmaker in a lawsuit, grievance, or other proceeding initiated by 
or on behalf of the individual, and arising from the results of a drug 
test administered under this part (including, but not limited to, a 
worker's compensation, unemployment compensation, or other proceeding 
relating to a benefit sought by the covered employee.)
    (h) An employer shall release information regarding a covered 
employee's record as directed by the specific, written consent of the 
employee authorizing release of the information to an identified person.



                    Subpart F--Certifying Compliance



Sec. 653.81  Compliance a condition of FTA financial assistance.

    (a) General. A recipient may not be eligible for Federal financial 
assistance under section 3, 9, or 18 of the Federal Transit Act, as 
amended, or under section 103(e)(4) of title 23 of the United States 
Code if a recipient fails to establish and implement an anti-drug 
program as required by this part. Failure to certify compliance with 
these requirements, as specified in Sec. 653.83, will result in the 
suspension of a grantee's eligibility for Federal funding.
    (b) Criminal violation. A recipient is subject to criminal sanctions 
and fines for false statements or misrepresentations under section 1001 
of title 18 of the United States Code.
    (c) State's role. Each State shall certify compliance on behalf of 
its section 3, 9 or 18 subrecipients, as applicable, whose grant the 
State administers. In so certifying, the State shall ensure that each 
subrecipient is complying with the requirements of this part. A section 
3, 9 or 18 subrecipient, through the administering State, is subject to 
suspension of funding from the State if such subrecipient is not in 
compliance with this part.

[[Page 868]]



Sec. 653.83  Requirement to certify compliance.

    (a) A recipient of FTA financial assistance shall certify annually 
to the applicable FTA Regional Office compliance with the requirements 
of this part, including the training requirements. Large operators shall 
certify compliance initially by January 1, 1995. Small operators and 
States shall certify compliance initially by January 1, 1996.
    (b) A certification must be authorized by the organization's 
governing board or other authorizing official, and must be signed by a 
party specifically authorized to do so. A certification must comply with 
the applicable sample certification provided in appendix A to this part.

                   Appendix A to Part 653--[Reserved]

[[Page 869]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.198


[[Page 870]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.199



[[Page 871]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.200



[[Page 872]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.201



[[Page 873]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.202



[[Page 874]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.203



[[Page 875]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.204



[[Page 876]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.205



[[Page 877]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.206



[[Page 878]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.207



[[Page 879]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.208



[[Page 880]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.209


[[Page 881]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.210



[[Page 882]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.211



[[Page 883]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.212



[[Page 884]]



PART 654--PREVENTION OF ALCOHOL MISUSE IN TRANSIT OPERATIONS--Table of Contents




                           Subpart A--General

Sec.
654.1  Purpose.
654.3  Applicability.
654.5  Alcohol testing procedures.
654.7  Definitions.
654.9  Preemption of State and local laws.
654.11  Other requirements imposed by employers.
654.13  Requirement for notice.
654.15  Starting date for alcohol testing programs.

                         Subpart B--Prohibitions

654.21  Alcohol concentration.
654.23  On-duty use.
654.25  Pre-duty use.
654.27  Use following an accident.
654.29  Refusal to submit to a required alcohol test.

                        Subpart C--Tests Required

654.31  Pre-employment testing.
654.33  Post-accident testing.
654.35  Random testing.
654.37  Reasonable suspicion testing.
654.39  Return to duty testing.
654.41  Follow-up testing.
654.43  Retesting of covered employees with an alcohol concentration of 
          0.02 or greater but less than 0.04.
654.45  Supervisor acting as breath alcohol technician.

                 Subpart D--Administrative Requirements

654.51  Retention of records.
654.53  Reporting of results in a management information system.
654.55  Access to facilities and records.

   Subpart E--Consequences for Employees Engaging In Alcohol-related 
                                 Conduct

654.61  Removal from safety-sensitive function.
654.63  Required evaluation and testing.
654.65  Other alcohol-related conduct.

      Subpart F--Alcohol Misuse Information, Training, and Referral

654.71  Employer obligation to promulgate a policy on the misuse of 
          alcohol.
654.73  Training for supervisors.
654.75  Referral, evaluation, and treatment.

                          Subpart G--Compliance

654.81  Compliance a condition of FTA financial assistance.
654.83  Requirement to certify compliance.


Appendix A to Part 654--[Reserved]

Appendix B to Part 654--Alcohol Testing Management Information System 
          (MIS) Data Collection Form.

Appendix C to Part 654--Alcohol Testing Management Information System 
          (MIS) ``EZ'' Data Collection Form.

    Authority:  49 U.S.C. 5331; 49 CFR 1.51.

    Source:  At 59 FR 7549, Feb. 15, 1994, unless otherwise noted.



                           Subpart A--General



654.1  Purpose.

    The purpose of this part is to establish programs designed to help 
prevent accidents and injuries resulting from the misuse of alcohol by 
employees who perform safety-sensitive functions for employers receiving 
assistance from the Federal Transit Administration (FTA).



654.3  Applicability.

    (a) Except as specifically excluded in paragraph (b) of this 
section, this part applies to a recipient under--
    (1) Section 3, 9, or 18 of the Federal Transit Act, as amended (FT 
Act); or
    (2) Section 103(e)(4) of title 23 of the United States Code.
    (b) A recipient operating a railroad regulated by the Federal 
Railroad Administration (FRA) shall follow 49 CFR part 219 and 382, as 
appropriate, and Sec. 654.83 of this part for its railroad operations, 
and this part for its non-railroad operations, if any.

    (Note: For recipients who operate marine vessels, see also United 
States Coast Guard regulations at 33 CFR part 95 and 46 CFR parts 4, 5, 
and 16.)

[59 FR 7549, Feb. 15, 1994, as amended at 60 FR 12299, Mar. 6, 1995]



Sec. 654.5  Alcohol testing procedures.

    Each employer shall ensure that all alcohol testing conducted under 
this part complies with the procedures set forth in part 40 of this 
title. The provisions of part 40 that address alcohol testing are made 
applicable to employers by this part.

[[Page 885]]



Sec. 654.7  Definitions.

    As used in this part--
    Accident means an occurrence associated with the operation of a 
vehicle, if as a result--
    (1) An individual dies;
    (2) An individual suffers a bodily injury and immediately receives 
medical treatment away from the scene of the accident;
    (3) With respect to an occurrence in which the mass transit vehicle 
involved is a bus, electric bus, van, or automobile, one or more 
vehicles incurs disabling damage as the result of the occurrence and is 
transported away from the scene by a tow truck or other vehicle;
    (4) With respect to an occurrence in which the mass transit vehicle 
involved is a rail car, trolley car, trolley bus, or vessel, the mass 
transit vehicle is removed from revenue service.
    Administrator means the Administrator of the Federal Transit 
Administration or the Administrator's designee.
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol or other low molecular weight alcohols including methyl or 
isopropyl alcohol.
    Alcohol concentration means the alcohol in a volume of breath 
expressed in terms of grams of alcohol per 210 liters of breath as 
indicated by an evidential breath test under this part.
    Alcohol use means the consumption of any beverage, mixture, or 
preparation, including any medication, containing alcohol.
    Certification means a recipient's written statement, authorized by 
the organization's governing board or other authorizing official, that 
the recipient has complied with the provisions of this part. (See 
Sec. 654.87 for requirements on certification.)
    Confirmation test means a second test, following a screening test 
with a result of 0.02 or greater, that provides quantitative data of 
alcohol concentration.
    Consortium means an entity, including a group or association of 
employers, operators, recipients, subrecipients, or contractors, which 
provides alcohol testing as required by this part, or other DOT alcohol 
testing rule, and which acts on behalf of the employer.
    Contractor means a person or organization that provides a service 
for a recipient, subrecipient, employer, or operator consistent with a 
specific understanding or arrangement. The understanding can be a 
written contract or an informal arrangement that reflects an ongoing 
relationship between the parties.
    Covered employee means a person, including an applicant or 
transferee, who performs a safety-sensitive function for an entity 
subject to this part; however, a volunteer is covered only if operating 
a vehicle designed to transport sixteen or more passengers, including 
the driver.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusion. Damage to motor vehicles that could have been driven, 
but would have been further damaged if so driven.
    (2) Exclusions.
    (i) Damage which can be remedied temporarily at the scene of the 
accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which makes 
them inoperative.
    DOT means the United States Department of Transportation.
    DOT agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol testing (14 CFR part 61, 63, 65, 121, and 135; 49 CFR 
parts 199, 219, 382, and 654) in accordance with part 40 of this title.
    Employer means a recipient or other entity that provides mass 
transportation service or which performs a safety-sensitive function for 
such recipient or other entity. This term includes subrecipients, 
operators, and contractors.
    FTA means the Federal Transit Administration, an agency of the U.S. 
Department of Transportation.
    Large operator means a recipient or subrecipient primarily operating 
in an

[[Page 886]]

urbanized area of 200,000 or more in population.
    Performing (a safety-sensitive function) means a covered employee is 
considered to be performing a safety-sensitive function and includes any 
period in which he or she is actually performing, ready to perform, or 
immediately available to perform such functions.
    Railroad means all forms of non-highway ground transportation that 
run on rails or electromagnetic guideways, including (1) commuter or 
other short-haul rail passenger service in a metropolitan or suburban 
area, as well as any commuter rail service which was operated by the 
Consolidated Rail Corporation as of January 1, 1979, and (2) high speed 
ground transportation systems that connect metropolitan areas, without 
regard to whether they use new technologies not associated with 
traditional railroads. Such term does not include rapid transit 
operations within an urban area that are not connected to the general 
railroad system of transportation.
    Recipient means an entity receiving Federal financial assistance 
under section 3, 9, or 18, of the FT Act, or under section 103(e)(4) of 
title 23 of the United States Code.
    Refuse to submit (to an alcohol test) means that a covered employee 
fails to provide adequate breath for testing without a valid medical 
explanation after he or she has received notice of the requirement to be 
tested in accordance with the provisions of this part, or engages in 
conduct that clearly obstructs the testing process.
    Safety-sensitive function means any of the following duties:
    (1) Operating a revenue service vehicle, including when not in 
revenue service;
    (2) Operating a nonrevenue service vehicle, when required to be 
operated by a holder of a Commercial Driver's License;
    (3) Controlling dispatch or movement of a revenue service vehicle;
    (4) Maintaining a revenue service vehicle or equipment used in 
revenue service, unless the recipient receives section 3 funding and is 
in an area of less than 50,000 in population or section 18 funding and 
contracts out such services; or
    (5) Carrying a firearm for security purposes.
    Screening test means an analytical procedure to determine whether a 
covered employee may have a prohibited concentration of alcohol in his 
or her system.
    Small operator means a recipient or subrecipient primarily operating 
in a nonurbanized area or in an urbanized area of less than 200,000 in 
population.
    Vehicle means a bus, electric bus, van, automobile, rail car, 
trolley car, trolley bus, or vessel. A ``mass transit vehicle'' is a 
vehicle used for mass transportation or for ancillary services.
    Violation rate means the number of covered employees (as reported 
under Sec. 654.53 of this part) found during random tests given under 
this part to have an alcohol concentration of .04 or greater, plus the 
number of employees who refuse a random test required by this part, 
divided by the total reported number of employees in the industry given 
random alcohol tests under this part plus the total reported number of 
employees in the industry who refuse a random test required by this 
part.
[59 FR 7549, Feb. 15, 1994, as amended at 60 FR 12299, Mar. 6, 1995; 60 
FR 39620, Aug. 2, 1995; 61 FR 37224, July 17, 1996]



Sec. 654.9  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order, to the 
extent that:
    (1) Compliance with both the State or local requirement and any 
requirement in this part is not possible; or
    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.
    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property, whether the 
provisions apply specifically to transportation employees or employers 
or to the general public.

[[Page 887]]



Sec. 654.11  Other requirements imposed by employers.

    Except as expressly provided in this part, nothing in this part 
shall be construed to affect the authority of employers, or the rights 
of employees, with respect to the use or possession of alcohol, 
including authority and rights with respect to alcohol testing and 
rehabilitation.



Sec. 654.13  Requirement for notice.

    Before performing an alcohol test under this part, each employer 
shall notify a covered employee that the alcohol test is required by 
this part. No employer shall falsely represent that a test is 
administered under this part.



Sec. 654.15  Starting date for alcohol testing programs.

    (a) Large employers. Each recipient operating primarily in an 
urbanized area of 200,000 or more in population on March 17, 1994 shall 
implement the requirements of this part beginning on January 1, 1995.
    (b) Small employers. Each recipient operating primarily in a 
nonurbanized area or in an urbanized area of 200,000 or less in 
population on March 17, 1994 shall implement the requirements of this 
part beginning on January 1, 1996.
    (c) An employer shall have an alcohol misuse program that conforms 
to this part by January 1, 1996, or by the date the employer begins 
operations, whichever is later.
[59 FR 7549, Feb. 15, 1994, as amended at 60 FR 12299, Mar. 6, 1995]



                         Subpart B--Prohibitions



Sec. 654.21  Alcohol concentration.

    Each employer shall prohibit a covered employee from reporting for 
duty or remaining on duty requiring the performance of safety-sensitive 
functions while having an alcohol concentration of 0.04 or greater. No 
employer having actual knowledge that a covered employee has an alcohol 
concentration of 0.04 or greater shall permit the employee to perform or 
continue to perform safety-sensitive functions.



Sec. 654.23  On-duty use.

    Each employer shall prohibit a covered employee from using alcohol 
while performing safety-sensitive functions. No employer having actual 
knowledge that a covered employee is using alcohol while performing 
safety-sensitive functions shall permit the employee to perform or 
continue to perform safety-sensitive functions.



Sec. 654.25  Pre-duty use.

    (a) General. Each employer shall prohibit a covered employee from 
using alcohol within 4 hours prior to performing safety-sensitive 
functions. No employer having actual knowledge that a covered employee 
has used alcohol within four hours of performing a safety-sensitive 
function shall permit the employee to perform or continue to perform 
safety-sensitive functions.
    (b) On-call employees. An employer shall prohibit the consumption of 
alcohol for the specified on-call hours of each covered employee who is 
on-call. The procedure shall include:
    (1) The opportunity for the covered employee to acknowledge the use 
of alcohol at the time he or she is called to report to duty and the 
inability to perform his or her safety-sensitive function.
    (2) The requirement that the covered employee take an alcohol test, 
if the covered employee has acknowledged the use of alcohol, but claims 
ability to perform his or her safety-sensitive function.



Sec. 654.27  Use following an accident.

    Each employer shall prohibit any covered employee required to take a 
post-accident alcohol test under Sec. 654.33 from alcohol use for eight 
hours following the accident or until he or she undergoes a post-
accident alcohol test, whichever occurs first.



Sec. 654.29  Refusal to submit to a required alcohol test.

    Each employer shall require a covered employee to submit to a post-
accident alcohol test required under Sec. 654.33, a random alcohol test 
required under Sec. 654.35, a reasonable suspicion alcohol test required 
under Sec. 654.37, or a follow-up alcohol test required under 
Sec. 654.41. No employer shall permit an

[[Page 888]]

employee who refuses to submit to such a test to perform or continue to 
perform safety-sensitive functions.



                        Subpart C--Tests Required



Sec. 654.31  Pre-employment testing.

    (a) Prior to the first time a covered employee performs safety-
sensitive functions for an employer, the employer shall ensure that the 
employee undergoes testing for alcohol. No employer shall allow a 
covered employee to perform safety-sensitive functions, unless the 
employee has been administered an alcohol test with a result indicating 
an alcohol concentration less than 0.04. If a pre-employment test result 
under this section indicates an alcohol concentration of 0.02 or greater 
but less than 0.04, the provisions of Sec. 654.65 shall apply.
    (b) An employer may elect not to administer an alcohol test required 
by paragraph (a) of this section, if:
    (1) The employee has undergone an alcohol test required by this part 
or the alcohol misuse rule of another DOT agency under part 40 of this 
title within the previous six months, with a result indicating an 
alcohol concentration less than 0.04; and
    (2) The employer ensures that no prior employer of the covered 
employee of whom the employer has knowledge has records of a violation 
of this subpart or the alcohol misuse rule of another DOT agency within 
the previous six months.

    Effective Date Note: At 60 FR 24766, May 10, 1995, Sec. 654.31 was 
suspended indefinitely, effective May 10, 1995.



Sec. 654.33  Post-accident testing.

    (a)(1) Fatal accidents. As soon as practicable following an accident 
involving the loss of human life, an employer shall test each surviving 
covered employee operating the mass transit vehicle at the time of the 
accident. The employer shall also test any other covered employee whose 
performance could have contributed to the accident, as determined by the 
employer using the best information available at the time of the 
decision.
    (2) Nonfatal accidents. (i) As soon as practicable following an 
accident not involving the loss of human life, in which the mass transit 
vehicle involved is a bus, electric bus, van, or automobile, the 
employer shall test each covered employee operating the mass transit 
vehicle at the time of the accident unless the employer determines, 
using the best information available at the time of the decision, that 
the covered employee's performance can be completely discounted as a 
contributing factor to the accicent. The employer shall also test any 
other covered employee whose performance could have contributed to the 
accident, as determined by the employer using the best information 
available at the time of the decision.
    (ii) As soon as practicable following an accident not involving the 
loss of human life, in which the mass transit vehicle involved is a rail 
car, trolley car, trolley bus, or vessel, the employer shall test each 
covered employee operating the mass transit vehicle at the time of the 
accident unless the employer determines, using the best information 
available at the time of the decision, that the covered employee's 
performance can be completely discounted as a contributing factor to the 
accident. The decision not to administer a test under this paragraph 
shall be based on the employer's determination, using the best available 
information at the time of the determination, that the employee's 
performance could not have contributed to the accident. The employer 
shall also test any other covered employee whose performance could have 
contributed to the accident, as determined by the employer using the 
best information available at the time of the decision.
    (b)(1) If a test required by this section is not administered within 
two hours following the accident, the employer shall prepare and 
maintain on file a record stating the reasons the test was not promptly 
administered. If a test required by this paragraph is not administered 
within eight hours following the accident, the employer shall cease 
attempts to administer an alcohol test and shall maintain the same 
record. Records shall be submitted to the FTA upon request of the 
Administrator.
    (2) For the years stated in this paragraph, the employer shall 
submit to

[[Page 889]]

the FTA each record of a test required by this section that is not 
completed within 8 hours. The employer's records of tests that could not 
be completed within 8 hours shall be submitted to the FTA by March 15, 
1996; March 15, 1997; and March 15, 1998; for calendar years 1995, 1996, 
and 1997, respectively. Employers shall append these records to their 
MIS submissions. Each record shall include the following information:
    (i) Type of test (reasonable suspicion/post-accident);
    (ii) Triggering event (including date, time, and location);
    (iii) Employee category (do not include employee name or other 
identifying information);
    (iv) Reason(s) test could not be completed within 8 hours; and
    (v) If blood alcohol testing could have been completed within eight 
hours, the name, address, and telephone number of the testing site where 
blood testing could have occurred.
    (c) A covered employee who is subject to post-accident testing who 
fails to remain readily available for such testing, including notifying 
the employer or employer representative of his or her location if he or 
she leaves the scene of the accident prior to submission to such test, 
may be deemed by the employer to have refused to submit to testing. 
Nothing in this section shall be construed to require the delay of 
necessary medical attention for injured people following an accident or 
to prohibit a covered employee from leaving the scene of an accident for 
the period necessary to obtain assistance in responding to the accident 
or to obtain necessary emergency medical care.
[59 FR 7549, Feb. 15, 1994, as amended at 59 FR 62240, Dec. 2, 1994; 60 
FR 12300, Mar. 6, 1995; 60 FR 39620, Aug. 2, 1995]



Sec. 654.35  Random testing.

    (a) Except as provided in paragraphs (b) through (d) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 25 percent of covered employees.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random alcohol testing is based on the 
reported violation rate for the entire industry. All information used 
for this determination is drawn from the alcohol MIS reports required by 
Sec. 654.53. In order to ensure reliability of the data, the 
Administrator considers the quality and completeness of the reported 
data, may obtain additional information or reports from employers, and 
may make appropriate modifications in calculating the industry violation 
rate. Each year, the Administrator will publish in the Federal Register 
the minimum annual percentage rate for random alcohol testing of covered 
employees. The new minimum annual percentage rate for random alcohol 
testing will be applicable starting January 1 of the calendar year 
following publication.
    (c)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the Administrator may lower this rate to 
10 percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 654.53 for 
two consecutive calendar years indicate that the violation rate is less 
than 0.5 percent. However, after the initial two years of testing by 
large transit operators and the initial first year of testing by small 
transit operators, the Administrator may lower the rate the following 
calendar year, if the combined violation rate is less than 0.5 percent 
and is in the interests of safety.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the Administrator may lower this rate to 25 
percent of all covered employees if the Administrator determines that 
the data received under the reporting requirements of Sec. 654.53 for 
two consecutive calendar years indicate that the violation rate is less 
than 1.0 percent but equal to or greater than 0.5 percent.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec. 654.53 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 25 percent of all covered 
employees.

[[Page 890]]

    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec. 654.53 for that calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent, the 
Administrator will increase the minimum annual percentage rate for 
random alcohol testing to 50 percent of all covered employees.
    (e) The selection of employees for random alcohol testing shall be 
made by a scientifically valid method, such as a random number table or 
a computer-based random number generator that is matched with employees' 
Social Security numbers, payroll identification numbers, or other 
comparable identifying numbers. Under the selection process used, each 
covered employee shall have an equal chance of being tested each time 
selections are made.
    (f) The employer shall randomly select a sufficient number of 
covered employees for testing during each calendar year to equal an 
annual rate not less than the minimum annual percentage rate for random 
alcohol testing determined by the Administrator. If the employer 
conducts random alcohol testing through a consortium, the number of 
employees to be tested may be calculated for each individual employer or 
may be based on the total number of covered employees covered by the 
consortium who are subject to random alcohol testing at the same minimum 
annual percentage rate under this part or any DOT alcohol testing rule.
    (g) Each employer shall ensure that random alcohol tests conducted 
under this part are unannounced and that the dates for administering 
random tests are spread reasonably throughout the calendar year.
    (h) Each employer shall require that each covered employee who is 
notified of selection for random alcohol testing proceeds to the test 
site immediately; provided, however, that if the employee is performing 
a safety-sensitive function at the time of the notification, the 
employer shall instead ensure that the employee ceases to perform the 
safety-sensitive function and proceeds to the testing site as soon as 
possible.
    (i) A covered employee shall only be randomly tested while the 
employee is performing safety-sensitive functions; just before the 
employee is to perform safety-sensitive functions; or just after the 
employee has ceased performing such functions.
    (j) If a given covered employee is subject to random alcohol testing 
under the alcohol testing rules of more than one DOT agency for the same 
employer, the covered employee shall be subject to random alcohol 
testing at the minimum annual percentage rate established for the 
calendar year by the DOT agency regulating more than 50 percent of the 
covered employee's function.
    (k) If an employer is required to conduct random alcohol testing 
under the alcohol testing rules of more than one DOT agency, the 
employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the DOT-covered employees who are subject to testing at the 
same required minimum annual percentage rate; or
    (2) Randomly select such employees for testing at the highest 
minimum annual percentage rate established for the calendar year by any 
DOT agency to which the employer is subject.
[59 FR 7549, Feb. 15, 1994, as amended at 60 FR 12300, Mar. 6, 1995]



Sec. 654.37  Reasonable suspicion testing.

    (a) An employer shall require a covered employee to submit to an 
alcohol test when the employer has reasonable suspicion to believe that 
the employee has violated the prohibitions in this part.
    (b) The employer's determination that reasonable suspicion exists to 
require the covered employee to undergo an alcohol test shall be based 
on specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the employee. The required 
observations shall be made by a supervisor who is trained in detecting 
the symptoms of alcohol misuse. The supervisor who makes the 
determination that reasonable suspicion exists shall not conduct the 
breath alcohol test on that employee.

[[Page 891]]

    (c) Alcohol testing is authorized by this section only if the 
observations required by paragraph (b) of this section are made during, 
just preceding, or just after the period of the work day that the 
covered employee is required to be in compliance with this part. An 
employer may direct a covered employee to undergo reasonable suspicion 
testing for alcohol only while the employee is performing safety-
sensitive functions; just before the employee is to perform safety-
sensitive functions; or just after the employee has ceased performing 
such functions.
    (d)(1) If a test required by this section is not administered within 
two hours following the determination under paragraph (b) of this 
section, the employer shall prepare and maintain on file a record 
stating the reasons the test was not promptly administered. If a test 
required by this section is not administered within eight hours 
following the determination under paragraph (b) of this section, the 
employer shall cease attempts to administer an alcohol test and shall 
state in the record the reasons for not administering the test.
    (2) For the years stated in this paragraph, the employer shall 
submit to the FTA each record of a test required by this section that is 
not completed within 8 hours. The employer's records of tests that could 
not be completed within 8 hours shall be submitted to the FTA by March 
15, 1996; March 15, 1997; and March 15, 1998; for calendar years 1995, 
1996, and 1997, respectively. Employers shall append these records to 
their MIS submissions. Each record shall include the following 
information:
    (i) Type of test (reasonable suspicion/post-accident);
    (ii) Triggering event (including date, time, and location);
    (iii) Employee category (do not include employee name or other 
identifying information);
    (iv) Reason(s) test could not be completed within 8 hours; and
    (v) If blood alcohol testing could have been completed within eight 
hours, the name, address, and telephone number of the testing site where 
blood testing could have occurred.
    (3) Notwithstanding the absence of a reasonable suspicion alcohol 
test under this section, an employer shall not permit a covered employee 
to report for duty or remain on duty requiring the performance of 
safety-sensitive functions while the employee is under the influence of 
or impaired by alcohol, as shown by the behavioral, speech, or 
performance indicators of alcohol misuse, nor shall an employer permit 
the covered employee to perform or continue to perform safety-sensitive 
functions, until:
    (i) An alcohol test is administered and the employee's alcohol 
concentration measures less than 0.02 percent; or
    (ii) The start of the employee's next regularly scheduled duty 
period, but not less than 8 hours following the determination under 
paragraph (b) of this section that there is reasonable suspicion to 
believe that the employee has violated the prohibitions in this part.
    (4) Except as provided in paragraph (d)(2), no employer shall take 
any action under this part against a covered employee based solely on 
the employee's behavior and appearance in the absence of an alcohol 
test. This does not prohibit an employer with the authority independent 
of this part from taking any action otherwise consistent with law.
[59 FR 7549, Feb. 15, 1994, as amended at 59 FR 62240, Dec. 2, 1994]



Sec. 654.39  Return to duty testing.

    Each employer shall ensure that before a covered employee returns to 
duty requiring the performance of a safety-sensitive function after 
engaging in conduct prohibited by subpart B of this part, the employee 
shall undergo a return to duty alcohol test with a result indicating an 
alcohol concentration of less than 0.02. (See Sec. 654.75)



Sec. 654.41  Follow-up testing.

    (a) Follow-up testing shall be conducted when the employee is 
performing safety-sensitive functions; just before the employee is to 
perform safety-sensitive functions; or just after the employee has 
ceased performing such functions.
    (b) Following a determination under Sec. 654.75(b) that a covered 
employee is in

[[Page 892]]

need of assistance in resolving problems associated with alcohol misuse, 
each employer shall ensure that the employee is subject to unannounced 
follow-up testing as directed by a substance abuse professional in 
accordance with the provisions of Sec. 654.75(c)(2)(ii).



Sec. 654.43  Retesting of covered employees with an alcohol concentration of 0.02 or greater but less than 0.04.

    Each employer shall retest a covered employee to ensure compliance 
with the provisions of Sec. 654.65, if the employer chooses to permit 
the employee to perform a safety-sensitive function within 8 hours 
following the administration of an alcohol test indicating an alcohol 
concentration of 0.02 or greater but less than 0.04.



Sec. 654.45  Supervisor acting as breath alcohol technician.

    An employer shall not permit a direct supervisor of an employee to 
serve as the breath alcohol technician for an alcohol test of the 
employee.
[60 FR 12300, Mar. 6, 1995]



                 Subpart D--Administrative Requirements



Sec. 654.51  Retention of records.

    (a) General requirement. Each employer shall maintain records of its 
alcohol misuse prevention program as provided in this section. The 
records shall be maintained in a secure location with controlled access.
    (b) Period of retention. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. Records of employee alcohol test results with 
results indicating an alcohol concentration of 0.02 or greater, 
documentation of refusals to take required alcohol tests, calibration 
documentation, and employee evaluation and referrals shall be maintained 
for a minimum of five years. Each employer shall maintain a copy of its 
annual MIS report(s) for a minimum of five years.
    (2) Two years. Records related to the collection process (except 
calibration of EBT's) and training shall be maintained for a minimum of 
two years.
    (3) One year. Records of all test results less than 0.02 shall be 
maintained for a minimum of one year.
    (c) Types of records. The following specific records shall be 
maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used.
    (ii) Documents relating to the random selection process.
    (iii) Calibration documentation for evidential breath testing 
devices.
    (iv) Documentation of breath alcohol technician training.
    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol tests.
    (vi) Documents generated in connection with decisions on post-
accident tests.
    (vii) Documents verifying existence of a medical explanation of the 
inability of a covered employee to provide adequate breath for testing.
    (2) Records related to test results:
    (i) The employer's copy of the alcohol test form, including the 
results of the test.
    (ii) Documents related to the refusal of any covered employee to 
submit to an alcohol test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of an alcohol test administered under this part.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a covered employee's need for assistance.
    (ii) Records concerning a covered employee's compliance with the 
recommendations of the substance abuse professional.
    (5) Copies of annual MIS reports submitted to FTA.
    (6) Records related to education and training:
    (i) Materials on alcohol misuse awareness, including a copy of the 
employer's policy on alcohol misuse.
    (ii) Documentation of compliance with the requirements of 
Sec. 654.71 of this part.
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a

[[Page 893]]

determination concerning the need for alcohol testing based on 
reasonable suspicion.
    (iv) Certification that any training conducted under this part 
complies with the requirements for such training.



Sec. 654.53  Reporting of results in a management information system.

    (a) Each recipient shall submit to the FTA Office of Safety and 
Security by March 15 of each year a report covering the previous 
calendar year (January through December 31), summarizing the results of 
its alcohol misuse prevention program.
    (b) Each recipient shall ensure the accuracy and timeliness of each 
report submitted by an employer, consortium, joint enterprise, or by a 
third party service provider acting on the employer's behalf.
    (c) Each report that contains information on an alcohol screening 
test result of 0.02 or greater or a violation of the alcohol misuse 
provisions of this part shall include the following informational 
elements:
    (1) Number of FTA covered employees by employee category.
    (2)(i) Number of screening tests by type of test and employee 
category.
    (ii) Number of confirmation tests, by type of test and employee 
category.
    (3) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.02 or greater but less than 0.04, by type of test and 
employee category.
    (4) Number of confirmation alcohol tests indicating an alcohol 
concentration of 0.04 or greater, by type of test and employee category.
    (5) Number of persons denied a position as a covered employee 
following a pre-employment alcohol test indicating an alcohol 
concentration of 0.04 or greater.
    (6) Number of covered employees with a confirmation alcohol test 
indicating an alcohol concentration of 0.04 or greater who were returned 
to duty in covered positions during the reporting period (having 
complied with the recommendation of a substance abuse professional as 
described in Sec. 654.75).
    (7) Number of fatal and nonfatal accidents which resulted in a post-
accident alcohol test indicating an alcohol concentration of 0.04 or 
greater.
    (8) Number of fatalities resulting from accidents which resulted in 
a post-accident alcohol test indicating an alcohol concentration of 0.04 
or greater.
    (9) Number of covered employees who were found to have violated 
other provisions of subpart B of this part and the action taken in 
response to the violation.
    (10) Number of covered employees who were administered alcohol and 
drug tests at the same time, with a positive drug test result and an 
alcohol test result indicating an alcohol concentration of 0.04 or 
greater.
    (11) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (12) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (13) Number of supervisors who have received training during the 
reporting period in determining the existence of reasonable suspicion of 
alcohol misuse.
    (14) Identification of FTA funding source(s).
    (d) Each report with no screening test results of 0.02 or greater or 
violations of the alcohol misuse provisions of this part shall include 
the following informational elements. (This report may only be submitted 
if the program results meet these criteria.)
    (1) Number of FTA covered employees.
    (2) Number of alcohol tests conducted with results less than 0.02 by 
type of test and employee category.
    (3) Number of employees with a confirmation alcohol test indicating 
an alcohol concentration of 0.04 or greater who were returned to duty in 
a covered position during the reporting period.
    (4) Number of covered employees who refused to submit to a random 
alcohol test required under this part.
    (5) Number of covered employees who refused to submit to a non-
random alcohol test required under this part.
    (6) Number of supervisors who have received training during the 
reporting period in determining the existence of reasonable suspicion of 
alcohol misuse.
    (7) Identification of FTA funding source(s).

[[Page 894]]



Sec. 654.55  Access to facilities and records.

    (a) Except as required by law or expressly authorized or required in 
this section, no employer shall release covered employee information 
that is contained in records required to be maintained under 
Sec. 654.51.
    (b) A covered employee is entitled, upon written request, to obtain 
copies of any records pertaining to the employee's use of alcohol, 
including any records pertaining to his or her alcohol tests. The 
employer shall promptly provide the records requested by the employee. 
Access to an employee's records shall not be contingent upon payment for 
records other than those specifically requested.
    (c) Each employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, any DOT agency with regulatory authority over the 
employer or any of its covered employees or to a State oversight agency 
authorized to oversee rail fixed guideway systems.
    (d) Each employer shall make available copies of all results for 
employer alcohol testing conducted under this part and any other 
information pertaining to the employer's alcohol misuse prevention 
program, when requested by the Secretary of Transportation, or any DOT 
agency with regulatory authority over the employer or covered employee, 
or to a State oversight agency authorized to oversee rail fixed guideway 
systems.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's administration of a post-accident alcohol test 
administered following the accident under investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of written request from the covered employee. Disclosure by the 
subsequent employer is permitted only as expressly authorized by the 
terms of the employee's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a covered employee to the employee or the 
decisionmaker in a lawsuit, grievance, or other proceeding initiated by 
or on behalf of the individual, and arising from the results of an 
alcohol test administered under this part, or from the employer's 
determination that the employee engaged in conduct prohibited by subpart 
B of this part (including, but not limited to, a worker's compensation, 
unemployment compensation, or other proceeding relating to a benefit 
sought by the employee).
    (h) An employer shall release information regarding a covered 
employee's records as directed by the specific, written consent of the 
employee authorizing release of the information to an identified person. 
Release of such information by the person receiving the information is 
permitted only in accordance with the terms of the employee's consent.



   Subpart E--Consequences for Employees Engaging in Alcohol-related 
                                 Conduct



Sec. 654.61  Removal from safety-sensitive function.

    Except as provided in subpart F of this part, no employer shall 
permit any covered employee to perform safety-sensitive functions if the 
employee has engaged in conduct prohibited by subpart B of this part or 
an alcohol misuse rule of another DOT agency.



Sec. 654.63  Required evaluation and testing.

    No employer shall permit any covered employee who has engaged in 
conduct prohibited by subpart B of this part to perform safety-sensitive 
functions unless the employee has met the requirements of Sec. 654.75.



Sec. 654.65  Other alcohol-related conduct.

    (a) No employer shall permit a covered employee tested under the 
provisions of subpart C of this part who is found to have an alcohol 
concentration of 0.02 or greater but less than 0.04 to perform or 
continue to perform safety-sensitive functions, until:
    (1) The employee's alcohol concentration measures less than 0.02; or
    (2) The start of the employee's next regularly scheduled duty 
period, but

[[Page 895]]

not less than eight hours following administration of the test.
    (b) Except as provided in paragraph (a) of this section, no employer 
shall take any action under this part against an employee based solely 
on test results showing an alcohol concentration less than 0.04. This 
does not prohibit an employer with authority independent of this part 
from taking any action otherwise consistent with law.



      Subpart F--Alcohol Misuse Information, Training, and Referral



Sec. 654.71  Employer obligation to promulgate a policy on the misuse of alcohol.

    (a) General requirements. Each employer shall provide educational 
materials that explain the requirements of this part and the employer's 
policies and procedures with respect to meeting those requirements. The 
policy shall be adopted by the employer's governing board.
    (1) The employer shall ensure that a copy of these materials is 
distributed to each covered employee prior to the start of alcohol 
testing under this section of the employer's alcohol misuse prevention 
program and to each person subsequently hired or transferred to a 
covered position.
    (2) Each employer shall provide written notice to every covered 
employee and to representatives of employee organizations of the 
availability of this information.
    (b) Required content. The materials to be made available to covered 
employees shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the employer to answer 
employee questions about the materials.
    (2) The categories of employees who are subject to the provisions of 
this part.
    (3) Sufficient information about the safety-sensitive functions 
performed by those employees to make clear what period of the work day 
the covered employee is required to be in compliance with this part.
    (4) Specific information concerning employee conduct that is 
prohibited by this part.
    (5) The circumstances under which a covered employee will be tested 
for alcohol under this part.
    (6) The procedures that will be used to test for the presence of 
alcohol, protect the employee and the integrity of the breath testing 
process, safeguard the validity of the test results, and ensure that 
those results are attributed to the correct employee.
    (7) The requirement that a covered employee submit to alcohol tests 
administered in accordance with this part.
    (8) An explanation of what constitutes a refusal to submit to an 
alcohol test and the attendant consequences.
    (9) The consequences for covered employees found to have violated 
the prohibitions imposed under subpart B, including the requirement that 
the employee be removed immediately from safety-sensitive functions, and 
the procedures under Sec. 654.75 of this part.
    (10) The consequences for covered employees found to have an alcohol 
concentration of 0.02 or greater but less than 0.04.
    (11) Information concerning the effects of alcohol misuse on an 
individual's health, work, and personal life; signs and symptoms of an 
alcohol problem (the employee's or a coworker's); and available methods 
of intervening when an alcohol problem is suspected, including 
confrontation, referral to any available EAP, and/or referral to 
management.
    (c) Optional provisions. The materials supplied to covered employees 
may also include information on additional employer policies with 
respect to the use or possession of alcohol, including any consequences 
for an employee found to have a specified alcohol concentration, that 
are based on the employer's authority independent of this part. Any such 
additional policies or consequences shall be clearly and obviously 
described as being based on independent authority.



Sec. 654.73  Training for supervisors.

    Every employer shall ensure that supervisors designated to determine 
whether reasonable suspicion exists to require a covered employee to 
undergo alcohol testing under Sec. 654.37 receive at

[[Page 896]]

least 60 minutes of training on the physical, behavioral, speech, and 
performance indicators of probable alcohol misuse.



Sec. 654.75  Referral, evaluation, and treatment.

    (a) Each covered employee who has engaged in conduct prohibited by 
subpart B of this part shall be advised by the employer of the resources 
available to the employee in evaluating and resolving problems 
associated with the misuse of alcohol, including the names, addresses, 
and telephone numbers of substance abuse professionals and counseling 
and treatment programs.
    (b) Each covered employee who engages in conduct prohibited under 
subpart B shall be evaluated by a substance abuse professional who shall 
determine what assistance, if any, the employee needs in resolving 
problems associated with alcohol misuse.
    (c)(1) Before a covered employee returns to duty requiring the 
performance of a safety-sensitive function after engaging in conduct 
prohibited by subpart B of this part, the employee shall undergo a 
return to duty alcohol test with a result indicating an alcohol 
concentration of less than 0.02. In addition, the substance abuse 
professional may recommend that the employee be subject to a return to 
duty drug test, performed in accordance with 49 CFR part 40.
    (2) In addition, each covered employee identified as needing 
assistance in resolving problems associated with alcohol misuse:
    (i) Shall be evaluated by a substance abuse professional to 
determine that the employee has properly followed any rehabilitation 
program prescribed under paragraph (b) of this section, and
    (ii) Shall be subject to unannounced follow-up alcohol testing 
administered by the employer following the employee's return to duty. 
The number and frequency of such follow-up testing shall be as directed 
by the substance abuse professional, and consist of at least six tests 
in the first 12 months following the employee's return to duty. In 
addition, follow up testing may include testing for drugs , as directed 
by the substance abuse professional, to be performed in accordance with 
of 49 CFR part 40. Follow-up testing shall not exceed 60 months from the 
date of the employee's return to duty. The substance abuse professional 
may terminate the requirement for follow-up testing at any time after 
the first six tests have been administered, if the substance abuse 
professional determines that such testing is no longer necessary.
    (d) Evaluation and rehabilitation may be provided by the employer, 
by a substance abuse professional under contract with the employer, or 
by a substance abuse professional not affiliated with the employer. The 
choice of substance abuse professional and assignment of costs shall be 
made in accordance with employer/employee agreements and employer 
policies.
    (e) The employer shall ensure that a substance abuse professional 
who determines that a covered employee requires assistance in resolving 
problems with alcohol misuse does not refer the employee to the 
substance abuse professional's private practice from which the substance 
abuse professional receives remuneration or to a person or organization 
in which the substance abuse professional has a financial interest. This 
paragraph does not prohibit a substance abuse professional from 
referring an employee for assistance provided through--
    (1) A public agency, such as a State, county, or municipality;
    (2) The employer or a person under contract to provide treatment for 
alcohol problems on behalf of the employer;
    (3) The sole source of therapeutically appropriate treatment under 
the employee's health insurance program; or
    (4) The sole source of therapeutically appropriate treatment 
reasonably accessible to the employee.
    (f) The requirements of this section with respect to referral, 
evaluation, and rehabilitation, do not apply to applicants who refuse to 
submit to a pre-employment alcohol test or who have a pre-employment 
alcohol test with a result indicating an alcohol concentration of 0.04 
or greater.

[[Page 897]]



                          Subpart G--Compliance



Sec. 654.81  Compliance a condition of FTA financial assistance.

    (a) General. A recipient may not be eligible for Federal financial 
assistance under section 3, 9, or 18 of the Federal Transit Act, as 
amended, or under section 103(e)(4) of title 23 of the United States 
Code if a recipient fails to establish and implement an alcohol misuse 
prevention program as required by this part. Failure to certify 
compliance with these requirements, as specified in Sec. 654.83, will 
result in the suspension of a grantee's eligibility for Federal funding.
    (b) Criminal violation. A recipient is subject to criminal sanctions 
and fines for false statements or misrepresentations under Sec. 1001 of 
title 18 of the United States Code.
    (c) State's role. Each State shall certify compliance on behalf of 
its section 3, 9 or 18 subrecipients, as applicable, whose grant the 
State administers. In so certifying, the State shall ensure that each 
subrecipient is complying with the requirements of this part. A section 
3, 9 or 18 subrecipient, through the administering State, is subject to 
suspension of funding from the State if such subrecipient is not in 
compliance with this part.



Sec. 654.83  Requirement to certify compliance.

    (a) A recipient of FTA financial assistance shall certify annually 
to the applicable FTA Regional Office compliance with the requirements 
of this part, including the training requirements. Large operators shall 
certify compliance initially by January 1, 1995. Small operators and 
States shall certify compliance initially by January 1, 1996.
    (b) A certification must be authorized by the organization's 
governing board or other authorizing official, and must be signed by a 
party specifically authorized to do so. A certification must comply with 
the applicable sample certification provided in appendix A to this part.

                   Appendix A to Part 654--[Reserved]

[[Page 898]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.213


[[Page 899]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.214



[[Page 900]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.215



[[Page 901]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.216



[[Page 902]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.217



[[Page 903]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.218



[[Page 904]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.219



[[Page 905]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.220



[[Page 906]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.221



[[Page 907]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.222



[[Page 908]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.223


[[Page 909]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.224



[[Page 910]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.225



[[Page 911]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.226



[[Page 912]]



PART 659--RAIL FIXED GUIDEWAY SYSTEMS; STATE SAFETY OVERSIGHT--Table of Contents




                      Subpart A--General Provisions

Sec.
659.1  Purpose.
659.3  Scope.
659.5  Definitions.
659.7  Withholding of funds for non-compliance.

                    Subpart B--The Role of the State

659.21  Designation of oversight agency.
659.23  Confidential investigation reports.

                 Subpart C--The Oversight Agency's Role

659.31  The system safety program standard.
659.33  System safety program plans.
659.35  Transit agency annual audit reports.
659.37  Safety reviews.
659.39  Transit agency report on accidents and unacceptable hazardous 
          conditions.
659.41  Investigations.
659.43  Corrective actions.
659.45  Oversight agency report to the Federal Transit Administration.
659.47  Use of contractors.
659.49  Certification of compliance.


Appendix to Part 659--Sample Certification of Compliance.

    Authority:  49 U.S.C. Sec. 5330.

    Source:  60 FR 67046, Dec. 27, 1995, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 659.1  Purpose.

    This part implements 49 U.S.C. 5330 by requiring a State to oversee 
the safety of rail fixed guideway systems through a designated oversight 
agency.



Sec. 659.3  Scope.

    This part applies to a State that has within its boundaries a rail 
fixed guideway system not regulated by the Federal Railroad 
Administration (FRA).



Sec. 659.5  Definitions.

    As used in this part--
    Accident means any event involving the revenue service operation of 
a rail fixed guideway system if as a result:
    (1) An individual dies;
    (2) An individual suffers bodily injury and immediately receives 
medical treatment away from the scene of the accident; or
    (3) A collision, derailment, or fire causes property damage in 
excess of $100,000.
    APTA Guidelines means the American Public Transit Association's 
``Manual for the Development of Rail Transit System Safety Program 
Plans,'' published on August 20, 1991.
    Contractor means an entity that performs tasks required by this part 
on behalf of the oversight or transit agency. The transit agency may not 
be a contractor for the oversight agency.
    FTA means the Federal Transit Administration, an agency within the 
U.S. Department of Transportation.
    Hazardous condition means a condition that may endanger human life 
or property. It includes unacceptable hazardous conditions.
    Investigation means a process to determine the probable cause of an 
accident or an unacceptable hazardous condition; it may involve no more 
than a review and approval of the transit agency's determination of the 
probable cause of an accident or unacceptable hazardous condition.
    Oversight agency means the entity, other than the transit agency, 
designated by the State or several States to implement this part.
    Rail fixed guideway system means any light, heavy, or rapid rail 
system, monorail, inclined plane, funicular, trolley, or automated 
guideway that is:
    (1) Included in FTA's calculation of fixed guideway route miles or 
receives funding under FTA's formula program for urbanized areas (49 
U.S.C. 5336); and
    (2) Not regulated by the Federal Railroad Administration.
    Safety means freedom from danger.
    Safety review means a formal, comprehensive, on-site examination by 
the oversight agency of a transit agency's safety practices to determine 
whether they comply with the policies and procedures required under the 
transit agency's system safety program plan.
    Security means freedom from intentional danger.
    System safety program plan means a document adopted by the transit 
agency detailing its safety policies, objectives, responsibilities, and 
procedures.
    System safety program standard means the standard developed and 
adopted by the State oversight agency which, at a

[[Page 913]]

minimum, complies with the APTA Guidelines and which addresses personal 
security.
    Transit agency means an entity operating a rail fixed guideway 
system.
    Unacceptable hazardous condition means a hazardous condition 
determined to be an unacceptable hazardous condition using the APTA 
Guidelines' Hazard Resolution Matrix (APTA Guidelines, checklist number 
7).



Sec. 659.7  Withholding of funds for non-compliance.

    The Administrator of the FTA may withhold up to five percent of the 
amount required to be apportioned for use in any State or affected 
urbanized area in such State under FTA's formula program for urbanized 
areas for any fiscal year beginning after September 30, 1997, if the 
State in the previous fiscal year has not met the requirements of this 
part and the Administrator determines that the State is not making 
adequate efforts to comply with this part.



                    Subpart B--The Role of the State



Sec. 659.21  Designation of oversight agency.

    (a) For a transit agency or agencies operating within a single 
State, the State must designate an agency of the State, other than a 
transit agency, to serve as the oversight agency and to implement the 
requirements of this part.
    (b) For a transit agency operating a system within more than one 
State, those States may designate a single entity, other than the 
transit agency, to implement the requirements of this part.



Sec. 659.23  Confidential investigation reports.

    The State may prohibit an investigation report that may be prepared 
by the oversight agency from being admitted into evidence or used in a 
civil action for damages resulting from a matter mentioned in the 
report.



                 Subpart C--The Oversight Agency's Role



Sec. 659.31  The system safety program standard.

    (a) The oversight agency must develop and adopt a system safety 
program standard that, at a minimum--
    (1) Complies with the American Public Transit Association's ``Manual 
for the Development of Rail Transit System Safety Program Plans'' (APTA 
Guidelines) published on August 20, 1991, hereby incorporated by 
reference; and
    (2) Requires the transit agency to address the personal security of 
its passengers and employees.
    (b) The APTA Guidelines specify procedures for developing a system 
safety program plan, generally discuss the principles of system safety, 
and specifically address certain issues critical to the safe operation 
of a rail fixed guideway system.
    (c) The incorporation by reference of the APTA Guidelines has been 
approved by the Director of the Federal Register in accordance with 5 
U.S.C. 552(a) and 1 CFR Part 51. Copies of the APTA Guidelines may be 
obtained from the American Public Transit Association, 1201 New York 
Avenue, N.W., Washington DC 20005-3917, (202) 893-4000. The Guidelines 
may be inspected at, and are available from the Federal Transit 
Administration, Office of Safety and Security, 400 7th Street, S.W., 
Washington, D.C. 20590, and at the Office of the Federal Register, 800 
North Capitol Street, N.W., Washington, DC.



Sec. 659.33  System safety program plans.

    (a) Except as provided in Sec. 659.33(b), the oversight agency must 
--
    (1) Require the transit agency to implement, beginning on January 1, 
1997, a system safety program plan conforming to the oversight agency's 
system safety program standard; and
    (2) Approve in writing before January 1, 1997, the transit agency's 
system safety program plan.
    (b) The oversight agency must --
    (1) Require the transit agency to implement beginning on January 1, 
1998,

[[Page 914]]

the security portion of its system safety program plan; and
    (2) Approve in writing before January 1, 1998, the security portions 
of the transit agency's system safety program plan.
    (c) After December 31, 1996, the oversight agency must review and 
approve, in writing, the transit agency's system safety program plan, as 
necessary, and require the transit agency to update its system safety 
program plan, as necessary.
    (d) The oversight agency may prohibit a transit agency from publicly 
disclosing the security aspects of the system safety program plan.
60 FR 67046, Dec. 27, 1995, as amended at 61 FR 67493, Dec. 23, 1996]



Sec. 659.35  Transit agency annual audit reports.

    The oversight agency must--
    (a) Require that the transit agency submit, annually, a copy of the 
annual safety audit report prepared by the transit agency as a result of 
the Internal Safety Audit Process (APTA Guidelines, checklist number 9); 
and
    (b) Review the annual safety audit reports prepared by the transit 
agency.



Sec. 659.37  Safety reviews.

    At least every three years the oversight agency must conduct an on-
site safety review of the transit agency's implementation of its system 
safety program plan and prepare and issue a report containing findings 
and recommendations resulting from that review, which, at a minimum, 
must include an analysis of the efficacy of the system safety program 
plan and a determination of whether it should be updated.



Sec. 659.39  Transit agency report on accidents and unacceptable hazardous conditions.

    The oversight agency must require that the transit agency report 
accidents and unacceptable hazardous conditions to the oversight agency 
within a specified period of time.



Sec. 659.41  Investigations.

    The oversight agency must--
    (a) Establish procedures to investigate accidents and unacceptable 
hazardous conditions.
    (b) Unless the National Transportation Safety Board has investigated 
or will investigate an accident, the oversight agency must investigate 
accidents and unacceptable hazardous conditions occurring at a transit 
agency under its jurisdiction.



Sec. 659.43  Corrective actions.

    The oversight agency must require the transit agency to minimize, 
control, correct, or eliminate any investigated hazardous condition 
within a time period specified by and in accordance with a corrective 
action plan approved by the oversight agency.



Sec. 659.45  Oversight agency report to the Federal Transit Administration.

    (a) Initial submissions. Before January 1, 1997, the oversight 
agency must submit to FTA the following information, which must be 
updated as necessary:
    (1) The name and address of the oversight agency;
    (2) The name(s) and address(es) of the transit agency or agencies 
subject to the oversight agency's jurisdiction under this part; and
    (3) A written description of the oversight agency's oversight 
program including the following information:
    (i) A copy of its system safety program standard;
    (ii) Its procedures or process for reviewing and approving the 
transit agency's system safety program plan;
    (iii) Its investigatory procedures; and
    (iv) Its procedures for ensuring that appropriate corrective actions 
have been taken by the transit agency to correct, eliminate, minimize, 
or control investigated hazardous conditions.
    (b) Annual submissions. Before March 15 of each year, the oversight 
agency must submit to FTA a publicly available annual report summarizing 
its oversight activities for the preceding twelve months, including a 
description of the most common probable causal factors of accidents and 
unacceptable hazardous conditions.
    (c) Periodic submissions. Status reports of accidents, hazardous 
conditions, and corrective action plans must be forwarded to the FTA 
upon request.

[[Page 915]]

    (d) Addresses. Reports and annual summaries must be sent to: Federal 
Transit Administration, Office of Safety and Security, 400 7th Street, 
S.W., Washington, DC 20590.
[60 FR 67046, Dec. 27, 1995, as amended at 61 FR 67493, Dec. 23, 1996]



Sec. 659.47  Use of contractors.

    (a) The oversight agency may use a contractor to--
    (1) Develop a system safety program standard;
    (2) Review system safety program plans;
    (3) Review annual audit reports;
    (4) Conduct safety reviews;
    (5) Prepare safety review findings;
    (6) Establish investigation procedures;
    (7) Conduct investigations;
    (8) Review corrective action plans; and/or
    (9) Prepare initial or annual submissions to FTA.
    (b) The oversight agency may allow a transit agency to use a 
contractor to--
    (1) Develop or update a system safety program plan;
    (2) Prepare annual audit reports; and/or
    (3) Develop a corrective action plan.



Sec. 659.49  Certification of compliance.

    (a) Before January 1, 1997, and annually thereafter, the oversight 
agency must certify to the FTA that it has complied with the 
requirements of this part. Each certification shall comply with the 
applicable sample certification provided in the appendix to this part. 
Each certification shall be sent to: Federal Transit Administration, 
Office of Safety and Security, 400 7th Street, S.W., Washington, DC 
20590.
    (b) Each certification must be signed by an official authorized by 
the oversight agency and must comply with the applicable sample 
certification provided in the appendix to this part.



        Appendix to Part 659--Sample Certification of Compliance

    This appendix contains an example of certification language.
    I, (name), (title), certify that (name of the oversight agency) has 
implemented a State oversight program that meets the requirements of 49 
CFR part 659 and further certify that I have no conflict of interest 
with any rail fixed guideway system overseen as a result of 49 CFR part 
659, nor does (name of the oversight agency) and its contractors.



PART 661--BUY AMERICA REQUIREMENTS--SURFACE TRANSPORTATION ASSISTANCE ACT OF 1982, AS AMENDED--Table of Contents




Sec.
661.1  Applicability.
661.3  Definitions.
661.5  General requirements.
661.6  Certification requirement for procurement of steel or 
          manufactured products.
661.7  Waivers.
661.9  Application for waivers.
661.11  Rolling stock procurements.
661.12  Certification requirement for procurement of buses, other 
          rolling stock and associated equipment.
661.13  Grantee responsibility.
661.15  Investigation procedures.
661.17  Failure to comply with certification.
661.18  Intentional violations.
661.19  Sanctions.
661.20  Rights of third parties.
661.21  State Buy America provisions.

    Authority:  49 U.S.C. 5323(j) (formerly sec. 165, Pub. L. 97-424; as 
amended by sec. 337, Pub. L. 100-17 and sec. 1048, Pub. L. 102-240); 49 
CFR 1.51.

    Source:  56 FR 932, Jan. 9, 1991, unless otherwise noted.



Sec. 661.1  Applicability.

    Unless otherwise noted, this part applies to all federally assisted 
procurements using funds authorized by the Federal Mass Transit Act of 
1964, as amended; 23 U.S.C. 103(e)(4); and section 14 of the National 
Capital Transportation Act of 1969, as amended.



Sec. 661.3  Definitions.

    As used in this part:
    Act means the Surface Transportation Assistance Act of 1982 (Pub. L. 
97-424), as amended by section 337 of the Surface Transportation and 
Uniform Relocation Assistance of 1987 (Pub. L. 100-17).
    Administrator means the Administrator of FTA, or designee.
    Component means any article, material, or supply, whether 
manufactured or unmanufactured, that is directly incorporated into the 
end product at the final assembly location.

[[Page 916]]

    Grantee means any entity that is a recipient of FTA funds.
    Manufacutured product means an item produced as a result of 
manufacturing process.
    Manufacturing process means the application of processes to alter 
the form or function of materials or of elements of the product in a 
manner adding value and transforming those materials or elements so that 
they represent a new end product functionally different from that which 
would result from mere assembly of the elements or materials.
    Rolling stock means transit vehicles such as buses, vans, cars, 
railcars, locomotives, trolley cars and buses, and ferry boats, as well 
as vehicles used for support services.
    STURAA means the Surface Transportation and Uniform Relocation 
Assistance Act of 1987 (Pub. L. No. 100-17).
    FTA means the Federal Transit Administration.
    United States means the several States, the Commonwealth of Puerto 
Rico, the District of Columbia, Guam, American Samoa, the Virgin 
Islands, and the Commonwealth of the Northern Mariana Islands.
[56 FR 932, Jan. 9, 1991, as amended at 61 FR 6302, Feb. 16, 1996]



Sec. 661.5  General requirements.

    (a) Except as provided in Sec. 661.7 and Sec. 661.11 of this part, 
no funds may be obligated by FTA for a grantee project unless all iron, 
steel, and manufactured products used in the project are produced in the 
United States.
    (b) All steel and iron manufacturing processes must take place in 
the United States, except metallurgical processes involving refinement 
of steel additives.
    (c) The steel and iron requirements apply to all construction 
materials made primarily of steel or iron and used in infrastructure 
projects such as transit or maintenance facilities, rail lines, and 
bridges. These items include, but are not limited to, structural steel 
or iron, steel or iron beams and columns, running rail and contact rail. 
These requirements do not apply to steel or iron used as components or 
subcomponents of other manufactured products or rolling stock.
    (d) For a manufactured product to be considered produced in the 
United States:
    (1) All of the manufacturing processes for the product must take 
place in the United States; and
    (2) All of the components of the product must be of U.S. origin. A 
component is considered of U.S. origin if it is manufactured in the 
United States, regardless of the origin of its subcomponents.
[61 FR 6302, Feb. 16, 1996]



Sec. 661.6  Certification requirement for procurement of steel or manufactured products.

    If steel or manufactured products (as defined in Secs. 661.3 and 
661.5 of this part) are being procured, the appropriate certificate as 
set forth below shall be completed and submitted by each bidder in 
accordance with the requirement contained in Sec. 661.13(b) of this 
part.

              Certificate of Compliance With Section 165(a)

    The bidder hereby certifies that it will comply with the 
requirements of section 165(a) of the Surface Transportation Assistance 
Act of 1982, as amended, and the applicable regulations in 49 CFR part 
661.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company Name___________________________________________________________
 Title__________________________________________________________________

           Certificate for Non-Compliance With Section 165(a)

    The bidder hereby certifies that it cannot comply with the 
requirements of section 165(a) of the Surface Transportation Assistance 
Act of 1982, as amended, but it may qualify for an exception to the 
requirement pursuant to section 165 (b)(2) or (b)(4) of the Surface 
Transportation Assistance Act of 1982 and regulations in 49 CFR 661.7.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company Name___________________________________________________________
 Title__________________________________________________________________



Sec. 661.7  Waivers.

    (a) Section 165(b) of the Act provides that the general requirements 
of section 165(a) shall not apply in four specific instances. This 
section sets out the conditions for the three statutory waivers based on 
public interest, non-availability, and price-differential. Section 
661.11 of this part sets out the conditions for the fourth statutory

[[Page 917]]

waiver governing the procurement of rolling stock and associated 
equipment.
    (b) Under the provision of section 165(b)(1) of the Act, the 
Administrator may waive the general requirements of section 165(a) if 
the Administrator finds that their application would be inconsistent 
with the public interest. In determining whether the conditions exist to 
grant this public interest waiver, the Administrator will consider all 
appropriate factors on a case-by-case basis, unless a general exception 
is specifically set out in this part.
    (c) Under the provision of section 165(b)(2) of the Act, the 
Administrator may waive the general requirements of section 165(a) if 
the Administrator finds that the materials for which a waiver is 
requested are not produced in the United States in sufficient and 
reasonably available quantities and of a satisfactory quality.
    (1) It will be presumed that the conditions exist to grant this non-
availability waiver if no responsive and responsible bid is received 
offering an item produced in the United States.
    (2) In the case of a sole source procurement, the Administrator will 
grant this non-availability waiver only if the grantee provides 
sufficient information which indicates that the item to be procured is 
only available from a single source or that the item to be procured is 
not produced in sufficient and reasonably available quantities of a 
satisfactory quality in the United States.
    (d) Under the provision of section 165(b)(4) of the Act, the 
Administrator may waive the general requirements of section 165(a) if 
the Administrator finds that the inclusion of a domestic item or 
domestic material will increase the cost of the contract between the 
grantee and its supplier of that item or material by more than 25 
percent. The Administrator will grant this price-differential waiver if 
the amount of the lowest responsive and responsible bid offering the 
item or material that is not produced in the United States multiplied by 
1.25 is less than the amount of the lowest responsive and responsible 
bid offering the item or material produced in the United States.
    (e) The four statutory waivers of section 165(b) of the Act as set 
out in this part shall be treated as being separate and distinct from 
each other.
    (f) The waivers described in paragraphs (b) and (c) of this section 
may be granted for a component or subcomponent in the case of the 
procurement of the items governed by section 165(b)(3) of the Act 
(requirements for rolling stock). If a waiver is granted for a component 
or a subcomponent, that component or subcomponent will be considered to 
be of domestic origin for the purposes of Sec. 661.11 of this part.
    (g) The waivers described in paragraphs (b) and (c) of this section 
may be granted for a specific item or material that is used in the 
production of a manufactured product that is governed by the 
requirements of Sec. 661.5(d) of this part. If such a waiver is granted 
to such a specific item or material, that item or material will be 
treated as being of domestic origin.
    (h) The provisions of this section shall not apply to products 
produced in a foreign country if the Secretary, in consultation with the 
United States Trade Representative, determines that:
    (1) That foreign country is party to an agreement with the United 
States pursuant to which the head of an agency of the United States has 
waived the requirements of this section; and
    (2) That foreign country has violated the terms of the agreement by 
discriminating against products covered by this section that are 
produced in the United States and are covered by the agreement.

                Appendix A to Sec. 661.7--General Waivers

    (a) All waivers published in 48 CFR 25.108 which establish excepted 
articles, materials, and supplies for the Buy American Act of 1933 (41 
U.S.C. 10a-d), as the waivers may be amended from time to time, apply to 
this part under the provisions of Sec. 661.7 (b) and (c).
    (b) Under the provisions of Sec. 661.7(b) of this part, 15 passenger 
vans produced by Chrysler Corporation are exempt from the requirement 
that final assembly of the vans take place in the United States (49 FR 
13944, April 9, 1984).
    (c) Under the provisions of Sec. 661.7(b) of this part, 15 Passenger 
Wagons produced by Chrysler Corporation are exempt from the requirement 
that final assembly of the wagons take place in the United States 
(letter to Chrysler Corporation dated May 13, 1987.)

[[Page 918]]

    (d) Under the provisions of Sec. 661.7 (b) and (c) of this part, 
microcomputer equipment, including software, of foreign origin can be 
procured by grantees (50 FR 18760, May 2, 1985 and 51 FR 36126, October 
8, 1986).
    (e) Under the provisions of Sec. 661.7(b) of this part, a general 
public interest waiver from the Buy America requirements for ``small 
purchases'' (as defined in the ``common grant rule,'' at 49 CFR 
18.36(d)) made by FTA grantees with capital, planning, or operating 
assistance.
[56 FR 932, Jan. 9, 1991, as amended at 60 FR 37928, July 24, 1995, 61 
FR 6302, Feb. 16, 1996]



Sec. 661.9  Application for waivers.

    (a) This section sets out the application procedures for obtaining 
all waivers, except those general exceptions set forth in this part for 
which individual applications are unnecessary and those covered by 
section 165(b)(3) of the Act. The procedures for obtaining an exception 
covered by section 165(b)(3) are set forth in Sec. 661.11 of this part.
    (b) A bidder who seeks to establish grounds for an exception must 
seek the exception, in a timely manner, through the grantee.
    (c) Except as provided in paragraph (d) of this section, only a 
grantee may request a waiver. The request must be in writing, include 
facts and justification to support the waiver, and be submitted to the 
Administrator through the appropriate Regional Office.
    (d) FTA will consider a request for a waiver from a potential bidder 
or supplier only if the waiver is being sought under Sec. 661.7 (f) or 
(g) of this part.
    (e) The Administrator will issue a written determination setting 
forth the reasons for granting or denying the exception request. Each 
request for an exception, and FTA's action on the request, are available 
for public inspection under the provisions of 49 CFR part 601, subpart 
C.



Sec. 661.11  Rolling stock procurements.

    (a) The provisions of Sec. 661.5 do not apply to the procurement of 
buses and other rolling stock (including train control, communication, 
and traction power equipment), if the cost of components produced in the 
United States is more than 60 percent of the cost of all components and 
final assembly takes place in the United States.
    (b) The domestic content requirements in paragraph (a) of this 
section also apply to the domestic content requirements for components 
set forth in paragraphs (i), (j), and (l) of this section.
    (c) A component is any article, material, or supply, whether 
manufactured or unmanufactured, that is directly incorporated into an 
end product at the final assembly location.
    (d) A component may be manufactured at the final assembly location 
if the manufacturing process to produce the component is an activity 
separate and distinct from the final assembly of the end product.
    (e) A component is considered to be manufactured if there are 
sufficient activities taking place to advance the value or improve the 
condition of the subcomponents of that component; that is, if the 
subcomponents have been substantially transformed or merged into a new 
and functionally different article.
    (f) Except as provided in paragraph (k) of this section, a 
subcomponent is any article, material, or supply, whether manufactured 
or unmanufactured, that is one step removed from a component (as defined 
in paragraph (c) of this section) in the manufacturing process and that 
is incorporated directly into a component.
    (g) For a component to be of domestic origin, more that 60 percent 
of the subcomponents of that component, by cost, must be of domestic 
origin, and the manufacture of the component must take place in the 
United States. If, under the terms of this part, a component is 
determined to be of domestic origin, its entire cost may be used in 
calculating the cost of domestic content of an end product.
    (h) A subcomponent is of domestic origin if it is manufactured in 
the United States.
    (i) If a subcomponent manufactured in the United States is exported 
for inclusion in a component that is manufactured outside the United 
States and it receives tariff exemptions under the procedures set forth 
in 19 CFR 10.11 through 10.24, the subcomponent retains its domestic 
identity and can be included in the calculation of the domestic content 
of an end product even

[[Page 919]]

if such a subcomponent represents less than 60 percent of the cost of a 
particular component.
    (j) If a subcomponent manufactured in the United States is exported 
for inclusion in a component manufactured outside the United States and 
it does not receive tariff exemption under the procedures set forth in 
19 CFR 10.11 through 10.24, the subcomponent loses its domestic identity 
and cannot be included in the calculation of the domestic content of an 
end product.
    (k) Raw materials produced in the United States and then exported 
for incorporation into a component are not considered to be a 
subcomponent for the purpose of calculating domestic content. The value 
of such raw materials is to be included in the cost of the foreign 
component.
    (l) If a component is manufactured in the United States, but 
contains less than 60 percent domestic subcomponents, by cost, the cost 
of the domestic subcomponents and the cost of manufacturing the 
component may be included in the calculation of the domestic content of 
the end product.
    (m) For purposes of this section, except as provided in paragraph 
(o) of this section:
    (1) The cost of a component or a subcomponent is the price that a 
bidder or offeror must pay to a subcontractor or supplier for that 
component or subcomponent. Transportation costs to the final assembly 
location must be included in calculating the cost of foreign components 
and subcomponents.
    (2) If a component or subcomponent is manufactured by the bidder or 
offeror, the cost of the component is the cost of labor and materials 
incorporated into the component or subcomponent, an allowance for 
profit, and the administrative and overhead costs attributable to that 
component or subcomponent under normal accounting principles.
    (n) The cost of a component of foreign origin is set using the 
foreign exchange rate at the time the bidder or offeror executes the 
appropriate Buy America certificate.
    (o) The cost of a subcomponent that retains its domestic identity 
consistent with paragraph (j) of this section shall be the cost of the 
subcomponent when last purchased, f.o.b. United States port of 
exportation or point of border crossing as set out in the invoice and 
entry papers or, if no purchase was made, the value of the subcomponent 
at the time of its shipment for exportation, f.o.b. United States port 
of exportation or point of border crossing as set out in the invoice and 
entry papers.
    (p) In accordance with 49 U.S.C. 5323(j), labor costs involved in 
final assembly shall not be included in calculating component costs.
    (q) The actual cost, not the bid price, of a component is to be 
considered in calculating domestic content.
    (r) Final assembly is the creation of the end product from 
individual elements brought together for that purpose through 
application of manufacturing processes. If a system is being procured as 
the end product by the grantee, the installation of the system qualifies 
as final assembly.
    (s) An end product means any item subject to 49 U.S.C. 5323(j) that 
is to be acquired by a grantee, as specified in the overall project 
contract.
    (t) Train control equipment includes, but is not limited to, the 
following equipment:

(1) Mimic board in central control
(2) Dispatcher's console
(3) Local control panels
(4) Station (way side) block control relay cabinets
(5) Terminal dispatcher machines
(6) Cable/cable trays
(7) Switch machines
(8) Way side signals
(9) Impedance bonds
(10) Relay rack bungalows
(11) Central computer control
(12) Brake equipment
(13) Brake systems

    (u) Communication equipment includes, but is not limited to, the 
following equipment:

(1) Radios
(2) Space station transmitter and receivers
(3) Vehicular and hand-held radios
(4) PABX telephone switching equipment
(5) PABX telephone instruments
(6) Public address amplifiers
(7) Public address speakers
(8) Cable transmission system cable

[[Page 920]]

(9) Cable transmission system multiplex equipment
(10) Communication console at central control
(11) Uninterruptible power supply inverters/rectifiers
(12) Uninterruptible power supply batteries
(13) Data transmission system central processors
(14) Data transmission system remote terminals
(15) Line printers for data transmission system
(16) Communication system monitor test panel
(17) Security console at central control

    (v) Traction power equipment includes, but is not limited to the 
following:

(1) Primary AC switch gear
(2) Primary AC transformer rectifiers
(3) DC switch gear
(4) Traction power console and CRT display system at central control
(5) Bus ducts with buses (AC and DC)
(6) Batteries
(7) Traction power rectifier assemblies
(8) Distribution panels (AC and DC)
(9) Facility step-down transformers
(10) Motor control centers (facility use only)
(11) Battery chargers
(12) Supervisory control panel
(13) Annunciator panels
(14) Low voltage facility distribution switch board
(15) DC connect switches
(16) Negative bus boxes
(17) Power rail insulators
(18) Power cables (AC and DC)
(19) Cable trays
(20) Instrumentation for traction power equipment
(21) Connectors, tensioners, and insulators for overhead power wire 
systems
(22) Negative drainage boards
(23) Inverters
(24) Traction motors
(25) Propulsion gear boxes
(26) Third rail pick-up equipment
(27) Pantographs

    (w) The power or third rail is not considered traction power 
equipment and is thus subject to the requirements of 49 U.S.C. 5323(j) 
and the requirements of Sec. 661.5.
    (x) A bidder on a contract for an item covered by 49 U.S.C. 5323(j) 
who will comply with section 165(b)(3) and regulations in this section 
is not required to follow the application for waiver procedures set out 
in Sec. 661.9. In lieu of these procedures, the bidder must submit the 
appropriate certificate required by Sec. 661.12.

               Appendix A to Sec. 661.11--General Waivers

    (a) The provisions of Sec. 661.11 of this part do not apply when 
foreign sourced spare parts for buses and other rolling stock (including 
train control, communication, and traction power equipment) whose total 
cost is 10 percent or less of the overall project contract cost are 
being procured as part of the same contract for the major capital item.
    (b) [Reserved]

         Appendix B to Sec. 661.11--Typical Components of Buses

    The following is a list of items that typically would be considered 
components of a bus. This list is not all-inclusive.
    Engines, transmissions, front axle assemblies, rear axle assemblies, 
drive shaft assemblies, front suspension assemblies, rear suspension 
assemblies, air compressor and pneumatic systems, generator/alternator 
and electrical systems, steering system assemblies, front and rear air 
brake assemblies, air conditioning compressor assemblies, air 
conditioning evaporator/condenser assemblies, heating systems. passenger 
seats, driver's seat assemblies, window assemblies, entrance and exit 
door assemblies, door control systems, destination sign assemblies, 
interior lighting assemblies, front and rear end cap assemblies, front 
and rear bumper assemblies, specialty steel (structural steel tubing, 
etc.) aluminum extrusions, aluminum, steel or fiberglass exterior 
panels, and interior trim, flooring, and floor coverings.

   Appendix C to Sec. 661.11--Typical Components of Rail Rolling Stock

    The following is a list of items that typically would be considered 
components of rail rolling stock. This list is not all inclusive.

    Car shells, main transformer, pantographs, traction motors, 
propulsion gear boxes, interior linings, acceleration and braking 
resistors, propulsion controls, low voltage auxiliary power supplies, 
air conditioning equipment, air brake compressors, brake controls,

[[Page 921]]

foundation brake equipment, articulation assemblies, train control 
systems, window assemblies, communication equipment, lighting, seating, 
doors, door actuators, and controls, couplers and draft gear, trucks, 
journal bearings, axles, diagnostic equipment, and third rail pick-up 
equipment.
[61 FR 6302, Feb. 16, 1996, as amended at 62 FR 40954, July 31, 1997]



Sec. 661.12  Certification requirement for procurement of buses, other rolling stock and associated equipment.

    If buses or other rolling stock (including train control, 
communication, and traction power equipment) are being procured, the 
appropriate certificate as set forth below shall be completed and 
submitted by each bidder in accordance with the requirement contained in 
Sec. 661.13(b) of this part.

            Certificate of Compliance With Section 165(b)(3)

    The bidder hereby certifies that it will comply with the 
requirements of section 165(b)(3), of the Surface Transportation 
Assistance Act of 1982, as amended, and the regulations of 49 CFR 
661.11.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company Name___________________________________________________________
 Title__________________________________________________________________

          Certificate for Non-Compliance with Section 165(b)(3)

    The bidder hereby certifies that it cannot comply with the 
requirements of section 165(b)(3) of the Surface Transportation 
Assistance Act of 1982, as amended, but may qualify for an exception to 
the requirement consistent with section 165(b)(2) or (b)(4) of the 
Surface Transportation Assistance Act, as amended, and regulations in 49 
CFR 661.7.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company Name___________________________________________________________
 Title__________________________________________________________________



Sec. 661.13  Grantee responsibility.

    (a) The grantee shall adhere to the Buy America clause set forth in 
its grant contract with FTA.
    (b) The grantee shall include in its bid specification for 
procurement within the scope of these regulations an appropriate notice 
of the Buy America provision. Such specifications shall require, as a 
condition of responsiveness, that the bidder or offeror submit with the 
bid a completed Buy America certificate in accordance with Sec. 661.6 or 
Sec. 661.12 of this part, as appropriate.
    (c) Whether or not a bidder or offeror certifies that it will comply 
with the applicable requirement, such bidder or offerer is bound by its 
original certification and is not permitted to change its certification 
after bid opening. A bidder or offeror that certifies that it will 
comply with the applicable Buy America requirements is not eligible for 
a waiver of those requirements.



Sec. 661.15  Investigation procedures.

    (a) It is presumed that a bidder who has submitted the required Buy 
America certificate is complying with the Buy America provision. A false 
certification is a criminal act in violation of 18 U.S.C. 1001.
    (b) Any party may petition FTA to investigate the compliance of a 
successful bidder with the bidder's certification. That party (``the 
petitioner'') must include in the petition a statement of the grounds of 
the petition and any supporting documentation. If FTA determines that 
the information presented in the petition indicates that the presumption 
in paragraph (a) of this section has been overcome, FTA will initiate an 
investigation.
    (c) In appropriate circumstances, FTA may determine on its own to 
initiate an investigation without receiving a petition from a third 
party.
    (d) When FTA determines under paragraph (b) or (c) of this section 
to conduct an investigation, it requests that the grantee require the 
successful bidder to document its compliance with its Buy America 
certificate. The successful bidder has the burden of proof to establish 
that it is in compliance. Documentation of compliance is based on the 
specific circumstances of each investigation, and FTA will specify the 
documentation required in each case.
    (e) The grantee shall reply to the request under paragraph (d) of 
this section within 15 working days of the request. The investigated 
party may correspond directly with FTA during the course of 
investigation, if it informs the grantee that it intends to do so, and 
if the grantee agrees to such action in writing. The grantee must inform 
FTA, in writing, that the investigated party will respond directly to 
FTA. An

[[Page 922]]

investigated party may provide confidential or proprietary information 
(see paragraph (l) of this section) directly to FTA while providing 
other information required to be submitted as part of the investigation 
through the grantee.
    (f) Any additional information requested or required by FTA must be 
submitted within 5 working days after the receipt of such request unless 
specifically exempted by FTA.
    (g) The grantee's reply (or that of the bidder) will be transmitted 
to the petitioner. The petitioner may submit comments on the reply to 
FTA within 10 working days after receipt of the reply. The grantee and 
the low bidder will be furnished with a copy of the petitioner's 
comments, and their comments must be received by FTA within 5 working 
days after receipt of the petitioner's comments.
    (h) The failure of a party to comply with the time limits stated in 
this section may result in resolution of the investigation without 
consideration of untimely filed comments.
    (i) During the course of an investigation, with appropriate 
notification to affected parties, FTA may conduct site visits of 
manufacturing facilities and final assembly locations as it considers 
appropriate.
    (j) FTA will, upon request, make available to any interested party 
information bearing on the substance of the investigation which has been 
submitted by the petitioner, interested parties or grantees, except to 
the extent that withholding of information is permitted or required by 
law or regulation.
    (k) If a party submitting information considers that the information 
submitted contains proprietary material which should be withheld, a 
statement advising FTA of this fact may be included, and the alleged 
proprietary information must be identified wherever it appears. Any 
comments on the information provided shall be submitted within a maximum 
of ten days.
    (l) For purposes of paragraph (j) of this section, confidential or 
proprietary material is any material or data whose disclosure could 
reasonably be expected to cause substantial competitive harm to the 
party claiming that the material is confidential or proprietary.
    (m) When a petition for investigation has been filed before award, 
the grantee will not make an award before the resolution of the 
investigation, unless the grantee determines that:
    (1) The items to be procured are urgently required;
    (2) Delivery of performance will be unduly delayed by failure to 
make the award promptly; or
    (3) Failure to make prompt award will otherwise cause undue harm to 
the grantee or the Federal Government.
    (n) In the event that the grantee determines that the award is to be 
made during the pendency of an investigation, the grantee will notify 
FTA before to making such award. FTA reserves the right not to 
participate in the funding of any contract awarded during the pendency 
of an investigation.
    (o) Initial decisions by FTA will be in written form. 
Reconsideration of an initial decision of FTA may be requested by any 
party involved in an investigation. FTA will only reconsider a decision 
only if the party requesting reconsideration submits new matters of fact 
or points of law that were not known or available to the party during 
the investigation. A request for reconsideration of a decision of FTA 
shall be filed not later than ten (10) working days after the initial 
written decision. A request for reconsideration will be subject to the 
procedures in this section consistent with the need for prompt 
resolution of the matter.



Sec. 661.17  Failure to comply with certification.

    If a successful bidder fails to demonstrate that it is in compliance 
with its certification, it will be required to take the necessary steps 
in order to achieve compliance. If a bidder takes these necessary steps, 
it will not be allowed to change its original bid price. If a bidder 
does not take the necessary steps, it will not be awarded the contract 
if the contract has not yet been awarded, and it is in breach of 
contract if a contract has been awarded.

[[Page 923]]



Sec. 661.18  Intentional violations.

    A person shall be ineligible to receive any contract or subcontract 
made with funds authorized under the Intermodal Surface Transportation 
Efficiency Act of 1991 pursuant to part 29 of this title if it has been 
determined by a court or Federal agency that the person intentionally--
    (a) Affixed a label bearing a ``Made in America'' inscription, or an 
inscription with the same meaning, to a product not made in the United 
States, but sold in or shipped to the United States and used in projects 
to which this section applies, or
    (b) Otherwise represented that any such product was produced in the 
United States.
[61 FR 6303, Feb. 16, 1996]



Sec. 661.19  Sanctions.

    A willful refusal to comply with a certification by a successful 
bidder may lead to the initiation of debarment or suspension proceedings 
under part 29 of this title.



Sec. 661.20  Rights of third parties.

    The sole right of any third party under the Buy America provision is 
to petition FTA under the provisions of Sec. 661.15 of this part. No 
third party has any additional right, at law or equity, for any remedy 
including, but not limited to, injunctions, damages, or cancellation of 
the Federal grant or contracts of the grantee.



Sec. 661.21  State Buy America provisions.

    (a) Except as provided in paragraph (b) of this section, any State 
may impose more stringent Buy America or buy national requirements than 
contained in section 165 of the Act and the regulations in this part.
    (b) FTA will not participate in contracts governed by the following:
    (1) State Buy America or Buy National preference provisions which 
are not as strict as the Federal requirements.
    (2) State and local Buy National or Buy America preference 
provisions which are not explicitly set out under State law. For 
example, administrative interpretations of non-specific State 
legislation will not control.
    (3) State and local Buy Local preference provisions.



PART 663--PRE-AWARD AND POST-DELIVERY AUDITS OF ROLLING STOCK PURCHASES--Table of Contents




                           Subpart A--General

Sec.
663.1  Purpose.
663.3  Scope.
663.5  Definitions.
663.7  Certification of compliance to FTA.
663.9  Audit limitations.
663.11  Audit financing.
663.13  Buy America requirements.
663.15  Compliance.

                       Subpart B--Pre-Award Audits

663.21  Pre-award audit requirements.
663.23  Description of pre-award audit.
663.25  Pre-award Buy America certification.
663.27  Pre-award purchaser's requirements certification.

                     Subpart C--Post-Delivery Audits

663.31  Post-delivery audit requirements.
663.33  Description of post-delivery audit.
663.35  Post-delivery Buy America certification.
663.37  Post-delivery purchaser's requirements certification.
663.39  Post-delivery audit review.

   Subpart D--Certification of Compliance With or Inapplicability of 
                 Federal Motor Vehicle Safety Standards

663.41  Certification of compliance with Federal motor vehicle safety 
          standards.
663.43  Certification that Federal motor vehicle standards do not apply.

    Authority:  49 U.S.C. 1608(j); 23 U.S.C. 103(e)(4); Pub. L. 96-184, 
93 Stat. 1320; Pub. L. 101-551, 104 Stat. 2733; 49 CFR 1.51.

    Source:  56 FR 48395, Sept. 24, 1991, unless otherwise noted.



                           Subpart A--General



Sec. 663.1  Purpose.

    This part implements section 12(j) of the Federal Mass Transit Act 
of 1964, as amended, which was added by section 319 of the 1987 Surface 
Transportation and Uniform Relocation Assistance Act (Pub. L. 100-17). 
Section 12(j)

[[Page 924]]

requires the Federal Transit Administration, by delegation from the 
Secretary of Transportation, to issue regulations requiring pre-award 
and post-delivery audits when a recipient of Federal financial 
assistance purchases rolling stock with funds made available under the 
Federal Mass Transit Act, as amended.



Sec. 663.3  Scope.

    This part applies to a recipient purchasing rolling stock to carry 
passengers in revenue service with funds made available under sections 
3, 9, 18, and 16(b)(2) of the Federal Mass Transit Act, as amended; 23 
U.S.C. 103(e)(4); and section 14 of the National Capital Transportation 
Act of 1969, as amended.



Sec. 663.5  Definitions.

    As used in this part--
    (a) Pre-award means that period in the procurement process before 
the recipient enters into a formal contract with the supplier.
    (b) Post-delivery means the time period in the procurement process 
from when the rolling stock is delivered to the recipient until title to 
the rolling stock is transferred to the recipient or the rolling stock 
is put into revenue service, whichever is first.
    (c) Recipient means a recipient of Federal financial assistance from 
FTA.
    (d) Revenue service means operation of rolling stock for 
transportation of fare-paying passengers as anticipated by the 
recipient.
    (e) Rolling stock means buses, vans, cars, railcars, locomotives, 
trolley cars and buses, ferry boats, and vehicles used for guideways and 
incline planes.
    (f) Audit means a review resulting in a report containing the 
necessary certifications of compliance with Buy America standards, 
purchaser's requirements specifications, and, where appropriate, a 
manufacturer's certification of compliance with or inapplicability of 
the Federal Motor Vehicle Safety Standards, required by section 319 of 
STURAA and this part.
    (g) FTA means the Federal Transit Administration.



Sec. 663.7  Certification of compliance to FTA.

    A recipient purchasing revenue service rolling stock with funds 
obligated by FTA on or after October 24, 1991, must certify to FTA that 
it will conduct or cause to be conducted pre- award and post-delivery 
audits as prescribed in this part. In addition, such a recipient must 
maintain on file the certifications required under subparts B, C, and D 
of this part.



Sec. 663.9  Audit limitations.

    (a) An audit under this part is limited to verifying compliance with
    (1) Applicable Buy America requirements [section 165 of the Surface 
Transportation Assistance Act of 1982, as amended,]; and
    (2) Solicitation specification requirements of the recipient.
    (b) An audit under this part includes, where appropriate, a copy of 
a manufacturer's self certification information that the vehicle 
complies with Federal Motor Vehicle Safety Standards or a certification 
that such standards are inapplicable.
    (c) An audit conducted under this part is separate from the single 
annual audit requirement established by Office of Management and Budget 
Circular A-128, ``Audits of State and Local Governments,'' dated May 16, 
1985.



Sec. 663.11  Audit financing.

    A recipient purchasing revenue rolling stock with FTA funds may 
charge the cost of activities required by this part to the grant which 
FTA made for such purchase.



Sec. 663.13  Buy America requirements.

    A Buy America certification under this part shall be issued in 
addition to any certification which may be required by part 661 of this 
title. Nothing in this part precludes FTA from conducting a Buy America 
investigation under part 661 of this title.



Sec. 663.15  Compliance.

    A recipient subject to this part shall comply with all applicable 
requirements of this part. Such compliance is a condition of receiving 
Federal financial assistance from FTA. A recipient

[[Page 925]]

determined not to be in compliance with this part will be subject to the 
immediate suspension, withholding, or repayment of Federal financial 
assistance from FTA or other appropriate actions unless and until it 
comes into compliance with this part.



                       Subpart B--Pre-Award Audits



Sec. 663.21  Pre-award audit requirements.

    A recipient purchasing revenue service rolling stock with FTA funds 
must ensure that a pre-award audit under this part is complete before 
the recipient enters into a formal contract for the purchase of such 
rolling stock.



Sec. 663.23  Description of pre-award audit.

    A pre-award audit under this part includes--
    (a) A Buy America certification as described in Sec. 663.25 of this 
part;
    (b) A purchaser's requirements certification as described in 
Sec. 663.27 of this part; and
    (c) Where appropriate, a manufacturer's Federal Motor Vehicle Safety 
certification information as described in Sec. 663.41 or Sec. 663.43 of 
this part.



Sec. 663.25  Pre-award Buy America certification.

    For purposes of this part, a pre-award Buy America certification is 
a certification that the recipient keeps on file that--
    (a) There is a letter from FTA which grants a waiver to the rolling 
stock to be purchased from the Buy America requirements under section 
165(b)(1), (b)(2), or (b)(4) of the Surface Transportation Assistance 
Act of 1982, as amended; or
    (b) The recipient is satisfied that the rolling stock to be 
purchased meets the requirements of section 165(a) or (b)(3) of the 
Surface Transportation Assistance Act of 1982, as amended, after having 
reviewed itself or through an audit prepared by someone other than the 
manufacturer or its agent documentation provided by the manufacturer 
which lists--
    (1) Component and subcomponent parts of the rolling stock to be 
purchased identified by manufacturer of the parts, their country of 
origin and costs; and
    (2) The location of the final assembly point for the rolling stock, 
including a description of the activities that will take place at the 
final assembly point and the cost of final assembly.



Sec. 663.27  Pre-award purchaser's requirements certification.

    For purposes of this part, a pre-award purchaser's requirements 
certification is a certification a recipient keeps on file that--
    (a) The rolling stock the recipient is contracting for is the same 
product described in the purchaser's solicitation specification; and
    (b) The proposed manufacturer is a responsible manufacturer with the 
capability to produce a vehicle that meets the recipient's specification 
set forth in the recipient's solicitation.



                     Subpart C--Post-Delivery Audits



Sec. 663.31  Post-delivery audit requirements.

    A recipient purchasing revenue service rolling stock with FTA funds 
must ensure that a post-delivery audit under this part is complete 
before title to the rolling stock is transferred to the recipient.



Sec. 663.33  Description of post-delivery audit.

    A post-delivery audit under this part includes--
    (a) A post-delivery Buy America certification as described in 
Sec. 663.35 of this part;
    (b) A post-delivery purchaser's requirements certification as 
described in Sec. 663.37 of this part; and
    (c) When appropriate, a manufacturer's Federal Motor Vehicle Safety 
Standard self-certification information as described in Sec. 663.41 or 
Sec. 663.43 of this part.



Sec. 663.35  Post-delivery Buy America certification.

    For purposes of this part, a post-delivery Buy America certification 
is a certification that the recipient keeps on file that--

[[Page 926]]

    (a) There is a letter from FTA which grants a waiver to the rolling 
stock received from the Buy America requirements under sections 165 
(b)(1), or (b)(4) of the Surface Transportation Assistance Act of 1982, 
as amended; or
    (b) The recipient is satisfied that the rolling stock received meets 
the requirements of section 165 (a) or (b)(3) of the Surface 
Transportation Assistance Act of 1982, as amended, after having reviewed 
itself or by means of an audit prepared by someone other than the 
manufacturer or its agent documentation provided by the manufacturer 
which lists--
    (1) Components and subcomponent parts of the rolling stock 
identified by manufacturer of the parts, their country of origin and 
costs; and
    (2) The actual location of the final assembly point for the rolling 
stock including a description of the activities which took place at the 
final assembly point and the cost of the final assembly.



Sec. 663.37  Post-delivery purchaser's requirements certification.

    For purposes of this part, a post-delivery purchaser's requirements 
certification is a certification that the recipient keeps on file that--
    (a) Except for procurements covered under paragraph (c) in this 
section, a resident inspector (other than an agent or employee of the 
manufacturer) was at the manufacturing site throughout the period of 
manufacture of the rolling stock to be purchased and monitored and 
completed a report on the manufacture of such rolling stock. Such a 
report, at a minimum, shall--
    (1) Provide accurate records of all vehicle construction activities; 
and
    (2) Address how the construction and operation of the vehicles 
fulfills the contract specifications.
    (b) After reviewing the report required under paragraph (a) of this 
section, and visually inspecting and road testing the delivered 
vehicles, the vehicles meet the contract specifications.
    (c) For procurements of ten or fewer buses, or any number of primary 
manufacturer standard production and unmodified vans, after visually 
inspecting and road testing the vehicles, the vehicles meet the contract 
specifications.



Sec. 663.39  Post-delivery audit review.

    (a) If a recipient cannot complete a post-delivery audit because the 
recipient or its agent cannot certify Buy America compliance or that the 
rolling stock meets the purchaser's requirements specified in the 
contract, the rolling stock may be rejected and final acceptance by the 
recipient will not be required. The recipient may exercise any legal 
rights it has under the contract or at law.
    (b) This provision does not preclude the recipient and manufacturer 
from agreeing to a conditional acceptance of rolling stock pending 
manufacturer's correction of deviations within a reasonable period of 
time.



   Subpart D--Certification of Compliance With or Inapplicability of 
                 Federal Motor Vehicle Safety Standards



Sec. 663.41  Certification of compliance with Federal motor vehicle safety standards.

    If a vehicle purchased under this part is subject to the Federal 
Motor Vehicle Safety Standards issued by the National Highway Traffic 
Safety Administration in part 571 of this title, a recipient shall keep 
on file its certification that it received, both at the pre-award and 
post-delivery stage, a copy of the manufacturer's self-certification 
information that the vehicle complies with relevant Federal Motor 
Vehicle Safety Standards.



Sec. 663.43  Certification that Federal motor vehicle standards do not apply.

    (a) Except for rolling stock subject to paragraph (b) of this 
section, if a vehicle purchased under this part is not subject to the 
Federal Motor Vehicle Safety Standards issued by the National Highway 
Traffic Safety Administration in part 571 of this title, the recipient 
shall keep on file its certification that it received a statement to 
that effect from the manufacturer.
    (b) This subpart shall not apply to rolling stock that is not a 
motor vehicle.

[[Page 927]]



PART 665--BUS TESTING--Table of Contents




                           Subpart A--General

Sec.
665.1  Purpose.
665.3  Scope.
665.5  Definitions.
665.7  Grantee certification of compliance.

                    Subpart B--Bus Testing Procedures

665.11  Testing requirements.
665.13  Test report and manufacturer certification.

                          Subpart C--Operations

665.21  Scheduling.
665.23  Fees.
665.25  Transportation of vehicle.
665.27  Procedures during testing.


Appendix A to Part 665--Tests To Be Performed at the Bus Testing 
          Facility

    Authority:  Federal Transit Act of 1964, as amended, 49 U.S.C. 1601 
et seq., 1608(h); section 317, Surface Transportation and Uniform 
Relocation Assistance Act of 1987; and 49 CFR 1.51.

    Source:  57 FR 33397, July 28, 1992, unless otherwise noted.



                           Subpart A--General



Sec. 665.1  Purpose.

    An applicant for Federal financial assistance under the Federal 
Transit Act for the purchase or lease of buses with funds obligated by 
the FTA after September 30, 1989, must certify to the FTA that any new 
bus model acquired with such assistance has been tested in accordance 
with this part. This part contains the information necessary for a 
recipient to ensure compliance with this provision.



Sec. 665.3  Scope.

    (a) This part applies to a recipient of Federal financial assistance 
under sections 3, 9, 16(b)(2), or 18 of the FT Act, and, except as 
provided in subsections (b), (c), and (d) is effective October 1, 1989;
    (b) The provisions of section 665.11(e)(3) are effective November 8, 
1990;
    (c) The provisions in sections 665.11 (c), (d), and (f) concerning 
partial testing are effective August 27, 1992; and
    (d) The provisions in Secs. 665.11(e) (4) and (5) concerning the 
last two categories of buses which must be tested, apply as follows:
    (1) For vehicles that are manufactured from modified mass-produced 
chassis or vans, or manufactured from non-mass-produced chassis or vans, 
testing and a final report will be required for all vehicles offered in 
response to advertisements for bids or requests for proposals issued on 
or after June 1, 1994.
    (2) For vehicles manufactured from unmodified mass-produced chassis, 
testing and a final report will be required for all vehicles offered in 
response to advertisements for bids or requests for proposals issued on 
or after October 1, 1994.
[57 FR 33397, July 28, 1992, as amended at 58 FR 10990, Feb. 23, 1993; 
58 FR 58733, Nov. 3, 1993]



Sec. 665.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Transit 
Administration or designee.
    Bus means a rubber-tired automotive vehicle used for the provision 
of mass transportation service by or for a recipient.
    Bus model means a bus design or variation of a bus design usually 
designated by the manufacturer by a specific name and/or model number.
    Bus testing facility means a testing facility established by 
renovation of a facility constructed with Federal assistance at Altoona, 
Pennsylvania, under section 317(b)(1) of the Surface Transportation and 
Uniform Relocation Assistance Act of 1987, and includes proving ground 
facilities operated in connection with the facility.
    FT Act means the Federal Transit Act, as amended (49 U.S.C. app. 
1601 et seq.).
    Major change in chassis design means, for vehicles manufactured on a 
mass produced chassis, a change in frame structure, material or 
configuration, or a change in chassis suspension type.
    Major change in components means:
    (1) For those vehicles that are not manufactured on a mass produced 
chassis, a change in a vehicle's engine,

[[Page 928]]

axle, transmission, suspension, or steering components;
    (2) For those that are manufactured on a mass produced chassis, a 
change in the vehicle's chassis from one major design to another.
    Major change in configuration means a change which may have a 
significant impact on vehicle handling and stability, or structural 
integrity.
    Mass produced van or chassis means a van or chassis that has or is 
projected to have an annual production rate of 20,000 or more units.
    Mass transportation service means the operation of a vehicle which 
provides general or special service to the public on a regular and 
continuing basis.
    Modified mass-produced chassis or van means a vehicle that is 
manufactured from an incomplete, partially assembled mass-produced 
chassis or van as provided by an OEM to a small bus manufacturer. This 
includes vehicles whose chassis structure has been modified to include: 
The addition of a tandem or tag axle; the installation of a drop or 
lowered floor; changes to the GVWR from the OEM rating; or other 
modifications that are not made in strict conformance with the OEM's 
modifications guidelines.
    New bus model means a bus model which--
    (1) Has not been used in mass transit service in the United States 
before October 1, 1988; or
    (2) Has been used in such service but which after September 30, 
1988, is being produced with a major change in configuration or 
components.
    Non-mass-produced chassis or van means a vehicle that is 
manufactured from an incomplete, partially assembled chassis or van as 
provided by an OEM to a secondary small bus manufacturer, and where the 
annual production rate of the OEM chassis or van is less than 20,000 
units.
    Original Equipment Manufacturer (OEM) means the original 
manufacturer of a chassis or van supplied as a complete or incomplete 
vehicle to a small bus manufacturer.
    Partial testing means the performance of those bus tests which may 
yield significantly different data from that obtained in previous bus 
testing conducted at the bus testing facility.
    Recipient means an entity which receives funds under sections 3, 9, 
16(b)(2), or 18 of the FT Act, either directly from FTA or through a 
State administering agency.
    Small bus manufacturer means a secondary market assembler that 
acquires a chassis or van from an original equipment manufacturer for 
subsequent modification/assembly and sale as 5-year/150,000-mile and/or 
4-year/100,000-mile minimum service life vehicles.
    Test report means the final document prepared by the operator of the 
bus testing facility stating the results of the tests performed on each 
bus.
    Unmodified mass-produced chassis means a vehicle that is 
manufactured from an incomplete, partially assembled mass-produced 
chassis as provided by an OEM to a small bus manufacturer. This includes 
vehicles whose chassis structure has either not been modified, or is 
modified in strict conformance with the OEM's modification guidelines. 
The addition of a tandem or tag axle would exclude a bus model from this 
definition.
    Unmodified mass-produced van means a vehicle that is mass-produced, 
complete and fully assembled as provided by an OEM. This includes vans 
with raised roofs, and/or wheelchair lifts, or ramps that are installed 
by the OEM, or by a party other than the OEM provided that the 
installation of these components is completed in strict conformance with 
the OEM modification guidelines.
[57 FR 33397, July 28, 1992, as amended at 58 FR 58733, Nov. 3, 1993]



Sec. 665.7  Grantee certification of compliance.

    (a) In each application to the FTA for the purchase or lease of 
buses, a recipient shall certify that any new bus model, or any bus 
model with a major change in configuration or components, to be acquired 
or leased with funds obligated by the FTA after September 30, 1989, will 
be tested at the bus testing facility, and a test report provided before 
final acceptance of the first vehicle by the recipient.
    (b) It is the responsibility of the recipient in dealing with a 
manufacturer, to determine whether a vehicle to be acquired is subject 
to these procedures.

[[Page 929]]



                    Subpart B--Bus Testing Procedures



Sec. 665.11  Testing requirements.

    (a) A new bus model to be tested at the bus testing facility shall--
    (1) Be a single model;
    (2) Meet all applicable Federal Motor Vehicle Safety Standards, as 
defined by the National Highway Traffic Safety Administration in part 
571 of this title;
    (3) Be substantially fabricated and assembled by techniques and 
tooling that will be used in production of subsequent buses of that 
model.
    (b) If the new bus model had not been previously tested at the bus 
testing facility, then the new bus model shall undergo the full tests 
requirements for maintainability, reliability, safety, performance, 
structural integrity, fuel economy, and noise;
    (c) If the new bus model had not been previously tested at the bus 
testing facility and is being produced on a mass produced chassis that 
has been previously tested on another bus model at the bus testing 
facility, then the new bus model may undergo partial testing 
requirements;
    (d) If the new bus model had been previously tested at the bus 
testing facility, then the new bus model may undergo partial testing 
requirements.
    (e) The following vehicle types shall be tested:
    (1) Minimum service life of 12 years or 500,000 miles--typified by 
heavy duty large buses, approximately 35-40 foot, as well as articulated 
buses.
    (2) Minimum service life of ten years or 350,000 miles--typified by 
heavy duty small buses, approximately 30 foot.
    (3) Minimum service life of seven years or 200,000 miles--typified 
by medium duty mid-size buses, approximately 25-35 foot.
    (4) Minimum service life of five years or 150,000 miles--typified by 
light duty mid-size buses, approximately 25-35 foot.
    (5) Minimum service life of four years or 100,000 miles--typified by 
light duty small buses, cutaways, and modified vans, approximately 16-28 
foot.
    (f) Tests performed in a higher service life category (i.e., longer 
service life) need not be repeated when the same bus model is used in 
lesser service life applications. However, the use of a bus model in a 
service life application higher than it has been tested for may make the 
bus subject to the bus testing requirements.
    (g) The operator of the facility shall develop a test plan for the 
testing of vehicles at the facility, which generally follows the 
guidelines set forth in appendix A of this part.



Sec. 665.13  Test report and manufacturer certification.

    (a) Upon completion of testing, the operator of the facility shall 
provide a test report to the entity that submitted the bus for testing.
    (b)(1) A manufacturer of a new bus model or a bus produced with a 
major change in component or configuration shall provide a copy of the 
test report to a recipient during the point in the procurement process 
specified by the recipient.
    (2) A manufacturer who releases a report under paragraph (b)(1) of 
this section also shall provide notice to the operator of the facility 
that the report is available to the public.
    (c) If a bus model subject to a test report has a change that is not 
a major change under this part, the manufacturer shall advise the 
recipient during the procurement process and shall include description 
of the change and its basis for concluding that it is not a major 
change.
    (d) A test report shall be available publicly once the owner of the 
report makes it available during the recipient's procurement process. 
The operator of the facility will have available for distribution copies 
of all the publicly available reports.
    (e) The test report is the only information or documentation that 
will be made available publicly in connection with any bus model tested 
at the facility.



                          Subpart C--Operations



Sec. 665.21  Scheduling.

    (a) A manufacturer may schedule a vehicle for testing by contacting 
Penn State's Transportation Institute (PSTI) at the following address: 
The

[[Page 930]]

Pennsylvania State University, Pennsylvania Transportation Institute, 
Research Building B, University Park, PA 16802, (814) 863-1889.
    (b) Upon contacting PSTI, the manufacturer will be provided the 
following:
    (1) A draft contract for the testing;
    (2) A fee schedule; and
    (3) The draft test procedures that will be conducted on the vehicle.
    (c) PSTI will provide final test procedures to be conducted on the 
vehicle at the time of contract execution.
    (d) PSTI will process vehicles for testing in the order in which the 
contracts are signed.



Sec. 665.23  Fees.

    (a) Fees charged by the operator are according to a schedule 
approved by the FTA, which include different fees for partial testing.
    (b) Fees will be prorated for a vehicle withdrawn from the facility 
before the completion of testing.



Sec. 665.25  Transportation of vehicle.

    A manufacturer is responsible for transporting its vehicle to and 
from the facility at the beginning and completion of the testing.



Sec. 665.27  Procedures during testing.

    (a) The facility operator shall perform all testing, consistent with 
established procedures at the facility and with the test procedures 
provided to the manufacturer at the time of contract execution.
    (b) The manufacturer of a bus being tested may terminate the test 
program at any time before the completion of testing, and shall be 
charged a fee for the tests performed.
    (c) The operator shall perform all maintenance and repairs on the 
test vehicle, consistent with manufacturers specifications, unless the 
operator determines that the nature of the maintenance or repair is best 
performed by the manufacturer under the operator's supervision.
    (d) The manufacturer may observe all tests. The manufacturer may not 
provide maintenance or service unless requested to do so by the 
operator.

    Appendix A to Part 665--Tests To Be Performed at the Bus Testing 
                                Facility

    The seven tests to be performed on each vehicle are required by 
STURAA and are based in part on tests described in the FTA report 
``First Article Transit Bus Test Plan'', which is mentioned in the 
legislative history of section 317. When appropriate, SAE test 
procedures and other procedures accepted by the transit industry will be 
used. The seven tests are described in general terms in the following 
paragraphs.

                           1. Maintainability

    The maintainability test includes bus servicing, preventive 
maintenance, inspection, and repair. It also will include the removal 
and reinstallation of the engine and drive train components that would 
be expected to require replacement during the bus' normal life cycle. 
Much of the maintainability data will be obtained during the bus 
durability test at the proving ground. Up to twenty-five percent of the 
bus life will be simulated and there will be servicing, preventive 
maintenance, and repair actions. These actions will be done by test 
facility staff, although manufacturers will be allowed to maintain a 
representative on site during the testing. Test facility staff may 
require a manufacturer to provide vehicle servicing or repair, under the 
supervision of the facility staff. Since the operator will not become 
familiar with the detailed design of all new bus models that are tested, 
tests to determine the time and skill required to remove and reinstall 
an engine, a transmission, or other major propulsion system components 
may require advice from the bus manufacturer. All routine and corrective 
maintenance will be carried out by the test operator in accordance with 
the manufacturer's specifications.
    The maintainability test report will include the frequency, 
personnel hours, and replacement parts or supplies required for each 
action during the test. The accessibility of selected components and 
other observations that could be important to a bus user will be 
included in the report.

                             2. Reliability

    The question of reliability will be addressed by recording all bus 
breakdowns during testing. It is recognized that with one test bus it is 
not feasible to conduct statistical reliability tests. It is anticipated 
that bus operation on the durability course should reveal the problems 
that would otherwise not be detected until much later during scheduled 
transit service. The bus failures, repair time, and the actions required 
to get the bus back into operation will be recorded in the report.

[[Page 931]]

                                3. Safety

    The safety test will consist of a handling and stability test. The 
handling and stability test is an obstacle avoidance or double-lane 
change test that will be performed at the proving ground. The double-
lane change course will be different for each type of bus and the speed 
could be different for each type of bus. Coach speed will be held 
constant throughout a given test run. Individual test runs will be made 
at increasing speeds up to 45 mph or until the coach can no longer be 
operated safely over the course, whichever speed is lower. Both left-
and-right-hand lane changes will be tested.

                             4. Performance

    The performance test will be performed on the proving ground and 
will measure acceleration and gradeability with the test vehicle 
operated at seated load weight. Top speed also will be measured if it 
can be done safely on the track. The test will be performed using a 
fifth wheel or equivalent and associated instrumentation. The bus will 
be accelerated at full throttle from standstill to maximum safe speed on 
the track. The report will include a table of time required to 
accelerate to each 10 mph increment of speed and when possible, the top 
speed. The gradeability capabilities will be calculated both from the 
test data and a test from a dead stop on a minimum of a 15 percent 
grade.

                         5. Structural Integrity

    Two different structural integrity tests will be performed. 
Structural strength and distortion tests will be performed at the 
testing facility in Altoona and structural durability tests will be 
performed at the proving ground.

               a. Structural Strength and Distortion Tests

    (1) The structural strength and distortion tests will be conducted 
and will be different for each type of bus. For example, a shakedown of 
the bus structure will be conducted by loading and unloading the bus no 
more than three times with a distributed load equal to 2.5 times gross 
load. The bus then will be loaded with a distributed load to gross 
vehicle weight. (Gross vehicle weight is a curb weight plus gross load.) 
Increase in floor deflection will be measured as the bus weight is 
increased from curb weight to gross vehicle weight. Then the bus will be 
loaded with a distributed load equal to 2.5 times gross load. The bus 
then will be unloaded and inspected for any permanent deformation on the 
floor or coach structure.
    (2) The bus will be loaded to gross vehicle weight, with one wheel 
on top of a 6-inch-high curb and then in a 6-inch-deep pot hole. This 
test will be repeated for all four wheels. The test will verify: (a) 
Normal operation of the steering mechanism and (b) Operability of all 
passenger doors, passenger escape mechanisms, windows, and service 
doors. In addition, a water leak test will be conducted.
    (3) Using a load-equalizing towing sling, a static tension load 
equal to 1.2 times the bus curb weight will be applied to the bus towing 
fixtures (front and rear). The load will be removed and the two eyes and 
adjoining structure will be inspected for damages or permanent 
deformations.
    (4) The bus at curb weight will be towed with a heavy wrecker truck 
for several miles after which it will be inspected for structural damage 
or permanent deformation.
    (5) With the bus at curb weight probable damages due to tire 
deflating and jacking will be tested.
    (6) With the bus at curb weight possible damages or deformation 
associated with lifting the bus on a two post hoist system or supporting 
it on jack stands will be assessed.

                        b. Structural Durability

    The structural durability test also will be different for each type 
of bus, but all tests will be performed on the durability course at the 
proving ground, simulating up to twenty-five percent of the vehicle's 
normal service life. During the test there will be inspections of the 
bus structure and the mileage and identification of possible structural 
anomalies.

                             6. Fuel Economy

    This test will be run to determine the fuel economy in miles per 
gallon or equivalent of the new bus models. The test will be run at 
seated load weight on a duty cycle that simulates transit service for 
the type of vehicle being tested. The fuel measurement devices under 
consideration include volumetric, gravimetric, flow and pressure.
    This fuel economy test bears no relation to the calculations done by 
the Environmental Protection Agency (EPA) to determine fuel economy 
levels for the Corporate Average Fuel Economy Program. However, the test 
will provide data which can be used by recipients in their purchase 
decisions.

                                7. Noise

    There will be two noise tests: a. Interior noise and vibration; and 
b. Exterior noise. It is recognized that different levels of noise are 
expected and acceptable with different types of vehicles and different 
test procedures might be required.

[[Page 933]]



      CHAPTER VII--NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)




  --------------------------------------------------------------------
Part                                                                Page
700             Organization, functioning and available 
                    information.............................         934
701             Freedom of Information Act regulations......         936

[[Page 934]]



PART 700--ORGANIZATION, FUNCTIONING AND AVAILABLE INFORMATION--Table of Contents




Sec.
700.1  Purpose.
700.2  Organization and functioning of Amtrak.
700.3  Availability of documents, assistance, and information.

    Authority:  5 U.S.C. 552(a) (1), (2).

    Source:  49 FR 24378, June 13, 1984, unless otherwise noted.



Sec. 700.1  Purpose.

    This part describes the organization and functioning of Amtrak and 
the availability to the public of documents and information concerning 
its policies, procedures and activities.



Sec. 700.2  Organization and functioning of Amtrak.

    The creation of the National Railroad Passenger Corporation 
(``Amtrak'') was authorized by the Rail Passenger Service Act, as 
amended, 84 Stat. 1327, 45 U.S.C. 541 et seq. (``the Act''). The Act 
requires that Amtrak be operated and managed as a for-profit 
corporation, that it be incorporated under the District of Columbia 
Business Corporation Act, and subject to the provisions of that statute 
to the extent not inconsistent with the Act, and that it provide a 
balanced transportation system by developing, operating, and improving 
intercity rail passenger service. The Act also states that Amtrak will 
not be an agency or establishment of the United States Government. 
Amtrak thus is a corporation created by Congress to compete for the 
transportation business of the intercity traveller, to the end that the 
travelling public will have a choice of travel modes. The address of its 
headquarters is 400 North Capitol Street, NW., Washington, DC 20001. 
Telephone: (202) 383-3000.
    (a) Board of Directors. Amtrak's major policies are established by 
its board of directors. The nine members of the board are selected as 
follows: The Secretary of Transportation serves as an ex-officio member 
and Amtrak's President, ex-officio, is Chairman of the Board; three 
members are appointed by the President of the United States and 
confirmed by the Senate (representing labor, State Governors, and 
business); two represent commuter authorities and are selected by the 
President from lists drawn up by those authorities; and two are selected 
by the Corporation's preferred stockholder, the Department of 
Transportation.
    (b) Officers and central management. Amtrak is managed by a 
President and a Management Committee consisting of four Executive Vice 
Presidents. Reporting to the Executive Vice Presidents are eleven vice 
presidents representing sales, transportation marketing, planning and 
development, computer services, labor relations, finance and treasurer, 
personnel, passenger and operating services, government affairs, 
operations and maintenance, engineering, and the General Counsel. Areas 
handled as special matters with the authority of vice presidents, such 
as corporate communications, safety, real estate, procurement, materials 
management, police and security, contract administration, and internal 
audit are supervised by assistant vice presidents and directors.
    (c) Regional and field structure. The need for decentralization of 
functions in the areas of passenger services and transportation 
operations has led to the creation of Amtrak's regional and field 
structure. Field offices are located in major cities such as Baltimore, 
Philadelphia, New York, Albany, Boston, Chicago, Seattle and Los 
Angeles. Pursuant to overall policies established at headquarters in 
Washington, DC, these offices handle matters like the assignment and 
scheduling of employees who work on board moving trains; purchase, 
stowage and preparation of food for dining service; maintenance and 
rehabilitation of rolling stock; and daily operating arrangements such 
as the make-up of trains or the cleaning and repairing of cars on 
trains.
    (d) Route system. Amtrak's basic route system has been established 
pursuant to statutory guidelines, and in some cases by specific 
statutory directive. Out of a route system covering about 23,000 route-
miles, Amtrak owns a right-of-way of about 2,600 track miles in the 
Northeast Corridor (Washington-New York-Boston; New Haven-

[[Page 935]]


Springfield; and Philadelphia-Harrisburg) and small segments of track 
near Albany, New York, and Kalamazoo, Michigan. In the Northeast 
Corridor Amtrak trains are run by operating crews consisting of Amtrak 
employees. On other routes, Amtrak operates trains on the tracks of 
about twenty different privately owned railroads and compensates the 
railroad for the use of their facilities and for the services of their 
employees, including engineers, conductors, and maintenance personnel. 
Those private railroads are responsible for the conditions of the 
roadbed and for coordinating the flow of traffic over their lines.
    (e) Operations. Amtrak provides about 250 trains daily, serving 
about 500 stations in over forty states. Amtrak owns most of its cars 
and locomotives, some of its stations, and most of its repair 
facilities. Its capital improvements and almost half of its operating 
losses are supported principally through Federal financing, with some 
State, regional and local financial support for some trains and 
stations. Congress requires Amtrak to earn revenues equivalent to at 
least fifty percent of its operating costs, and it currently does so.
    (f) Revenue production. The sale of tickets for transportation and 
accommodations, Amtrak's principal source of revenue, is accomplished 
through Amtrak ticket agents at stations, travel agencies, and five 
central reservation offices which service a nationwide telephone 
network. National Timetables contain basic information about routes, 
stations, and services.



Sec. 700.3  Availability of documents, assistance, and information.

    (a) A member of the public having need for assistance or information 
concerning any of the matters described in Sec. 700.2 should address his 
or her concerns in a letter or other written communication directed to 
the appropriate vice president or to the Director of Corporate 
Communications. Amtrak will bring such communications to the attention 
of the appropriate official if they are misdirected in the first 
instance. Formal requests for ``records'' under 5 U.S.C. 552(a)(3) of 
the Freedom of Information Act are to be made in accordance with the 
provisions of 49 CFR 701.4.
    (b) The National Train Timetables described in Sec. 700.2(f) are 
widely distributed in the continental United States and are available in 
major cities in Europe, Canada and Mexico. When they are updated 
(usually in April and October each year) each printing involves about 
1,000,000 copies. They are ordinarily available at staffed Amtrak 
stations and copies are usually kept on hand in the offices of about 
9800 travel agents who are authorized to sell Amtrak tickets. A person 
unable to obtain a copy locally should request one from the Director of 
Corporate Communications at the Washington, DC headquarters. The 
timetable depicts the major Amtrak train routes on a map of the United 
States, and most of the remainder of the booklet shows the schedules for 
specific trains. Several pages are used to offer travel information 
dealing with the availability of assistance to handicapped travellers, 
red cap service, purchase of tickets on board, use of credit cards and 
personal checks, handling of baggage, refunds for unused tickets and 
similar matters.
    (c) Also available to members of the public at most staffed Amtrak 
stations, and usually maintained in the offices of travel agencies 
authorized to sell Amtrak tickets, is a copy of the Reservations and 
Ticketing Manual (RTM) which constitutes a compendium of information 
governing Amtrak employees in furnishing transportation to the 
travelling public. It contains substantial segments dedicated to the 
following topics: Amtrak's computer system and its communication codes; 
interline service agreements; passenger and baggage services; customer 
relations functions; reservations policy and procedures; acceptance of 
checks and credit cards; refunds; missed connection policies; ticketing; 
accommodations; employee pass travel; location maps for Amtrak stations; 
and intermodal state maps.
    (d) A full statement of Amtrak's tariffs containing the fares for 
point-to-point travel, regional plan travel and all relevant travel 
conditions, such as excursions, discounts, family plans, accommodations, 
etc., is contained in the privately published Official Railway

[[Page 936]]

Guide, which is available by subscription from its publisher at 424 West 
33rd Street, New York, New York 10001. A copy of the guide can usually 
be found at each staffed Amtrak station, and at the offices of travel 
agents authorized to sell Amtrak tickets. Tariff changes which occur 
between issues of the Guide are published and widely distributed by 
Amtrak pending their publication in the next issue of the Guide.
    (e) Each of the documents described in paragraphs (b) through (d) of 
this section is available to the public for inspection during regular 
business hours at the office of Amtrak's Freedom of Information Office 
at its headquarters at 400 North Capitol Street, NW., Washington, DC 
20001, and at the office of the Division Manager, Human Resources, in 
New Haven, Philadelphia, Baltimore, New York, Los Angeles and Chicago. 
Each document has its own index. Since each index is useful only in 
connection with the document to which it pertains, and since requests 
for indices are uncommon, Amtrak has determined that publication of its 
indices as described in 5 U.S.C. 552(a)(2) would be unnecessary and 
impracticable.



PART 701--FREEDOM OF INFORMATION ACT REGULATIONS--Table of Contents




Sec.
701.1  Purpose.
701.2  Definitions.
701.3  Policy.
701.4  Availability of records on request.
701.5  Time limits.
701.6  Appeals from denials of records or setting of fees.
701.7  Fees.
701.8  Notification procedures for confidential commercial and financial 
          information.

    Authority:  5 U.S.C. 552, as amended by sections 1801-1804 of the 
Omnibus Anti-Drug Abuse Act of 1986 (Pub. L. 99-570) which contains the 
Freedom of Information Reform Act of 1986 and sec. 306(g) of the Rail 
Passenger Service Act (45 U.S.C. 546(g)).

    Source:  47 FR 17822, Apr. 26, 1982, unless otherwise noted. 
Redesignated at 49 FR 24378, June 13, 1984.

    Editorial Note: For nomenclature changes to this part, see 49 FR 
24378, June 13, 1984.



Sec. 701.1  Purpose.

    This part prescribed the procedures by which records of the National 
Railroad Passenger Corporation may be made available to the public 
pursuant to section 306(g) of the Rail Passenger Service Act, 45 U.S.C. 
546(g), and the Freedom of Information Act, 5 U.S.C. 552.



Sec. 701.2  Definitions.

    Unless the context requires otherwise, the following apply in this 
part:
    (a) Masculine pronouns include the feminine gender.
    (b) Definitions:
    Corporation or Amtrak means the National Railroad Passenger 
Corporation.
    Includes means ``includes but is not limited to''.
    President means the President of the Corporation or his delegee.
    Record means any writing, drawing, map, recording, tape, film, 
photograph, or other documentary material by which information is 
preserved, but does not include library materials compiled for reference 
purposes or objects of substantial intrinsic value.
[47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13, 1984 
and amended at 52 FR 15321, Apr. 28, 1987]



Sec. 701.3  Policy.

    (a) The National Railroad Passenger Corporation will make records 
within the Corporation available to the public to the greatest 
practicable extent in keeping with the spirit of the law. Therefore, all 
records of the Corporation--except those that the Corporation 
specifically determines should not be disclosed either in the public 
interest, for the protection of private rights, or for the efficient 
conduct of public or corporate business, but only to the extent 
withholding is permitted by law are declared to be available for public 
inspection and copying as provided in these procedures. A record will 
not be withheld from the public solely because its release might suggest 
administrative error or embarrass an officer or employee of the 
Corporation. Each

[[Page 937]]

officer and employee of the Corporation dealing with record requests is 
directed to cooperate to the end of making records available to the 
public promptly, consistent with this policy.
    (b) A requested record of the Corporation may be withheld from 
disclosure if it comes within one or more of the exemptions in 5 U.S.C. 
552(b) or is otherwise exempted by law.
    (c) In the event one or more of the exemptions applies to a record, 
any reasonably segregable portion of the record will be made available 
to the requesting person after deletion of the exempt portions.
    (d) These procedures apply only to records in existence at the time 
of a request. The Corporation has no obligation to create a record 
solely for the purpose of making it available under the FOIA.
[47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13, 1984 
and amended at 52 FR 15321, Apr. 28, 1987]



Sec. 701.4  Availability of records on request.

    (a) Each person desiring access to a record or to have a copy of a 
record pursuant to the Freedom of Information Act shall comply with the 
following provisions:
    (1) The request for the record shall be in writing.
    (2) The request shall indicate that it is being made under the 
Freedom of Information Act.
    (3) The envelope in which the request is sent shall be prominently 
marked with the symbol ``FOIA''.
    (4) The request shall be addressed to the Freedom of Information 
Officer, National Railroad Passenger Corporation, 400 North Capitol 
Street, NW., Washington, DC 20001.
    (b) If the requirements of paragraph (a) of this section are not 
met, the ten (10) day time limit described in Sec. 701.5 will not begin 
to run until the request has been identified by an employee of the 
Corporation as a request under the Freedom of Information Act and has 
been received by the Corporate Communications Department.
    (c) Each request should describe the particular record or records 
desired. To the extent practicable, the request should specify such 
features as the subject matter of the record, the date when it was made, 
the place where it was made and the person or office that made it. 
Generally, a request will be acceptable if it identifies a record with 
sufficient particularity to enable an employee of the Corporation to 
locate the record with a reasonable amount of effort. If the description 
is insufficient to permit location of a record, the Freedom of 
Information Officer will notify the requester and indicate the 
additional kinds of data which will facilitate the search.
    (d) The submission of a FOIA request constitutes an agreement by the 
requester to pay the fees specified in Sec. 701.7 unless the requester 
is entitled to a fee waiver or specifies in the request a different 
amount to which the Corporation agrees in writing.
    (e) Searches will be made for requested records in order of receipt. 
Each so-called ``continuing request'' will be treated as a one-time 
request.
[47 FR 17822, Apr. 26, 1982. Redesignated at 49 FR 24378, June 13, 1984 
and amended at 52 FR 15321, Apr. 28, 1987]



Sec. 701.5  Time limits.

    (a) An initial determination whether to release records requested 
under this part shall be made within ten (10) days (excepting Saturdays, 
Sundays, and legal public holidays) after the request is received, 
except that this time limit may be extended by up to ten (10) working 
days in accordance with paragraph (c) of this section. The person making 
the request will be given prompt notice of any extension of time. If a 
determination is made to release a requested record, the record shall be 
made promptly available. If the determination is to decline to disclose 
the record, the person making the request shall, at the same time he is 
notified of such determination, be notified of:
    (1) The reason for the determination; including citation of the 
relevant exemption relied on for denial;
    (2) The right of the requester to appeal the determination; and
    (3) The name and title or position of each person responsible for 
denial of the request.
    (b) A determination with respect to an appeal made pursuant to 
Sec. 701.6 shall

[[Page 938]]

be made within twenty (20) days (excepting Saturdays, Sundays, and legal 
public holidays) after receipt of such appeal, except that this time 
limit may be extended by up to ten (10) working days in accordance with 
paragraph (c) of this section. The person making the request will be 
notified promptly if the time is extended.
    (c) In unusual circumstances the time limits prescribed in this 
section may be extended by written notice to the person making a request 
setting forth the reasons for such extension and the date on which a 
determination is expected to be dispatched. Such notice shall not 
specify a date that would result in a cumulative extension of more than 
ten (10) working days. As used in this subsection, ``unusual 
circumstances'' means, but only to the extent reasonably necessary for 
the proper processing of the particular request--
    (1) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
office processing the request;
    (2) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (3) The need for consultation, which shall be conducted with all 
practicable speed, with another entity having a substantial interest in 
the determination of the request or among two or more components of an 
entity having substantial subject matter interest therein.



Sec. 701.6  Appeals from denials of records or setting of fees.

    Each denial decision will set forth the reasons therefor and state 
the appeal from that decision that is available to the requester. A 
decision denying access to a document or setting fees may be appealed to 
the President of the Corporation by filing with his office a written 
notice of appeal, within thirty (30) days after the date of the denial, 
specifying the relevant facts and the basis for appeal. If the President 
denies the appeal, the denial shall set forth the reasons therefor and 
notify the requester of the provision for judicial review contained in 5 
U.S.C. 552(a)(4)(B).



Sec. 701.7  Fees.

    (a) Categories of requesters. There are four categories of FOIA 
requesters: commercial use requesters; representatives of news media; 
educational and noncommercial scientific institutions; and all other 
requesters. The time limits for processing requests shall begin upon 
receipt of a proper request by the Freedom of Information Office which 
reasonably describes the records sought and which identifies the 
specific category of the requester. The Freedom of Information Reform 
Act of 1986 prescribes specific levels of fees for each of these 
categories.
    (1) Commercial use requester. When records are requested for 
commercial use, the fee policy of NRPC is to levy full allowable direct 
costs for search, review for release, and duplication of records sought. 
Commercial users are not entitled to two hours of free search time nor 
100 free pages of reproduction of documents nor waiver or reduction of 
fees based on an assertion that disclosure would be in the public 
interest. Commercial use is defined as use that furthers the commercial, 
trade or profit interests of the requester or person on whose behalf the 
request is made. In determining whether a requester falls within the 
commercial use category, NRPC shall first look to the use to which a 
requester will put the documents requested. Where a requester does not 
explain the use or where explanation is insufficient, NRPC may draw 
reasonable inferences from the requester's identity and charge fees 
accordingly.
    (2) Representatives of the news media. When records are requested by 
representatives of the news media, the fee policy of NRPC is to levy 
reproduction charges only, excluding charges for the first 100 pages. 
The term ``representatives of the news media'' refers to any person 
actively gathering news for an entity that is organized and operated to 
publish or broadcast news to the public. The term ``news'' means 
information that is about current events or that would be of current 
interest to the public. Examples of news media entities include 
television or radio stations

[[Page 939]]

broadcasting to the public at large, and publishers of periodicals (but 
only in those instances where they can qualify as disseminators of 
``news'') who make their products available for purchase or subscription 
by the general public. These examples are not intended to be all-
inclusive. Moreover, as traditional methods of news delivery evolve 
(e.g., electronic dissemination of newspapers through telecommunications 
services), such alternative media would be included in this category. 
``Freelance'' journalists may be regarded as working for a news 
organization if they can demonstrate a solid basis for expecting 
publication through an organization, even though not actually employed 
by that entity. To be eligible for inclusion in this category, 
requesters must meet the criteria specified in this section, and the 
request must not be made for commercial use as this term is defined 
under paragraph (a)(1) of this section.
    (3) Educational and noncommercial scientific institution requesters. 
When records are requested by an educational or noncommercial scientific 
institution whose purpose is scholarly or scientific research, the fee 
policy of NRPC is to levy reproduction charges only, excluding charges 
for the first 100 pages. Educational institution referes to a preschool, 
a public or private elementary or secondary school, an institution of 
graduate higher eduation, an institution of undergraduate higher 
education, an institution of professional education and an institution 
of vocational education, which operates a program or programs of 
scholarly research. Noncommercial scientific institution refers to an 
institution that is not operated on a commercial basis as defined under 
paragraph (a)(1) of this section and which is operated solely for the 
purpose of conducting scientific research, the results of which are not 
intended to promote any particular product or industry. To be eligible 
for inclusion in this category, requesters must show that the request is 
being made under the auspices of a qualifying institution and that the 
records are not sought for commercial use or to further an individual 
goal, but are sought in furtherance of scholarly or scientific research.
    (4) All other requesters. For other requesters who do not come under 
the purview of paragraphs (a)(1) through (a)(3) of this section, the fee 
policy of NRPC is to levy full reasonable direct cost of search for and 
duplication of records sought, except that the first 100 pages of 
reproduction and the first two hours of search time shall be furnished 
without charge.
    (b) Aggregating requests. A requester may not file multiple requests 
at the same time, each seeking portions of a document or documents, in 
order to avoid payment of fees. When NRPC believes that a requester or, 
on rare occasions, a group of requesters acting in concert, is 
attempting to break a request down into a series or requests for the 
purpose of evading the assessment of fees, NRPC may aggregate any such 
requests and charge accordingly. Before aggregating requests from more 
than one requester, NRPC must have a concrete basis on which to conclude 
that the requesters are acting in concert and are acting specifically to 
avoid payment of fees. In no case may NRPC aggregate multiple requests 
on unrelated subjects from one requester.
    (c) Waiver or reduction of fees. (1) NRPC may waive all fees or levy 
a reduced fee when disclosure of the information is deemed to be in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of NRPC and is not 
primarily in the commercial interest of the requester.
    (2) In determining whether disclosure is in the public interest, the 
following factors may be considered:
    (i) The relation of the records to the operations or activities of 
the NRPC;
    (ii) The informative value of the information to be disclosed;
    (iii) Any contribution to an understanding of the subject by the 
general public likely to result from disclosure;
    (iv) The significance of that contribution to the public 
understanding of the subject;
    (v) The nature of the requester's personal interest, if any, in the 
information requested; and
    (vi) Whether the disclosure would be primarily in the requester's 
commercial interest.

[[Page 940]]

    (3) In all cases, the burden shall be on the requester to present 
evidence or information in support of a request for a waiver of fees.
    (d) Advance payment. (1) When NRPC estimates or determines that 
allowable charges that a requester may be required to pay are likely to 
exceed $250, NRPC may require a requester to make an advance payment of 
the entire fee before continuing to process the request.
    (2) When a requester has previously failed to pay a fee in a timely 
fashion (i.e., within 30 days of the date of the billing), NRPC may 
require the requester to pay the full amount owed plus any applicable 
interest as provided in paragraph (h) and make an advance payment of the 
full amount of the estimated fee before the agency begins to process a 
new request or a pending request from that requester.
    (3) When NRPC acts under paragraph (d)(1) or (d)(2) of this section, 
the administrative time limits prescribed in subsection (a)(6) of the 
FOIA (i.e., 10 working days from the receipt of initial requests and 20 
working days from receipt of appeals from initial denial plus 
permissible extensions of these time limits) will begin only after NRPC 
has received fee payments under paragraph (d)(1) or (d)(2) of this 
section.
    (e) Fee schedule. (1) Manual searches for records. NRPC will charge 
$27 per hour for the salary and fringe benefits of personnel conducting 
the search and review. NRPC may assess charges for time spent searching, 
even if it fails to locate the records or if records located are 
determined to be exempt from disclosure.
    (2) Computer searches for records. For each request, NRPC will 
charge the actual direct cost of providing this service. This will 
include the cost of operating the central processing unit (CPU) for that 
portion of operating time that is directly attributable to search for 
records responsive to the request and operator/programmer salary 
apportionable to the search. NRPC may assess charges for time spent 
searching, even if it fails to locate the records or if records located 
are determined to be exempt from disclosure.
    (3) Duplication costs. (i) For copies of documents reproduced on a 
standard office copying machine in sizes up to 8\1/2\ x 14 inches, the 
charges will be $.25 per page.
    (ii) The fee for reproducing copies of records over 8\1/2\ x 14 
inches or whose physical characteristics do not permit reproduction by 
routine electrostatic copying shall be the direct cost of reproducing 
the records through NRPC or commercial sources.
    (iii) For copies prepared by computer such as tapes or printouts, 
NRPC shall charge the actual cost, including operator time, of 
production of the tape or printout.
    (4) Other forms of duplication. For other methods of reproduction or 
duplication, NRPC shall charge the actual direct costs of producing the 
document(s).
    (f) Restrictions in accessing fees. (1) In accordance with section 
(4)(A)(iv) of the Freedom of Information Act, as amended, with the 
exception of requesters seeking documents for a commercial use, NRPC 
shall provide the first 100 pages of duplication and the first two hours 
of search time without charge.
    (2) NRPC shall not charge fees to any requester, including 
commercial-use requesters, if the cost of collecting a fee would be 
equal to or greater than the fee itself.
    (3) With the exception of requesters seeking documents for a 
commercial use, NRPC shall not charge fees for computer search until the 
cost of the search equals the equivalent dollar amount of two hours of 
the salary of the operator performing the search.
    (g) Payment procedures. (1) A request will not be deemed to have 
been received by the Freedom of Information Office until the requester 
has agreed to pay the anticipated fees and has made an advance deposit 
if one is required.
    (2) Remittances shall be in the form of either a personal check or 
bank draft drawn on a bank in the United States, or a money order.
    (3) Remittances shall be made payable to National Railroad Passenger 
Corporation and mailed to the Freedom of Information Office.
    (h) Late charges. Interest may be charged those requesters who fail 
to

[[Page 941]]

pay fees charged. NRPC may begin assessing interest charges on the 
amount billed starting on the 31st day following the day on which the 
billing was sent. Interest will be at the rate prescribed in section 
3717 of Title 31 U.S.C. and will accrue from the date of the billing.
    (i) Other procedures. NRPC shall use the most efficient and least 
costly methods to comply with requests for documents made under the 
FOIA. NRPC may choose to contract with outside services to locate, 
reproduce and disseminate the records in response to FOIA requests when 
deemed the most efficient and least costly method. When documents 
responsive to a request are maintained for distribution by government 
agencies operating statutory-based fee schedule programs, such as, but 
not limited to, the Government Printing Office or the National Technical 
Information Service, NRPC will inform requesters of the steps necessary 
to obtain records from those sources.
[52 FR 15321, Apr. 28, 1987, as amended at 52 FR 31407, Aug. 20, 1987]



Sec. 701.8  Notification procedures for confidential commercial and financial information.

    (a) Definitions. For the purpose of this section, the following 
definitions apply:
    (1) Confidential commerical or financial information means records 
provided to NRPC by a submitter that arguably contain material exempt 
from release under Exemption 4 of FOIA, 5 U.S.C. 552(b)(4), because 
disclosure could reasonably be expected to cause substantial competitive 
harm.
    (2) Submitter means any person or entity who provides confidential 
or financial commercial information to NRPC. The term submitter 
includes, but is not limited to, corporations, state governments, and 
foreign governments.
    (3) Requester means any person or entity who submits a valid request 
for information under the Freedom of Information Act. The term includes, 
but is not limited to, corporations, state governments, and foreign 
governments.
    (b) Notice requirements. (1) For confidential commercial or 
financial information submitted prior to January 1, 1988, NRPC shall, if 
it determines that it may be required to disclose the requested 
information, notify the submitter in writing prior to the release of 
responsive records whenever:
    (i) The records are less than 10 years old and the information has 
been designated by the submitter as confidential commercial or financial 
information; or
    (ii) NRPC has reason to believe that disclosure of the information 
could reasonably be expected to cause substantial competitive harm.
    (2) For confidential financial or commercial information submitted 
on or after January 1, 1988, the submitter may designate, at the time 
the information is submitted to NRPC or a reasonable time thereafter, 
any information the disclosure of which the submitter claims could 
reasonably be expected to cause substantial competitive harm. NRPC 
shall, if it determines that it may be required to disclose the 
requested information, notify the submitter in writing prior to its 
release whenever:
    (i) The records are designated pursuant to paragraph (b)(1)(i) of 
this section; or
    (ii) NRPC has reason to believe that disclosure of the formation 
could reasonably be expected to cause substantial competitive harm.
    (c) Opportunity to object to disclosure. After notification is given 
pursuant to paragraph (b)(1) or (b)(2) of this section, the submitter 
shall have ten days from the receipt of notification in which to object 
to the disclosure of any specified portion of the information and to 
state all grounds upon which disclosure is opposed.
    (d) Notice of intent to disclose. In all instances when NRPC 
determines to disclose the requested records, the Corporation shall 
provide the submitter with a written notice to include the following:
    (1) A statement briefly explaining why the submitter's objections 
were not sustained;
    (2) A description of the business information to be disclosed or a 
copy of the material proposed for release; and
    (3) A specific disclosure date.
    The notice shall be provided to the submitter ten working days prior 
to

[[Page 942]]

the specified disclosure date. The requester shall also be advised of 
NRPC's final determination to disclose the requested information at the 
same time as notification is provided to the submitter.
    (e) Notice of FOIA lawsuit. Whenever a FOIA requester brings suit 
seeking to compel disclosure of confidential commercial or financial 
information, NRPC shall promptly notify the submitter.
    (f) Exceptions to notice requirements. The notice requirements of 
paragraphs (b)(1) and (b)(2) of this section need not be followed if:
    (1) NRPC determines that the information should not be disclosed;
    (2) The information has been published or has been officially made 
available to the public;
    (3) Disclosure of the information is required by law (other than 
FOIA);
    (4) The information requested is not designated by the submitter as 
exempt from disclosure in accordance with these regulations, unless 
Amtrak has substantial reason to believe that disclosure of the 
information would result in competitive harm; or
    (5) The designation made by the submitter appears obviously 
frivolous, except that NRPC will provide the submitter with written 
notice of any final administrative disclosure determination pursuant to 
paragraph (c) of this section.
    (g) Notification of requester. Whenever NRPC notifies a submitter 
that it may be required to disclose information pursuant to paragraphs 
(b)(1) and (b)(2) of this section, NRPC shall also notify the requester 
that notice and an opportunity to comment are being provided to the 
submitter.
[53 FR 5581, Feb. 25, 1988]

[[Page 943]]



          CHAPTER VIII--NATIONAL TRANSPORTATION SAFETY BOARD




  --------------------------------------------------------------------
Part                                                                Page
800             Organization and functions of the Board and 
                    delegations of authority................         944
801             Public availability of information..........         949
802             Rules implementing the Privacy Act of 1974..         957
803             Official seal...............................         964
804             Rules implementing the Government in the 
                    Sunshine Act............................         965
805             Employee responsibilities and conduct.......         968
806             National security information policy and 
                    guidelines, implementing regulations....         977
807             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the National 
                    Transportation Safety Board.............         978
821             Rules of practice in air safety proceedings.         984
825             Rules of procedure for merchant marine 
                    appeals from decisions of the 
                    Commandant, U.S. Coast Guard............        1000
826             Rules implementing the Equal Access to 
                    Justice Act of 1980.....................        1002
830             Notification and reporting of aircraft 
                    accidents or incidents and overdue 
                    aircraft, and preservation of aircraft 
                    wreckage, mail, cargo, and records......        1008
831             Accident/incident investigation procedures..        1011
835             Testimony of Board employees................        1016
837             Production of records in legal proceedings..        1018
840             Rules pertaining to notification of railroad 
                    accidents...............................        1019
845             Rules of practice in transportation; 
                    accident/incident hearings and reports..        1021
850             Coast Guard--National Transportation Safety 
                    Board marine casualty investigations....        1025
851-999

  [Reserved]

[[Page 944]]



PART 800--ORGANIZATION AND FUNCTIONS OF THE BOARD AND DELEGATIONS OF AUTHORITY--Table of Contents




                  Subpart A--Organization and Functions

Sec.
800.1  Purpose.
800.2  Organization.
800.3  Functions.
800.4  Operation.
800.5  Office locations.
800.6  Availability of information and materials.

          Subpart B--Delegations of Authority to Staff Members

800.21  Purpose.
800.22  Delegation to the Managing Director.
800.23  Delegation to the administrative law judges, Office of 
          Administrative Law Judges.
800.24  Delegation to the General Counsel.
800.25  Delegation to the Directors of Aviation Safety and Office of 
          Surface Transportation.
800.26  Delegation to the Director, Office of Administration.
800.27  Delegation to investigative officers and employees of the Board.


Appendix to Part 800--Request to the Secretary of the Department of 
          Transportation To Investigate Certain Aircraft Accidents

    Authority:  Independent Safety Board Act of 1974, as amended (49 
U.S.C. 1101 et seq.); Federal Aviation Act of 1958, as amended (49 
U.S.C. 40101 et seq.).

    Source:  49 FR 26232, June 27, 1984, unless otherwise noted.



                  Subpart A--Organization and Functions



Sec. 800.1  Purpose.

    This part describes the organization, functions, and operation of 
the National Transportation Safety Board (Board).



Sec. 800.2  Organization.

    The Board consists of five Members appointed by the President with 
the advice and consent of the Senate. One of the Members is designated 
by the President as Chairman with the advice and consent of the Senate, 
and one was Vice Chairman. The Members exercise various functions, 
powers and duties set forth in Titles VI and VII of the Federal Aviation 
Act of 1958 (49 U.S.C. 44101-46501), and the Independent Safety Board 
Act of 1974 (88 Stat. 2166 et seq. (49 U.S.C. 1101 et seq.)). The Board 
is an independent agency of the United States. A detailed description of 
the Board and its components is published in the Board's internal 
orders, which are available for inspection and copying in the public 
reference room in the Washington office of the Board. Various special 
delegations of authority from the Board and the Chairman to the staff 
are set forth in Subpart B of this part. The Board's staff is comprised 
of the following principal components:
    (a) The Office of the Managing Director, which assists the Chairman 
in the discharge of his functions as executive and administrative head 
of the Board; coordinates and directs the activities of the staff; is 
responsible for the day-to-day operation of the Board; and recommends 
and develops plans to achieve the Board's program objectives. The Office 
of the Managing Director also provides executive secretariat services to 
the Board.
    (b) The Office of Public Affairs, which supplies the public, the 
transportation industry and the news media, with current, accurate 
information concerning the work, programs, and objectives of the Board.
    (c) The Office of Government Affairs, which supplies the Congress 
and Federal, State and local government agencies with information 
regarding the Safety Board's activities, programs and objectives.
    (d) The Office of the General Counsel, which provides legal advice 
and assistance to the Board and its staff components; prepares Board 
rules, opinions and/or orders, and advice to all offices and bureaus on 
matters of legal significance; and represents the Board in court actions 
to which the Board is a party or in which the Board is interested.
    (e) The Office of Administrative Law Judges, which conducts all 
formal proceedings arising under the Federal Aviation Act of 1958, as 
amended, including proceedings involving civil penalties and suspension 
or revocation

[[Page 945]]

of certificates, and appeals from actions of the Administrator in 
refusing to issue airman certificates.
    (f) The Office of Aviation Safety, which conducts investigations of 
all aviation accidents within the Board's jurisdiction; prepares reports 
for submission to the Board and release to the public setting forth the 
facts and circumstances of such accidents, including a recommendation as 
to the probable cause(s); determines the probable cause(s) of accidents 
when delegated authority to do so by the Board; initiates safety 
recommendations to prevent future aviation accidents; participates in 
the investigation of accidents that occur in foreign countries and 
involve U.S.-registered and/or U.S.-manufactured aircraft; and conducts 
special investigations into selected aviation accidents involving safety 
issues of concern to the Board.
    (g) The Office of Surface Transportation Safety, which conducts 
investigations of highway, railroad, pipeline, marine, and hazardous 
materials accidents within the Board's jurisdiction; prepares reports 
for submission to the Board and release to the public setting forth the 
facts and circumstances of such accidents, including a recommendation as 
to the probable cause(s); determines the probable cause(s) of accidents 
when delegated authority to do so by the Board; initiates safety 
recommendations to prevent future surface transportation accidents; 
participates in the investigation of accidents that occur in foreign 
countries and involve U.S.-registered vessels; and conducts special 
investigations into selected surface accidents involving safety issues 
of concern to the Board.
    (h) The Office of Safety Recommendations, which oversees the Board's 
safety recommendations program, including the Board's ``MOST WANTED'' 
recommendations.
    (i) The Office of Research and Engineering, which provides technical 
advice and services; conducts research and carries out analytical 
studies and tests on all aspects of the Board's accident investigation, 
accident prevention and safety promotion activities; conducts safety 
studies of specific safety issues; performs statistical analyses of 
transportation accident and incident data; maintains archival records of 
the Board's accident investigation and safety promotion activities and 
supports public access to these records; and supports the Board's data 
processing, computing and information management requirements.
    (j) The Office of Administration, which provides administrative 
support for the Board in the following areas: budget, accounting and 
audit; personnel, training and payroll; information management and 
automatic data processing; property, space, communications, facilities 
and transportation management; and printing, publications, mail, 
procurement, contracting, and accident inquiry services.
[60 FR 61488, Nov. 30, 1996, as amended at 61 FR 14521, April 2, 1995]



Sec. 800.3  Functions.

    (a) The primary function of the Board is to promote safety in 
transportation. The Board is responsible for the investigation, 
determination of facts, conditions, and circumstances and the cause or 
probable cause or causes of: all accidents involving civil aircraft, and 
certain public aircraft; highway accidents, including railroad grade-
crossing accidents, the investigation of which is selected in 
cooperation with the States; railroad accidents in which there is a 
fatality, substantial property damage, or which involve a passenger 
train; pipeline accidents in which there is a fatality, significant 
injury to the environment, or substantial property damage; and major 
marine casualties and marine accidents involving a public and a non-
public vessel or involving Coast Guard functions. The Board makes 
transportation safety recommendations to Federal, State, and local 
agencies and private organizations to reduce the likelihood of 
recurrences of transportation accidents. It initiates and conducts 
safety studies and special investigations on matters pertaining to 
safety in transportation, assesses techniques and methods of accident 
investigation, evaluates the effectiveness of transportation safety 
consciousness and efficacy in preventing accidents of other Government 
agencies, and evaluates

[[Page 946]]

the adequacy of safeguards and procedures concerning the transportation 
of hazardous materials.
    (b) Upon application of affected parties, the Board reviews in 
quasijudicial proceedings, conducted pursuant to the provisions of the 
Administrative Procedure Act, 5 U.S.C. 551 et seq., denials by the 
Administrator of the Federal Aviation Administrator of applications for 
airman certificates and orders of the Administrator modifying, amending, 
suspending, or revoking certificates or imposing civil penalties. The 
Board also reviews on appeal the decisions of the Commandant, U.S. Coast 
Guard, on appeals from orders of administrative law judges suspending, 
revoking, or denying seamen licenses, certificates, or documents.
    (c) The Board, as provided in Part 801 of this chapter, issues 
reports and orders pursuant to its duties to determine the cause or 
probable cause or causes of transportation accidents and to report the 
facts, conditions and circumstances relating to such accidents; issues 
opinions and/or orders after reviewing on appeal the imposition of a 
civil penalty or the suspension, amendment, modification, revocation, or 
denial of any certificate or license issued by the Secretary of the 
Department of Transportation (who acts through the Administrator of the 
Federal Aviation Administration or the Commandant of the United States 
Coast Guard); and issues and makes available to the public safety 
recommendations, safety studies, and reports of special investigations.
[60 FR 61488, Nov. 30, 1995]



Sec. 800.4  Operation.

    In exercising its functions, duties, and responsibilities, the Board 
utilizes:
    (a) The Board's staff, consisting of specialized offices dealing 
with particular areas of transportation safety and performing 
administrative and technical work for the Board. The staff advises the 
Board and performs duties for the Board that are inherent in the staff's 
position in the organizational structure or that the Board has delegated 
to it. The staff is described more fully in Sec. 800.2.
    (b) Rules published in the Federal Register and codified in this 
Title 49 of the Code of Federal Regulations. These rules may be 
inspected in the Board's public reference room, or purchased from the 
Superintendent of Documents, Government Printing Office.
    (c) Procedures and policies set forth in the agency's internal 
directives system which govern the activities of employees and 
organizational components of the Board. The internal directives system 
is designated as the NTSB Manual and consists of instructions which are 
called NTSB Orders and NTSB Notices.
    (d) Meetings of the Board Members conducted pursuant to the 
Government in the Sunshine Act.
    (e) Public hearings in connection with transportation accident 
investigations and public hearings and oral arguments in proceedings 
concerned with certificates or licenses issued by the Secretary or an 
Administrator of the Department of Transportation. They are held at the 
time and place announced in the notices thereof which are served on the 
parties to the proceedings or published in the Federal Register.
[49 FR 26232, June 27, 1984, as amended at 60 FR 61489, Nov. 30, 1995]



Sec. 800.5  Office locations.

    The principal offices of the National Transportation Safety Board 
are located at 490 L'Enfant Plaza East, SW., Washington, DC 20594. The 
Board maintains field offices in selected cities throughout the United 
States.
[60 FR 61489, Nov. 30, 1995]



Sec. 800.6  Availability of information and materials.

    Part 801 of this chapter provides detailed information concerning 
the availability of Board documents and records. That part also provides 
a fee schedule and information concerning inspection and copying.

[[Page 947]]



          Subpart B--Delegations of Authority to Staff Members



Sec. 800.21  Purpose.

    The purpose of this Subpart B is to publish special delegations of 
authority to staff members.
[60 FR 61489, Nov. 30, 1995]



Sec. 800.22  Delegation to the Managing Director.

    (a) The Board delegates to the Managing Director the authority to:
    (1) Make the final determination, on appeal, as to whether to 
withhold a Board record from inspection or copying, pursuant to Part 801 
of this chapter.
    (2) Approve for publication in the Federal Register notices 
concerning issuance of accident reports and safety recommendations and 
responses to safety recommendations, as required by sections 304(a)(2) 
and 307 of the Independent Safety Board Act of 1974 (49 U.S.C. 1131(d) 
and 1135(c)).
    (b) The Chairman delegates to the Managing Director the authority to 
exercise and carry out, subject to the direction and supervision of the 
Chairman, the following functions vested in the Chairman:
    (1) The appointment and supervision of personnel employed by the 
Board;
    (2) The distribution of business among such personnel and among 
organizational components of the Board; and
    (3) The use and expenditure of funds.
[60 FR 61489, Nov. 30, 1995]



Sec. 800.23  Delegation to the administrative law judges, Office of Administrative Law Judges.

    The Board delegates to the administrative law judges the authority 
generally detailed in its procedural regulations at Part 821 of this 
chapter.
[60 FR 61489, Nov. 30, 1995]



Sec. 800.24  Delegation to the General Counsel.

    The Board delegates to the General Counsel the authority to:
    (a) Approve, disapprove, request more information, or otherwise 
handle requests for testimony of Board employees with respect to their 
participation in the investigation of accidents, and, upon receipt of 
notice that an employee has been subpoenaed, to make arrangements with 
the court either to have the employee excused from testifying or to give 
the employee permission to testify in accordance with the provisions of 
Part 835 of this Chapter.
    (b) Approve or disapprove in safety enforcement proceedings, for 
good cause shown, requests for extensions of time or for other changes 
in procedural requirements subsequent to the initial decision, grant or 
deny requests to file additional and/or amicus briefs pursuant to 
Secs. 821.9 and 821.48 of this Chapter, and raise on appeal any issue 
the resolution of which he deems important to the proper disposition of 
proceedings under Sec. 821.49 of this Chapter.
    (c) Approve or disapprove, for good cause shown, requests to extend 
the time for filing comments on proposed new or amended regulations.
    (d) Issue regulations for the purpose of making editorial changes or 
corrections in the Board's rules and regulations.
    (e) Issue orders staying or declining to stay, pending judicial 
review, orders of the Board suspending or revoking certificates, and 
consent to the entry of judicial stays with respect to such orders.
    (f) Compromise civil penalties in the case of violations arising 
under The Independent Safety Board Act of 1974, as amended, or any rule, 
regulation, or order issued thereunder.
    (g) Issue orders dismissing appeals from initial decisions of Board 
administrative law judges pursuant to the request of the appellant or, 
where the request is consensual, at the request of any party.
    (h) Correct Board orders by eliminating typographical, grammatical, 
and similar errors, and make editorial changes therein not involving 
matters of substance.
    (i) Take such action as appropriate or necessary adequately to 
compromise, settle, or otherwise represent the Board's interest in 
judicial or administrative actions to which the Board is a party or in 
which the Board is interested.
[60 FR 61489, Nov. 30, 1995]

[[Page 948]]



Sec. 800.25  Delegation to the Directors of Office of Aviation Safety and Office of Surface Transportation.

    The Board delegates to the Directors, Office of Aviation and Office 
of Surface Transportation, the authority to:
    (a) Order an investigation into the facts, conditions, and 
circumstances of accidents that the Board has authority to investigate.
    (b) Disclose factual information pertinent to all accidents or 
incidents as provided for in Part 801 of this chapter.
    (c) Determine the probable cause(s) of accidents in which the 
determination is issued in the ``Brief of Accident'' format, except that 
the Office Director will submit the findings of the accident 
investigation to the Board for determination of the probable cause(s) 
when (1) any Board Member so requests, (2) it appears to the Office 
Director that, because of significant public interest, a policy issue, 
or a safety issue of other matter, the determination of the probable 
cause(s) should be made by the Board, or (3) the accident investigation 
will be used to support findings in a special investigation or study. 
Provided, that a petition for reconsideration or modification of a 
determination of the probable cause(s) made under Sec. 845.41 of this 
Chapter shall be acted on by the Board.
    (d) Consistent with Board resources, investigate accidents as 
provided under Sec. 304(a) of the Independent Safety Board Act of 1974, 
as amended (49 U.S.C. 1131(a)) and the Appendix to this Part.
[60 FR 61489, Nov. 30, 1995]



Sec. 800.26  Delegation to the Director, Office of Administration.

    The Board delegates to the Director, Office of Administration, the 
authority to:
    (a) Determine, initially, the withholding of a Board record from 
inspection or copying, pursuant to Part 801 of this Chapter.
    (b) Settle claims for money damages of $2,500 or less against the 
United States arising under Section 2672 of 28 United States Code (the 
Federal Tort Claims Act) because of acts or omissions of Board 
employees.
[60 FR 61490, Nov. 30, 1995]



Sec. 800.27  Delegation to investigative officers and employees of the Board.

    The Board delegates to any officer or employee of the Board 
designated by the Chairman of the Safety Board the authority to sign and 
issue subpoenas, and administer oaths and affirmations, and to take 
depositions or cause them to be taken in connection with the 
investigation of transportation accidents or incidents.
[60 FR 61490, Nov. 30, 1995]

  Appendix to Part 800--Request to the Secretary of the Department of 
        Transportation to Investigate Certain Aircraft Accidents

    (a) Acting pursuant to the authority vested in it by Title VII of 
the Federal Aviation Act of 1958 (49 U.S.C. 1441) and section 304(a)(1) 
of the Independent Safety Board Act of 1974, the National Transportation 
Safety Board (Board) hereby requests the Secretary of the Department of 
Transportation (Secretary) to exercise his authority subject to the 
terms, conditions, and limitations of Title VII and section 304(a)(1) of 
the Independent Safety Board Act of 1974, and as set forth below to 
investigate the facts, conditions, and circumstances surrounding certain 
fixed-wing and rotorcraft aircraft accidents and to submit a report to 
the Board from which the Board may make a determination of the probable 
cause.
    (b) The authority to be exercised hereunder shall include the 
investigation of all civil aircraft accidents involving rotorcraft, 
serial application, amateur-built aircraft, restricted category 
aircraft, and all fixed-wing aircraft which have a certificated maximum 
gross takeoff weight of 12,500 pounds or less except:
    (1) Accidents in which fatal injuries have occurred to an occupant 
of such aircraft, but shall include accidents involving fatalities 
incurred as a result of aerial application operations, amateur-built 
aircraft operations, or restricted category aircraft operations.
    (2) Accidents involving aircraft operated in accordance with the 
provisions of Part 135 of the Federal Air Regulations entitled ``Air 
Taxi Operators and Commercial Operators of Small Aircraft.''
    (3) Accidents involving aircraft operated by an air carrier 
authorized by certificate of public convenience and necessity to engage 
in air transportation.
    (4) Accidents involving midair collisions.
    (c) Provided, That the Board may, through the chiefs of its field 
offices, or their designees who receive the initial notifications, 
advise the Secretary, through his appropriate designee, that the Board 
will assume

[[Page 949]]

the full responsibility for the investigation of an accident included in 
this request in the same manner as an accident not so included; and 
Provided further, That the Board, through the chiefs of its field 
offices, or their designees who receive initial notifications may 
request the Secretary, through his appropriate designee, to investigate 
an accident not included in this request, which would normally be 
investigated by the Board under section (b) (1) through (4) above, and 
in the same manner as an accident so included.
    (d) Provided, That this authority shall not be construed to 
authorize the Secretary to hold public hearings or to determine the 
probable cause of the accident; and Provided further, That the Secretary 
will report to the Board in a form acceptable to the Board the facts, 
conditions, and circumstances surrounding each accident from which the 
Board may determine the probable cause.
    (e) And provided further, That this request includes authority to 
conduct autopsies and such other tests of the remains of deceased 
persons aboard the aircraft at the time of the accident, who die as a 
result of the accident, necessary to the investigations requested 
hereunder and such authority may be delegated and redelegated to any 
official or employee of the Federal Aviation Administration (FAA). For 
the purpose of this provision, designated aviation examiners are not 
deemed to be officials or employees of the FAA.
    (f) Invoking the provisions of section 701(f) of the Federal 
Aviation Act of 1958, and section 304(a)(1) of the Independent Safety 
Board Act of 1974, is necessary inasmuch as sufficient funds have not 
been made available to the Board to provide adequate facilities and 
personnel to investigate all accidents involving civil aircraft. This 
request, therefore, is considered to be temporary in nature and may be 
modified or terminated by written notice to the Secretary.



PART 801--PUBLIC AVAILABILITY OF INFORMATION--Table of Contents




                   Subpart A--Applicability and Policy

Sec.
801.1  Applicability.
801.2  Policy.
801.3  Definitions.

                        Subpart B--Administration

801.10  General.
801.11  Segregability of records.
801.12  Protection of records.

                         Subpart C--Time Limits

801.20  Initial determination.
801.21  Final determination.
801.22  Extension.

                Subpart D--Accident Investigation Records

801.30  Field aircraft accident investigations.
801.31  Major aircraft accident investigations.
801.32  Aircraft accident public hearings.
801.33  Surface transportation accident investigations.
801.34  Surface accident public hearings.
801.35  Aviation accident reports.
801.36  Surface transportation accident reports.

                    Subpart E--Other Board Documents

801.40  The Board's rules.
801.41  Transportation safety recommendations.
801.42  Indexes to aviation and maritime enforcement cases.
801.43  Administrative staff manuals and instructions and indexes that 
          affect the public.
801.44  Reports to Congress.
801.45  Other records.
801.46  Special document services.

               Subpart F--Exemption From Public Disclosure

801.50  General.
801.51  National defense and foreign policy secrets.
801.52  Internal personnel rules and practices of the Board.
801.53  Records exempt by statute from disclosure.
801.54  Interagency and intra-agency exchanges.
801.55  Unwarranted invasion of personal privacy.
801.56  Records compiled for law enforcement purposes.
801.57  Records for regulation of financial institutions.
801.58  Geological records.
801.59  Trade secrets and commercial or financial information.


Appendix to Part 801--Fee Schedule

    Authority:  5 U.S.C. 552; 49 U.S.C. 1101 et seq.; 18 U.S.C. 641 and 
2071.

    Source:  41 FR 39755, Sept. 16, 1976, unless otherwise noted.



                   Subpart A--Applicability and Policy



Sec. 801.1  Applicability.

    (a) This part implements the provisions of the Freedom of 
Information Act (5 U.S.C. 552) as amended by Pub. L. 93-502, November 
21, 1974, and the

[[Page 950]]

publication and public access requirements embodied in title III of the 
Independent Safety Board Act of 1974 (88 Stat. 2166 (49 U.S.C. 1901 et 
seq.)). In addition, it provides for document services and the charges 
therefor, pursuant to 31 U.S.C. 483a.
    (b) This part applies only to records existing when the request for 
the information is made. The National Transportation Safety Board 
(Board) is not required to compile or procure records for the sole 
purpose of making them available hereunder.
    (c) Subpart F of this part describes records which are exempt from 
public disclosure.



Sec. 801.2  Policy.

    In implementing 5 U.S.C. 552, it is the policy of the Board to make 
information available to the public to the greatest extent possible. 
Accordingly, all records of the Board, except those that the Board 
specifically determines must not be disclosed in the national interest, 
or for the protection of private rights, or for the efficient conduct of 
public business to the extent permitted by the Freedom of Information 
Act, are declared to be available for public inspection and copying, as 
provided in this part. Records are to be made available to the public 
promptly and to the fullest extent consistent with this policy. No 
record may be withheld from the public solely because its release might 
indicate administrative error or embarrass an officer or employee of the 
Board.



Sec. 801.3  Definitions.

    Record includes any writing, drawing, map, recording, tape, film, 
photo, or other documentary material by which information is preserved, 
and this definition also applies to section 306(a) of the Independent 
Safety Board Act of 1974, which requires public access to any 
information. In this part, document and record shall have the same 
meaning.
    Chairman means the Chairman of the Board.
    Managing Director means the Managing Director of the Board.



                        Subpart B--Administration



Sec. 801.10  General.

    (a) The Director, Bureau of Administration, is responsible for the 
custody and control of all Board records required to be preserved under 
directives of the General Services Administration, issued pursuant to 44 
U.S.C. 3102.
    (b) The Director, Bureau of Administration, shall be solely 
responsible for the initial determination of whether to release records 
within the 10 working days' limit, or the extension specified in the 
Freedom of Information Act.
    (c) The Public Inquiries Section, Bureau of Administration, shall:
    (1) Maintain for public access and commercial reproduction all 
accident files containing aviation and surface investigator's reports, 
factual accident reports or group chairman reports, documentation and 
accident correspondence files, transcripts of public hearings, if any, 
and exhibits.
    (2) Maintain a public reference room (with self-service duplicator) 
and, on request, permit the public to inspect public documents during 
normal working hours.
    (3) Maintain copies of public documents, specified in the appendix, 
for inspection and copying in the public reference room.
    (d) Requests for documents must be addressed to the Public Inquiries 
Section, National Transportation Safety Board, Washington, DC 20594. All 
requests must reasonably identify the record requested, must be 
accompanied by the fee or agreement (if any) to pay the reproduction 
costs shown in the fee schedule (see appendix), and must contain the 
address and telephone number of the person making the request. The 
envelope in which the request is sent should be marked prominently with 
the letters ``FOIA.'' The Bureau of Administration, if there is a 
failure to comply fully, will attempt to contact the requester 
immediately to rectify the omission. However, the 10-working-day limit 
for processing shall not commence until the Bureau of Administration 
receives a totally correct request.
    (e) The field offices of the Board shall not maintain, for public 
access, records maintained by the Bureau of Administration. If requests 
are made to field

[[Page 951]]

offices, advice will be promptly given as to how to make such requests.
    (f) The Bureau of Administration shall maintain a contract with a 
commercial reproduction firm to accommodate requests for reproduction of 
accident records. The reproduction charges may be subject to change with 
each contract renewal.
    (g) Requests for documents generated by other agencies or entities 
will not be processed unless they are contained in the Board's accident 
files.
    (h) Requests for records not yet issued will be held in abeyance 
until issuance and then processed. The person making the request will be 
so notified.
    (i) No charge will be made by the Board for notices, decisions, 
orders, etc., required by law to be served on a party to any proceeding 
or matter before the Board.
    (j) Upon approval of the Director, Bureau of Administration, 
subscriptions to Board publications may be entered without charge for 
States, organizations, or other entities specified in the fee schedule 
set forth in the appendix.



Sec. 801.11  Segregability of records.

    The initial decision of the Director, Bureau of Administration shall 
include a determination of segregability. If it is reasonable to do so, 
the exempt portions will be deleted and the nonexempt portions will be 
sent to the requester.



Sec. 801.12  Protection of records.

    (a) No person may, without permission, remove from the place where 
it is made available any record made available to him for inspection or 
copying. Stealing, altering, multilating, obliterating, or destroying, 
in whole or in part, such a record shall be deemed a crime.
    (b) Section 641 of title 18 of the U.S.C. provides, in pertinent 
part, as follows:

    ``Whoever * * * steals, purloins, or knowingly converts to his use 
or the use of another, or without authority, sells, conveys or disposes 
of any record * * * or thing of value of the United States or of any 
department or agency thereof * * * Shall be fined not more than $10,000 
or imprisoned not more than ten years or both; but if the value of such 
property does not exceed the sum of $100, he shall be fined not more 
than $1,000 or imprisoned not more than one year, or both. * * *''

    (c) Section 2071(a) of title 18 of the U.S.C. provides, in pertinent 
part, as follows:

    ``(a) Whoever willfully and unlawfully conceals, removes, mutilates, 
obliterates, or destroys, or attempts to do so, or, with intent to do so 
takes and carries away any record, proceeding, map, book, paper, 
document, or other things, filed or deposited * * * in any public 
office, or with any * * * public officer of the United States, shall be 
fined not more than $2,000 or imprisoned not more than three years, or 
both.''



                         Subpart C--Time Limits



Sec. 801.20  Initial determination.

    An initial determination as to whether to release a record shall be 
made by the Director, Bureau of Administration within 10 working days 
(excluding Saturdays, Sundays, and legal public holidays) after the 
request is received, except that this time limit may be extended up to 
10 additional working days in accordance with Sec. 801.22, of this part. 
The person making the request will be notified immediately in writing of 
such determination. If such determination is to release the requested 
record, such record shall be made available promptly. If such 
determination is made not to release the record, the person making the 
request shall, when he is notified of such determination, be advised of 
(a) the reason for the determination, (b) the right to appeal the 
determination, and (c) the name and title or positions of each person 
responsible for the denial of the request.



Sec. 801.21  Final determination.

    A determination with respect to any appeal made pursuant to 
Sec. 801.20, shall be made by the Managing Director within 10 working 
days (excluding Saturdays, Sundays, and legal public holidays) after 
receipt of such appeal, except that this time limit may be extended for 
as many as 10 additional working days, in accordance with Sec. 801.22.



Sec. 801.22  Extension.

    In unusual circumstances as specified in this section, the time 
limits prescribed in either, but not both, Sec. 801.20 or Sec. 801.21, 
may be extended by written

[[Page 952]]

notice to the person making a request and setting forth the reasons for 
such extension and the date on which a determination is expected to be 
dispatched. Such notice shall not specify a date that would result in an 
extension for more than 10 working days. As used in this paragraph, 
``unusual circumstances,'' to the extent reasonably necessary to the 
proper processing of the particular request, means--
    (a) The need to search for and collect the requested records from 
field facilities or other establishments that are separate from the 
Bureau of Administration;
    (b) The need to search for, collect, and appropriately examine a 
voluminous amount of separate and distinct records which are demanded in 
a single request; or
    (c) The need to consult with another agency which has a substantial 
interest in the disposition of the request or with two or more 
components of the agency having substantial subject-matter interest 
therein.



                Subpart D--Accident Investigation Records



Sec. 801.30  Field aircraft accident investigations.

    Upon completion of the field investigation (normally 60 days after 
the accident), the Board's investigator-in-charge shall complete a 
factual report (with documentation) and send it to the Director, Bureau 
of Administration, who shall then make the record available to the 
public for inspection or commercial copy order (see appendix).



Sec. 801.31  Major aircraft accident investigations.

    Upon completion of the investigation by a team of Board 
investigators (normally 60 days after the accident), the report of each 
investigator (group chairman), with documentation, shall be sent to the 
Director, Bureau of Administration, who shall make these records 
available to the public for inspection and commercial copy order (see 
appendix).



Sec. 801.32  Aircraft accident public hearings.

    Within approximately 2 weeks after a public hearing concerning an 
aviation accident, the Director, Bureau of Administration, shall make 
available to the public for inspection or commercial copy order, the 
hearing transcript and the exhibits introduced at the hearing (see 
appendix).



Sec. 801.33  Surface transportation accident investigations.

    Upon completion of the Board's investigation of these accidents 
(normally 60 days after the accident), the investigators shall send to 
the Director, Bureau of Administration, a file of the documentation 
obtained. This file shall then be made available by the Bureau of 
Administration, for public access or commercial copy order (see 
appendix).



Sec. 801.34  Surface accident public hearings.

    Within approximately 2 weeks after a surface accident public 
hearing, the Bureau of Administration shall make available for public 
inspection and commercial copy order, the hearing transcript and 
exhibits introduced at the hearing.



Sec. 801.35  Aviation accident reports.

    (a) The Board shall report the facts, conditions, and circumstances, 
and its determination of the cause or probable cause of all U.S. civil 
aviation accidents approximately 6 months after each accident occurs. 
All such reports shall be provided by computer printout, published 
periodically as ``Briefs of Accidents.''
    (b) All major or catastropic air carrier accidents and 
noncatastrophic accidents, involving both air carriers and general 
aviation, which provide unusually significant safety issues shall be 
reported by the Board in detailed, narrative format. The formal, 
narrative report shall provide the facts, conditions, and circumstances, 
and the Board's determination of the cause or probable cause of the 
accident; the report shall be issued approximately 6 months after date 
of accident.
    (c) After notice of issuance appears in the Federal Register, as 
required by

[[Page 953]]

section 304(a)(2) of the Independent Safety Board Act of 1974, the 
report shall be made available for public inspection in the Board's 
public reference room. (See appendix for copies and subscriptions.)



Sec. 801.36  Surface transportation accident reports.

    Any surface transportation accident investigated by the Board, and 
certain marine accidents investigated by the U.S. Coast Guard, shall 
result in a formal Board report. Such report shall provide the facts, 
conditions, circumstances, and the Board's determination of cause or 
probable cause of the accident. Reports of accidents investigated by the 
Board shall be issued approximately 6 months after the date of accident. 
After notice of issuance appears in the Federal Register, as required by 
section 304 (a)(2) of the Independent Safety Board Act of 1974, the 
report shall be made available for public inspection in the Board's 
public reference room. (See appendix for copies and subscriptions.)



                    Subpart E--Other Board Documents



Sec. 801.40  The Board's rules.

    The Board's rules are published in the Code of Federal Regulations 
as parts 800 through 899 of this title 49. Reprints of each part are 
maintained by the Bureau of Administration and are available on request 
without cost.



Sec. 801.41  Transportation safety recommendations.

    All transportation safety recommendations issued by the Board, and 
responses thereto, shall be noticed in the Federal Register as required 
by section 307 of the Independent Safety Board Act of 1974, and 
thereafter shall be made available for inspection or copying in the 
Board's public reference room. (See appendix for copies and 
subscriptions.)



Sec. 801.42  Indexes to aviation and maritime enforcement cases.

    (a) Pursuant to the Freedom of Information Act, as amended, a 
quarterly index to the initial decisions of the Board's administrative 
law judges shall be made available for inspection or copying in the 
Board's public reference room. (See appendix for subscription to initial 
decisions.)
    (b) Pursuant to the Freedom of Information Act, as amended, a 
quarterly index to the Board's opinions and orders in aviation and 
maritime safety enforcement cases shall be made available for inspection 
or copying in the Board's public reference room. (See appendix for 
subscription to opinions and orders and availability of bound National 
Transportation Safety Board Decisions.)



Sec. 801.43  Administrative staff manuals and instructions and indexes that affect the public.

    The index to staff manuals which are not exempt from public 
disclosure, as set forth in Subpart F, shall be available in the Board's 
public reference room (see appendix).



Sec. 801.44  Reports to Congress.

    The Board's annual report to Congress, which is required under 
section 305 of the Independent Safety Board Act of 1974, shall be 
submitted on July 1 of each year. It may be purchased from the 
Government Printing Office or inspected in the Board's public reference 
room. All other reports or comments to Congress shall be available in 
the Board's public reference room for inspection or by ordering a copy 
after issuance.



Sec. 801.45  Other records.

    The working files of the Board contain a limited number of records 
which may not be exempt, in whole or in part, from public disclosure as 
set forth in Subpart F of this part. Such records shall be made 
available upon request. Requests for such documents should be made 
directly to the head of the unit concerned, as set forth in 
Sec. 801.10(j), and should contain a reasonable description of the 
specific record desired.



Sec. 801.46  Special document services.

    (a) Although not required by the Freedom of Information Act, the 
Board provides document services at charges required by 31 U.S.C. 483a, 
as described in the appendix.

[[Page 954]]



               Subpart F--Exemption From Public Disclosure



Sec. 801.50  General.

    This subpart implements section 552 (b) of title 5, United States 
Code. Section 552 (a) and (b) exempt certain records from public 
inspection. The Board will, however, release a record authorized to be 
withheld under section 552(b) unless it determines that the release of 
that record would be inconsistent with the purpose of the exemption 
concerned. Examples of records given in Secs. 801.51 through 801.58 
included within a particular statutory exemption are not necessarily 
illustrative of all types of records covered by the exemption.



Sec. 801.51  National defense and foreign policy secrets.

    National defense and foreign policy secrets established by Executive 
Order, and properly classified, are exempt from public disclosure. 
Requests to the Board for such records will be transferred to the source 
agency as appropriate. (Executive Orders 11652, March 8, 1972; 10865, 
February 20, 1960; and 10104, February 1, 1950.)



Sec. 801.52  Internal personnel rules and practices of the Board.

    (a) Records relating solely to internal personnel rules and 
practices that are within the statutory exemptions include memoranda 
pertaining to personnel matters such as staffing policies, and 
procedures for the hiring, training, promotion, demotion, or discharge 
of employees, and management plans, records, or proposals relating to 
labor-management relations.
    (b) The purpose of this section is to protect any records relating 
to internal personnel rules and practices dealing with the relations 
between Board management and employees.



Sec. 801.53  Records exempt by statute from disclosure.

    This exemption applies to records specifically exempted from 
disclosure by statute (other than 5 U.S.C. 552b): Provided, That such 
statute (a) requires that the matters be withheld from the public in 
such manner as to leave no discretion on the issue, or (b) establishes 
particular criteria for withholding or refers to particular types of 
matters to be withheld.

(5 U.S.C. 552b)
[42 FR 13284, Mar. 10, 1977]



Sec. 801.54  Interagency and intra-agency exchanges.

    (a) Any record prepared by a Board employee for internal Government 
use is within the statutory exemption to the extent that it contains--
    (1) Opinions made in the course of developing official action by the 
Board but not actually made a part of that official action, or
    (2) Information concerning any pending Board proceeding, or similar 
matter, including any claim or other dispute to be resolved before a 
court of law, administrative board, hearing officer, or contracting 
officer.
    (b) The purpose of this section is to protect the full and frank 
exchange of ideas, views, and opinions necessary for the effective 
functioning of the Government. These resources must be fully and readily 
available to those officials upon whom the responsibility rests to take 
official Board action. Its purpose is also to protect against the 
premature disclosure of material that is in the developmental stage, if 
premature disclosure would be detrimental to the authorized and 
appropriate purposes for which the material is being used, or if, 
because of its tentative nature, the material is likely to be revised or 
modified before it is officially presented to the public.
    (c) Examples of materials covered by this section include staff 
papers containing advice, opinions, or suggestions preliminary to a 
decision or action; advance information on such things as proposed plans 
to procure, lease, or otherwise hire and dispose of materials, real 
estate, or facilities; documents exchanged preparatory to anticipated 
legal proceedings; material intended for public release at a specified 
future time, if premature disclosure would be detrimental to orderly 
processes of the Board; records of inspections, investigations, and 
surveys pertaining to internal management of the Board; and matters that 
would not be routinely disclosed in litigation but

[[Page 955]]

which are likely to be the subject of litigation.



Sec. 801.55  Unwarranted invasion of personal privacy.

    Any personal, medical, or similar file is within the statutory 
exemption if its disclosure would harm the individual concerned or would 
be a clearly unwarranted invasion of his personal privacy. This also 
applies to financial statements furnished by Board Members and employees 
and to commercial or financial information customarily subjected to an 
attorney-client or similar privilege.



Sec. 801.56  Records compiled for law enforcement purposes.

    This exemption from public disclosure applies to records compiled 
for law enforcement, but only to the extent that disclosure would 
interfere with enforcement, would be an unwarranted invasion of privacy, 
would disclose the identity of a confidential source, would disclose 
investigative procedures and practices, or would endanger the life or 
security of law enforcement personnel.



Sec. 801.57  Records for regulation of financial institutions.

    Records compiled for agencies regulating or supervising financial 
institutions are exempt from public disclosure.



Sec. 801.58  Geological records.

    Records concerning geological wells are exempt from public 
disclosure.



Sec. 801.59  Trade secrets and commercial or financial information.

    Trade secrets and commercial or financial information obtained from 
a person and privileged or confidential are exempt from public 
disclosure.
[42 FR 13284, Mar. 10, 1977]

                   Appendix to Part 801--Fee Schedule

    1. Fees (pursuant to 31 U.S.C. 483a). Upon request, services 
relating to public documents are available at the following fees:

                             A. Publications

    (1) The response to public requests for the following NTSB 
publications are handled by the National Technical Information Service 
(NTIS). The following publications are available through single copies 
or annual subscriptions and may be purchased in paper copy or 98 page 
per film microfiche (fees are subject to change by NTIS):

------------------------------------------------------------------------
                                                  Calendar              
                                       Single       year      Microfiche
                                       copies   subscription            
------------------------------------------------------------------------
PB84-910400 Aircraft Accident                                           
 Reports............................     $5.00       $55.00       (\1\) 
PB84-916200 Highway Accident Reports     (\1\)        50.00       (\1\) 
PB84-916300 Railroad Accident                                           
 Reports............................     (\1\)        55.00       (\1\) 
PB84-916400 Marine Accident Reports.     (\1\)        60.00       (\1\) 
PB84-916500 Pipeline Accident                                           
 Reports............................     (\1\)        45.00       (\1\) 
PB84-916900 Aviation Accident Briefs     (\1\)       160.00       (\1\) 
PB84-917100 Highway Accident Briefs.     12.50        (\2\)       (\1\) 
PB84-917200 Railroad Accident Briefs     12.50        (\2\)       (\1\) 
PB84-917300 Marine Accident Briefs..     10.00        (\2\)       (\1\) 
PB84-917400 Pipeline Accident Briefs     10.00        (\2\)       (\1\) 
PB84-916600 Transportation Safety                                       
 Recommendations....................     (\1\)        55.00       (\1\) 
PB84-916700 Transportation Initial                                      
 Decisions and Orders and Board                                         
 Opinions & Orders..................     (\1\)       200.00       (\1\) 
PB84-917000 Transportation Special                                      
 Reports \3\........................     (\1\)        50.00       (\1\) 
------------------------------------------------------------------------
\1\ Variable prices based on number of pages; contact NTIS for price    
  quote.                                                                
\2\ Highway, Railroad, Marine and Pipeline brief subscriptions are      
  available by standing order only and require an NTIS deposit account  
  (they are issued at irregular intervals, and charges at single copy   
  rates will be made only as reports are distributed).                  
\3\ Transportation Special Reports [this category includes all forms of 
  Safety Studies (formerly titled Special Studies, and Safety           
  Effectiveness Evaluations), Special Investigation Reports, and        
  Railroad/Highway Accident Reports].                                   

    (2) Send publication orders for the above documents to the National 
Technical Information Service, 5285 Port Royal Road, Springfield, 
Virginia 22161, identifying each subscription by the NTSB Report Number 
or the NTIS accession number. Telephone (703) 487-4630 (annual 
subscriptions) or (703) 487-4650 (single copies or microfiche). The NTSB 
Report Number and the NTIS accession number can be obtained from the 
NTSB Public Inquiries Section.
    B. Access to transportation accident files (all modes). All files 
dated prior to January 1, 1978, are in hard copy form and are maintained 
in the Federal Records Center. Files dated January 1, 1978, to present 
are maintained in microfiche at the NTSB headquarters. All documents in 
the Board's public files may be examined, without charge, in the Board's 
public reference room, located in the Public Inquiries Section, Room 
805F, 800 Independence Avenue, SW., Washington, DC,

[[Page 956]]

telephone (202) 382-6735. A self-service duplicator in the reference 
room is available for use by the public at a nominal cost. Usually, two 
weeks' time is required to service a request for reproduction. Filling 
any request for reproduction of a file that must be retrieved from the 
Federal Records Center will require two additional weeks.
    (1) Availability of accident files. All transportation mode accident 
files are retained in accordance with the following schedule:
    a. Air carrier accident files and all public hearing files are 
retained for a period of fifteen (15) years and then destroyed.
    b. All other transportation accident files are retained for a period 
of seven (7) years and then destroyed.
    (2) Reproduction of accident files. Reproduction of accident files 
(statements, photographs, hearing transcripts, and other material 
contained in the Board's accident investigation files) is provided by 
commercial contractor. Reproduction of printed matter and photographs 
are made from the best copy available. Requests must be forwarded to the 
Public Inquiries Section, National Transportation Safety Board, 
Washington, DC 20594. The contractor may bill and/or require full 
payment before duplicating the requested documents. Fees are subject to 
change depending upon the terms of the Board's annual contract.
    Current fees are:

a. Microfiche Duplicate, $1.65
b. Microfiche Blowback, .11
c. Aperture Card Blowback, 1.40
d. Photographs (from aperture card):
    8'x10' B&W Glossy Print, 1.65
    8'x10' Color Prints, 2.75
    5'x7' Color Prints, 2.47
    3\1/2\'x5' Color Prints, 2.47
e. Hardcopy Reproduction:
    8\1/2\'x11' .14
    8\1/2\'x14' .10
    10'x14' .05
    Oversized Pages (Larger than 10'x14'), .03/sq. in.
f. Photographs (from prints):
    8'x10' B&W Glossy Prints, 1.65
    8'x10' Color Prints, 2.75
    5'x7' Color Prints, 2.47
    3\1/2\'x5' Color Prints, 2.47
    2'x2' Color Slides, 2.47
g. Minimum Order Complete File, 1.00
h. Preliminary Report (only), 1.35
i. Probable Cause (only), 1.35

    C. Request for other Board information. Requests for any other Board 
information such as files on safety recommendations, safety studies, 
Board orders, Board opinions and orders, and initial decisions are 
available at a cost of 14 cents per page(s) ($1.00 minimum charge). 
These services are provided by a public contractor who may pre-bill or 
require full payment before duplicating the requested documents. 
Requests must be forwarded to the Public Inquiries Section, National 
Transportation Safety Board, Washington, DC 20594.
    D. Reproduction services through the commercial contractor are 
handled as follows:
    Step 1: Requestor places written or telephone order with the Board's 
Public Inquiries Section for desired documents.
    Step 2: The Public Inquiries Section identifies the documents and 
forwards the request to the contractor.
    Step 3: The contractor provides the requestor with an invoice 
showing the actual costs for the service requested plus postage.
    Step 4: Requestor returns a copy of the contractor's invoice with 
full payment enclosed. Requestor has the option of opening a charge 
account with the contractor, and contractor will accept major credit 
cards. (Contractor must respond to request within five working days 
after receipt of payment.)
    Step 5: Contractor reproduces documents and mails them directly to 
the requestor.
    E. Expedited service. A $2.25 surcharge will be made for expedited 
service which will be provided within 2 working days commencing when the 
contractor receives advance payment or other arrangements have been made 
with the contractor.
    F. A fee of $4.00 will be charged for certification of documents 
under the Board's seal.
    G. Computer tapes and services for aviation accidents. The 
duplication of computer tapes (or a portion thereof) will be made on 
requestor supplied magnetic tape for a fee of $40.00. The requestor must 
provide a 2,400-foot magnetic tape certified to at least 1,600 bits per 
inch. Computer tape requests should be addressed to the Public Inquiries 
Section, National Transportation Safety Board, Washington, DC 20594.
    H. The basic fees set forth provide for ordinary first-class postage 
prepaid. If registered, certified, air, or special delivery mail is 
requested, postal fees therefor will be added to the basic fee. Also, if 
special handling or packaging is required, the cost will be added to the 
basic fee.
    2. Services available free of charge.
    A. The following documents are available without commercial 
reproduction cost until limited supplies are exhausted:

(1) Press releases,
(2) Safety Board regulations (chapter VIII of title 49, Code of Federal 
          Regulations),
(3) Indexes to initial decisions, Board orders, opinion and orders, and 
          staff manuals and instructions,
(4) Safety recommendations, and
(5) NTSB Annual Report.

    B. NTSB News Digest. The News Digest describes NTSB activities and 
summarizes certain publications. The News Digest is free, and anyone who 
is interested in being added to this mailing list should contact the 
Public

[[Page 957]]

Inquiries Section, National Transportation Safety Board, Washington, DC 
20594.
    3. Documents search fee--The Board has determined that it is in the 
public interest to eliminate fees for the first hour of search time. For 
all time expended in locating documents beyond the initial hour, the fee 
is $5.00 per hour.
    4. Publication, reproduction, and search fees are waived for 
qualifying foreign countries, international organizations, nonprofit 
public safety entities, State and Federal transportation agencies, and 
colleges and universities, after approval by the Director, Bureau of 
Administration. In addition, fees may be waived or reduced for other 
requestors not in any of the foregoing categories, when it is determined 
by the Director, Bureau of Administration that a waiver is appropriate 
and would contribute to the Board's programs.

(5 U.S.C. 552, 31 U.S.C. 483a, and 49 U.S.C. 1901 et seq.)
[49 FR 4496, Feb. 7, 1984]



PART 802--RULES IMPLEMENTING THE PRIVACY ACT OF 1974--Table of Contents




                   Subpart A--Applicability and Policy

Sec.
802.1  Purpose and scope.
802.2  Definitions.

             Subpart B--Initial Procedures and Requirements

802.5  Procedures for requests pertaining to individual records in a 
          record system.
802.6  Types of requests and specification of records.
802.7  Requests: How, where, and when presented; verification of 
          identity of individuals making requests; accompanying persons; 
          and procedures for acknowledgement of requests.

                    Subpart C--Initial Determinations

802.8  Disclosure of requested information.

              Subpart D--Correction or Amending the Record

802.10  Request for correction or amendment to record.
802.11  Agency review of requests for correction or amendment of record.
802.12  Initial adverse agency determination on correction or amendment.

           Subpart E--Review of Initial Adverse Determination

802.14  Review procedure and judicial review.

                             Subpart F--Fees

802.15  Fees.

                          Subpart G--Penalties

802.18  Penalties.

                     Subpart H--Specific Exemptions

802.20  Security records.

    Authority:  Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896 (5 
U.S.C. 552a); Independent Safety Board Act of 1974, Pub. L. 93-633, 88 
Stat. 2166 (49 U.S.C. 1901 et seq.); and Freedom of Information Act, 
Pub. L. 93-502, November 21, 1974, amending 5 U.S.C. 552.

    Source:  41 FR 22358, June 3, 1976, unless otherwise noted.



                   Subpart A--Applicability and Policy



Sec. 802.1  Purpose and scope.

    The purpose of this part is to implement the provisions of 5 U.S.C. 
552a with respect to the availability to an individual of records of the 
National Transportation Safety Board (NTSB) maintained on individuals. 
NTSB policy encompasses the safeguarding of individual privacy from any 
misuse of Federal records and the provision of access to individuals to 
NTSB records concerning them, except where such access is in conflict 
with the Freedom of Information Act, or other statute.
[41 FR 39758, Sept. 16, 1976]



Sec. 802.2  Definitions.

    In this part:
    Board means the five Members of the National Transportation Safety 
Board, or a quorum thereof;
    Individual means a citizen of the United States or an alien lawfully 
admitted for permanent residence;
    National Transportation Safety Board (NTSB) means the agency set up 
under the Independent Safety Board Act of 1974;
    Record means any item, collection, or grouping of information about 
an individual that is maintained under the control of the NTSB pursuant 
to Federal law or in connection with the transaction of public business, 
including, but not limited to, education, financial transactions, 
medical history, and criminal or employment history,

[[Page 958]]

and that contains a name, or an identifying number, symbol, or other 
identifying particular assigned to an individual, such as a finger or 
voice imprint or photograph;
    Routine use means the use of such record for a purpose compatible 
with the purpose for which it was collected, including, but not limited 
to, referral to law enforcement agencies of violations of the law and 
for discovery purposes ordered by a court referral to potential 
employers, and for security clearance;
    Statistical record means a record in a system of records maintained 
for statistical research or reporting purposes only and which is not 
used wholly or partially in any determination concerning an identifiable 
individual;
    System Manager means the agency official who is responsible for the 
policies and practices of his particular system or systems of record, as 
specified in the NTSB notices of systems or records; and
    System of records means a group of any records under the control of 
the NTSB from which information is retrieved by the name of an 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual, whether presently in existence or 
set up in the future.



             Subpart B--Initial Procedures and Requirements



Sec. 802.5  Procedures for requests pertaining to individual records in a record system.

    The NTSB may not disclose any record to any person or other agency, 
except pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains, provided the 
record under the control of the NTSB is maintained in a system of 
records from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other particular 
assigned to such individual. Written consent is not required if the 
disclosure is:
    (a) To officers or employees of the NTSB who require the information 
in the official performance of their duties;
    (b) Required under 5 U.S.C. 552, Freedom of Information Act;
    (c) For a routine use compatible with the purpose for which it was 
collected;
    (d) To the Bureau of the Census for uses pursuant to title 13, 
U.S.C.;
    (e) To a recipient who has provided the NTSB with advance adequate 
assurance that the record will be used solely as a statistical research 
or reporting record and that it is to be transferred in a form not 
individually identifiable; or
    (f) Pursuant to the order of a court of competent jurisdiction.



Sec. 802.6  Types of requests and specification of records.

    (a) Types of requests. An individual may make the following request 
respecting records about himself maintained by NTSB in any system of 
records subject to the Act:
    (1) Whether information concerning himself is contained in any 
system of records.
    (2) Access to a record concerning himself. Such request may include 
a request to review the record and/or obtain a copy of all or any 
portion thereof.
    (3) Correction or amendment of a record concerning himself.
    (4) Accounting of disclosure to any other person or Government 
agency of any record concerning himself contained in any system of 
records controlled by NTSB, except: (i) Disclosures made pursuant to the 
FOIA; (ii) disclosures made within the NTSB; (iii) disclosures made to 
another Government agency or instrumentality for an authorized law 
enforcement activity pursuant to subsection (b)(7) of the Act; and (iv) 
disclosures expressly exempted by NTSB from the requirements of 
subsection (c)(3) of the Act, pursuant to subsection (k) thereof.
    (b) Specification of records. All requests for access to records 
must reasonably describe the system of records and the individual's 
record within the system of records in sufficient detail to permit 
identification of the requested record. Specific information regarding 
the system name, the individual's full name, and other information 
helpful in identifying the record or records shall be included. Requests 
for correction or

[[Page 959]]

amendment of records shall, in addition, specify the particular record 
involved, state the nature of the correction or amendment sought, and 
furnish justification for the correction or amendment.
    (c) Inadequate identification of record. Requests which do not 
contain information sufficient to identify the record requested will be 
returned promptly to the requester, with a notice indicating what 
information is lacking. Individuals making requests in person will be 
informed of any deficiency in the specification of the records at the 
time the request is made. Individuals making requests in writing will be 
notified of any such deficiency when their request is acknowledged.



Sec. 802.7  Requests: How, where, and when presented; verification of identity of individuals making requests; accompanying persons; and procedures for 
          acknowledgment of requests.

    (a) Requests--general. Requests may be made in person or in writing. 
Assistance regarding requests or other matters relating to the Act may 
be obtained by writing to the Director, Bureau of Administration, 
National Transportation Safety Board, 800 Independence Avenue, SW., 
Washington, DC 20594. The Director, Bureau of Administration, or his 
designee, on request, will aid an individual in preparing an amendment 
to the record or to an appeal following denial of a request to amend the 
record, pursuant to subsection (f)(4) of the Act.
    (b) Written requests. Written requests shall be made to the 
Director, Bureau of Administration at the address given above, and shall 
clearly state on the envelope and on the request itself, ``Privacy Act 
Request,'' ``Privacy Act Statement of Disagreement,'' ``Privacy Act 
Disclosure Accounting Request,'' ``Appeal from Privacy Act Adverse 
Determination,'' or ``Privacy Act Correction Request,'' as the case may 
be. Actual receipt by the Director, Bureau of Administration, or his 
designee, shall constitute receipt.
    (c) Requests made in person. Requests may be made in person during 
official working hours of the NTSB at the office where the record is 
located, as listed in the ``Notice of Systems of Records'' for the 
system in which the record is contained.
    (d) Verification of identity of requester. (1) For written requests, 
the requester's identity must be verified before the release of any 
record, unless exempted under the FOIA. This may be accomplished by 
adequate proof of identity in the form of a driver's license or other 
acceptable item of the same type.
    (2) For requests in person, the requester's identity may be 
established by a single document bearing a photograph (such as a 
passport or identification badge) or by two items of identification 
containing name, address, and signature (such as a driver's license or 
credit card).
    (3) Where a request is made for reproduced records which are to be 
delivered by mail, the request must include a notarized statement 
verifying the requester's identity.
    (e) Inability to provide requisite documentation of identity. A 
requester who cannot provide the necessary documentation of identity may 
provide a notarized statement, swearing or affirming his identity and 
the fact that he is aware of the penalties for false statement imposed 
pursuant to 18 U.S.C. 1001, and subsection (i)(3) of the Act. Where 
requested, the Director, Bureau of Administration, or his designee, will 
assist the requester in formulating the necessary document.
    (f) Accompanying persons. A requester may wish to have a person of 
his choice accompany him to review the requested record. Prior to the 
release of the record, the NTSB will require the requester to furnish 
the Director, Bureau of Administration or his designee, with a written 
statement authorizing disclosure of the record in the accompanying 
person's presence.
    (g) Acknowledgment of requests. Written requests to verify the 
existence of, to obtain access to, or to correct or amend records about 
the requester maintained by NTSB in any system of records subject to the 
Act, shall be acknowledged in writing by the Director, Bureau of 
Administration, or his designee, within 3 working days after the date of 
actual receipt of the request by

[[Page 960]]

the Director, Bureau of Administration, or his designee. The 
acknowledgment shall advise the requester of the need for any additional 
information to process the request. Wherever practicable, the 
acknowledgment shall notify the individual whether his request has been 
granted or denied. When a request is made in person, every effort will 
be made to determine immediately whether the request will be granted. If 
such decision cannot be made, the request will be processed in the same 
manner as a written request. Records will be made available for 
immediate inspection whenever possible.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]



                    Subpart C--Initial Determinations



Sec. 802.8  Disclosure of requested information.

    (a) The System Manager may initially determine that the request be 
granted. If so, the individual making the request shall be notified 
orally, or in writing, and the notice shall include:
    (1) A brief description of the information to be made available;
    (2) The time and place where the record may be inspected, or 
alternatively, the procedure for delivery by mail to the requesting 
party;
    (3) The estimated cost for furnishing copies of the record;
    (4) The requirements for verification of identity;
    (5) The requirements for authorizing discussion of the record in the 
presence of an accompanying person; and
    (6) Any additional requirements needed to grant access to a specific 
system of records or record.
    (b) Within 10 working days after actual receipt of the request by 
the Director, Bureau of Administration, or his designee, in appropriate 
cases, the requester will be informed:
    (1) That the request does not reasonably describe the system of 
records or record sought to permit its identification, and shall set 
forth the additional information needed to clarify the request; or
    (2) That the system of records identified does not include a record 
retrievable by the requester's name or other identifying particulars.
    (c) The System Manager shall advise the requester within 10 working 
days after actual receipt of the request by the Director, Bureau of 
Administration, or his designee, that the request for access has been 
denied, and the reason for the denial, or that the determination has 
been made to grant the request, either in whole or in part, in which 
case the relevant information will be provided.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]



              Subpart D--Correction or Amending the Record



Sec. 802.10  Request for correction or amendment to record.

    All requests for correcting or amending records shall be made in 
writing to the Director, Bureau of Administration, National 
Transportation Safety Board, 800 Independence Avenue., SW., Washington, 
DC 20594, and shall be deemed received upon actual receipt by the 
Director, Bureau of Administration. The request shall clearly be marked 
on the envelope and in the letter with the legend that it is a ``Privacy 
Act Correction Request.'' The request must reasonably set forth the 
portion of the record which the individual contends is not accurate, 
relevant, timely, or complete.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]



Sec. 802.11  Agency review of requests for correction or amendment of record.

    Within 10 working days after actual receipt of the request by the 
Director, Bureau of Administration, or his designee, to correct or amend 
the record, the System Manager shall either make the correction in whole 
or in part, or inform the individual of the refusal to correct or amend 
the record as requested, and shall present the reasons for any denials.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]



Sec. 802.12  Initial adverse agency determination on correction or amendment.

    If the System Manager determines that the record should not be 
corrected

[[Page 961]]

or amended in whole or in part, he will forthwith make such finding in 
writing, after consulting with the General Counsel, or his designee. The 
requester shall be notified of the refusal to correct or amend the 
record. The notification shall be in writing, signed by the System 
Manager, and shall include--
    (a) The reason for the denial;
    (b) The name and title or position of each person responsible for 
the denial of the request;
    (c) The appeal procedures for the individual for a review of the 
denial; and
    (d) Notice that the denial from the System Manager is appealable 
within 30 days from the receipt thereof by the requester to the Board.

The System Manager is allotted 10 working days (or within such extended 
period as is provided in the section concerning ``unusual 
circumstances'' infra) to respond to the request for review. If the 
requester does not receive an answer within such time, the delay shall 
constitute a denial of the request and shall permit the requester 
immediately to appeal to the Board, or to a district court.



           Subpart E--Review of Initial Adverse Determination



Sec. 802.14  Review procedure and judicial review.

    (a) A requester may appeal from any adverse determination within 30 
days after actual receipt of a denial from the System Manager. The 
appeal must be in writing addressed to the Chairman, National 
Transportation Safety Board, 800 Independence Avenue, SW., Washington, 
DC 20594, and shall contain a statement on the envelope and in the 
appeal: ``Appeal from Privacy Act Adverse Determination.''
    (b) The Board shall make a determination with respect to the appeal 
within 30 working days after the actual receipt of the appeal by the 
Chairman, except as provided for in ``unusual circumstances'' infra.
    (c)(1) Review of denial of access. If the appeal upholds the denial 
of access to records, the Board shall: Notify the requester in writing, 
explaining the Board's determination; state that the denial is a final 
agency action and that judicial review is available in a district court 
of the United States in the district where the requester resides or has 
his principal place of business, or where the agency records are 
located, or in the District of Columbia; and request a filing with the 
Board of a concise statement enumerating the reasons for the requester's 
disagreement with the denial, pursuant to subsection (g) of the Act.
    (2) Review of denial of correction or amendment. If the appeal 
upholds the denial in whole or in part for correction or amendment of 
the record, the same notification and judicial review privileges 
described in paragraph (c)(1) of this section shall apply.
    (d) If the denial is reversed on appeal, the Board shall notify the 
requester in writing of the reversal. The notice shall include a brief 
statement outlining those portions of the individual's record which were 
not accurate, relevant, timely, or complete, and corrections of the 
record which were made, and shall provide the individual with a courtesy 
copy of the corrected record.
    (e) Copies of all appeals and written determinations will be 
furnished by the System Manager to the Board.
    (f) In unusual circumstances, time limits may be extended by not 
more than 10 working days by written notice to the individual making the 
request. The notice shall include the reasons for the extension and the 
date on which a determination is expected to be forthcoming. ``Unusual 
circumstances'' as used in this section shall include circumstances 
where a search and collection of the requested records from field 
offices or other establishments are required, cases where a voluminous 
amount of data is involved, and cases where consultations are required 
with other agencies or with others having a substantial interest in the 
determination of the request.
    (g) Statements of Disagreement. (1) Written Statements of 
Disagreement may be furnished by the individual within 30 working days 
of the date of actual receipt of the final adverse determination of the 
Board. They shall be addressed to the Director, Bureau of 
Administration, National Transportation Safety Board, 800 Independence 
Avenue, S.W., Washington, DC 20594,

[[Page 962]]

and shall be clearly marked, both on the statement and on the envelope, 
``Privacy Act Statement of Disagreement.''
    (2) The Director, Bureau of Administration, or his designee, shall 
be responsible for ensuring that:
    (i) The Statement of Disagreement is included in the system of 
records in which the disputed item of information is maintained; and
    (ii) The original record is marked to indicate the information 
disputed, the existence of the Statement of Disagreement, and its 
location within the relevant system of records.
    (3) The Director, Bureau of Administration, or his designee, may, if 
he deems it appropriate, prepare a concise Statement of Explanation 
indicating why the requested amendments or corrections were not made. 
Such Statement of Explanation shall be included in the system of records 
in the same manner as the Statement of Disagreement. Courtesy copies of 
the NTSB Statement of Explanation and the notation of dispute, as marked 
on the original record, shall be furnished to the individual who 
requested correction or amendment of the record.
    (h) Notices of correction and/or amendment, or dispute. After a 
record has been corrected or a Statement of Disagreement has been filed, 
the Director, Bureau of Administration, or his designee, shall within 30 
working days thereof, advise all previous recipients of the affected 
record as to the correction or the filing of the Statement of 
Disagreement. The identity of such recipients shall be determined 
pursuant to an accounting of disclosures required by the Act or any 
other accounting previously made. Any disclosure of disputed information 
occurring after a Statement of Disagreement has been filed shall clearly 
identify the specific information disputed and shall be accompanied by a 
copy of the Statement of Disagreement and a copy of any NTSB Statement 
of Explanation.
    (i) Disclosure to others of records concerning individuals. Neither 
the Board nor other NTSB personnel shall disclose any record which is 
contained in a system of records maintained by NTSB, by any means of 
communication, including oral communication, to any person, or to 
another Government agency, except pursuant to a written request by, or 
with the prior written consent, of the individual to whom the record 
pertains, unless disclosure of the record is:
    (1) To the Board and NTSB personnel who have a need for the record 
in the performance of their duties;
    (2) Required under the FOIA;
    (3) For a routine use published in the Federal Register;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey, or related activity pursuant to the provisions 
of title 13 of the U.S.C.;
    (5) To a recipient who has provided NTSB with adequate advance 
written assurance that the record will be used solely as a statistical 
research or reporting record and that the record is transferred in a 
form that is not identifiable with respect to individuals;\1\
---------------------------------------------------------------------------

    \1\ The advance written statement of assurance shall state the 
purpose for which the record is requested and certify that it will be 
used only for statistical purposes. Prior to release under this 
paragraph, the record shall be stripped of all personally identifiable 
information and reviewed to ensure that the identity of any individual 
cannot reasonably be determined by combining two or more statistical 
records.
---------------------------------------------------------------------------

    (6) To the National Archives of the United States as a record which 
has sufficient historical or other value to warrant its continued 
preservation by the U.S. Government, or to the Administrator of the 
General Services Administration, or his designee, for evaluation to 
determine whether the record has such value;
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to NTSB specifying the particular portion of the record 
desired and the law enforcement activity for which the record is 
sought;\2\
---------------------------------------------------------------------------

    \2\ A record may be disclosed to a law enforcement agency at the 
initiative of NTSB if criminal conduct is suspected, provided that such 
disclosure has been established as a routine use by publication in the 
Federal Register, and the instance of misconduct is directly related to 
the purpose for which the record is maintained.

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

[[Page 963]]

    (8) To any person upon a showing of compelling circumstances 
affecting the health or safety of any individual;
    (9) To either House of Congress or, to the extent of matter within 
its jurisdiction, to any committee, or subcommittee thereof, or to any 
joint committee of the Congress, or to any subcommittee of such joint 
committee;
    (10) To the Comptroller General, or any of his authorized 
representatives, in the course of the performance of the duties of the 
General Accounting Office; or
    (11) Pursuant to the order of a court of competent jurisdiction.
    (j) Notices of subpoenas. When records concerning an individual are 
subpoenaed or otherwise disclosed pursuant to court order, the NTSB 
officer or employee served with the subpoena shall be responsible for 
assuring that the individual is notified of the disclosure within 5 days 
after such subpoena or other order becomes a matter of public record. 
The notice shall be mailed to the last known address of the individual 
and shall contain the following information: (1) The date the subpoena 
is returnable; (2) the court in which it is returnable; (3) the name and 
number of the case or proceeding; and (4) the nature of the information 
sought.
    (k) Notices of emergency disclosures. When information concerning an 
individual has been disclosed to any person under compelling 
circumstances affecting health or safety, the NTSB officer or employee 
who made or authorized the disclosure shall notify the individual at his 
last known address within 5 days of the disclosure. The notice shall 
contain the following information: (1) The nature of the information 
disclosed; (2) the person or agency to whom the information was 
disclosed; (3) the date of the disclosure; and (4) the compelling 
circumstances justifying the disclosure.
[41 FR 22358, June 3, 1976, as amended at 41 FR 43154, Sept. 30, 1976]



                             Subpart F--Fees



Sec. 802.15  Fees.

    No fees shall be charged for providing the first copy of a record, 
or any portion thereof, to individuals to whom the record pertains. The 
fee schedule for other records is the same as that appearing in the 
appendix to part 801 of this chapter, implementing the FOIA, as amended 
from time to time, except that the cost of any search for and review of 
the record shall not be included in any fee under this Act, pursuant to 
subsection (f)(5) of the Act.



                          Subpart G--Penalties



Sec. 802.18  Penalties.

    (a) An individual may bring a civil action against the NTSB to 
correct or amend the record, or where there is a refusal to comply with 
an individual request or failure to maintain any record with accuracy, 
relevance, timeliness and completeness, so as to guarantee fairness, or 
failure to comply with any other provision of 5 U.S.C. 552a. The court 
may order the correction or amendment. It may assess against the United 
States reasonable attorney fees and other costs, or may enjoin the NTSB 
from withholding the records and order the production to the 
complainant, and it may assess attorney fees and costs.
    (b) Where it is determined that the action was willful or 
intentional with respect to 5 U.S.C. 552(g)(1) (c) or (d), the United 
States shall be liable for the actual damages sustained, but in no case 
less than the sum of $1,000 and the costs of the action with attorney 
fees.
    (c) Criminal penalties may be imposed against an officer or employee 
of the NTSB who fully discloses material which he knows is prohibited 
from disclosure, or who willfully maintains a system of records without 
meeting the notice requirements, or who knowingly and willfully requests 
or obtains any record concerning an individual from an agency under 
false pretenses. These offenses shall be misdemeanors with a fine not to 
exceed $5,000.

[[Page 964]]



                     Subpart H--Specific Exemptions



Sec. 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--Table of Contents




Sec.
803.1  Description.
803.3  Authority to affix Seal.
803.5  Use of the Seal.

    Authority:  Sec. 303(c)(2), Independent Safety Board Act of 1974, 
Pub. L. 93-633, 88 Stat. 2168 (49 U.S.C. 1902(c)(2)).



Sec. 803.1  Description.

    The official seal of the National Transportation Safety Board is 
described as follows: An American bald eagle with wings displayed, 
holding in his dexter (right) talon an olive branch and in his sinister 
(left) talon, a bundle of 13 arrows; above his head is a scroll 
inscribed ``E Pluribus Unum,'' bearing a shield with vertical stripes of 
alternating white and red, crowned by a field of blue, all within an 
encircling inscription ``National Transportation Safety Board.'' When 
illustrated in color, the background is white. The wings, the body, and 
the upper portion of the legs of the eagle are shades of brown; the 
head, neck, and tail are white; the beak, feet, and lower portion of the 
legs are gold. The inscription on the scroll is black. The encircling 
inscription is the same shade of gold as the eagle's beak. The arrows 
and the olive branch are a lighter shade of gold. The red and blue of 
the shield are national flag red and blue. The official seal of the 
Board, in black and white, appears below:
[GRAPHIC] [TIFF OMITTED] TC01AU91.227

[43 FR 36454, Aug. 17, 1978]



Sec. 803.3  Authority to affix Seal.

    (a) The Seal shall be in the custody and control of the Director, 
Bureau of Administration of the Board.
    (b) The Director, Bureau of Administration may delegate and 
authorize redelegations of this authority.
[40 FR 30238, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 803.5  Use of the Seal.

    (a) The Seal is the official emblem of the Board and its use is 
therefore permitted only as provided in this part.
    (b) Use by any person or organization outside of the Board may be 
made only with the Board's prior written approval.
    (c) Requests by any person or organization outside of the Board for 
permission to use the Seal must be made in writing to Director, Bureau 
of Administration, National Transportation Safety Board, 800 
Independence Avenue, SW., Washington, DC 20594. The request must specify 
in detail the exact use to be made. Any permission granted shall apply 
only to the specific use for which it was granted.
    (d) Use of the Seal shall be essentially for informational purposes. 
The Seal may not be used on any article or in any manner which may 
discredit the

[[Page 965]]

Seal or reflect unfavorably upon the Board, or which implies Board 
endorsement of commercial products or services, or of the user's or 
users' policies or activities. Specifically, permission may not be 
granted under this section for nonofficial use--
    (1) On souvenir or novelty items of an expendable nature;
    (2) On toys, gifts, or premiums;
    (3) As a letterhead design;
    (4) On menus, matchbook covers, calendars, or similar items;
    (5) To adorn civilian clothing; or
    (6) On athletic clothing or equipment.
    (e) Where necessary to avoid any prohibited implication or confusion 
as to the Board's association with the user or users, an appropriate 
legend will be prescribed by the Board for prominent display in 
connection with the permitted use.
    (f) Falsely making, forging, counterfeiting, mutilating, or altering 
the Seal, or knowingly using or possessing with fraudulent intent any 
altered Seal is punishable under section 506 of Title 18, U.S.C.
[40 FR 30238, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



PART 804--RULES IMPLEMENTING THE GOVERNMENT IN THE SUNSHINE ACT--Table of Contents




Sec.
804.1  Applicability.
804.2  Policy.
804.3  Definitions.
804.4  Open meetings requirement.
804.5  Grounds on which meetings may be closed or information may be 
          withheld.
804.6  Procedures for closing meetings, or withholding information, and 
          requests by affected persons to close a meeting.
804.7  Procedures for public announcement of meetings.
804.8  Changes following public announcement.
804.9  Transcripts, recordings, or minutes of closed meetings.
804.10  Availability and retention of transcripts, recordings, and 
          minutes, and applicable fees.

    Authority:  Government in the Sunshine Act, Pub. L. 94-409, 90 Stat. 
1241 (5 U.S.C. 552b); Independent Safety Board Act of 1974, Pub. L. 93-
633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.).

    Source:  42 FR 13284, Mar. 10, 1977, unless otherwise noted.



Sec. 804.1  Applicability.

    (a) This part implements the provisions of the Government in the 
Sunshine Act (5 U.S.C. 552b). These procedures apply to meetings, as 
defined herein, of the Members of the National Transportation Safety 
Board (NTSB).
    (b) Requests for all documents other than the transcripts, 
recordings, and minutes described in Sec. 804.9 shall continue to be 
governed by part 801 of the NTSB regulations (49 CFR part 801).



Sec. 804.2  Policy.

    It is the policy of the NTSB to provide the public with the fullest 
practicable information regarding the decisionmaking processes of the 
Board, while protecting the rights of individuals and the ability of the 
Board to discharge its statutory functions and responsibilities. The 
public is invited to attend but not to participate in open meetings.



Sec. 804.3  Definitions.

    As used in this part: Meeting means the deliberations of three or 
more Members where such deliberations determine or result in the joint 
conduct or disposition of official NTSB business, and includes 
conference telephone calls otherwise coming within the definition. A 
meeting does not include:
    (a) Notation voting or similar consideration of business, whether by 
circulation of material to the Members individually in writing or by a 
polling of the Members individually by telephone.
    (b) Deliberations by three or more Members (1) to open or to close a 
meeting or to release or to withhold information pursuant to Sec. 804.6, 
(2) to call a meeting on less than seven days' notice as permitted by 
Sec. 804.7(b), or (3) to change the subject matter or the determination 
to open or to close a publicly announced meeting under Sec. 804.8(b).
    (c) An internal session attended by three or more Members for which 
the sole purpose is to have the staff brief the Board concerning an 
accident, incident, or safety problem.
    Member means an individual duly appointed and confirmed to the 
collegial

[[Page 966]]

body, known as ``the Board,'' which heads the NTSB.
    National Transportation Safety Board (NTSB) means the agency set up 
under the Independent Safety Board Act of 1974.
[42 FR 13284, Mar. 10, 1977, as amended at 42 FR 31794, June 23, 1977]



Sec. 804.4  Open meetings requirement.

    Members shall not jointly conduct or dispose of agency business 
other than in accordance with this part. Except as provided in 
Sec. 804.5, every portion of every meeting of the Board shall be open to 
public observation.



Sec. 804.5  Grounds on which meetings may be closed or information may be withheld.

    Except in a case where the Board finds that the public interest 
requires otherwise, a meeting may be closed and information pertinent to 
such meeting otherwise required by Secs. 804.6, 804.7, and 804.8 to be 
disclosed to the public may be withheld if the Board properly determines 
that such meeting or portion thereof or the disclosure of such 
information is likely to:
    (a) Disclose matters that are (1) specifically authorized under 
criteria established by an Executive Order to be kept secret in the 
interests of national defense or foreign policy, and (2) are in fact 
properly classified pursuant to such Executive Order;
    (b) Relate solely to the internal personnel rules and practices of 
the NTSB;
    (c) Disclose matters specifically exempted from disclosure by 
statute (other than 5 U.S.C. 552): Provided, That such statute (1) 
requires that the matters be withheld from the public in such a manner 
as to leave no discretion on the issue, or (2) establishes particular 
criteria for withholding or refers to particular types of matters to be 
withheld;
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential;
    (e) Involve accusing any person of a crime, or formally censuring 
any person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy;
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to a fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source and, in the case 
of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source;
    (5) Disclose investigative techniques and procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel;
    (h) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (i) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed action of 
the NTSB: Provided, That the NTSB has not already disclosed to the 
public the content or nature of its proposed action or is not required 
by law to make such disclosure on its own initiative prior to taking 
final action on such proposal; or
    (j) Specifically concern the Board's issuance of a subpoena, or the 
NTSB's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the NTSB of a particular case of 
formal agency adjudication pursuant to the procedures in 5 U.S.C. 554 or 
otherwise involving a determination on the record after opportunity for 
a hearing.

[[Page 967]]



Sec. 804.6  Procedures for closing meetings, or withholding information, and requests by affected persons to close a meeting.

    (a) A meeting shall not be closed, or information pertaining thereto 
withheld, unless a majority of all Members votes to take such action. A 
separate vote shall be taken with respect to any action under 
Sec. 804.5. A single vote is permitted with respect to a series of 
meetings, a portion or portions of which are proposed to be closed to 
the public, or with respect to any information concerning such series of 
meetings, so long as each meeting in such series involves the same 
particular subject matters and is scheduled to be held no more than 
thirty days after the initial meeting in such series. Each Member's vote 
under this paragraph shall be recorded and proxies are not permitted.
    (b) Any person whose interest may be directly affected if a portion 
of a meeting is open may request the Board to close that portion on any 
of the grounds referred to in Sec. 804.5 (e), (f), or (g). Requests, 
with reasons in support thereof, should be submitted to the General 
Counsel, National Transportation Safety Board, 800 Independence Avenue, 
SW., Washington, DC 20594. On motion of any Member, the Board shall 
determine by recorded vote whether to grant the request.
    (c) Within one working day of any vote taken pursuant to this 
section, the NTSB shall make available a written copy of such vote 
reflecting the vote of each Member on the question and, if a portion of 
a meeting is to be closed to the public a full written explanation of 
its action closing the meeting and a list of all persons expected to 
attend and their affiliation.
    (d) Before every closed meeting, the General Counsel of the NTSB 
shall publicly certify that, in his or her opinion, the meeting may be 
closed to the public and shall state each relevant exemptive provision. 
A copy of such certification, together with a statement of the presiding 
officer setting forth the time and place of the meeting and the persons 
present, shall be retained by the NTSB as part of the transcript, 
recording, or minutes required by Sec. 804.9.



Sec. 804.7  Procedures for public announcement of meetings.

    (a) For each meeting, the NTSB shall make public announcement, at 
least one week before the meeting, of the:
    (1) Time of the meeting;
    (2) Place of the meeting;
    (3) Subject matter of the meeting;
    (4) Whether the meeting is to be open or closed; and
    (5) The name and business telephone number of the official 
designated by the NTSB to respond to requests for information about the 
meeting.
    (b) The one week advance notice required by paragraph (a) of this 
section may be reduced only if:
    (1) A majority of all Members determines by recorded vote that NTSB 
business requires that such meeting be scheduled in less than seven 
days; and
    (2) The public announcement required by paragraph (a) of this 
section be made at the earliest practicable time.
    (c) Immediately following each public announcement required by this 
section, or by Sec. 804.8, the NTSB shall submit a notice of public 
announcement for publication in the Federal Register.



Sec. 804.8  Changes following public announcement.

    (a) The time or place of a meeting may be changed following the 
public announcement only if the NTSB publicly announces such change at 
the earliest practicable time. Members need not approve such change.
    (b) The subject matter of a meeting or the determination of the 
Board to open or to close a meeting, or a portion thereof, to the public 
may be changed following public announcement only if:
    (1) A majority of all Members determines by recorded vote that NTSB 
business so requires and that no earlier announcement of the change was 
possible; and
    (2) The NTSB publicly announces such change and the vote of each 
Member thereon at the earliest practicable time.



Sec. 804.9  Transcripts, recordings, or minutes of closed meetings.

    Along with the General Counsel's certification and presiding 
officer's

[[Page 968]]

statement referred to in Sec. 804.6(d), the NTSB shall maintain a 
complete transcript of electronic recording adequate to record fully the 
proceedings of each meeting, or a portion thereof, closed to the public. 
The NTSB may maintain a set of minutes in lieu of such transcript or 
recording for meetings closed pursuant to Sec. 804.5 (h) or (j). Such 
minutes shall fully and clearly describe all matters discussed and shall 
provide a full and accurate summary of any actions taken, and the 
reasons therefor, including a description of each of the views expressed 
on any item and the record of any rollcall vote. All documents 
considered in connection with any actions shall be identified in such 
minutes.



Sec. 804.10  Availability and retention of transcripts, recordings, and minutes, and applicable fees.

    The NTSB shall make promptly available to the public the transcript, 
electronic recording, or minutes of the discussion of any item on the 
agenda or of any testimony received at the meeting, except for such 
item, or items, of discussion or testimony as determined by the NTSB to 
contain matters which may be withheld under the exemptive provisions of 
Sec. 804.5. Copies of the nonexempt portions of the transcript or 
minutes, or transcription of such recordings disclosing the identity of 
each speaker, shall be furnished to any person at the actual cost of 
transcription or duplication. the NTSB shall maintain a complete 
verbatim copy of the transcript, a complete copy of the minutes, or a 
complete electronic recording of each meeting, or a portion thereof, 
closed to the public for at least two years after such meeting, or until 
one year after the conclusion of any NTSB proceeding with respect to 
which the meeting, or a portion thereof, was held, whichever occurs 
later.



PART 805--EMPLOYEE RESPONSIBILITIES AND CONDUCT--Table of Contents




Sec.
805.735-1  Purpose.
805.735-2  Definitions.
805.735-3  Policy.
805.735-4  Financial interests of Members and employees.
805.735-5  Receipt of gifts, entertainment, and favors by Members or 
          employees.
805.735-6  Misuse of information by Members and employees.
805.735-7  Outside activities of Members and employees.
805.735-8  Employment of family members in transportation and related 
          enterprises.
805.735-9  Use of Government property.
805.735-10  Member and employee indebtedness.
805.735-11  Gambling, betting, and lotteries.
805.735-12  Coercion.
805.735-13  Conduct prejudicial to the Government.
805.735-14  Specific regulations for special Government employees.
805.735-15  Miscellaneous statutory provisions.
805.735-16  Statements of employment and financial interests.
805.735-17  Supplementary statements.
805.735-18  Interests of employees' relatives.
805.735-19  Information not known by employees.
805.735-20  Information not required of employees.
805.735-21  Confidentiality of statements.
805.735-22  Effect of statements on other requirements.
805.735-23  Submission of statements by special Government employees.
805.735-24  Review of financial statements.
805.735-25  Publication and interpretation.
805.735-26  Employee's complaint on filing requirements.
805.735-27  Disciplinary or remedial action.


Appendix I to Part 805--Miscellaneous Statutory Provisions
Appendix II to Part 805--Employees Required to Submit Statements

    Authority:  E.O. 11222 of May 8, 1965, 30 FR 6469, 3 CFR 1965 Supp.; 
5 CFR 735.101 et seq., and 5 CFR 735.404.

    Source:  40 FR 30239, July 17, 1975, unless otherwise noted.



Sec. 805.735-1  Purpose.

    This part sets forth the standards of ethical and other conduct 
required of all Board Members and employees, in implementation of 
Executive Order 11222, May 8, 1965 (30 FR 6469), and part 735 of the 
Civil Service Commission Regulations adopted pursuant thereto (5 CFR 
part 735). It also contains references to the several applicable 
statutes governing employee conduct, particularly Pub. L. 87-849, 76 
Stat. 119 (18 U.S.C. 201 et seq.), and the ``Code of Ethics for 
Government Service,'' House Concurrent Resolution 175, 85th Congress, 2d 
Session (72 Stat. B12).

[[Page 969]]



Sec. 805.735-2  Definitions.

    As used in this part.
    Executive order means Executive Order 11222 of May 8, 1965 (30 FR 
6469).
    Members and employees means the Board Members and employees of the 
National Transportation Safety Board (Board) and active duty officers or 
enlisted members of the Armed Forces detailed to the Board, but does not 
include special Government employees.
    Person means an individual, a corporation, a company, an 
association, a firm, a partnership, a society, a joint stock company, or 
any other organization or institution.
    Special Government employee means an employee of the Board who is 
retained, designated, appointed, or employed to perform temporary 
duties, with or without compensation, for a period not to exceed 120 
days during any period of 365 consecutive days, on either a full-time or 
intermittent basis.
[54 FR 10332, Mar. 13, 1989]



Sec. 805.735-3  Policy.

    (a) The maintenance of unusually high standards of honesty, 
integrity, impartiality, and conduct by its Members and employees and 
special Government employees is essential to assure the proper 
performance of the Board's business and the maintenance of confidence by 
citizens in their Government. Therefore, the Board requires that its 
Members and employees and special Government employees adhere strictly 
to the highest standard of ethical conduct in all of their social, 
business, political and other off-the-job activities, relationships, and 
interests, as well as in their official actions.
    (b) All Members and employees and special Government employees shall 
avoid situations which might result in actual or apparent misconduct or 
conflicts of interest.
    (c) Members and employees shall avoid any action, whether or not 
specifically prohibited by the regulations in this part which might 
result in, or create the appearance of:
    (1) Using public office for private gain;
    (2) Giving preferential treatment to any person;
    (3) Impeding Government efficiency or economy;
    (4) Losing complete independence or impartiality;
    (5) Making a Government decision outside official channels; or
    (6) Affecting adversely the confidence of the public in the 
integrity of the Government.



Sec. 805.735-4  Financial interests of Members and employees.

    (a) A Member or employee shall not:
    (1) Have direct or indirect financial interests which conflict, or 
appear to conflict, with his assigned duties and responsibilities within 
the Board; or
    (2) Engage in, directly or indirectly, a financial transaction as a 
result of, or primarily relying on, information obtained through his 
employment by the Board.
    (b) This section does not preclude a Member or an employee from 
having a financial interest or engaging in financial transactions to the 
same extent as a private citizen not employed by the Government, so long 
as it is not prohibited by law, the Executive Order, 5 CFR part 735, or 
the regulations in this part.



Sec. 805.735-5  Receipt of gifts, entertainment, and favors by Members or employees.

    (a) Except as provided in paragraphs (b) and (g) of this section, a 
Member or employee shall not solicit or accept, directly or indirectly, 
any gift, gratuity, favor, entertainment, loan, or any other thing of 
monetary value, from a person who:
    (1) Has, or is seeking to obtain, contractual or other business or 
financial relations with the Board;
    (2) Conducts operations or activities that are subject to Board 
jurisdiction; or
    (3) Has interests that may be substantially affected by the 
performance or nonperformance of his official duty.
    (b) The prohibitions of paragraph (a) of this section do not apply 
to:
    (1) Obvious family or personal relationships such as those between 
the employee and his parents, children, or spouse, when the 
circumstances make it clear that those relationships rather

[[Page 970]]

than the business of the persons concerned are the motivating factors;
    (2) Acceptance of food and refreshments of nominal value on 
infrequent occasions in the ordinary course of a luncheon or dinner 
meeting, other meetings, or inspection tours where a Member or employee 
may properly be in attendance;
    (3) Acceptance of unsolicited advertising or promotional material, 
such as pens, pencils, note pads, calendars, and other items of nominal 
intrinsic value;
    (4) Acceptance of loans from banks or other financial institutions 
on customary terms to finance proper and usual activities of employees, 
such as home mortgage loans;
    (5) Utilization by Members or employees of the services offered to 
the public by any of the persons specified in paragraph (a) of this 
section: Provided, That full value, as published in a carrier's tariffs, 
or as is customarily charged to the public, is paid therefor;
    (6) Carriage without charge by a carrier, of Members or employees 
engaged in official duties, for safety purposes, as provided for in the 
Civil Aeronautics Board's regulations;
    (7) Acceptance of invitations, when approved by the Chairman or the 
Managing Director, with respect to meals and accommodations when on 
official business outside the continental United States; where 
commercial accommodations are unavailable or inappropriate; or where 
refusal of the offer would be otherwise inappropriate in light of all 
circumstances involved; and
    (8) Acceptance of an invitation addressed to the Board, when 
approved by the Chairman or the Managing Director, by an employee 
(including, where applicable, his wife or a member of his immediate 
family), to participate in an inaugural flight or similar ceremonial 
event related to transportation, and accept food, lodging, and 
entertainment incident thereto.
    (c) Members and employees shall not solicit contributions from 
another Member or employee for a gift, or make a donation as a gift, to 
a Member or employee in a superior official position.
    (d) A Member or an employee in a superior official position shall 
not accept a gift from an employee or employees receiving less salary 
than himself. However, paragraph (c) of this section and this paragraph 
(d) do not prohibit a voluntary gift of nominal value or a donation in a 
nominal amount made on a special occasion, such as marriage, illness, 
retirement, or transfer.
    (e) Members and employees shall not accept a gift, present, 
decoration, or other thing from a foreign government unless authorized 
by Congress as provided by the Constitution and in 5 U.S.C. 7342.
    (f) Members and employees may not be directly reimbursed by a person 
for travel on official business under agency orders. However, 
reimbursement in the form of a donation may be made to the Board. The 
Member or employee involved will be paid by the Board in accordance with 
applicable laws and regulations relating to reimbursement for official 
travel. If the Member or employee is furnished accommodations, goods, or 
services in kind they may be treated as a donation to the Board, and 
either no per diem and other travel expenses will be paid or an 
appropriate reduction will be made in the per diem or other travel 
expenses payable, depending upon the extent of the donation. No Member 
or employee may be reimbursed, or payment made on his behalf, for 
excessive personal living expenses, gifts, entertainment, or other 
personal benefits.
    (g) Members and employees are not precluded from receiving bona fide 
reimbursement, unless prohibited by law, for expenses of nonofficial 
travel and such other necessary subsistence as is compatible with this 
part for private personal interests for which no Government payment or 
reimbursement is authorized.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-6  Misuse of information by Members and employees.

    For the purpose of furthering private interest, Members and 
employees shall not, except as provided in Sec. 805.735-7(c), directly 
or indirectly, use, or allow the use of, official information obtained 
through or in connection with his employment within the Board which has 
not been made available to the general public.

[[Page 971]]



Sec. 805.735-7  Outside activities of Members and employees.

    (a) A Member or employee shall not engage in outside employment or 
other outside activity not compatible with the full and proper discharge 
of his duties and responsibilities as an officer or employee of the 
Board. Before an employee can engage in outside employment or activity 
for profit, he shall obtain the approval of the Board's Managing 
Director by requesting written authorization from the Managing Director 
prior to engaging in such activity. Board Members desiring to engage in 
outside employment or activity for profit may request prior written 
authorization from the Chairman. Should such authorization be granted, 
the Member or employee has a continuing responsibility to confine 
himself to the scope of the authorization. If the circumstances change 
so as to involve a possible incompatible activity, the Member or 
employee must seek further authorization in order to continue in his 
outside employment or activity for profit. Authorization granted in 
specific cases may be deemed subsequently to involve an incompatible 
activity, and in such cases the Member or employee concerned shall be 
notified in writing of the cancellation of the authorization with 
instructions to modify or terminate the outside activity at the earliest 
practicable time.
    (b) Incompatible activities by Members or employees include, but are 
not limited to:
    (1) Acceptance of a fee, compensation, gift, payment of expense, or 
any other thing of monetary value in circumstances in which acceptance 
may result in, or create the appearance of, a conflict of interest; or
    (2) Outside employment or activity which tends to impair his mental 
or physical capacity to perform in an acceptable manner his duties and 
responsibilities within the Board.
    (c) Employees are encouraged to engage in teaching, lecturing, and 
writing that is not prohibited by law, the Executive order, 5 CFR part 
735, or the regulations in this part. However, an employee shall not, 
either for or without compensation, engage in teaching, lecturing, or 
writing, including teaching, lecturing, or writing for the purpose of 
the special preparation of a person or class of persons for an 
examination of the Civil Service Commission or Board of Examiners for 
the Foreign Service, that is dependent on information obtained as a 
result of his employment by the Board, except when that information has 
been made available to the general public or will be made available on 
request, or when the Chairman gives written authorization for the use of 
nonpublic information on the basis that the use is in the public 
interest.
    (d) Board Members, as Presidential appointees covered by section 
401(a) of the Executive order, are specifically precluded by 5 CFR 
735.203(c) from receiving compensation or anything of monetary value for 
any consultation, lecture, discussion, writing, or appearance, the 
subject matter of which is devoted substantially to the 
responsibilities, programs, or operations of their agency, or which 
draws substantially on official data or ideas which have not become part 
of the body of public information.
    (e) If an activity covered by paragraphs (c) and (d) of this section 
is to be undertaken as official duty, expenses will be borne by the 
Board, and the Member or employee may not accept compensation or allow 
his expenses to be paid for by the person or group under whose auspices 
the activity is being performed. If it is determined that the activity 
is to be undertaken in a private capacity, the Member or employee may 
not use duty hours or Government facilities, but he may accept 
compensation, and he may use his official title if he makes it clear 
that he does not represent the Board.
    (f) Members and employees shall not receive any salary or anything 
of monetary value from a private source as compensation for his services 
to the Board (18 U.S.C. 209).
    (g) This section does not preclude a Member or employee from:
    (1) Participating in the activities of national or State political 
parties not prohibited by law;
    (2) Participating in the affairs of or acceptance of an award for a 
meritorious public contribution or achievement

[[Page 972]]

given by a charitable, religious, professional, social, fraternal, 
nonprofit educational or recreational, public service, or civic 
organization.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-8  Employment of family members in transportation and related enterprises.

    (a) No individual will be employed or retained in employment by the 
Board if a member of his immediate family (blood relations who are 
residents of the employee's household) is employed by a carrier, a 
person or firm representing a carrier, or a transportation trade 
association.
    (b) Members and employees may request a waiver, modification, or 
postponement of the implementation of this prohibition from the Chairman 
and Managing Director, respectively, on the grounds of undue hardship to 
himself or the family member involved. The request must contain an 
agreement to forego any privilege to which the Board Member or employee 
would be entitled as a relative of the family member.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-9  Use of Government property.

    Members and employees shall not, directly or indirectly, use, or 
allow the use of, Board property of any kind, including property leased 
to the Board, for other than officially approved activities. A Member or 
employee has a positive duty to protect and conserve Board property, 
including equipment, supplies, and other property entrusted to or issued 
to him.



Sec. 805.735-10  Member and employee indebtedness.

    Members and employees shall pay each just financial obligation in a 
proper and timely manner, especially one imposed by law, such as 
Federal, State, or local taxes. For the purpose of this section, a 
``just financial obligation'' means one acknowledged by the employee or 
one reduced to judgment by a court, and ``in a proper and timely 
manner'' means in a manner which the Board determines does not, under 
the circumstances, reflect adversely on the Board as his employer.



Sec. 805.735-11  Gambling, betting, and lotteries.

    Members and employees shall not participate, while on Board-owned or 
leased property or while on duty for the Board, in any gambling 
activity, including the operation of a gambling device, conducting a 
lottery or pool, a game for money or property, or in selling or 
purchasing a numbers slip or ticket. However, this section does not 
preclude activities regarding solicitations conducted by an employee 
recreation and welfare organization among its members, for 
organizational support, or for benefit or welfare funds for its members, 
these activities having been approved under section 3 of Executive Order 
10927, dated March 18, 1961.



Sec. 805.735-12  Coercion.

    Members and employees shall not use their employment by the Board to 
coerce, or give the appearance of coercing, a person to provide 
financial benefit to themselves or another person, particularly one with 
whom they have family, business, or financial ties.



Sec. 805.735-13  Conduct prejudicial to the Government.

    Members and employees shall not engage in criminal, infamous, 
dishonest, immoral, or notoriously disgraceful conduct, or other conduct 
prejudicial to the Board or to the Government.



Sec. 805.735-14  Specific regulations for special Government employees.

    (a) Use of Board affiliation. A special Government employee of the 
Board shall not use his Government employment for a purpose that is, or 
gives the appearance of being, motivated by the desire for private gain 
for himself or another person, particularly one with whom he has family, 
business, or financial ties.
    (b) Use of inside information. (1) A special Government employee 
shall not use inside information obtained as a result of his employment 
by the Board for private gain for himself or another person, either by 
direct action on his part or by counsel, recommendation, or

[[Page 973]]

suggestion to another person, particularly one with whom he has family, 
business, or financial ties. For this purpose of this section, ``inside 
information'' means information obtained under Government authority 
which has not become part of the body of public information.
    (2) Special Government employees may teach, lecture, or write in a 
manner not inconsistent with Sec. 805.735-7(c) for employees.
    (c) Receipt of gifts, entertainment, and favors. (1) A special 
Government employee, while employed by the Board or in connection with 
his employment, shall not receive or solicit from a person having 
business with the Board, anything of value such as a gift, gratuity, 
loan, entertainment, or favor for himself or another person, 
particularly one with whom he has family, business, or financial ties.
    (2) The exception as set forth in Sec. 805.735-5(b) for employees 
will apply with equivalent force and effect to special Government 
employees with regard to the prohibitions of paragraph (a) of this 
section.
    (d) Applicability of other provisions. The provisions of 
Sec. 805.735-9 (Use of Government property), Sec. 805.735-11 (Gambling, 
betting, and lotteries), Sec. 805.735-12 (Coercion), Sec. 805.735-13 
(Conduct prejudicial to the Government) and Sec. 805.735-15 
(Miscellaneous statutory provisions) apply to special Government 
employees in the same manner as to employees.



Sec. 805.735-15  Miscellaneous statutory provisions.

    Each Member and employee shall acquaint himself with the statutory 
provisions in appendix I, attached hereto and made a part thereof, which 
relate to his ethical and other conduct as a Member and employee of the 
Board and the Government.



Sec. 805.735-16  Statements of employment and financial interests.

    (a) All employees in the positions specified in appendix II, 
attached hereto and made a part thereof, shall submit a statement of 
employment and financial interests under the regulations in this part in 
triplicate to the Personnel Officer not later than:
    (1) Ninety days after the effective date of the regulations in this 
part if he is employed on or before that effective date; or
    (2) Thirty days after he becomes subject to the reporting 
requirements by occupying a position covered under paragraph (a) of this 
section, if he occupies the position after that effective date.
    (b) An employee required to submit a statement of employment and 
financial interests shall submit that statement in the format prescribed 
by the Managing Director.
    (c) Board Members are subject to separate reporting requests under 
section 401 of the Executive order, and are not required to file 
statements pursuant to this section.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-17  Supplementary statements.

    Changes in, or additions to, the information contained in an 
employee's statement of employment and financial interests shall be 
reported in supplementary statements, in the format prescribed by the 
Managing Director, as of June 30th of each year. If there are not 
changes or additions, a negative report is not required. Notwithstanding 
the filing of the annual report required by this section, each employee 
shall at all times avoid acquiring a financial interest that could 
result, or taking an action that would result, in a violation of the 
conflict-of-interest provisions, 18 U.S.C. 208, or the provisions of 
this part.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-18  Interests of employees' relatives.

    The interest of a spouse, minor child, or other members of an 
employee's immediate household is considered to be an interest of the 
employee. For the purpose of this section, ``member of an employee's 
household'' means those blood relations who are residents of the 
employee's household.

[[Page 974]]



Sec. 805.735-19  Information not known by employees.

    If any information required to be included on a statement of 
employment and financial interests or supplementary statement, including 
holdings placed in trust, is not known to the employee but is known to 
another person, the employee shall require that other person to submit 
information in his behalf.



Sec. 805.735-20  Information not required of employees.

    An employee is not required to submit on a statement of employment 
and financial interests or supplementary statement, any information 
relating to the employee's connection with, or interest in, a 
professional society or a charitable, religious, social, fraternal, 
recreational, public service, civic, or political organization, or a 
similar organization not conducted as a business enterprise. For the 
purpose of this section, educational and other institutions doing 
research and development or related work, involving grants of money from 
or contracts with the Government, are deemed ``business enterprises'' 
and are required to be included in an employee's statement of employment 
and financial interests.



Sec. 805.735-21  Confidentiality of statements.

    Subject to the provisions of Sec. 805.735-24 concerning review of 
employee statements, each statement of employment and financial 
interests, and each supplementary statement, shall be held in 
confidence. The Personnel Officer is personally responsible for the 
retention of employee statements in confidence and may not disclose 
information from a statement or allow access to a statement, except to 
carry out the purpose of this part, or as the Civil Service Commission 
or the Chairman may determine for good cause shown.



Sec. 805.735-22  Effect of statements on other requirements.

    The statements of employment and financial interests and 
supplementary statements required of employees are in addition to, and 
not in substitution for, or in derogation of, any similar requirement 
imposed by law, order, or regulation. The submission of a statement or 
supplementary statement by an employee does not permit him or any other 
person to participate in a matter in which his or the other person's 
participation is prohibited by law, order, or regulation.



Sec. 805.735-23  Submission of statements by special Government employees.

    (a) A special Government employee shall submit a statement of 
employment and financial interests which reports:
    (1) All other employment; and
    (2) The financial interests of the special Government employee which 
the Chairman determines are relevant in the light of the duties he is to 
perform.
    (b) A special Government employee who is a consultant or expert 
shall submit a statement of employment and financial interests to the 
Personnel Officer, in the format prescribed by the Managing Director, at 
the time of his employment, and shall keep his statement current 
throughout his period of employment by submission of supplementary 
statements.
    (c) The Chairman may waive the requirement in paragraph (a) of this 
section for the submission of a statement of employment and financial 
interests in the case of a special Government employee who is not a 
consultant or an expert when it has been determined that the duties of 
the position held by the special Government employee are of a nature, 
and at such a level of responsibility, that the submission of the 
statement by the incumbent is not necessary to protect the integrity of 
the Board. For the purpose of paragraphs (b) and (c) of this section, 
the following are examples of special Government employees who are not 
consultants and experts;
    (1) A physician, dentist, or allied medical specialist whose 
services are procured to provide care and service to patients; or
    (2) A veterinarian whose services are procured to provide care and 
service to animals.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]

[[Page 975]]



Sec. 805.735-24  Review of financial statements.

    (a) The Personnel Officer shall review each statement of employment 
and financial interests submitted under the regulations in this part 
(other than his own, which is reviewed by the Managing Director) to 
determine whether conflicts of interest or apparent conflicts of 
interest exist. If the review, or other information from other sources, 
indicates a conflict between the interests of an employee or special 
Government employee and the performance of his services for the Board, 
the Personnel Officer shall forward the statement, together with a 
position description of the employee involved, to the General Counsel of 
the Board.
    (b) The employee or special Government employee whose statement has 
been referred under the provisions of paragraph (a) of this section will 
receive, from the General Counsel, advice and guidance regarding the 
matters questioned by the Personnel Officer. He will be afforded an 
opportunity to explain the conflict or appearance of conflict. It is 
expected that most problems will be settled at this informal stage. 
However, if an agreement cannot be reached after consultation, the 
matter shall be reported by the General Counsel, after consulting with 
the Managing Director, to the Chairman for resolution.
    (c) The Chairman may provide the employee or special Government 
employee concerned with an additional opportunity to explain the 
conflict or appearance of conflict. If the matter cannot be resolved, 
the Chairman may invoke the disciplinary provisions of Sec. 805.735-27, 
or may decide that remedial steps shall be taken with regard to such 
employee or special Government employee. When the questions of conflict 
of interest are resolved at one of the stages of review, the reviewing 
official shall sign and date a copy of the employee's statement to 
evidence his clearance, and this statement shall thereafter be kept as 
provided in Sec. 805.735-21.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]



Sec. 805.735-25  Publication and interpretation.

    (a) The Personnel Officer of the Board shall be responsible for 
making the regulations in this part and all revisions thereof, and the 
formats for statements of employment and financial interests available 
to:
    (1) Each Member, employee, and special Government employee at the 
time of issuance and at least annually thereafter;
    (2) Each new Member, employee, and special Government employee of 
the Board at the time of his entrance on duty; and
    (3) Each Member, employee, and special Government employee of the 
Board at such other times as circumstances warrant.
    (b) The Personnel Officer shall have available for review by 
Members, employees, and special Government employees of the Board, 
copies of such laws, Executive orders, Civil Service Commission 
regulations and instructions, and Board regulations as may currently 
appertain to their standards of ethical and other conduct.
    (c) The General Counsel of the Board is designated to provide 
counseling and assistance to interpret the regulations in this part and 
matters relating to ethical conduct, particularly matters subject to the 
provisions of the conflict-of-interest laws and other matters covered by 
the Executive order. These counseling services are available to all 
Members, employees, and special Government employees at the General 
Counsel's office, by appointment for consultation or by written 
communication.



Sec. 805.735-26  Employee's complaint on filing requirements.

    An employee who believes that his position has been improperly 
included under the regulations in this part, as one requiring the 
submission of a statement of employment and financial interests, may 
request review through the Board's grievance procedure.



Sec. 805.735-27  Disciplinary or remedial action.

    (a) A violation of the regulations in this part by an employee or 
special Government employee may be cause

[[Page 976]]

for disciplinary action in addition to any penalty prescribed by Federal 
statute or regulation, except for active duty officers or enlisted 
members of the Armed Forces detailed to the Board in which cases 
disciplinary actions may be effected against such military personnel by 
the parent military service. Disciplinary action may take the form of a 
warning, suspension, demotion, or removal, depending upon the gravity of 
the offense.
    (b) Any employee or special Government employee who is charged with 
a violation of the regulations in this part shall be provided an 
opportunity to explain the violation, or appearance of violation, to the 
charging authority. The charging authority shall be the Managing 
Director of the Board.
    (c) When, after consideration of the explanation, the charging 
authority decides that disciplinary action is not required, he may take 
appropriate remedial action. Remedial action may include, but is not 
limited to:
    (1) Changes in assigned duties;
    (2) Divestment by the employee or special Government employee of any 
financial interest that conflicts, or appears to conflict, with the 
performance of his official duties; or
    (3) Disqualification for a particular assignment.
    (d) Remedial or disciplinary action shall be effected in accordance 
with any applicable laws, Executive orders, and regulations.
[40 FR 30239, July 17, 1975, as amended at 41 FR 39758, Sept. 16, 1976]

       Appendix I to Part 805--Miscellaneous Statutory Provisions

    Each Member and employee and each special Government employee has a 
positive duty to acquaint himself with each statute which relates to his 
ethical and other conduct as an officer or employee of the National 
Transportation Safety Board and of the Government. Therefore, each 
Member and employee and each special Government employee shall acquaint 
himself with the following statutory and nonstatutory provisions which 
relate to his ethical and other conduct:
    (a) House Concurrent Resolution 175, 85th Congress, 2d Session (72 
Stat. B12), the ``Code of Ethics for Government Service.''
    (b) Chapter 11 of Title 18, United States Code, relating to bribery, 
graft, and conflicts of interest (18 U.S.C. 201 through 209).
    (c) The prohibition against lobbying with appropriate funds (18 
U.S.C. 1913).
    (d) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 
18 U.S.C. 1918).
    (e) The prohibition against the employment of a member of a 
Communist organization (50 U.S.C. 784).
    (f) The prohibition against:
    (1) The disclosure of classified information (18 U.S.C. 798, 50 
U.S.C. 783); and
    (2) The disclosure of confidential information (18 U.S.C. 1905, 49 
U.S.C. 1472(f)).
    (g) The provision relating to the habitual use of intoxicants to 
excess (5 U.S.C. 8352).
    (h) The prohibition against the misuse of a Government vehicle (31 
U.S.C. 638a(c)).
    (i) The prohibition against the misuse of the franking privilege (18 
U.S.C. 1719).
    (j) The prohibition against the use of deceit in an examination or 
personnel action in connection with Government employment (18 U.S.C. 
1917).
    (k) The prohibition against fraud or false statements in a 
Government matter (18 U.S.C. 1001).
    (l) The prohibition against mutilating or destroying a public record 
(18 U.S.C. 2071).
    (m) The prohibition against counterfeiting and forging 
transportation requests (18 U.S.C. 508).
    (n) The prohibition against:
    (1) Embezzlement of Government money or property (18 U.S.C. 641);
    (2) Failing to account for public money (18 U.S.C. 643); and
    (3) Embezzlement of the money or property of another person in the 
possession of an employee by reason of his employment (18 U.S.C. 654).
    (o) The prohibition against unauthorized use of documents relating 
to claims from or by the Government (18 U.S.C. 285).
    (p) The prohibition against political activities in subchapter III 
of chapter 73 of title 5, U.S.C., and 18 U.S.C. 602, 603, 607, and 608.
    (q) The prohibition against an employee's acting as the agent of a 
foreign principal registered under the Foreign Agents Registration Act 
(18 U.S.C. 219).

    Appendix II to Part 805--Employees Required to Submit Statements

    Statements of employment and financial interests are required of the 
following:
    (a) Employees in grades GS-16 or above, or in positions not subject 
to the Classification Act paid at a rate at or above the entrance rate 
for GS-16.
    (b) Special assistants to the members.
    (c) Office of the managing director:

(1) Legislative affairs officer.
(2) Program analysis officer.
    (d) Attorneys in grade GS-15.
    (e) Office of public affairs:

(1) Director.
(2) Deputy director.

[[Page 977]]

    (f) Bureau of administration:

(1) Director.
(2) Deputy director--personnel officer.
(3) Chief, operations and facilities division.
(4) Contracting specialist.
(5) Comptroller.
(6) Budget officer.
(7) Accounting officer.
    (g) Division and branch chiefs within the bureaus of accident 
investigation, technology, and plans and programs.
    (h) Chief or senior investigators, field offices.
[41 FR 39758, Sept. 16, 1976]

    Note: The above regulation and its appendices were approved by the 
Civil Service Commission (OPM) on July 16, 1968, and September 13, 1972, 
respectively, prior to submission to the Office of the Federal Register.



PART 806--NATIONAL SECURITY INFORMATION POLICY AND GUIDELINES, IMPLEMENTING REGULATIONS--Table of Contents




Sec.
806.1  General policy.
806.2  Applicability.
806.3  Definitions.
806.4  Mandatory review for declassification.

    Authority:  Sec. 304, Independent Safety Board Act of 1974, 88 Stat. 
2168 (49 U.S.C. 1903). E.O. 12065, 43 FR 28949, July 3, 1978.

    Source:  45 FR 20104, Mar. 27, 1980, unless otherwise noted.



Sec. 806.1  General policy.

    (a) The interests of the United States and its citizens are best 
served by making information regarding the affairs of Government readily 
available to the public. This concept of an informed citizenry is 
reflected in the Freedom of Information Act and in the current public 
information policies of the executive branch.
    (b) Within the Federal Government there is some official information 
and material which, because it bears directly on the effectiveness of 
our national defense and the conduct of our foreign relations, must be 
subject to some constraints for the security of our Nation and the 
safety of our people and our allies. To protect against actions hostile 
to the United States, of both an overt and covert nature, it is 
essential that such official information and material be given only 
limited dissemination.



Sec. 806.2  Applicability.

    This rule supplements Executive Order 12065 within the Board with 
regard to national security information. It establishes general policies 
and certain procedures for the classification and declassification of 
information which is generated, processed, and/or stored by the Board. 
In this connection, the Board does not have any original classification 
authority but infrequently does receive classified information from 
other agencies.



Sec. 806.3  Definitions.

    (a) Classified information. Information or material, herein 
collectively termed information, that is owned by, produced for or by, 
or under the control of, the United States Government and that has been 
determined pursuant to Executive Order 12065, or prior orders, to 
require protection against unauthorized disclosure and that is so 
designated. One of the following classifications will be shown:
    (1) Top secret means information, the unauthorized disclosure of 
which reasonably could be expected to cause exceptionally grave damage 
to the national security.
    (2) Secret means information, the unauthorized disclosure of which 
reasonably could be expected to cause serious damage to national 
security.
    (3) Confidential means information, the unauthorized disclosure of 
which reasonably could be expected to cause identifiable damage to the 
national security.
    (b) Foreign government information means either: (1) Information 
provided to the United States by a foreign government or international 
organization of governments in the expectation, express or implied, that 
the information is to be kept in confidence; or (2) information produced 
by the United States pursuant to a written joint arrangement with a 
foreign government or international organization of governments 
requiring that either the information or the arrangements or both, be 
kept in confidence.
    (c) National security means the national defense and foreign 
relations of the United States.

[[Page 978]]

    (d) Declassification event means an event which would eliminate the 
need for continued classification.



Sec. 806.4  Mandatory review for declassification.

    (a) Requests for mandatory review for declassification under section 
3-501 of E.O. 12065 must be in writing and should be addressed to: 
National Security Oversight Officer, National Transportation Safety 
Board, Washington, DC 20594.
    (b) The requester shall be informed of the date of receipt of the 
request at the Board. This date will be the basis for the time limits 
specified by section 3-501 of E.O. 12065. If the request does not 
reasonably describe the information sought, the requester shall be 
notified that, unless additional information is provided or the request 
is made more specific, no further action will be taken.
    (c) When the Board receives a request for information in a document 
which is in its custody but which was classified by another agency, it 
shall refer the request to the appropriate agency for review, together 
with a copy of the document containing the information requested, where 
practicable. The Board shall also notify the requester of the referral, 
unless the association of the reviewing agency with the information 
requires protection. The reviewing agency shall review the document in 
coordination with any other agency involved or which had a direct 
interest in the classification of the subject matter. The reviewing 
agency shall respond directly to the requester in accordance with the 
pertinent procedures described above and, if requested, shall notify the 
Board of its determination.



PART 807--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL TRANSPORTATION SAFETY BOARD--Table of Contents




Sec.
807.101  Purpose.
807.102  Application.
807.103  Definitions.
807.104--807.109  [Reserved]
807.110  Self-evaluation.
807.111  Notice.
807.112--807.129  [Reserved]
807.130  General prohibitions against discrimination.
807.131--807.139  [Reserved]
807.140  Employment.
807.141--807.148  [Reserved]
807.149  Program accessibility: Discrimination prohibited.
807.150  Program accessibility: Existing facilities.
807.151  Program accessibility: New construction and alterations.
807.152--807.159  [Reserved]
807.160  Communications.
807.161--807.169  [Reserved]
807.170  Compliance procedures.

    Authority:  29 U.S.C. 794.

    Source:  51 FR 4578, Feb. 5, 1986, unless otherwise noted.



Sec. 807.101  Purpose.

    This part effectuates section 119 of the Rehabilitation, 
Comprehensive Services, and Developmental Disabilities Amendments of 
1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 807.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 807.103  Definitions.

    For purposes of this part, the term--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf

[[Page 979]]

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

[[Page 980]]



Secs. 807.104--807.109  [Reserved]



Sec. 807.110  Self-evaluation.

    (a) The agency shall, by April 9, 1987, evaluate its current 
policies and practices, and the effects thereof, that do not or may not 
meet the requirements of this part, and to the extent modification of 
any such policies and practices is required, the agency shall proceed to 
make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, until three years following the completion of 
the self-evaluation, maintain on file and make available for public 
inspections:
    (1) A description of areas examined and any problems identified, and
    (2) A description of any modifications made.



Sec. 807.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the head of the agency 
finds necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and this regulation.



Secs. 807.112--807.129  [Reserved]



Sec. 807.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aid, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination

[[Page 981]]

under any program or activity conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped persons is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Secs. 807.131--807.139  [Reserved]



Sec. 807.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements, and procedures 
of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613, shall apply to employment in federally conducted programs or 
activities.



Secs. 807.141--807.148  [Reserved]



Sec. 807.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 807.150, no qualified 
handicapped person shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the agency.



Sec. 807.150  Program accessibility: Existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons; or
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where agency personnel believe that the proposed action 
would fundamentally alter the program or activity or would result in 
undue financial and administrative burdens, the agency has the burden of 
proving that compliance with Sec. 807.150(a) would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action would result in such an alteration or such 
burdens, the agency shall take any other action that would not result in 
such an alteration or such burdens but would nevertheless ensure that 
handicapped persons receive the benefits and services of the program or 
activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is nor required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet

[[Page 982]]

accessibility requirements to the extent compelled by the Architectural 
Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), and any 
regulations implementing it. In choosing among available methods for 
meeting the requirements of this section, the agency shall give priority 
to those methods that offer programs and activities to qualified 
handicapped persons in the most integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section by June 6, 1986, except that 
where structural changes in facilities are undertaken, such changes 
shall be made by April 7, 1989, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, by October 7, 1986, a transition plan setting 
forth the steps necessary to complete such changes. The agency shall 
provide an opportunity to interested persons, including handicapped 
persons or organizations representing handicapped persons, to 
participate in the development of the transition plan by submitting 
comments (both oral and written). A copy of the transition plan shall be 
made available for public inspection. The plan shall, at a minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (4) Indicate the official responsible for implementation of the 
plan.
[51 FR 4579, Feb. 5, 1986; 51 FR 7543, Mar. 5, 1986]



Sec. 807.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handicapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 
CFR 101-19.600 to 101-19.607, apply to buildings covered by this 
section.



Secs. 807.152--807.159  [Reserved]



Sec. 807.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aids where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In

[[Page 983]]

those circumstances where agency personnel believe that the proposed 
action would fundamentally alter the program or activity or would result 
in undue financial and administrative burdens, the agency has the burden 
of proving that compliance with Sec. 807.160 would result in such 
alteration or burdens. The decision that compliance would result in such 
alteration or burdens must be made by the agency head or his or her 
designee after considering all agency resources available for use in the 
funding and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such an alteration or such burdens, the agency shall take any 
other action that would not result in such an alteration or such burdens 
but would nevertheless ensure that, to the maximum extent possible, 
handicapped persons receive the benefits and services of the program or 
activity.



Secs. 807.161--807.169  [Reserved]



Sec. 807.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) Director, Bureau of Administration shall be responsible for 
coordinating implementation of this section. Complaints may be sent to 
Director, Bureau of Administration, 800 Independence Ave., SW., Room 
802, Washington, DC 20594.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible to and usable by handicapped persons.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found;
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 807.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the head of 
the agency.
    (j) The head of the agency shall notify the complainant of the 
results of the appeal within 60 days of the receipt of the request. If 
the head of the agency determines that additional information is needed 
from the complainant, he or she shall have 60 days from the date of 
receipt of the additional information to make his or her determination 
on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated to another agency.
[51 FR 4579, Feb. 5, 1986, as amended at 51 FR 4579, Feb. 5, 1986]

[[Page 984]]



PART 821--RULES OF PRACTICE IN AIR SAFETY PROCEEDINGS--Table of Contents




                      Subpart A--General Provisions

Sec.
821.1  Definitions.
821.2  Applicability and description of part.
821.3  Description of docket numbering system.

Subpart B--General Rules Applicable to Petitions for Review, Appeals to 
              the Board, and Appeals From Initial Decisions

821.6  Appearances and rights of witnesses.
821.7  Filing of documents with the Board.
821.8  Service of documents.
821.9  Intervention and amicus appearance.
821.10  Computation of time.
821.11  Extension of time.
821.12  Amendment and withdrawal of pleadings.
821.13  Waivers.
821.14  Motions.
821.15  Motion to disqualify a Board Member.
821.16  Appeals from law judge's interlocutory rulings and motions.
821.17  Motions to dismiss and for judgment on the pleadings.
821.18  Motion for more definite statement.
821.19  Depositions and other discovery.
821.20  Subpoenas, witness fees, and appearances of Board Members, 
          officers, or employees.
821.21  Official notice.

Subpart C--Special Rules Applicable to Proceedings Under Section 602(b) 
                               of the Act

821.24  Initiation of proceedings.
821.25  Burden of proof.
821.26  Motion to dismiss petition for review for lack of standing.

Subpart D--Special Rules Applicable to Proceedings Under Section 609 of 
                                 the Act

821.30  Initiation of proceedings.
821.31  Complaint procedure.
821.32  Burden of proof.
821.33  Motion to dismiss stale complaint.

                          Subpart E--Law Judges

821.35  Assignment, duties, and powers.

                           Subpart F--Hearings

821.37  Notice of hearing.
821.38  Evidence.
821.39  Argument and submissions.
821.40  Record.
821.41  Certification to the Board.

                       Subpart G--Initial Decision

821.42  Initial decision by law judge.
821.43  Effect of law judge's initial decision and filing an appeal 
          therefrom.

                Subpart H--Appeals from Initial Decisions

821.47  Notice of appeal.
821.48  Briefs and oral argument.
821.49  Issues on appeal.
821.50  Petitions for rehearing, reargument, reconsideration, or 
          modification of an order of the Board.

     Subpart I--Rules Applicable to Emergency Proceedings and Other 
                      Immediately Effective Orders

821.54  General.
821.55  Appeal, complaint, answer to the complaint, and motions.
821.56  Hearing and initial decision.
821.57  Procedure on appeal.

                   Subpart J--Ex Parte Communications

821.60  Definitions.
821.61  Prohibited ex parte communications.
821.62  Procedures for handling ex parte communication.
821.63  Requirement to show cause and imposition of sanction.

               Subpart K--Judicial Review of Board Orders

821.64  Judicial review.

    Authority:  Title VI, Federal Aviation Act of 1958, as amended (49 
U.S.C. 40101 et seq.); Independent Safety Board Act of 1974, Pub.L. 93-
633, 88 Stat. 2166 (49 U.S.C. 1101 et seq.), and FAA Civil Penalty 
Administrative Assessment Act of 1992, Pub.L. 102-345 (49 U.S.C. 46301), 
unless otherwise noted.

    Source:  40 FR 30243, July 17, 1975, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 821.1  Definitions.

    As used in this part:
    Act means the Federal Aviation Act of 1958, as amended (49 U.S.C. 
1301 et seq.);
    Administrator means the Administrator of the Federal Aviation 
Administration (FAA);
    Airman certificate means any certificate issued by the FAA to an 
airman and shall include medical certificates required for an airman;

[[Page 985]]

    Appeal from an initial decision means a request to the Board to 
review a law judge's decision;
    Appeal to the Board means a request to the Board for the review by a 
law judge of an order of the Administrator;
    Board means the National Transportation Safety Board;
    Certificate means any certificate issued by the Administrator under 
Title VI of the Act;
    Chief Law Judge means the administrative law judge in charge of the 
Office of Administrative Law Judges;
    Complaint means an order of the Administrator from which an appeal 
to the Board has been taken pursuant to sections 501(e)(2), 609, 611(c), 
or 901 of the Act.
    Emergency order means an order of the Administrator issued pursuant 
to section 609 of the Act, which recites that an emergency exists and 
that safety in air commerce or air transportation and the public 
interest require the immediate effectiveness of such order;
    Flight engineer means a person who holds a flight engineer 
certificate issued under part 63 of title 14 of the Code of Federal 
Regulations.
    Initial decision means the law judge's decision on the issue 
remaining for disposition at the close of a hearing before him and/or an 
order that has the effect of terminating the proceeding, such as one 
granting a motion to dismiss in lieu of an answer, as provided in 
Sec. 821.17, and one granting a motion for summary judgment. Initial 
decision does not include cases where the record is certified to the 
Board, with or without a recommended decision, orders partly granting a 
motion to dismiss and requiring an answer to any remaining allegations, 
or rulings by the law judge on interlocutory matters appealed to the 
Board under Sec. 821.16;
    Law judge means the administrative law judge assigned to hear and 
preside over the respective proceedings;
    Mechanic means a person who holds a mechanic certificate issued 
under part 65 of title 14 of the Code of Federal Regulations.
    Order means the document (sometimes also called a complaint) in 
which the Administrator seeks to impose a civil penalty or amend, 
modify, suspend or revoke a certificate.
    Petition for review means a petition filed pursuant to section 
602(b) of the Act for review of the Administrator's denial of an 
application for issuance or renewal of an airman certificate;
    Petitioner means a person who has filed a petition for review;
    Pilot means a person who holds a pilot certificate issued under part 
61 of title 14 of the Code of Federal Regulations.
    Repairman means a person who holds a repairman certificate issued 
under part 65 of Title 14 of the Code of Federal Regulations.
    Respondent means the holder of a certificate who has appealed to the 
Board from an order of the Administrator imposing a civil penalty or 
amending, modifying, suspending, or revoking a certificate.
    Terms defined in the Act are used as so defined.
[40 FR 30243, July 17, 1975, as amended at 58 FR 11380, Feb. 25, 1993; 
59 FR 59046, Nov. 15, 1994]



Sec. 821.2  Applicability and description of part.

    The provisions of this part govern all air safety proceedings, 
including proceedings involving airman medical certification, before a 
law judge on petition for review of the denial of any airman certificate 
or on appeal from any order of the Administrator amending, modifying, 
suspending or revoking any certificate. The provisions of this part also 
govern all proceedings on appeal from an order of the Administrator 
imposing a civil penalty on a flight engineer, mechanic, pilot, or 
repairman, or a person acting in that capacity, where the underlying 
violation occurred on or after August 26, 1992, and all proceedings on 
appeal to the Board from any order or decision of a law judge.
[59 FR 59054, Nov. 15, 1994]



Sec. 821.3  Description of docket numbering system.

    In addition to sequential numbering of cases as received, each case 
formally handled by the Board receives a letter prefix. These letter 
prefixes reflect the case type: ``SE'' for the safety enforcement 
(suspension/revocation) docket;

[[Page 986]]

``SM'' (safety medical) for an enforcement case involving a medical 
application; ``SR'' for a case involving safety registration issues 
under 49 U.S.C. 44101 et seq.; ``CD'' for certificate denial (see 49 
U.S.C. 44703); a new ``CP'' for cases in which the Administrator seeks a 
civil penalty; and ``EAJA'' for applications seeking Equal Access to 
Justice Act awards.
[59 FR 59046, Nov. 15, 1994]



Subpart B--General Rules Applicable to Petitions for Review, Appeals to 
              the Board, and Appeals From Initial Decisions



Sec. 821.6  Appearances and rights of witnesses.

    (a) Any party to a proceeding may appear and be heard in person or 
by attorney or other representative designated by him. No register of 
persons who may practice before the Board is maintained, and no 
application for admission to practice is required. Upon hearing, and for 
good cause shown, the Board may suspend or bar any person from 
practicing before it.
    (b) Any person appearing in person in any proceeding governed by 
this part, may be accompanied, represented, and advised by counsel and 
may be examined by his own counsel or representative.
    (c) Any person who submits data or evidence in a proceeding governed 
by this part, may by timely request procure a copy of any document 
submitted by him, or a copy of any transcript made of his testimony on 
payment of reasonable costs. Original documents or data or evidence may 
be retained by a party upon permission of the law judge or the Board, 
upon substitution of a copy therefor.
    (d) Any party to a proceeding who is represented by an attorney or 
party representative shall notify the Board of the name and address of 
that attorney or representative. In the event of a change in attorney or 
representative of record, a party shall notify the Board, in the manner 
provided in Sec. 821.7(a), and the other parties to the proceeding, 
prior to the attorney or representative participating in any way, 
including the filing of documents, in any proceeding.
[40 FR 30243, July 17, 1975, as amended at 49 FR 28249, July 11, 1984; 
59 FR 59046, Nov. 15, 1994]



Sec. 821.7  Filing of documents with the Board.

    (a) Filing address, date and method of filing. Generally, documents 
are to be filed with the Office of Administrative Law Judges, National 
Transportation Safety Board, 490 L'Enfant Plaza East, S.W., Washington, 
DC 20594-2000, and addressed to the assigned law judge, if any. 
Subsequent to the filing of a notice of appeal from a law judge's 
initial decision or order terminating the proceeding (written or oral), 
or a decision permitting an interlocutory appeal, all documents should 
be directed to the Office of General Counsel, also at the above address. 
Filing of any document shall be by personal delivery, by U.S. Postal 
Service first class mail, or by overnight mail delivery service. Except 
as provided in Sec. 821.57, facsimile filing is permitted as a 
convenience to the parties only. It does not substitute for filing 
requirements in this part, and any fax transmission to the Board must be 
followed, no later than the following busniess day, by a confirmation 
copy, clearly marked as such, sent by a method of service authorized in 
this paragraph. Unless otherwise shown to be inaccurate, documents shall 
be deemed filed on the date of personal delivery, on the send date shown 
on the facsimile (provided a confirmation copy is properly served), and, 
for mail delivery service, on the mailing date shown on the certificate 
of service, on the date shown on the postmark if there is no certificate 
of service, or on the mailing date shown by other evidence if there is 
no certificate of service and no postmark.
    (b) Number of copies. An executed original and 3 copies of each 
document shall be filed with the Board. Copies need not be signed, but 
the name of the person signing the original shall be shown.
    (c) Form. Petitions for review or appeals to the Board and appeals 
from initial decisions may be in the form of a letter to the Board 
signed by the petitioner or the party appealing and

[[Page 987]]

shall be typewritten or in legible handwriting.
    (d) Contents. Each document shall contain a concise and complete 
statement of the facts relied upon and the relief sought.
    (e) Subscription. The original of every document filed shall be 
signed by the person filing it or his duly authorized representative.
    (f) Designation of person to receive service. The initial document 
filed shall state on the first page the name and post office address of 
the person or persons who may be served with documents in the 
proceeding.
    (g) Motions, requests, and documents. All motions, requests, and 
documents in connection with petitions for review and appeals to the 
Board shall be filed with the chief law judge, until such time as he 
assigns a law judge to preside over the proceeding.
[40 FR 30243, July 17, 1975, as amended at 49 FR 28249, July 11, 1984; 
56 FR 56172, Nov. 1, 1991; 59 FR 59046, Nov. 15, 1994]



Sec. 821.8  Service of documents.

    (a) Who must be served. (1) Copies of all documents filed with the 
Board must be served on all parties to the proceeding by the person 
filing them. A certificate of service shall accompany all documents when 
they are tendered for filing and shall certify concurrent service on the 
Board and the parties. Certificates of service shall be in substantially 
the following form:

    I hereby certify that I have this day served the foregoing 
document(s) on the following parties' counsel or designated 
representatives [or on the party, if without counsel or representative] 
at the address indicated by [specify the method of service: first class 
mail, personal service, etc.] [indicate names and addresses here]

    Dated at ________________, this ______ day of ______, 19______.

(Signature)______________
For (on behalf of)______________''

    (2) Service shall be made on the person designated in accordance 
with Sec. 821.7(f) to receive service. If no such person has been 
designated, service shall be made on the party.
    (b) Method of service. Except as set forth in paragraph (c) and (d) 
of this section and as required by Sec. 821.57(b), the method of service 
is the same as that set forth in Sec. 821.7(a) for filing of documents. 
The Board will serve orders, notices of hearing, and written initial 
decisions on attorneys or representatives designated under Sec. 821.7(f) 
or, if no attorney or representative, on the party itself, and will do 
so by certified mail, except that service on the Administrator will be 
by first-class mail.
    (c) Where service shall be made. Except for personal service, 
addresses for service of documents shall be those in the official record 
or, if none in the case of the Federal Aviation Administration, the 
Office of the Chief Counsel, Washington, DC 20591. In the case of an 
agent designated by an air carrier under section 1005(b) of the Act, 
service of any sort may be accomplished only at the agent's office or 
usual place of residence.
    (d) Presumption of service. There shall be a presumption of lawful 
service:
    (1) When acknowledgement of receipt is by a person who customarily 
or in the ordinary course of business receives mail at the residence or 
principal place of business of the party or of the person designated 
under Sec. 821.7(f); or
    (2) When a properly addressed envelope, sent to the most current 
address in the official record by regular, registered, or certified 
mail, has been returned as undelivered, unclaimed, or refused.
    (e) Date of service. The date of service shall be determined in the 
same manner as the filing date is determined under Sec. 821.7(a).
[59 FR 59047, Nov. 15, 1994]



Sec. 821.9  Intervention and amicus appearance.

    (a) Intervention. Any person may move for leave to intervene in a 
proceeding and may become a party thereto, if it is found that such 
person may be bound by any order to be entered in the proceeding, or 
that such person has a property, financial, or other legitimate interest 
that will not be adequately represented by existing parties, and that 
such intervention will not unduly broaden the issues or delay the 
proceedings. Except for good cause shown, no motion for leave to 
intervene will be entertained if filed less

[[Page 988]]

than 10 days prior to hearing. The extent to which an intervenor may 
participate in the proceedings is within the law judge's discretion, and 
depends on the above criteria.
    (b) Amicus curiae briefs. A brief of amicus curiae in matters on 
appeal from initial decisions may be filed if accompanied by written 
consent of all the parties, or if, in the opinion of the Board's General 
Counsel, the brief will not unduly broaden the matters at issue or 
unduly prejudice any party to the litigation. A brief may be 
conditionally filed with motion for leave. The motion shall identify the 
interest of the movant and shall state the reasons why a brief of amicus 
curiae is desirable. Such brief and motion shall be filed within the 
time allowed the party whose position as to affirmance or reversal the 
brief would support, unless cause for late filing is shown, in which 
event the General Counsel may provide an opportunity for response as a 
condition of acceptance.
[59 FR 59047, Nov. 15, 1994]



Sec. 821.10  Computation of time.

    In computing any period of time prescribed or allowed by this part, 
by notice or order of the Board or a law judge, or by any applicable 
statute, the date of the act, event, or default after which the 
designated period of time begins to run is not to be included in the 
computation. The last day of the period so computed is to be included 
unless it is a Saturday, Sunday, or legal holiday for the Board, in 
which event the period runs until the end of the next day which is 
neither a Saturday, Sunday, nor a legal holiday. Saturdays, Sundays, and 
legal holidays for the Board shall be computed in the calculation of 
time in all emergency cases under subpart I of this part and shall be 
counted in the computation of time in all nonemergency cases where the 
period of time involves 7 days or more.
[56 FR 56172, Nov. 1, 1991]



Sec. 821.11  Extension of time.

    (a) Upon written request filed with the Board and served on all 
parties, or by oral request with any extension granted confirmed in 
writing and served on all parties, and for good cause shown, the chief 
judge, the law judge, or the Board may grant an extension of time to 
file any document except a petition for reconsideration.
    (b) The Board's General Counsel is authorized to grant unopposed 
extensions on timely oral request without a showing of good cause in 
cases appealed to the Board from a decision of a law judge. Written 
confirmation of such a grant must promptly be sent by the requesting 
party to the Board and served on other parties.
    (c) Extensions of time to file petitions for reconsideration will be 
granted only in extraordinary circumstances.
[59 FR 59047, Nov. 15, 1994]



Sec. 821.12  Amendment and withdrawal of pleadings.

    (a) Amendment. At any time more than 15 days prior to the hearing, a 
party may amend his pleadings by filing the amended pleading with the 
Board and serving copies on the other parties. After that time, 
amendment shall be allowed only at the discretion of the law judge. In 
the case of amendment to an answerable pleading, the law judge shall 
allow the adverse party a reasonable time to object or answer. 
Amendments to complaints shall be consistent with the requirements of 49 
U.S.C. 44709(c) and 44710(c).
    (b) Withdrawal. Except in the case of withdrawal of an appeal to the 
Board, withdrawal of a petition for review, withdrawal of a complaint, 
or withdrawal of an appeal from an initial decision, a party may 
withdraw pleadings only on approval of a law judge or the Board.
[59 FR 59047, Nov. 15, 1994]



Sec. 821.13  Waivers.

    Waivers of any rights provided by statute or regulation shall either 
be in writing, or by stipulation made at a hearing and entered into the 
record, and shall set forth their precise terms and conditions.



Sec. 821.14  Motions.

    (a) General. An application to the Board or to a law judge for an 
order or ruling not otherwise provided for in this part shall be by 
motion. Prior to

[[Page 989]]

the assignment of a law judge, all motions shall be addressed to the 
chief law judge. Thereafter, and prior to the expiration of the period 
within which an appeal from the law judge's initial decision may be 
filed, or the certification of the record to the Board, all motions 
shall be addressed to the law judge. At all other times, motions shall 
be addressed to the Board, Office of General Counsel. All motions not 
specifically provided for in any other section of this part shall be 
made at an appropriate time, depending on the nature thereof and the 
relief requested.
    (b) Form and contents. Unless made during a hearing, motions shall 
be made in writing, shall state with particularity the grounds for the 
relief sought, and the relief sought, and shall be accompanied by 
affidavits or other evidence relied upon. Motions introduced during 
hearings may be made orally on the record, unless the law judge directs 
otherwise.
    (c) Answers to motions. Except when a motion is made during a 
hearing, any party may file an answer in support of or in opposition to 
a motion, accompanied by such affidavits or other evidence as he desires 
to rely upon, provided that the answer is filed with 15 days after the 
motion has been served upon him, or such other period as the Board or a 
law judge may fix. Where a motion is made during a hearing, the answer 
and the ruling thereon may be made at the hearing, or orally or in 
writing within such time as the law judge may fix.
    (d) Oral argument; briefs. No oral argument will be heard on motions 
unless the Board or the law judge directs otherwise. Written memoranda 
or briefs may be filed with motions or answers to motions, stating the 
points and authorities relied upon in support of the positions taken.
    (e) Disposition of motions. Except as provided in paragraph (c) of 
this section for rulings on motions made at a hearing, the law judge 
shall pass upon all motions properly addressed to him, unless he finds 
that a prompt decision by the Board is essential to the proper conduct 
of the proceeding, in which case he may refer such motion to the Board 
for decision.
    (f) Effect of pendency of motions. Except as provided in 
Secs. 821.17(a) and 821.18, the filing or pendency of a motion shall not 
automatically alter or extend the time fixed in this part (or any 
extension granted thereunder) to take action by the parties.
[40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24, 1989; 
59 FR 59047, Nov. 15, 1994]



Sec. 821.15  Motion to disqualify a Board Member.

    A motion requesting a Board Member to disqualify himself shall be 
filed with the Board, supported by an affidavit setting forth grounds 
for disqualification. In nonemergency proceedings, where an appeal from 
an initial decision is filed, such motion shall be filed on or before 
the date on which the reply brief is due, pursuant to Sec. 821.48(d). In 
emergency proceedings, where a notice of appeal has been filed, such 
motion shall be filed on or before the date the reply brief is due, 
pursuant to Sec. 821.57(b). Failure to file a timely motion shall be 
deemed a waiver of any claim of disqualification. Application for leave 
to file an untimely motion may be made, accompanied by an affidavit 
setting forth in detail why the facts relied upon as grounds for 
disqualification were not known and could not have been discovered with 
reasonable diligence within the prescribed time.



Sec. 821.16  Appeals from law judge's interlocutory rulings and motions.

    Rulings of law judges on motions may not be appealed to the Board 
prior to its consideration of the entire proceeding, except in 
extraordinary circumstances and with the consent of the law judge who 
made the ruling. An appeal shall be disallowed unless the law judge 
finds, either on the record or in writing, that to allow such an appeal 
is necessary to prevent substantial detriment to the public interest or 
undue prejudice to any party. If an appeal is allowed, any party may 
file a brief with the Board within such time as the law judge directs. 
No oral argument will be heard unless the Board directs otherwise. The 
rulings of the law judge on motion may be reviewed by the Board in 
connection with its appellate

[[Page 990]]

action in the proceeding, irrespective of the filing of an appeal from 
the motion or any action taken thereon.



Sec. 821.17  Motion to dismiss and for judgment on the pleadings.

    (a) General. A motion to dismiss may be filed within the time 
limitation for filing an answer, except as otherwise provided in 
paragraph (d) of this section. If the motion is not granted in its 
entirety, the answer shall be filed within 10 days of service of the law 
judge's order on the motion.
    (b) Judgment on the pleadings. A party may file a motion for 
judgment on the pleadings where no answer has been filed or where there 
are no issues to be resolved.
    (c) Appeal of dismissal orders and grants of motions for judgment on 
the pleadings. When a law judge grants a motion for judgment on the 
pleadings or a motion to dismiss in lieu of an answer and terminates the 
proceeding without a hearing, an appeal of such order to the Board may 
be filed pursuant to the provisions of Sec. 821.47. When a law judge 
grants a motion to dismiss in part, Sec. 821.16 is applicable.
    (d) Motions to dismiss for lack of jurisdiction. A motion to dismiss 
on the ground that the Board lacks jurisdiction may be made at any time.
[49 FR 28249, July 11, 1984]



Sec. 821.18  Motion for more definite statement.

    (a) A party, in lieu of an answer, may file a motion requesting that 
the allegations in the complaint or the petition be made more definite 
and certain. The motion shall point out the defects complained of and 
the details desired. If the motion is granted and the law judge's order 
is not complied with within 15 days after notice, the law judge shall 
strike the allegation or allegations in any complaint or petition to 
which the motion is directed. If the motion is denied, the moving party 
shall file an answer within 10 days after the denial.
    (b) A party may file a motion to clarify an answer in the event that 
it fails to respond clearly either to the complaint or to the petition 
for review. Such a motion may be granted at the discretion of the law 
judge.
[49 FR 28249, July 11, 1984]



Sec. 821.19  Depositions and other discovery.

    (a) Initiation of discovery. After a petition for review or a 
complaint is filed, any party may take the testimony of any person, 
including a party, by deposition, upon oral examination or written 
questions, without seeking prior Board approval. Reasonable notice shall 
be given in writing to the other parties of record stating the name of 
the witness and the time and place of the taking of the deposition. A 
copy of any notice of deposition shall be served on the Office of 
Administrative Law Judges. In other respects, the taking of any 
deposition shall be in compliance with the provisions of section 1004 of 
the Act.
    (b) Exchange of information by parties. At any time before hearing, 
at the instance of either party, the parties or their representatives 
may exchange information, such as witness lists, exhibit lists, 
curricula vitae and bibliographies of expert witnesses, and other data. 
In the event of a dispute, either the assigned law judge or another law 
judge delegated this responsibility (if a law judge has not yet been 
assigned) may issue an order directing compliance with any ruling made 
with respect to discovery. Any party may also use written 
interrogatories, requests to admit, or other discovery tools. Copies of 
discovery requests and responses shall be served on the law judge 
assigned to the proceeding.
    (c) Use of the Federal Rules of Civil Procedure. Those portions of 
the Federal Rules of Civil Procedure that pertain to depositions and 
discovery may be used as a general guide for discovery practice in 
proceedings before the Board where appropriate. The Federal Rules and 
the case law that construes them shall be considered by the Board and 
its law judges as instructive rather than controlling.
    (d) Failure to provide or preserve evidence. The failure of any 
party to comply with an order of an administrative law judge compelling 
discovery or to cooperate in a timely request for the preservation of 
evidence may result in

[[Page 991]]

a negative inference against that party with respect to the matter 
sought and not provided or preserved, a preclusion order, or dismissal.
[49 FR 28250, July 11, 1984, as amended at 59 FR 59047, Nov. 15, 1994]



Sec. 821.20  Subpoenas, witness fees, and appearances of Board Members, officers, or employees.

    (a) Subpoenas. Subpoenas requiring the attendance of witnesses or 
the production of documentary or tangible evidence for the purpose of 
taking depositions or at a hearing may be issued by the chief law judge 
prior to the assignment of a law judge, or by the law judge to whom the 
case is assigned, upon application by any party. The application shall 
show the general relevance and reasonable scope of the evidence sought. 
Any person upon whom a subpoena is served may, within 7 days after 
service but in any event prior to the return date thereof, file with the 
chief law judge or the law judge, as the case may be, a motion to quash 
or modify the subpoena, and such filing shall stay the subpoena pending 
final action by the chief law judge or the law judge on the motion.
    (b) Witness fees. Witnesses shall be entitled to the same fees and 
mileage as are paid to witnesses in the courts of the United States. The 
fees shall be paid by the party at whose instance the witness is 
subpoenaed or appears. The Board may decline to process a proceeding 
further should a party fail to compensate a witness pursuant to this 
paragraph.
    (c) Board Members, officers, or employees. In order to encourage a 
free flow of information to the Board's accident investigators, the 
Board disfavors the use of its personnel in enforcement proceedings. 
Therefore, the provisions of paragraph (a) of this section are not 
applicable to Board Members, officers, or employees, or the production 
of documents in their custody. Applications for the attendance of such 
persons or the production of such documents at hearing shall be 
addressed to the chief law judge or the assigned law judge, as the case 
may be, in writing, and shall set forth the need of the moving party for 
such testimony, and a showing that such testimony is not now, or was not 
otherwise, reasonably available from other sources. The law judge shall 
not permit such testimony or documentary evidence to include any opinion 
testimony, or any account of statements of a respondent, made during the 
Board's investigation of any accident.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59048, Nov. 15, 1994]



Sec. 821.21  Official notice.

    Where the law judge or the Board intends to take official notice of 
a material fact not appearing in the evidence in the record, notice 
shall be given to all parties, who may within 10 days file a petition 
challenging such fact. Upon the filing of such petition, the party or 
parties shall be given reasonable opportunity to controvert the fact.



Subpart C--Special Rules Applicable to Proceedings Under Section 602(b) 
                               of the Act



Sec. 821.24  Initiation of proceedings.

    (a) Petition for review. Where the Administrator has denied an 
application for the issuance or renewal of an airman certificate, the 
applicant may file with the Board a petition for review of the 
Administrator's action within 60 days from the time the Administrator's 
action was served on petitioner. The petition shall contain a short 
statement of the facts on which petitioner's case depends and a 
statement of the requested action, and may be in letter form.
    (b) Filing petition with the Board. The petition for review shall be 
filed with the Board and the date of filing shall be determined in the 
same manner as prescribed by Sec. 821.7(a) for other documents.
    (c) Answer to petition. The Administrator shall file an answer to 
the petition for review within 20 days of service upon him by the 
petitioner of the petition for review. Failure to deny the truth of any 
allegation or allegations of the petition may be deemed an admission of 
the truth of the allegation or allegations not answered.
    (d) Stay of proceeding pending request for special issuance 
(restricted certificate). The Board lacks authority to review special 
issuances, or to direct that they

[[Page 992]]

be issued. Where a request for special issuance (restricted certificate) 
has been filed with the Administrator pursuant to the Federal Aviation 
Regulations, the Board will hold a petition for review in abeyance 
pending final action by the Administrator or for 180 days from the date 
of the Administrator's initial certificate denial, whichever occurs 
first.
    (e) New evidence. If petitioner has undergone medical testing or 
evaluation in addition to that already submitted or known to the 
Administrator, and wishes to introduce the results into the record, the 
new medical evidence must be served on the Administrator at least 30 
days before the hearing. Absent good cause, failure timely to serve any 
new evidence will result in its exclusion from the record. The 
Administrator may amend his answer within 10 days from the date the new 
evidence is served to respond to such new evidence.
[40 FR 30243, July 17, 1975, as amended at 43 FR 60473, Dec. 28, 1978; 
49 FR 28250, July 11, 1984, 59 FR 59048, Nov. 15, 1994]



Sec. 821.25  Burden of proof.

    In proceedings under section 602(b) of the Act, the burden of proof 
shall be upon the petitioner.



Sec. 821.26  Motion to dismiss petition for review for lack of standing.

    Upon motion by the Administrator within the time limitation for 
filing an answer, a petition for review shall be dismissed for lack of 
standing in either of the following instances:
    (a) If the petitioner's certificate at the time of the denial or 
renewal thereof was under an order of suspension; or
    (b) If the petitioner's certificate had been revoked within one year 
of the date of the denial or renewal thereof, unless the order revoking 
such certificate provided otherwise.



Subpart D--Special Rules Applicable to Proceedings Under Section 609 of 
                                 the Act



Sec. 821.30  Initiation of proceedings.

    (a) Appeal. A certificate holder may file with the Board an appeal 
from an order of the Administrator amending, modifying, suspending, or 
revoking a certificate. The appeal shall be filed with the Board within 
20 days from the time of service of the order and be accompanied with 
proof of service on the Administrator.
    (b) Contents. Each appeal shall contain a concise but complete 
statement of the facts relied on and the relief sought. It shall 
identify the Administrator's order and any certificate affected and 
shall recite the Administrator's action from which the appeal is sought. 
It shall also contain proof of service on the Administrator.
    (c) Effect of timely appeal with the Board. Timely filing with the 
Board of an appeal from an order of the Administrator shall postpone the 
effective date of the order until final disposition of the appeal by the 
law judge or the Board, except in emergency proceedings.
[58 FR 11381, Feb. 25, 1993, as amended at 59 FR 59048, Nov. 15, 1994]



Sec. 821.31  Complaint procedure.

    (a) Filing, time of filing, and service on respondent. The order of 
the Administrator from which an appeal has been taken shall serve as the 
complaint. The complaint shall be filed by the Administrator with the 
Board within 10 days after the service date of the notice of appeal.
    (b) Contents of complaint. If the Administrator claims that 
respondent lacks qualification as an airman, the order filed as the 
complaint, or an accompanying statement shall recite on which of the 
facts pleaded this contention is based.
    (c) Answer to complaint. The respondent shall file an answer to the 
complaint within 20 days of service of the complaint upon him by the 
Administrator. Failure to deny the truth of any allegation or 
allegations in the complaint may be deemed an admission of the truth of 
the allegation or allegations not answered. Respondent's answer shall 
also include any affirmative defense that respondent intends to raise at 
the hearing. A respondent may amend his answer to include any 
affirmative defense in accordance with the requirements of 
Sec. 821.12(a). In the

[[Page 993]]

discretion of the law judge, any affirmative defense not so pleaded may 
be deemed waived.
[40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11, 1984, 
59 FR 59048, Nov. 15, 1994]



Sec. 821.32  Burden of proof.

    In proceedings under section 609 of the Act, the burden of proof 
shall be upon the Administrator.



Sec. 821.33  Motion to dismiss stale complaint.

    Where the complaint states allegations of offenses which occurred 
more than 6 months prior to the Administrator's advising respondent as 
to reasons for proposed action under section 609 of the Act, respondent 
may move to dismiss such allegations pursuant to the following 
provisions:
    (a) In those cases where a complaint does not allege lack of 
qualification of the certificate holder:
    (1) The Administrator shall be required to show by answer filed 
within 15 days of service of the motion that good cause existed for the 
delay, or that the imposition of a sanction is warranted in the public 
interest, notwithstanding the delay or the reasons therefor.
    (2) If the Administrator does not establish good cause for the delay 
or for imposition of a sanction notwithstanding the delay, the law judge 
shall dismiss the stale allegations and proceed to adjudicate only the 
remaining portion, if any, of the complaint.
    (3) If the law judge wishes some clarification as to the 
Administrator's factual assertions of good cause, he shall obtain this 
from the Administrator in writing, with due service made upon the 
respondent, and proceed to an informal determination of the good cause 
issue without a hearing. A hearing to develop facts as to good cause 
shall be held only where the respondent raises an issue of fact in 
respect of the Administrator's good cause issue allegations.
    (b) In those cases where the complaint alleges lack of qualification 
of the certificate holder:
    (1) The law judge shall first determine whether an issue of lack of 
qualification would be presented if any or all of the allegations, stale 
and timely, are assumed to be true. If not, the law judge shall proceed 
as in paragraph (a) of this section.
    (2) If the law judge deems that an issue of lack of qualification 
would be presented by any or all of the allegations, if true, he shall 
proceed to a hearing on the lack of qualification issue only, and he 
shall so inform the parties. The respondent shall be put on notice that 
he is to defend against lack of qualification and not merely against a 
proposed remedial sanction.
[40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24, 1989]



                          Subpart E--Law Judges



Sec. 821.35  Assignment, duties, and powers.

    (a) Assignment of law judge and duration of assignment. The chief 
law judge shall assign a law judge to preside over the proceeding. Until 
such assignment, motions, requests, and documents shall be addressed to 
the Docket Section, Office of Administrative Law Judges, for handling by 
the chief law judge, who may handle these matters personally or who may 
delegate all or any of them to other law judges for decision. After 
assignment, all motions, requests, and documents shall be addressed to 
that law judge. The authority of the assigned law judge shall terminate 
upon certification of the record to the Board, or upon expiration of the 
period within which appeals from initial decisions may be filed, or upon 
the law judge's withdrawal from the proceeding.
    (b) Powers of law judges. Law judges shall have the following 
powers:
    (1) To give notice of and to hold prehearing conferences and 
hearings and to consolidate proceedings which involve a common question 
of law or fact;
    (2) To administer oaths and affirmations;
    (3) To examine witnesses;
    (4) To issue subpoenas and to take or cause depositions to be taken;
    (5) To receive evidence and rule upon objections and offers of 
proof;
    (6) To rule upon motions in assigned cases;

[[Page 994]]

    (7) To regulate the conduct of the hearing;
    (8) To hold conferences, before or during the hearing for the 
settlement or simplification of issues;
    (9) To dispose of procedural requests or similar matters; and
    (10) To make initial decisions, and, if so directed by the Board, to 
certify records with or without recommended decisions.
    (c) Disqualification of a law judge. A law judge shall withdraw from 
the proceedings if at any time he deems himself disqualified. If, prior 
to the initial decision, there is filed an affidavit of personal bias or 
disqualifications, with substantiating facts, and the law judge does not 
withdraw, the Board will determine the matter as a part of the record 
and decision in the proceeding, if an appeal from the law judge's 
initial decision is filed. The Board will not otherwise consider any 
claim of bias or disqualification as to the law judge's assignment to 
conduct the hearing. The Board, in its discretion, may order a hearing 
on a charge of bias or disqualification.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59048, Nov. 15, 1994]



                           Subpart F--Hearings



Sec. 821.37  Notice of hearing.

    (a) Notice. The chief law judge (or his law judge delegate) or the 
law judge to whom the case is assigned shall set a reasonable date, time 
and place for the hearing. The notice of the hearing shall be served at 
least 30 days in advance thereof, and shall include notice of the nature 
of the hearing. The law judge may set the hearing fewer than 30 days 
after the notice of hearing is served if the parties agree to an earlier 
hearing date. In setting the hearing date, due regard shall be given to 
any need for discovery. In setting the place of the hearing, due regard 
shall be given to the convenience of the parties and to conservation of 
Board funds. The location of the witnesses and the suitability of a site 
served by a scheduled air carrier are added factors to be considered in 
setting the hearing location, as is Board policy that foreign-held 
hearings are appropriate only in the most extraordinary circumstances.
    (b) Hearings in several sessions. Where appropriate, the law judge 
may determine that a hearing will be held in one or more sessions at the 
same or different places.
[40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11, 1984, 
59 FR 59048, Nov. 15, 1994]



Sec. 821.38  Evidence.

    (a) Every party shall have the right to present a case-in-chief or 
defense by oral or documentary evidence, to submit evidence in rebuttal, 
and to conduct such cross-examination as may be required for a full and 
true disclosure of the facts. Hearsay evidence (including hearsay within 
hearsay where there are acceptable circumstantial indicia of 
trustworthiness) is admissible.
    (b) All material and relevant evidence should be admitted, but a law 
judge may exclude unduly repetitious evidence pursuant to Sec. 556(d) of 
the Administrative Procedure Act. Any evidence that is offered and 
excluded may be described (via an ``offer of proof''), and that 
description should be made a part of the record.
[59 FR 59048, Nov. 15, 1994]



Sec. 821.39  Argument and submissions.

    At the hearing, the law judge shall give the parties adequate 
opportunity for the presentation of arguments in support of, or in 
opposition to, motions, objections, and rulings. Prior to the initial 
decision, the parties shall be afforded a reasonable opportunity to 
submit for consideration proposed findings and conclusions and 
supporting reasons therefor.



Sec. 821.40  Record.

    The transcript of testimony and exhibits, together with all papers, 
requests, and rulings filed in the proceeding shall constitute the 
exclusive record of the proceeding. The record shall also include any 
proceeding upon an affidavit of personal bias or disqualification of a 
law judge. Copies of the transcript may be obtained by any party upon 
payment of the reasonable cost thereof. A copy may be examined at the 
National Transportation Safety Board Public Reference Room No. 806D,

[[Page 995]]

at 800 Independence Avenue, SW., Washington, DC 20594.



Sec. 821.41  Certification to the Board.

    At any time prior to the close of the hearing, the Board may direct 
the law judge to certify any question or the entire record in the 
proceeding to the Board for decision, except an interlocutory ruling. In 
cases where the record is certified to the Board, the law judge shall 
not render an initial decision but shall only recommend to the Board a 
decision as provided in 5 U.S.C. 557 (Administrative Procedure).



                       Subpart G--Initial Decision



Sec. 821.42  Initial decision by law judge.

    (a) Written or oral decision. The law judge may render his initial 
decision orally at the close of the hearing, or he may render such 
decision in writing at a later date, except as provided in 
Sec. 821.56(b).
    (b) Contents. The initial decision shall include a statement of 
findings and conclusions, and the grounds therefor, upon all material 
issues of fact, credibility of witnesses, law, or discretion presented 
on the record, the appropriate order, and the reasons therefor.
    (c) Furnishing copy of oral decision and issuance date. If the 
initial decision is rendered orally, a copy thereof, excerpted from the 
transcript of the record, shall be furnished the parties by the Office 
of Administrative Law Judges. Irrespective of the date of mailing of 
such copy, the issuance date of the decision shall be the actual date of 
the rendering of the oral decision.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59049, Nov. 15, 1994]



Sec. 821.43  Effect of law judge's initial decision and filing of an appeal therefrom.

    If an appeal from the initial decision is not timely filed with the 
Board by a party, the initial decision shall become final but shall not 
be precedent binding on the Board. The filing of a timely appeal shall 
stay the initial decision.
[59 FR 59049, Nov. 15, 1994]



                Subpart H--Appeals from Initial Decisions



Sec. 821.47  Notice of appeal.

    (a) A party may appeal from a law judge's order or from the initial 
decision by filing with the Board and serving on the other parties 
(pursuant to Sec. 821.8) a notice of appeal within 10 days after an oral 
initial decision has been rendered or a written decision or a final or 
appealable (see Sec. 821.16) order has been served. At any time before 
the date for filing an appeal from an initial decision or order has 
passed, the law judge or the Board may, for good cause shown, extend the 
time within which to file an appeal, and the law judge may also reopen 
the case for good cause on notice to the parties.
    (b) A law judge may not reconsider his initial decision once the 
time for appealing to the Board from the initial decision has expired or 
once an appeal with the Board has been filed. However, a timely request 
for reconsideration by the law judge of his decision, filed before an 
appeal to the Board has been taken, will stay the deadline for appealing 
to the Board until 10 days after the date the law judge serves his 
decision on the request. For the purpose of this section, a request for 
reconsideration submitted on the same date as a notice of appeal will be 
deemed to have been filed first.
[59 FR 59049, Nov. 15, 1994]



Sec. 821.48  Briefs and oral argument.

    (a) Appeal briefs. Each appeal must be perfected within 50 days 
after an oral initial decision has been rendered, or 30 days after 
service of a written initial decision, by filing with the Board and 
serving on the other party a brief in support of the appeal. Appeals may 
be dismissed by the Board on its own initiative or on motion of the 
other party, in cases where a party who has filed a notice of appeal 
fails to perfect his appeal by filing a timely brief.
    (b) Contents of appeal brief. Each appeal brief shall set forth in 
detail the objections to the initial decision, and shall state whether 
such objections are related to alleged errors in the law judge's 
findings of fact and conclusions or alleged errors in his order. It 
shall

[[Page 996]]

also state the reasons for such objections and the relief requested.
    (c) Waiver of objections on appeal. Any error contained in the 
initial decision which is not objected to may be deemed to have been 
waived. Where any objection is based upon evidence of record, such 
objection need not be considered by the Board unless specific record 
citations to the pertinent evidence are furnished in the appeal brief.
    (d) Reply brief. A brief in reply to the appeal brief may be filed 
by the other party within 30 days after the appeal brief has been served 
upon him. A copy of the reply brief shall be served upon the party who 
has appealed from the initial decision. Where the reply brief relies 
upon evidence of record, specific record citations to the pertinent 
evidence shall be furnished in the reply brief.
    (e) Other briefs. Subsequent to brief filing, parties may file 
citations to supplemental authorities. This procedure may be used only 
for identifying new, relevant decisions, not to correct omissions in 
briefing or to respond to a reply. No argument may be included in such 
filings. Parties shall submit, with any decision, a reference to the 
page of the brief to which the decision pertains. Any response shall be 
filed within 10 days and shall be similarly limited. With this 
exception, no further briefs may be filed, except with specific 
permission of the Board and on a showing of good cause.
    (f) Oral argument. Oral argument before the Board will normally not 
be held in proceedings under this part. However, when need therefor 
appears, the Board may permit oral argument, either on its own 
initiative or on motion of a party.
[40 FR 30248, July 17, 1975, as amended at 49 FR 28250, July 11, 1984, 
59 FR 59049, Nov. 15, 1994; 60 FR 25620, May 12, 1995]



Sec. 821.49  Issues on appeal.

    (a) On appeal, the Board will consider only the following issues:
    (1) Are the findings of fact each supported by a preponderance of 
reliable, probative, and substantial evidence?
    (2) Are conclusions made in accordance with law, precedent, and 
policy?
    (3) Are the questions on appeal substantial?
    (4) Have any prejudicial errors occurred?
    (b) If the Board determines that the law judge erred in any respect 
or that his order in his initial decision should be changed, the Board 
may make any necessary findings and may issue an order in lieu of the 
law judge's order or may remand the case for such purposes as the Board 
may deem necessary. The Board on its own initiative may raise any issue, 
the resolution of which it deems important to a proper disposition of 
the proceedings. If necessary or appropriate, a reasonable opportunity 
shall be afforded the parties to comment.
[59 FR 59049, Nov. 15, 1994]



Sec. 821.50  Petitions for rehearing, reargument, reconsideration, or modification of an order of the Board.

    (a) General. Any party to a proceeding may petition for rehearing, 
reargument, reconsideration, or modification of a Board order on appeal 
from an initial decision. Any such petitions shall be served on all 
other parties to the proceeding within 30 days after service of the 
Board's order on appeal from the initial decision. Initial decisions 
that have become final because they were not appealed may not be the 
subject of petitions under this section.
    (b) Timing and service. The petition shall be filed with the Board 
and served on the parties within 30 days after service of the Board's 
order on appeal from the initial decision.
    (c) Contents. The petition shall state briefly and specifically the 
matters of record alleged to have been erroneously decided, the ground 
or grounds relied upon, and the relief sought. If the petition is based, 
in whole or in part, on allegations as to the consequences that would 
result from the order of the Board, the basis of such allegations shall 
be set forth. If the petition is based, in whole or in part, upon new 
matter, it shall set forth such new matter and shall contain affidavits 
of prospective witnesses, authenticated documents, or both, or an 
explanation why such substantiation is unavailable, and shall explain 
why such new matter could not have been discovered by the exercise of 
due diligence prior to the date of the hearing.

[[Page 997]]

    (d) Grounds for dismissal. Repetitious petitions will not be 
entertained by the Board and will be summarily dismissed.
    (e) Reply to petition. Within 15 days after the service of the 
petition upon an adverse party, he may reply thereto by filing a copy of 
the reply with the Board, with proof of service upon the petitioner.
    (f) Stay of effective date of order. The filing of a petition under 
this section shall operate to stay the effective date of the Board 
order, unless otherwise ordered by the Board.
[40 FR 30243, July 17, 1975, as amended at 54 FR 12203, Mar. 24, 1989; 
59 FR 59049, Nov. 15, 1994]



     Subpart I--Rules Applicable to Emergency Proceedings and Other 
                      Immediately Effective Orders



Sec. 821.54  General.

    (a) Applicability. This subpart shall apply to any order issued by 
the Administrator under section 609 of the Act: as an emergency order; 
as an order not designated as an emergency order, but later amended to 
be an emergency order; and any order designated as immediately effective 
or effective immediately.
    (b) Effective date of emergency. The procedure set forth herein 
shall apply as of the date when the Administrator's written advice of 
the emergency character of his order has been received by the Office of 
Administrative Law Judges or by the Board.
    (c) Computation of time. Time shall be computed in accordance with 
Sec. 821.10, including the provision that Saturdays, Sundays, and legal 
holidays of the Board shall always be counted in the computation.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59049, Nov. 15, 1994]



Sec. 821.55  Appeal, complaint, answer to the complaint, and motions.

    (a) Time within which to appeal. The certificate holder may appeal 
within 10 days after the service of the Administrator's emergency or 
other immediately effective order. The certificate holder shall serve a 
copy of his appeal on the Administrator.
    (b) Form and content of appeal. The appeal may be in letter form. It 
shall identify the Administrator's order and the certificate affected, 
shall recite the Administrator's action, and shall identify the issues 
of fact or law on which the appeal is based, and the relief sought. The 
appeal shall either attach a copy of the Administrator's order or shall 
clearly indicate that an emergency or other immediately effective order 
is being appealed.
    (c) Complaint. Within 3 days after receipt of the appeal, the 
Administrator shall file with the Board an original and 3 copies of his 
emergency or other immediately effective order as his complaint, and 
serve a copy on the respondent.
    (d) Answer to the complaint. Within 5 days after service of the 
complaint upon respondent, he shall file his answer thereto. Failure to 
deny any allegation or allegations of the complaint may be deemed an 
admission of the allegation or allegations not answered.
    (e) Motion to dismiss and motion for more definite statement. No 
motion to dismiss or for a more definite statement shall be made, but 
the substance thereof may be stated in the respondent's answer. The law 
judge may permit or require a more definite statement or other amendment 
to any pleading at the hearing, upon good cause shown and upon just and 
reasonable terms.
    (f) Discovery. Discovery is authorized in emergency or other 
immediately effective proceedings and, given the short time available, 
parties are directed to cooperate to ensure timely completion prior to 
the hearing. Discovery requests shall be served as soon as possible 
after initiation of the proceeding. Motions to compel production shall 
be expeditiously filed, and will be promptly decided. Time limits for 
compliance with discovery requests shall accommodate and not conflict 
with the schedule set forth in this subpart. The provisions at 
Sec. 821.19 shall apply, modified as necessary to reflect applicable 
deadlines.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59049, Nov. 15, 1994]

[[Page 998]]



Sec. 821.56  Hearing and initial decision.

    (a) Notice of hearing. Immediately upon notification by the 
Administrator to the Board, and in no case later than 5 days after 
receiving notice from the Administrator that an emergency exists or that 
safety in air commerce or air transportation requires the immediate 
effectiveness of an order, the Board shall set, and notify the parties 
of, the date and place for hearing. The hearing shall be set for a date 
no later than 25 days after service of the complaint. To the extent not 
inconsistent with this section, the provisions of Sec. 821.37(a) also 
apply.
    (b) Initial decision. The initial decision shall be made orally on 
the record at the termination of the hearing and after opportunity for 
oral argument. The provisions of Sec. 821.42 (b) and (d) shall be 
applicable, (covering content, furnishing a copy of the initial decision 
excerpted from the record, and issuance date).
    (c) Conduct of hearing. The provisions of Secs. 821.38, 821.39, and 
821.40, covering evidence, argument and submissions, and record, shall 
be applicable.
    (d) Effect of law judge's initial decision. If no appeal to the 
Board by either party, by motion or otherwise, is filed within the time 
allowed, the law judge's initial decision shall become final but shall 
not be deemed to be a precedent binding on the Board.
[40 FR 30243, July 17, 1975, as amended at 59 FR 59050, Nov. 15, 1994]



Sec. 821.57  Procedure on appeal.

    (a) Time within which to file a notice of appeal and content. Within 
2 days after the initial decision has been orally rendered, either party 
to the proceeding may appeal therefrom by filing with the Board and 
serving upon the other parties a notice of appeal. The time limitations 
for the filing of documents are not extended by the unavailability of 
the hearing transcript.
    (b) Briefs and oral argument. Unless otherwise authorized by the 
Board, all briefs in emergency cases shall be served via overnight 
delivery or facsimile confirmed by first class mail. Within 5 days after 
the filing of the notice of appeal, the appellant shall file a brief 
with the Board and serve a copy on the other parties. Within 7 days 
after service of the appeal brief, a reply brief may be filed, with 
copies served (as provided above) on other parties. The briefs shall 
comply with the requirements of Sec. 821.48 (b) through (g). Appeals may 
be dismissed by the Board on its own initiative or on motion of a party, 
notably in cases where a party fails to perfect the notice of appeal by 
filing a timely brief. When a request for oral argument is granted, the 
Board will give notice of such argument.
    (c) Issues on appeal. The provisions of Sec. 821.49 shall apply to 
issues on appeal. However, the Board may upon its own initiative raise 
any issue, the resolution of which it deems important to a proper 
disposition of the proceeding. If necessary or appropriate, the parties 
shall be afforded a reasonable opportunity to comment.
    (d) Petitions for reconsideration, rehearing, reargument, or 
modification of order. The only petitions for reconsideration, 
rehearing, reargument, or modification of an order which the Board will 
entertain are petitions based on the ground that new matter has been 
discovered. Such petitions must set forth the following:
    (1) The new matter;
    (2) Affidavits of prospective witnesses, authenticated documents, or 
both, or an explanation of why such substantiation is unavailable; and
    (3) A statement that such new matter could not have been discovered 
by the exercise of due diligence prior to the date the case was 
submitted to the Board.
[40 FR 30243, July 17, 1975, as amended at 49 FR 28250, July 11, 1984, 
59 FR 59050, Nov. 15, 1994]



                   Subpart J--Ex Parte Communications

    Authority: Sec. 4, Government in the Sunshine Act, Pub. L. 94-409, 
amending 5 U.S.C. 556(d) and 5 U.S.C. 557; Title VI, Federal Aviation 
Act of 1958, as amended, 49 U.S.C. 1421 et seq.; Independent Safety 
Board Act of 1974, Pub. L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et 
seq.).

    Source: 42 FR 21613, Apr. 28, 1977, unless otherwise noted.

[[Page 999]]



Sec. 821.60  Definitions.

    As used in this subpart:
    Board decisional employee means a Board Member, administrative law 
judge, or other employee who is or who may reasonably be expected to be 
involved in the decisional process of the proceeding;
    Ex parte communication means an oral or written communication not on 
the public record with respect to which reasonable prior notice to all 
parties is not given, but it shall not include requests for status 
reports on any matter or proceeding covered by this part.



Sec. 821.61  Prohibited ex parte communications.

    (a) The prohibitions of this section shall apply from the time a 
proceeding is noticed for hearing unless the person responsible for the 
communication has knowledge that it will be noticed, in which case the 
prohibitions shall apply at the time of the acquisition of such 
knowledge.
    (b) Except to the extent required for the disposition of ex parte 
matters as authorized by law:
    (1) No interested person outside the Board shall make or knowingly 
cause to be made to any Board employee an ex parte communication 
relevant to the merits of the proceeding;
    (2) No Board employee shall make or knowingly cause to be made to 
any interested person outside the Board an ex parte communication 
relevant to the merits of the proceeding.

Ex parte communications regarding solely matters of board procedure or 
practice are not prohibited by this section.



Sec. 821.62  Procedures for handling ex parte communication.

    A Board employee who receives or who makes or knowingly causes to be 
made a communication prohibited by Sec. 821.61 shall place on the public 
record of the proceeding:
    (a) All such written communications;
    (b) Memoranda stating the substance of all such oral communications; 
and
    (c) All written responses, and memoranda stating the substance of 
all oral responses, to the materials described in paragraphs (a) and (b) 
of this section.



Sec. 821.63  Requirement to show cause and imposition of sanction.

    (a) Upon receipt of a communication knowingly made or knowingly 
caused to be made by a party in violation of Sec. 821.61, the Board, 
administrative law judge, or other employee presiding at the hearing 
may, to the extent consistent with the interests of justice and the 
policy of the underlying statutes, require the party to show cause why 
his or her claim or interest in the proceeding should not be dismissed, 
denied, disregarded, or otherwise adversely affected on account of such 
violation.
    (b) The Board may, to the extent consistent with the interests of 
justice and the policy of the underlying statutes it administers, 
consider a violation of this subpart sufficient grounds for a decision 
adverse to a party who has knowingly committed or knowingly caused a 
violation to occur. Alternatively, the Board may impose sanction, 
including suspension of the privilege of practice before the Board, on 
the party's attorney or representative, where an infraction has been 
committed by that attorney or representative and penalizing the party 
represented is not in the interest of justice.
[42 FR 21613, Apr. 28, 1977, as amended at 59 FR 59050, Nov. 15, 1994]



               Subpart K--Judicial Review of Board Orders



Sec. 821.64  Judicial review.

    (a) General. Judicial review of a final order of the Board may be 
sought as provided in section 1006 of the Act (49 U.S.C. 46110) and 
section 304(d) of the Independent Safety Board Act of 1974 (49 U.S.C. 
1153) by filing a petition for review with the appropriate United States 
court of appeals within 60 days of the date of entry (service date) of 
the Board's order. Under the Federal Aviation Act, as amended, any party 
may appeal the Board's decision. The Board itself does not typically 
participate in the judicial review of its action. In matters appealed by 
the FAA, respondents should anticipate the need to make their own 
defense.
    (b) Stay pending judicial review. No petition for stay pending 
judicial review

[[Page 1000]]

will be entertained if it is received by the Board after the effective 
date of the Board's order. If a stay action is to be timely, any 
petition must be filed sufficiently in advance of the effective date of 
the Board's order to allow for the possibility of a reply and to allow 
for Board review.
[59 FR 59050, Nov. 15, 1994]



PART 825--RULES OF PROCEDURE FOR MERCHANT MARINE APPEALS FROM DECISIONS OF THE COMMANDANT, U.S. COAST GUARD--Table of Contents




Sec.
825.1  Applicability.
825.5  Notice of appeal.
825.10  Referral of record.
825.15  Issues on appeal.
825.20  Briefs in support of appeal.
825.25  Oral argument.
825.30  Action by the Board.
825.35  Action after remand.
825.40  Ex parte communications.

    Authority:  Sec. 304(a)(9)(B), Independent Safety Board Act of 1974, 
Pub. L. 93-633, 88 Stat. 2169 (49 U.S.C. 1903(a)(9)(B)).

    Source:  40 FR 30248, July 17, 1975, unless otherwise noted.



Sec. 825.1  Applicability.

    The provisions of this part govern all proceedings before the 
National Transportation Safety Board (Board) on appeals taken from 
decisions, on or after April 1, 1975, of the Commandant, U.S. Coast 
Guard, sustaining orders of an administrative law judge, revoking, 
suspending, or denying a license, certificate, document, or register in 
proceedings under:
    (a) R.S. 4450, as amended (46 U.S.C. 239);
    (b) Act of July 15, 1954 (46 U.S.C. 239a-b); or
    (c) Section 4, Great Lakes Pilotage Act (46 U.S.C. 216(b)).



Sec. 825.5  Notice of appeal.

    (a) A party may appeal from the Commandant's decision sustaining an 
order of revocation, suspension, or denial of a license, certificate, 
document, or register in proceedings described in Sec. 825.1, by filing 
a notice of appeal with the Board within 10 days after service of the 
Commandant's decision upon the party or his designated attorney. Upon 
good cause shown, the time for filing may be extended.
    (b) Notice of appeal shall be addressed to the Docket Clerk, 
National Transportation Safety Board, Washington, DC 20594. At the same 
time, a copy shall be served on the Commandant (GL), U.S. Coast Guard, 
Washington, DC 20590.
    (c) The notice of appeal shall state the name of the party, the 
number of the Commandant's decision, and, in brief, the grounds for the 
appeal.



Sec. 825.10  Referral of record.

    Upon receipt of a notice of appeal, the Commandant shall immediately 
transmit to the Board the complete record of the hearing upon which his 
decision was based. This includes the charges, the transcript of 
testimony, and hearing proceedings (including exhibits), briefs filed by 
the party, the decision of the administrative law judge, and the 
Commandant's decision on appeal. It does not include intra-agency staff 
memoranda provided as advice to the Commandant to aid in his decision.



Sec. 825.15  Issues on appeal.

    The only issues that may be considered on appeal are:
    (a) A finding of a material fact is erroneous;
    (b) A necessary legal conclusion is without governing precedent or 
is a departure from or contrary to law or precedent;
    (c) A substantial and important question of law, policy, or 
discretion is involved; or
    (d) A prejudicial procedural error has occurred.



Sec. 825.20  Briefs in support of appeal.

    (a) Within 20 days after the filing of a notice of appeal, the 
appellant must file, in the same manner as prescribed for the notice in 
Sec. 825.5, a brief in support of the appeal.
    (b) This document shall set forth:
    (1) The name and address of the appellant;
    (2) The number and a description of the license, certificate, 
document, or register involved;
    (3) A summary of the charges affirmed by the Commandant as proved;

[[Page 1001]]

    (4) Fact findings by the Commandant disputed by the appellant;
    (5) Specific statements of errors of laws asserted;
    (6) Specific statements of any abuse of discretion asserted; and
    (7) The relief requested.
    (c) Objection based upon evidence of record need not be considered 
unless the appeal contains specific record citation to the pertinent 
evidence.
    (d) When a brief has been filed by appellant under this section, the 
Coast Guard may, within 15 days of service of the brief on the 
Commandant, submit to the Board a reply brief.
    (e) If a party who has filed a notice of appeal does not perfect the 
appeal by the timely filing of an appeal brief, the Board may dismiss 
the appeal on its own initiative or on motion of the Coast Guard.



Sec. 825.25  Oral argument.

    (a) If any party desires to argue a case orally before the Board, he 
should request leave to make such argument in his brief filed pursuant 
to Sec. 825.20.
    (b) Oral argument before the Board will normally not be granted 
unless the Board finds good cause for such argument. If granted, the 
parties will be advised of the date.



Sec. 825.30  Action by the Board.

    (a) On review by the Board, if no reversible error is found in the 
Commandant's decision on appeal, that decision will be affirmed.
    (b) On review by the Board, if reversible error is found in the 
Commandant's decision on appeal, the Board may:
    (1) Set aside the entire decision and dismiss the charges if it 
finds the error incurable; or
    (2) Set aside the order, or conclusions, or findings of the 
Commandant and remand the case to him for further consideration if it 
finds the error curable.
    (c) When a matter has been remanded to the Commandant under 
paragraph (b) of this section, the Commandant may act in accordance with 
the terms of the order of remand, or he may, as appropriate, further 
remand the matter to the administrative law judge of the Coast Guard who 
heard the case, or to another administrative law judge of the Coast 
Guard, with appropriate directions.



Sec. 825.35  Action after remand.

    When a case has been remanded under Sec. 825.30, a party shall 
retain all rights of review under 46 CFR part 5 and this part, as 
applicable.



Sec. 825.40  Ex parte communications.

    (a) As used in this section:
    Board decisional employee means a Board Member or employee who is or 
who may reasonably be expected to be involved in the decisional process 
of the proceeding;
    Ex parte communication means an oral or written communication not on 
the public record with respect to which reasonable prior notice to all 
parties is not given, but it shall not include requests for status 
reports on any matter or proceeding covered by this part.
    (b) The prohibition of paragraph (c) of this section shall apply 
from the time a proceeding is noticed for hearing unless the person 
responsible for the communication has knowledge that it will be noticed, 
in which case the prohibition shall apply at the time of the acquisition 
of such knowledge.
    (c) Except to the extent required for the disposition of ex parte 
matters as authorized by law:
    (1) No interested person outside the Board shall make or knowingly 
cause to be made to any Board employee an ex parte communication 
relevant to the merits of the proceeding;
    (2) No Board employee shall make or knowingly cause to be made to 
any interested person outside the Board an ex parte communication 
relevant to the merits of the proceeding.

Ex parte communications regarding solely matters of Board procedure or 
practice are not prohibited by this paragraph.
    (d) A Board employee who receives or who makes or knowingly causes 
to be made a communication prohibited by paragraph (c) of this section, 
shall place on the public record of the proceeding:
    (1) All such written communications;
    (2) Memoranda stating the substance of all such oral communication; 
and

[[Page 1002]]

    (3) All written responses, and memoranda stating the substance of 
all oral responses, to materials described in paragraphs (d) (1) and (2) 
of this section.
    (e) Upon receipt of a communication knowingly made or caused to be 
made in violation of paragraph (c) of this section, the Board may, to 
the extent consistent with the interests of justice and the policy of 
the underlying statutes, require the party to show cause why his or her 
interest in the proceeding should not be dismissed, denied, disregarded, 
or otherwise adversely affected on account of such violation.
    (f) The Board may, to the extent consistent with the interests of 
justice and the policy of the underlying statutes administered by the 
Board, consider a violation of this section sufficient grounds for a 
decision adverse to a party who has knowingly committed such violation 
or knowingly caused such violation to occur.

(Sec. 4, Government in the Sunshine Act, Pub. L. 94-409, amending 5 
U.S.C. 556 (d) and 5 U.S.C. 557; Independent Safety Board Act of 1974, 
Pub. L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.))
[42 FR 21614, Apr. 28, 1977]



PART 826--RULES IMPLEMENTING THE EQUAL ACCESS TO JUSTICE ACT OF 1980--Table of Contents




                      Subpart A--General Provisions

Sec.
826.1  Purpose of these rules.
826.2  When the Act applies.
826.3  Proceedings covered.
826.4  Eligibility of applicants.
826.5  Standards for awards.
826.6  Allowable fees and expenses.
826.7  Rulemaking on maximum rates for attorney fees.
826.8  Awards against the Federal Aviation Administration.

             Subpart B--Information Required From Applicants

826.21  Contents of application.
826.22  Net worth exhibit.
826.23  Documentation of fees and expenses.
826.24  When an application may be filed.

           Subpart C--Procedures for Considering Applications

826.31  Filing and service of documents and general procedures.
826.32  Answer to application.
826.33  Reply.
826.34  Comments by other parties.
826.35  Settlement.
826.36  Further proceedings.
826.37  Decision.
826.38  Board review.
826.39  Judicial review.
826.40  Payment of award.

    Authority:  Section 203(a)(1) Pub. L. 99-80, 99 Stat. 186 (5 U.S.C. 
504).

    Source:  46 FR 48209, Oct. 1, 1981, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 826.1  Purpose of these rules.

    The Equal Access to Justice Act, 5 U.S.C. 504 (the Act), provides 
for the award of attorney fees and other expenses to eligible 
individuals and entities who are parties to certain administrative 
proceedings (adversary adjudications) before the National Transportation 
Safety Board (Board). An eligible party may receive an award when it 
prevails over the Federal Aviation Administration (FAA), unless the 
Government agency's position in the proceeding was substantially 
justified or special circumstances make an award unjust. The rules in 
this part describe the parties eligible for awards and the proceedings 
that are covered. They also explain how to apply for awards, and the 
procedures and standards that this Board will use to make them. As used 
hereinafter, the term ``agency'' applies to the FAA.



Sec. 826.2  When the Act applies.

    The Act applies to any adversary adjudication identified in 
Sec. 826.3 as covered under the Act.
[59 FR 30531, June 14, 1994]



Sec. 826.3  Proceedings covered.

    (a) The Act applies to certain adversary adjudications conducted by 
the Board. These are adjudications under 5 U.S.C. 554 in which the 
position of the FAA is presented by an attorney or

[[Page 1003]]

other representative who enters an appearance and participates in the 
proceedings. Proceedings to grant or renew certificates or documents, 
hereafter referred to as ``licenses,'' are excluded, but proceedings to 
modify, suspend, or revoke licenses or to impose a civil penalty on a 
flight engineer, mechanic, pilot, or repairman (or person acting in that 
capacity) are covered if they are otherwise ``adversary adjudications.'' 
For the Board, the type of proceeding covered includes (but may not be 
limited to) aviation enforcement cases appealed to the Board under 
sections 501, 609, 611 and 901 of the Federal Aviation Act (49 U.S.C. 
44101 et seq., 44720-44711, 44715, 46301).
    (b) The Board may also designate a proceeding not listed in 
paragraph (a) as an adversary adjudication for purposes of the Act by so 
stating in an order initiating the proceeding or designating the matter 
for hearing. The Board's failure to designate a proceeding as an 
adversary adjudication shall not preclude the filing of an application 
by a party who believes the proceeding is covered by the Act; whether 
the procedure is covered will then be an issue for resolution in 
proceedings on the application.
    (c) If a proceeding includes both matters covered by the Act and 
matters specifically excluded from coverage, any award made will include 
only fees and expenses related to covered issues.
[46 FR 48209, Oct. 1, 1981, as amended at 59 FR 59054, Nov. 15, 1994]



Sec. 826.4  Eligibility of applicants.

    (a) To be eligible for an award of attorney fees and other expenses 
under the Act, the applicant must be a party to the adversary 
adjudication for which it seeks an award. The term ``party'' is defined 
in 5 U.S.C. 551(3). The applicant must show that it meets all conditions 
of eligibility set out in this subpart and in subpart B.
    (b) The types of eligible applicants are as follows:
    (1) An individual with a net worth of not more than $2 million;
    (2) The sole owner of an unincorporated business who has a net worth 
of not more than $7 million, including both personal and business 
interests, and not more than 500 employees;
    (3) A charitable or other tax-exempt organization described in 
section 501(c)(3) of the Internal Revenue Code (26 U.S.C. 501(c)(3)) 
with not more than 500 employees;
    (4) A cooperative association as defined in section 15(a) of the 
Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500 
employees; and
    (5) Any other partnership, corporation, association, or public or 
private organization with a net worth of not more than $7 million and 
not more than 500 employees.
    (c) For the purpose of eligibility, the net worth and number of 
employees of an applicant shall be determined as of the date the 
proceeding was initiated.
    (d) An applicant who owns an unincorporated business will be 
considered an ``individual'' rather than a ``sole owner of an 
unincorporated business'' if the issues on which the applicant prevails 
are related primarily to personal interests rather than to business 
interests.
    (e) The employees of an applicant include all persons who regularly 
perform services for remuneration for the applicant, under the 
applicant's direction and control. Part-time employees shall be included 
on a proportional basis.
    (f) The net worth and number of employees of the applicant and all 
of its affiliates shall be aggregated to determine eligibility. Any 
individual, corporation, or other entity that directly or indirectly 
controls or owns a majority of the voting shares or other interest of 
the applicant, or any corporation or other entity of which the applicant 
directly or indirectly owns or controls a majority of the voting shares 
or other interest, will be considered an affiliate for purposes of this 
part, unless the administrative law judge determines that such treatment 
would be unjust and contrary to the purposes of the Act in light of the 
actual relationship between the affiliated entities. In addition, the 
administrative law judge may determine that financial relationships of 
the applicant other than those described in this paragraph constitute 
special circumstances that would make an award unjust.
    (g) An applicant that participates in a proceeding primarily on 
behalf of one

[[Page 1004]]

or more other persons or entities that would be ineligible is not itself 
eligible for an award.
[46 FR 48209, Oct. 1, 1981, as amended at 54 FR 10332, Mar. 13, 1989]



Sec. 826.5  Standards for awards.

    (a) A prevailing applicant may receive an award for fees and 
expenses incurred in connection with a proceeding, or in a significant 
and discrete substantive portion of the proceeding, unless the position 
of the agency over which the applicant has prevailed was substantially 
justified. The burden of proof that an award should not be made to an 
eligible prevailing applicant is on the agency counsel, who may avoid an 
award by showing that the agency's position was reasonable in law and 
fact.
    (b) An award will be reduced or denied if the applicant has unduly 
or unreasonably protracted the proceeding or if special circumstances 
make the award sought unjust.



Sec. 826.6  Allowable fees and expenses.

    (a) Awards will be based on rates customarily charged by persons 
engaged in the business of acting as attorneys, agents, and expert 
witnesses, even if the services were made available without charge or at 
a reduced rate to the applicant.
    (b)(1) No award for the fee of an attorney or agent under these 
rules may exceed $75 indexed as follows:
[GRAPHIC] [TIFF OMITTED] TR14JN94.001


The CPI to be used is the annual average CPI, All Urban Consumers, U.S. 
City Average, All Items, except where a local, All Item index is 
available. Where a local index is available, but results in a manifest 
inequity vis-a-vis the U.S. City Average, the U.S. City Average may be 
used. The numerator of that equation is the yearly average for the 
year(s) the services were provided, with each year calculated 
separately. If an annual average CPI for a particular year is not yet 
available, the prior year's annual average CPI shall be used. This 
formula increases the $75 statutory cap by indexing it to reflect cost 
of living increases, as authorized in 5 U.S.C. 504(b)(1)(A)(ii). 
Application of these increased rate caps requires affirmative findings 
under Sec. 821.6(c) of this chapter. For ease of application, available 
U.S. City figures are reproduced as follows:

                                                                        
                                                                        
                                                                        
1981.........................................................       90.9
1982.........................................................       96.5
1983.........................................................       99.6
1984.........................................................      103.9
1985.........................................................      107.6
1986.........................................................      109.6
1987.........................................................      113.6
1988.........................................................      118.3
1989.........................................................      124.0
1990.........................................................      130.7
1991.........................................................      136.2
1992.........................................................      140.3
1993.........................................................      144.5
                                                                        

    (2) No award to compensate an expert witness may exceed the highest 
rate at which the agency pays expert witnesses. However, an award may 
also include the reasonable expenses of the attorney, agent, or witness 
as a separate item, if the attorney, agent, or witness ordinarily 
charges clients separately for such expenses.
    (c) In determining the reasonableness of the fee sought for an 
attorney, agent, or expert witness, the administrative law judge shall 
consider the following:
    (1) If the attorney, agent, or witness is in private practice, his 
or her customary fee for similar services, or if an employee of the 
applicant, the fully allocated cost of the services;
    (2) The prevailing rate for similar services in the community in 
which the attorney, agent, or witness ordinarily performs services;
    (3) The time actually spent in the representation of the applicant;
    (4) The time reasonably spent in light of the difficulty or 
complexity of the issues in the proceeding; and
    (5) Such other factors as may bear on the value of the services 
provided.
    (d) The reasonable cost of any study, analysis, engineering report, 
test, project, or similar matter prepared on behalf of a party may be 
awarded, to the extent that the charge for the service does not exceed 
the prevailing rate for similar services, and the study or

[[Page 1005]]

other matter was necessary for preparation of the applicant's case.
[46 FR 48209, Oct. 1, 1981, as amended at 58 FR 21544, Apr. 22, 1993; 59 
FR 30531, June 14, 1994]



Sec. 826.7  Rulemaking on maximum rates for attorney fees.

    (a) In addition to increases based on cost of living (see 
Sec. 826.6), attorney fees in some or all of the proceedings covered by 
this part may also be increased beyond the statutory cap of $75 if 
warranted by special factors (such as limited availability of attorneys 
qualified to handle certain types of proceedings). The Board will 
conduct any rulemaking proceedings for this purpose under the informal 
rulemaking procedures of the Administrative Procedure Act.
    (b) Any person may file with the Board a petition for rulemaking to 
increase the maximum rate for attorney fees by demonstrating that a 
special factor(s) justifies a higher fee. The petition shall identify 
the rate the petitioner believes the Board should establish and the 
proceeding(s) or types of proceedings in which the rate should be used. 
It should also explain fully the reasons why the higher rate is 
warranted. The Board will respond to the petition within 60 days after 
it is filed, by initiating a rulemaking proceeding, denying the 
petition, or taking other appropriate action.
[58 FR 21545, Apr. 22, 1993]



Sec. 826.8  Awards against the Federal Aviation Administration.

    When an applicant is entitled to an award because it prevails over 
an agency of the United States that participates in a proceeding before 
the Board and takes a position that is not substantially justified, the 
award shall be made against that agency.



             Subpart B--Information Required From Applicants



Sec. 826.21  Contents of application.

    (a) An application for an award of fees and expenses under the Act 
shall identify the applicant and the proceeding for which an award is 
sought. The application shall show that the applicant has prevailed and 
identify the position of the agency in the proceeding that the applicant 
alleges was not substantially justified. Unless the applicant is an 
individual, the application shall also state the number of employees of 
the applicant and describe briefly the type and purpose of its 
organization or business.
    (b) The application shall also include a statement that the 
applicant's net worth does not exceed $2 million (if an individual) or 
$7 million (for all other applicants, including their affiliates). 
However, an applicant may omit this statement if:
    (1) It attaches a copy of a ruling by the Internal Revenue Service 
that it qualifies as an organization described in section 501(c)(3) of 
the Internal Revenue Code (26 U.S.C. 501(c)(3)), or in the case of a 
tax-exempt organization not required to obtain a ruling from the 
Internal Revenue Service on its exempt status, a statement that 
describes the basis for the applicant's belief that it qualifies under 
such section; or
    (2) It states that it is a cooperative association as defined in 
section 15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).
    (c) The application shall state the amount of fees and expenses for 
which an award is sought.
    (d) The application may also include any other matters that the 
applicant wishes this agency to consider in determining whether and in 
what amount an award should be made.
    (e) The application shall be signed by the applicant or an 
authorized officer or attorney for the applicant. It shall also contain 
or be accompanied by a written verification under oath or under penalty 
of perjury that the information provided in the application is true and 
correct.
[46 FR 48209, Oct. 1, 1981, as amended at 59 FR 30532, June 14, 1994]



Sec. 826.22  Net worth exhibit.

    (a) Each applicant except a qualified tax-exempt organization or 
cooperative association must provide with its application a detailed 
exhibit showing the net worth of the applicant and any affiliates (as 
defined in Sec. 826.4(f) of this part) when the proceeding was 
initiated. The exhibit may be in any form

[[Page 1006]]

convenient to the applicant that provides full disclosure of the 
applicant's and its affiliates' assets and liabilities and is sufficient 
to determine whether the applicant qualifies under the standards in this 
part. The administrative law judge may require an applicant to file 
additional information to determine the eligibility for an award.
    (b) Ordinarily, the net worth exhibit will be included in the public 
record of the proceeding. However, an applicant that objects to public 
disclosure of information in any portion of the exhibit and believes 
there are legal grounds for withholding it from disclosure may submit 
that portion of the exhibit directly to the administrative law judge in 
a sealed envelope labeled ``Confidential Financial Information,'' 
accompanied by a motion to withhold the information from public 
disclosure. The motion shall describe the information sought to be 
withheld and explain, in detail, why it falls within one or more of the 
specific exemptions from mandatory disclosure under the Freedom of 
Information Act, 5 U.S.C. 552(b) (1) through (9), why public disclosure 
of the information would adversely affect the applicant, and why 
disclosure is not required in the public interest. The material in 
question shall be served on counsel representing the agency against 
which the applicant seeks an award, but need not be served on any other 
party to the proceeding. If the administrative law judge finds that the 
information should not be withheld from disclosure, it shall be placed 
in the public record of the proceeding. Otherwise, any request to 
inspect or copy the exhibit shall be disposed of in accordance with the 
Board's established procedures under the Freedom of Information Act as 
inplemented by Part 801 of the Board's rules.



Sec. 826.23  Documentation of fees and expenses.

    The application shall be accompanied by full documentation of the 
fees and expenses, including the cost of any study, analysis, 
engineering report, test, project or similar matter, for which an award 
is sought. A separate itemized statement shall be submitted for each 
professional firm or individual whose services are covered by the 
application, showing the hours spend in connection with the proceeding 
by each individual, a description of the specific services performed, 
the rate at which each fee has been computed, any expenses for which 
reimbursement is sought, the total amount claimed, and the total amount 
paid or payable by the applicant or by any other person or entity for 
the services provided. The administrative law judge may require the 
applicant to provide vouchers, receipts, or other substantiation for any 
expenses claimed.



Sec. 826.24  When an application may be filed.

    (a) An application may be filed whenever the applicant has prevailed 
in the proceeding, but in no case no later than the 30 days after the 
Board's final disposition of the proceeding. This 30-day deadline is 
statutory and the Board has no authority to extend it.
    (b) If review or reconsideration is sought or taken of a decision to 
which an applicant believes it has prevailed, proceedings for the award 
of fees shall be stayed pending final disposition of the underlying 
controversy.
    (c) For purposes of this rule, final disposition means the later of 
(1) the date on which an unappealed initial decision by an 
administrative law judge becomes administratively final; (2) issuance of 
an order disposing of any petitions for reconsideration of the Board's 
final order in the proceeding; (3) if no petition for reconsideration is 
filed, the last date on which such a petition could have been filed; or 
(4) issuance of a final order or any other final resolution of a 
proceeding, such as a settlement or voluntary dismissal, which is not 
subject to a petition for reconsideration.
[46 FR 48209, Oct. 1, 1981, as amended at 59 FR 30532, June 14, 1994]



           Subpart C--Procedures for Considering Applications



Sec. 826.31  Filing and service of documents and general procedures.

    The rules contained in 49 CFR part 821 apply to proceedings under 
the Act,

[[Page 1007]]

unless they are superseded by or are inconsistent with a provision of 
this part.
[59 FR 30532, June 14, 1994]



Sec. 826.32  Answer to application.

    (a) Within 30 days after service of an application, counsel 
representing the agency against which an award is sought may file an 
answer to the application. Unless agency counsel requests an extension 
of time for filing or files a statement of intent to negotiate under 
paragraph (b) of this section, failure to file an answer within the 30-
day period may be treated as a consent to the award requested.
    (b) If agency counsel and the applicant believe that the issues in 
the fee application can be settled, they may jointly file a statement of 
their intent to negotiate a settlement. The filing of this statement 
shall extend the time for filing an answer for an additional 30 days, 
and further extensions may be granted by the administrative law judge 
upon request by agency counsel and the applicant.
    (c) The answer shall explain in detail any objections to the award 
requested and identify the facts relied on in support of agency 
counsel's position. If the answer is based on any alleged facts not 
already in the record of the proceeding, agency counsel shall include 
with the answer either supporting affidavits or a request for further 
proceedings under Sec. 826.36.



Sec. 826.33  Reply.

    Within 15 days after service of an answer, the applicant may file a 
reply. If the reply is based on any alleged facts not already in the 
record of the proceeding, the applicant shall include with the reply 
either supporting affidavits or a request for further proceedings under 
Sec. 826.36.



Sec. 826.34  Comments by other parties.

    Any party to a proceeding other than the applicant and agency 
counsel may file comments on an application within 30 days after it is 
served or on an answer within 15 days after it is served. A commenting 
party may not participate further in proceedings on the application 
unless the administrative law judge determines that the public interest 
requires such participation in order to permit full exploration of 
matters raised in the comments.



Sec. 826.35  Settlement.

    The applicant and agency counsel may agree on a proposed settlement 
of the award before final action on the application, either in 
connection with a settlement of the underlying proceeding, or after the 
underlying proceeding has been concluded. If a prevailing party and 
agency counsel agree on a proposed settlement of an award before an 
application has been filed, the application shall be filed with the 
proposed settlement.



Sec. 826.36  Further proceedings.

    (a) Ordinarily the determination of an award will be made on the 
basis of the written record; however, on request of either the applicant 
or agency counsel, or on his or her own initiative, the administrative 
law judge assigned to the matter may order further proceedings, such as 
an informal conference, oral argument, additional written submissions, 
or an evidentiary hearing. Such further proceedings shall be held only 
when necessary for full and fair resolution of the issues arising from 
the application and shall be conducted as promptly as possible.
    (b) A request that the administrative law judge order further 
proceedings under this section shall specifically identify the 
information sought or the disputed issues and shall explain why the 
additional proceedings are necessary to resolve the issues.



Sec. 826.37  Decision.

    The administrative law judge shall issue an initial decision on the 
application within 60 days after completion of proceedings on the 
application. The decision shall include written findings and conclusions 
on the applicant's eligibility and status as a prevailing party and an 
explanation of the reasons for any difference between the amount 
requested and the amount awarded. The decision shall also include, if at 
issue, findings on whether the agency's position was substantially 
justified, whether the applicant unduly protracted the proceedings, or 
whether

[[Page 1008]]

special circumstances make an award unjust.



Sec. 826.38  Board review.

    Either the applicant or agency counsel may seek review of the 
initial decision on the fee application, or the Board may decide to 
review the decision on its own initiative, in accordance with subpart H 
of part 821 for FAA safety enforcement matters appealed under section 
609 of the Federal Aviation Act. If neither the applicant nor agency 
counsel seeks review and the Board does not take review on its own 
initiative, the initial decision on the application shall become a final 
decision of the Board 30 days after it is issued. Whether to review a 
decision is a matter within the discretion of the Board. If review is 
taken, the Board will issue a final decision on the application or 
remand the application to the administrative law judge who issued the 
initial fee award determination for further proceedings.



Sec. 826.39  Judicial review.

    Judicial review of final Board decisions on awards may be sought as 
provided in 5 U.S.C. 504(c)(2).



Sec. 826.40  Payment of award.

    An applicant seeking payment of an award shall submit to the 
disbursing official of the FAA a copy of the Board's final decision 
granting the award, accompanied by a statement that the applicant will 
not seek review of the decision in the United States courts. 
Applications for award grants in cases involving the FAA shall be sent 
to: The Office of Accounting and Audit, AAA-1, Federal Aviation 
Administration, 800 Independence Avenue, SW., Washington, DC 20591. The 
agency will pay the amount awarded to the applicant within 60 days, 
unless judicial review of the award or of the underlying decision of the 
adversary adjudication has been sought by the applicant or any other 
party to the proceeding.



PART 830--NOTIFICATION AND REPORTING OF AIRCRAFT ACCIDENTS OR INCIDENTS AND OVERDUE AIRCRAFT, AND PRESERVATION OF AIRCRAFT WRECKAGE, MAIL, CARGO, AND RECORDS--Table of Contents




                           Subpart A--General

Sec.
830.1  Applicability.
830.2  Definitions.

 Subpart B--Initial Notification of Aircraft Accidents, Incidents, and 
                            Overdue Aircraft

830.5  Immediate notification.
830.6  Information to be given in notification.

 Subpart C--Preservation of Aircraft Wreckage, Mail, Cargo, and Records

830.10  Preservation of aircraft wreckage, mail, cargo, and records.

   Subpart D--Reporting of Aircraft Accidents, Incidents, and Overdue 
                                Aircraft

830.15  Reports and statements to be filed.

    Authority:  Federal Aviation Act of 1958, as amended (49 U.S.C. 
40101 et seq.), and the Independent Safety Board Act of 1974, as amended 
(49 U.S.C. 1101 et seq.).

    Source:  53 FR 36982, Sept. 23, 1988, unless otherwise noted.



                           Subpart A--General



Sec. 830.1  Applicability.

    This part contains rules pertaining to:
    (a) Initial notification and later reporting of aircraft incidents 
and accidents and certain other occurrences in the operation of 
aircraft, wherever they occur, when they involve civil aircraft of the 
United States; when they involve certain public aircraft, as specified 
in this part, wherever they occur; and when they involve foreign civil 
aircraft where the events occur in the United States, its territories, 
or its possessions.

[[Page 1009]]

    (b) Preservation of aircraft wreckage, mail, cargo, and records 
involving all civil and certain public aircraft accidents, as specified 
in this part, in the United States and its territories or possessions.
[60 FR 40112, Aug. 7, 1995]



Sec. 830.2  Definitions.

    As used in this part the following words or phrases are defined as 
follows:
    Aircraft accident means an occurrence associated with the operation 
of an aircraft which takes place between the time any person boards the 
aircraft with the intention of flight and all such persons have 
disembarked, and in which any person suffers death or serious injury, or 
in which the aircraft receives substantial damage.
    Civil aircraft means any aircraft other than a public aircraft.
    Fatal injury means any injury which results in death within 30 days 
of the accident.
    Incident means an occurrence other than an accident, associated with 
the operation of an aircraft, which affects or could affect the safety 
of operations.
    Operator means any person who causes or authorizes the operation of 
an aircraft, such as the owner, lessee, or bailee of an aircraft.
    Public aircraft means an aircraft used only for the United States 
Government, or an aircraft owned and operated (except for commercial 
purposes) or exclusively leased for at least 90 continuous days by a 
government other than the United States Government, including a State, 
the District of Columbia, a territory or possession of the United 
States, or a political subdivision of that government. ``Public 
aircraft'' does not include a government-owned aircraft transporting 
property for commercial purposes and does not include a government-owned 
aircraft transporting passengers other than: transporting (for other 
than commercial purposes) crewmembers or other persons aboard the 
aircraft whose presence is required to perform, or is associated with 
the performance of, a governmental function such as firefighting, search 
and rescue, law enforcement, aeronautical research, or biological or 
geological resource management; or transporting (for other than 
commercial purposes) persons aboard the aircraft if the aircraft is 
operated by the Armed Forces or an intelligence agency of the United 
States. Notwithstanding any limitation relating to use of the aircraft 
for commercial purposes, an aircraft shall be considered to be a public 
aircraft without regard to whether it is operated by a unit of 
government on behalf of another unit of government pursuant to a cost 
reimbursement agreement, if the unit of government on whose behalf the 
operation is conducted certifies to the Administrator of the Federal 
Aviation Administration that the operation was necessary to respond to a 
significant and imminent threat to life or property (including natural 
resources) and that no service by a private operator was reasonably 
available to meet the threat.
    Serious injury means any injury which: (1) Requires hospitalization 
for more than 48 hours, commencing within 7 days from the date of the 
injury was received; (2) results in a fracture of any bone (except 
simple fractures of fingers, toes, or nose); (3) causes severe 
hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal 
organ; or (5) involves second- or third-degree burns, or any burns 
affecting more than 5 percent of the body surface.
    Substantial damage means damage or failure which adversely affects 
the structural strength, performance, or flight characteristics of the 
aircraft, and which would normally require major repair or replacement 
of the affected component. Engine failure or damage limited to an engine 
if only one engine fails or is damaged, bent fairings or cowling, dented 
skin, small punctured holes in the skin or fabric, ground damage to 
rotor or propeller blades, and damage to landing gear, wheels, tires, 
flaps, engine accessories, brakes, or wingtips are not considered 
``substantial damage'' for the purpose of this part.
[53 FR 36982, Sept. 23, 1988, as amended at 60 FR 40112, Aug. 7, 1995]

[[Page 1010]]



 Subpart B--Initial Notification of Aircraft Accidents, Incidents, and 
                            Overdue Aircraft



Sec. 830.5  Immediate notification.

    The operator of any civil aircraft, or any public aircraft not 
operated by the Armed Forces or an intelligence agency of the United 
States, or any foreign aircraft shall immediately, and by the most 
expeditious means available, notify the nearest National Transportation 
Safety Board (Board) field office \1\ when:
---------------------------------------------------------------------------

    \1\ The Board field offices are listed under U.S. Government in the 
telephone directories of the following cities: Anchorage, AK, Atlanta, 
GA, West Chicago, IL, Denver, CO, Arlington, TX, Gardena (Los Angeles), 
CA, Miami, FL, Parsippany, NJ (metropolitan New York, NY), Seattle, WA, 
and Washington, DC.
---------------------------------------------------------------------------

    (a) An aircraft accident or any of the following listed incidents 
occur:
    (1) Flight control system malfunction or failure;
    (2) Inability of any required flight crewmember to perform normal 
flight duties as a result of injury or illness;
    (3) Failure of structural components of a turbine engine excluding 
compressor and turbine blades and vanes;
    (4) In-flight fire; or
    (5) Aircraft collide in flight.
    (6) Damage to property, other than the aircraft, estimated to exceed 
$25,000 for repair (including materials and labor) or fair market value 
in the event of total loss, whichever is less.
    (7) For large multiengine aircraft (more than 12,500 pounds maximum 
certificated takeoff weight):
    (i) In-flight failure of electrical systems which requires the 
sustained use of an emergency bus powered by a back-up source such as a 
battery, auxiliary power unit, or air-driven generator to retain flight 
control or essential instruments;
    (ii) In-flight failure of hydraulic systems that results in 
sustained reliance on the sole remaining hydraulic or mechanical system 
for movement of flight control surfaces;
    (iii) Sustained loss of the power or thrust produced by two or more 
engines; and
    (iv) An evacuation of an aircraft in which an emergency egress 
system is utilized.
    (b) An aircraft is overdue and is believed to have been involved in 
an accident.
[53 FR 36982, Sept. 23, 1988, as amended at 60 FR 40113, Aug. 7, 1995]



Sec. 830.6  Information to be given in notification.

    The notification required in Sec. 830.5 shall contain the following 
information, if available:
    (a) Type, nationality, and registration marks of the aircraft;
    (b) Name of owner, and operator of the aircraft;
    (c) Name of the pilot-in-command;
    (d) Date and time of the accident;
    (e) Last point of departure and point of intended landing of the 
aircraft;
    (f) Position of the aircraft with reference to some easily defined 
geographical point;
    (g) Number of persons aboard, number killed, and number seriously 
injured;
    (h) Nature of the accident, the weather and the extent of damage to 
the aircraft, so far as is known; and
    (i) A description of any explosives, radioactive materials, or other 
dangerous articles carried.



 Subpart C--Preservation of Aircraft Wreckage, Mail, Cargo, and Records



Sec. 830.10  Preservation of aircraft wreckage, mail, cargo, and records.

    (a) The operator of an aircraft involved in an accident or incident 
for which notification must be given is responsible for preserving to 
the extent possible any aircraft wreckage, cargo, and mail aboard the 
aircraft, and all records, including all recording mediums of flight, 
maintenance, and voice recorders, pertaining to the operation and 
maintenance of the aircraft and to the airmen until the Board takes 
custody thereof or a release is granted pursuant to Sec. 831.12(b) of 
this chapter.
    (b) Prior to the time the Board or its authorized representative 
takes custody of aircraft wreckage, mail, or cargo, such wreckage, mail, 
or cargo

[[Page 1011]]

may not be disturbed or moved except to the extent necessary:
    (1) To remove persons injured or trapped;
    (2) To protect the wreckage from further damage; or
    (3) To protect the public from injury.
    (c) Where it is necessary to move aircraft wreckage, mail or cargo, 
sketches, descriptive notes, and photographs shall be made, if possible, 
of the original positions and condition of the wreckage and any 
significant impact marks.
    (d) The operator of an aircraft involved in an accident or incident 
shall retain all records, reports, internal documents, and memoranda 
dealing with the accident or incident, until authorized by the Board to 
the contrary.



   Subpart D--Reporting of Aircraft Accidents, Incidents, and Overdue 
                                Aircraft



Sec. 830.15  Reports and statements to be filed.

    (a) Reports. The operator of a civil, public (as specified in 
Sec. 830.5), or foreign aircraft shall file a report on Board Form 
6120.\1/2\ (OMB No. 3147-0001) \2\ within 10 days after an accident, or 
after 7 days if an overdue aircraft is still missing. A report on an 
incident for which immediate notification is required by Sec. 830.5(a) 
shall be filed only as requested by an authorized representative of the 
Board.
---------------------------------------------------------------------------

    \2\ Forms are available from the Board field offices (see footnote 
1), from Board headquarters in Washington, DC, and from the Federal 
Aviation Administration Flight Standards District Offices.
---------------------------------------------------------------------------

    (b) Crewmember statement. Each crewmember, if physically able at the 
time the report is submitted, shall attach a statement setting forth the 
facts, conditions, and circumstances relating to the accident or 
incident as they appear to him. If the crewmember is incapacitated, he 
shall submit the statement as soon as he is physically able.
    (c) Where to file the reports. The operator of an aircraft shall 
file any report with the field office of the Board nearest the accident 
or incident.
[53 FR 36982, Sept. 23, 1988, as amended at 60 FR 40113, Aug. 7, 1995]



PART 831--ACCIDENT/INCIDENT INVESTIGATION PROCEDURES--Table of Contents




Sec.
831.1  Applicability of part.
831.2  Responsibility of Board.
831.3  Authority of Directors.
831.4  Nature of investigation.
831.5  Priority of Board investigations.
831.6  Request to withhold information.
831.7  Right to representation.
831.8  Investigator-in-charge.
831.9  Authority of Board representatives.
831.10  Autopsies.
831.11  Parties to the investigation.
831.12  Access to and release of wreckage, records, mail, and cargo.
831.13  Flow and dissemination of accident or incident information.
831.14  Proposed findings.

    Authority:  Independent Safety Board Act of 1974, as amended (49 
U.S.C. 1101 et seq.); Federal Aviation Act of 1958, as amended (49 
U.S.C. 40101 et seq.).

    Source:  53 FR 15847, May 4, 1988, unless otherwise noted.



Sec. 831.1  Applicability of part.

    Unless otherwise specifically ordered by the National Transportation 
Safety Board (Board), the provisions of this part shall govern all 
accident or incident investigations, conducted under the authority of 
title VII of the Federal Aviation Act of 1958, as amended, and the 
Independent Safety Board Act of 1974. Rules applicable to accident 
hearings and reports are set forth in part 845.



Sec. 831.2  Responsibility of Board.

    (a) Aviation. (1) The Board is responsible for the organization, 
conduct, and control of all accident and incident investigations (see 
Sec. 830.2 of this chapter) within the Untied States, its territories 
and possessions, where the accident or incident involves any civil 
aircraft or certain public aircraft (as specified in Sec. 830.5 of this 
chapter), including an investigation involving civil or public aircraft 
(as specified in Sec. 830.5) on the one hand, and an Armed Forces or 
intelligence agency aircraft on the other hand. It is also responsible 
for investigating accidents/incidents that occur outside the United 
States, and which involve civil aircraft and/or certain public aircraft, 
when the accident/

[[Page 1012]]

incident is not in the territory of another country (i.e., in 
international waters).
    (2) Certain aviation investigations may be conducted by the Federal 
Aviation Administration (FAA), pursuant to a ``Request to the Secretary 
of the Department of Transportation to Investigate Certain Aircraft 
Accidents,'' effective February 10, 1977 (the text of the request is 
contained in the appendix to part 800 of this chapter), but the Board 
determines the probable cause of such accidents or incidents.\1\ Under 
no circumstances are aviation investigations where the portion of the 
investigation is so delegated to the FAA by the Board considered to be 
joint investigations in the sense of sharing responsibility. These 
investigations remain NTSB investigations.
---------------------------------------------------------------------------

    \1\ The authority of a representative of the FAA during such 
investigations is the same as that of a Board investigator under this 
part.
---------------------------------------------------------------------------

    (3) The Board is the agency charged with fulfilling the obligations 
of the United States under Annex 13 to the Chicago Convention on 
International Civil Aviation (Eighth Edition, July 1994), and does so 
consistent with State Department requirements and in coordination with 
that department. Annex 13 contains specific requirements for the 
notification, investigation, and reporting of certain incidents and 
accidents involving international civil aviation. In the case of an 
accident or incident in a foreign state involving civil aircraft of U.S. 
registry or manufacture, where the foreign state is a signatory to Annex 
13 to the Chicago Convention of the International Civil Aviation 
Organization, the state of occurrence is responsible for the 
investigation. If the accident or incident occurs in a foreign state not 
bound by the provisions of Annex 13 to the Chicago Convention, or if the 
accident or incident involves a public aircraft (Annex 13 applies only 
to civil aircraft), the conduct of the investigation shall be in 
consonance with any agreement entered into between the United States and 
the foreign state.
    (b) Surface. The Board is responsible for the investigation of: 
railroad accidents in which there is a fatality, substantial property 
damage, or which involve a passenger train (see part 840 of this 
chapter); major marine casualties and marine accidents involving a 
public and non-public vessel or involving Coast Guard functions (see 
part 850 of this chapter \2\); highway accidents, including railroad 
grade-crossing accidents, the investigation of which is selected in 
cooperation with the States; and pipeline accidents in which there is a 
fatality, significant injury to the environment, or substantial property 
damage.
---------------------------------------------------------------------------

    \2\ Part 850 also governs the conduct of certain investigations in 
which the Board and the Coast Guard participate jointly.
---------------------------------------------------------------------------

    (c) Other Accidents/Incidents. The Board is also responsible for the 
investigation of an accident/incident that occurs in connection with the 
transportation of people or property which, in the judgment of the 
Board, is catastrophic, involves problems of a recurring character, or 
would otherwise carry out the policy of the Independent Safety Board Act 
of 1974. This authority includes, but is not limited to, marine and 
boating accidents and incidents not covered by part 850 of this chapter, 
and accidents/incidents selected by the Board involving transportation 
and/or release of hazardous materials.
[62 FR 3806, Jan. 27, 1997]



Sec. 831.3  Authority of Directors.

    The Director, Office of Aviation Safety, or the Director, Office of 
Surface Transportation Safety, subject to the provisions of Sec. 831.2 
and part 800 of this chapter, may order an investigation into any 
accident or incident.
[62 FR 3806, Jan. 27, 1997]



Sec. 831.4  Nature of Investigation.

    Accident and incident investigations are conducted by the Board to 
determine the facts, conditions, and circumstances relating to an 
accident or incident and the probable cause(s) thereof. These results 
are then used to ascertain measures that would best tend to prevent 
similar accidents or incidents in the future. The investigation includes 
the field investigation (on-

[[Page 1013]]

scene at the accident, testing, teardown, etc.), report preparation, 
and, where ordered, a public hearing. The investigation results in Board 
conclusions issued in the form of a report or ``brief'' of the incident 
or accident. Accident/incident investigations are fact-finding 
proceedings with no formal issues and no adverse parties. They are not 
subject to the provisions of the Administrative Procedure Act (5 U.S.C. 
504 et seq.), and are not conducted for the purpose of determining the 
rights or liabilities of any person.
[62 FR 3806, Jan. 27, 1997]



Sec. 831.5  Priority of Board Investigations.

    Any investigation of an accident or incident conducted by the Safety 
Board directly or pursuant to the appendix to part 800 of this chapter 
(except major marine investigations conducted under 49 U.S.C. 
1131(a)(1)(E)) has priority over all other investigations of such 
accident or incident conducted by other Federal agencies. The Safety 
Board shall provide for the appropriate participation by other Federal 
agencies in any such investigation, except that such agencies may not 
participate in the Safety Board's determination of the probable cause of 
the accident or incident. Nothing in this section impairs the authority 
of other Federal agencies to conduct investigations of an accident or 
incident under applicable provisions of law or to obtain information 
directly from parties involved in, and witnesses to, the transportation 
accident or incident, provided they do so without interfering with the 
Safety Board's investigation. The Safety Board and other Federal 
agencies shall assure that appropriate information obtained or developed 
in the course of their investigations is exchanged in a timely manner.
[62 FR 3807, Jan. 27, 1997]



Sec. 831.6  Request to withhold information.

    (a) Trade Secrets Act (18 U.S.C. 1905), Exemption 4 of the Freedom 
of Information Act (5 U.S.C. 552) (FOIA), and The Independent Safety 
Board Act of 1974, as amended.
    (1) General. The Trade Secrets Act provides criminal penalties for 
unauthorized government disclosure of trade secrets and other specified 
confidential commercial information. The Freedom of Information Act 
authorizes withholding of such information; however, the Independent 
Safety Board Act, at 49 U.S.C. 1114(b), provides that the Board may, 
under certain circumstances, disclose information related to trade 
secrets.
    (2) Procedures. Information submitted to the Board that the 
submitter believes qualifies as a trade secret or confidential 
commercial information subject either to the Trade Secrets Act or FOIA 
Exemption 4 shall be so identified by the submitter on each and every 
page of such document. The Board shall give the submitter of any 
information so identified, or information the Board has substantial 
reason to believe qualifies as a trade secret or confidential commercial 
information subject either to the Trade Secrets Act or FOIA Exemption 4, 
the opportunity to comment on any contemplated disclosure, pursuant to 
49 U.S.C. 1114(b). In all instances where the Board determines to 
disclose pursuant to 49 U.S.C. 1114(b) and/or 5 U.S.C. 552, at least 10 
days' notice will be provided the submitter. Notice may not be provided 
the submitter when disclosure is required by a law other than FOIA if 
the information is not identified by the submitter as qualifying for 
withholding, as is required by this paragraph, unless the Board has 
substantial reason to believe that disclosure would result in 
competitive harm.
    (3) Voluntarily-provided Safety Information. It is the policy of the 
Safety Board that commercial, safety-related information provided to it 
voluntarily and not in the context of particular accident/incident 
investigations will not be disclosed. Reference to such information for 
the purposes of safety recommendations will be undertaken with 
consideration for the confidential nature of the underlying database(s).
    (b) Other. Any person may make written objection to the public 
disclosure of any other information contained in any report or document 
filed, or otherwise obtained by the Board, stating the grounds for such 
objection.

[[Page 1014]]

The Board, on its own initiative or if such objection is made, may order 
such information withheld from public disclosure when, in its judgment, 
the information may be withheld under the provisions of an exemption to 
the Freedom of Information Act (5 U.S.C. 552, see part 801 of this 
chapter), and its release is found not to be in the public interest.
[62 FR 3807, Jan. 27, 1997]



Sec. 831.7  Right to representation.

    Any person interviewed by an authorized representative of the Board 
during the investigation, regardless of the form of the interview 
(sworn, unsworn, transcribed, not transcribed, etc.), has the right to 
be accompanied, represented, or advised by an attorney or non-attorney 
representative.
[62 FR 3807, Jan. 27, 1997]



Sec. 831.8  Investigator-in-charge.

    The designated investigator-in-charge (IIC) organizes, conducts, 
controls, and manages the field phase of the investigation, regardless 
of whether a Board Member is also on-scene at the accident or incident 
site. (The role of the Board member at the scene of an accident 
investigation is as the official spokesperson for the Safety Board.) The 
IIC has the responsibility and authority to supervise and coordinate all 
resources and activities of all personnel, both Board and non-Board, 
involved in the on-site investigation. The IIC continues to have 
considerable organizational and management responsibilities throughout 
later phases of the investigation, up to and including Board 
consideration and adoption of a report or brief of probable cause(s).
[62 FR 3807, Jan. 27, 1997]



Sec. 831.9  Authority of Board representatives.

    (a) General. Any employee of the Board, upon presenting appropriate 
credentials, is authorized to enter any property where an accident/
incident subject to the Board's jurisdiction has occurred, or wreckage 
from any such accident/incident is located, and do all things considered 
necessary for proper investigation. Further, upon demand of an 
authorized representative of the Board and presentation of credentials, 
any Government agency, or person having possession or control of any 
transportation vehicle or component thereof, any facility, equipment, 
process or controls relevant to the investigation, or any pertinent 
records or memoranda, including all files, hospital records, and 
correspondence then or thereafter existing, and kept or required to be 
kept, shall forthwith permit inspection, photographing, or copying 
thereof by such authorized representative for the purpose of 
investigating an accident or incident, or preparing a study, or related 
to any special investigation pertaining to safety or the prevention of 
accidents. The Safety Board may issue a subpoena, enforceable in Federal 
district court, to obtain testimony or other evidence. Authorized 
representatives of the Board may question any person having knowledge 
relevant to an accident/incident, study, or special investigation. 
Authorized representatives of the Board also have exclusive authority, 
on behalf of the Board, to decide the way in which any testing will be 
conducted, including decisions on the person that will conduct the test, 
the type of test that will be conducted, and any individual who will 
witness the test.
    (b) Aviation. Any employee of the Board, upon presenting appropriate 
credentials, is authorized to examine and test to the extent necessary 
any civil or public aircraft (as specified in Sec. 830.5), aircraft 
engine, propeller, appliance, or property aboard such aircraft involved 
in an accident in air commerce.
    (c) Surface. (1) Any employee of the Board, upon presenting 
appropriate credentials, is authorized to test or examine any vehicle, 
vessel, rolling stock, track, pipeline component, or any part of any 
such item when such examination or testing is determined to be required 
for purposes of such investigation.
    (2) Any examination or testing shall be conducted in such a manner 
so as not to interfere with or obstruct unnecessarily the transportation 
services provided by the owner or operator of such vehicle, vessel, 
rolling stock, track, or pipeline component, and shall

[[Page 1015]]

be conducted in such a manner so as to preserve, to the maximum extent 
feasible, any evidence relating to the transportation accident, 
consistent with the needs of the investigation and with the cooperation 
of such owner or operator.
[53 FR 15847, May 4, 1988, as amended at 60 FR 40113, Aug. 7, 1995; 62 
FR 3807, Jan. 27, 1997]



Sec. 831.10  Autopsies.

    The Board is authorized to obtain, with or without reimbursement, a 
copy of the report of autopsy performed by State or local officials on 
any person who dies as a result of having been involved in a 
transportation accident within the jurisdiction of the Board. The 
investigator-in-charge, on behalf of the Board, may order an autopsy or 
seek other tests of such persons as may be necessary to the 
investigation, provided that to the extent consistent with the needs of 
the accident investigation, provisions of local law protecting religious 
beliefs with respect to autopsies shall be observed.



Sec. 831.11  Parties to the investigation.

    (a) All Investigations, regardless of mode. (1) The investigator-in-
charge designates parties to participate in the investigation. Parties 
shall be limited to those persons, government agencies, companies, and 
associations whose employees, functions, activities, or products were 
involved in the accident or incident and who can provide suitable 
qualified technical personnel actively to assist in the investigation. 
Other than the FAA in aviation cases, no other entity is afforded the 
right to participate in Board investigations.
    (2) Participants in the investigation (i.e., party representatives, 
party coordinators, and/or the larger party organization) shall be 
responsive to the direction of Board representatives and may lose party 
status if they do not comply with their assigned duties, actively 
proscriptions or instructions, or if they conduct themselves in a manner 
prejudicial to the investigation.
    (3) No party to the investigation shall be represented in any aspect 
of the NTSB investigation by any person who also represents claimants or 
insurers. No party representative may occupy a legal position (see 
Sec. 845.13 of this chapter). Failure to comply with these provisions 
may result in sanctions, including loss of status as a party.
    (4) Title 49, United States Code Sec. 1132 provides for the 
appropriate participation of the FAA in Board investigations, and 
Sec. 1131(a)(2) provides for such participation by other departments, 
agencies, or instrumentalities. The FAA and those other entities that 
meet the requirements of paragraph (a)(1) of this section will be 
parties to the investigation with the same rights and privileges and 
subject to the same limitations as other parties, provided however that 
representatives of the FAA need not sign the ``Statement of Party 
Representatives to NTSB Investigation'' (see paragraph (b) of this 
section).
    (b) Aviation investigations. In addition to compliance with the 
provisions of paragraph (a) of this section, and to assist in ensuring 
complete understanding of the requirements and limitations of party 
status, all party representatives in aviation investigations shall sign 
``Statement of Party Representatives to NTSB Investigation'' immediately 
upon attaining party representative status. Failure timely to sign that 
statement may result in sanctions, including loss of status as a party.
[62 FR 3808, Jan. 27, 1997]



Sec. 831.12  Access to and release of wreckage, records, mail, and cargo.

    (a) Only the Board's accident investigation personnel, and persons 
authorized by the investigator-in-charge to participate in any 
particular investigation, examination or testing shall be permitted 
access to wreckage, records, mail, or cargo in the Board's custody.
    (b) Wreckage, records, mail, and cargo in the Board's custody shall 
be released by an authorized representative of the Board when it is 
determined that the Board has no further need of such wreckage, mail, 
cargo, or records. When such material is released, Form 6120.15, 
``Release of Wreckage,'' will be completed, acknowledging receipt.
[62 FR 3808, Jan. 27, 1997]

[[Page 1016]]



Sec. 831.13  Flow and dissemination of accident or incident information.

    (a) Release of information during the field investigation, 
particularly at the accident scene, shall be limited to factual 
developments, and shall be made only through the Board Member present at 
the accident scene, the representative of the Board's Office of Public 
Affairs, or the investigator-in-charge.
    (b) All information concerning the accident or incident obtained by 
any person or organization participating in the investigation shall be 
passed to the IIC through appropriate channels before being provided to 
any individual outside the investigation. Parties to the investigation 
may relay to their respective organizations information necessary for 
purposes of prevention or remedial action. However, no information 
concerning the accident or incident may be released to any person not a 
party representative to the investigation (including non-party 
representative employees of the party organization) before initial 
release by the Safety Board without prior consultation and approval of 
the IIC.
[53 FR 15847, May 4, 1988, as amended at 62 FR 3808, Jan. 27, 1997]



Sec. 831.14  Proposed findings.

    (a) General. Any person, government agency, company, or association 
whose employees, functions, activities, or products were involved in an 
accident or incident under investigation may submit to the Board written 
proposed findings to be drawn from the evidence produced during the 
course of the investigation, a proposed probable cause, and/or proposed 
safety recommendations designed to prevent future accidents.
    (b) Timing of submissions. To be considered, these submissions must 
be received before the matter is calendared for consideration at a Board 
meeting. All written submissions are expected to have been presented to 
staff in advance of the formal scheduling of the meeting. This procedure 
ensures orderly and thorough consideration of all views.
    (c) Exception. This limitation does not apply to safety enforcement 
cases handled by the Board pursuant to part 821 of this chapter. 
Separate ex parte rules, at part 821, subpart J, apply to those 
proceedings.
[62 FR 3808, Jan. 27, 1997]



PART 835--TESTIMONY OF BOARD EMPLOYEES--Table of Contents




Sec.
835.1  Purpose.
835.2  Definitions.
835.3  Scope of permissible testimony.
835.4  Use of reports.
835.5  Manner in which testimony is given.
835.6  Request for testimony.
835.7  Testimony of former Board employees.
835.8  Procedure in the event of a subpoena.
835.9  Testimony in State or local investigations.

    Authority:  5 U.S.C. 301; 49 U.S.C. 1441; and 49 U.S.C. 1901 et seq.

    Source:  55 FR 41541, Oct. 12, 1990, unless otherwise noted.



Sec. 835.1  Purpose.

    This part prescribes the policies and procedures regarding the 
testimony of employees of the National Transportation Safety Board 
(Board) in suits or actions for damages and criminal proceedings arising 
out of transportation accidents. The purpose of this part is to ensure 
that the time of Board employees is used only for official purposes, to 
avoid embroiling the Board in controversial issues that are not related 
to its duties, to avoid spending public funds for non-Board purposes, to 
preserve the impartiality of the Board, and to prohibit the discovery of 
opinion testimony.



Sec. 835.2  Definitions.

    Accident for purposes of this part includes ``incident.''
    Board's accident report means the report containing the Board's 
determinations, including the probable cause of an accident, issued 
either as a narrative report or in a computer format (briefs of 
accidents). Pursuant to section 701(e) of the Federal Aviation Act of 
1958, as amended (49 U.S.C. 1441(e)) (FA Act) and section 304(c) of the 
Independent Safety Board Act of 1974 (49 U.S.C. 1903(c)) (Safety Act), 
no part of these reports may be admitted as evidence or used in any suit 
or action for

[[Page 1017]]

damages growing out of any matter mentioned in such reports.
    Factual accident report means an investigator's report of his 
investigation of the accident.



Sec. 835.3  Scope of permissible testimony.

    (a) Section 701(e) of the FA Act and section 304(c) of the Safety 
Act preclude the use or admission into evidence of Board accident 
reports in any suit or action for damages arising from accidents. These 
sections reflect Congress' ``strong * * * desire to keep the Board free 
of the entanglement of such suits.'' Rep. No. 93-1192, 93d Cong., 2d 
Sess., 44 (1974), and serve to ensure that the Board does not exert an 
undue influence on litigation. The purposes of these sections would be 
defeated if expert opinion testimony of Board employees, which may be 
reflected in the views of the Board expressed in its reports, were 
admitted in evidence or used in litigation arising out of an accident. 
The Board relies heavily upon its investigators' opinions in its 
deliberations. Furthermore, the use of Board employees as experts to 
give opinion testimony would impose a significant administrative burden 
on the Board's investigative staff. Litigants must obtain their expert 
witnesses from other sources.
    (b) For the reasons stated in paragraph (a) of this section and 
Sec. 835.1, Board employees may only testify as to the factual 
information they obtained during the course of an investigation, 
including factual evaluations embodied in their factual accident 
reports. However, they shall decline to testify regarding matters beyond 
the scope of their investigation, and they shall not give any expert or 
opinion testimony.



Sec. 835.4  Use of reports.

    (a) A Board employee may use a copy of his factual accident report 
as a testimonial aid, and may refer to that report during his testimony 
or use it to refresh his memory.
    (b) Consistent with section 701(e) of the FA Act and section 304(c) 
of the Safety Act, a Board employee may not use the Board's accident 
report for any purpose during his testimony.



Sec. 835.5  Manner in which testimony is given.

    (a) Testimony of Board employees may be made available for use in 
actions or suits for damages arising out of accidents through 
depositions or written interrogatories. Board employees are not 
permitted to appear and testify in court in such actions.
    (b) Normally, depositions will be taken and interrogatories answered 
at the Board's office to which the employee is assigned, and at a time 
arranged with the employee reasonably fixed to avoid substantial 
interference with the performance of his duties.
    (c) Board employees are authorized to testify only once in 
connection with any investigation they have made of an accident. 
Consequently, when more than one lawsuit arises as a result of an 
accident, it shall be the duty of counsel seeking the employee's 
deposition to ascertain the identity of all parties to the multiple 
lawsuits and their counsel, and to advise them of the fact that a 
deposition has been granted, so that all interested parties may be 
afforded the opportunity to participate therein.
    (d) Upon completion of the deposition of a Board employee, a copy of 
the transcript of the testimony will be furnished, at the expense of the 
party requesting the desposition, to the Board's Counsel for the Board 
files.



Sec. 835.6  Request for testimony.

    (a) A request for testimony of a Board employee relating to an 
accident by deposition or interrogatories shall be addressed to the 
General Counsel, who may approve or deny the request. Such request shall 
set forth the title of the case, the court, the type of accident 
(aviation, railroad, etc.), the date and place of the accident, the 
reasons for desiring the testimony, and a showing that the information 
desired is not reasonably available from other sources.
    (b) The General Counsel shall attach to his approval such reasonable 
conditions as he may deem appropriate in order that the testimony will 
be limited to the matters delineated in Sec. 835.3, will not interfere 
with the performance of the duties of the employees as set

[[Page 1018]]

forth in Sec. 835.5, and will otherwise conform to the policies of this 
part.
    (c) A subpoena shall not be served upon a Board employee in 
connection with the taking of his deposition.



Sec. 835.7  Testimony of former Board employees.

    It is not necessary to request Board approval for testimony of a 
former Board employee. However, the scope of testimony of former Board 
employees is limited to the matters delineated in Sec. 835.3, and use of 
reports as prescribed by Sec. 835.4.



Sec. 835.8  Procedure in the event of a subpoena.

    (a) If a Board employee has received a subpoena to appear and 
testify, a request for his deposition shall not be approved until the 
subpoena has been withdrawn.
    (b) Upon receipt of a subpoena, the employee shall immediately 
notify the General Counsel and provide the data identifying the 
accident; the title of the case, the name of the judge, if available, 
and the title and address of the court; the type of accident (aviation, 
railroad, etc.); the date on which the employee is directed to appear; 
the name, address, and telephone number, if available, of the attorney 
representing the party who caused the issuance of the subpoena; the 
scope of the testimony, if known; and a statement as to whether a prior 
deposition on the same accident has been given.
    (c) The General Counsel shall determine the course of action to be 
taken and will so advise the employee.



Sec. 835.9  Testimony in State or local investigations.

    Board employees may testify at a coroner's inquest, grand jury, or 
criminal proceeding conducted by a State of local government. Testimony 
shall be limited to the matters delineated in Sec. 835.3.



PART 837--PRODUCTION OF RECORDS IN LEGAL PROCEEDINGS--Table of Contents




Sec.
837.1  Purpose and scope.
837.2  Applicability.
837.3  Published reports, material contained in the public accident 
          investigation dockets, and accident database data.
837.4  Other material.


    Authority:  49 U.S.C. 1101 et seq.; 40101 et seq.; 5 U.S.C. 301.

    Source: 62 FR 27703, May 21, 1997, unless otherwise noted.



Sec. 837.1  Purpose and scope.

    (a) This part sets forth procedures to be followed when requesting 
material for use in legal proceedings (including administrative 
proceedings) in which the National Transportation Safety Board (NTSB or 
Board) is not a party, and procedures to be followed by the employee 
upon receipt of a subpoena, order, or other demand (collectively 
referred to here as a demand) by a court or other competent authority or 
by a private litigant. ``Material,'' as used in this part, means any 
type of physical or documentary evidence, including but not limited to 
paper documents, electronic media, videotapes, audiotapes, etc.
    (b) The purposes of this part are to:
    (1) Conserve the time of employees for conducting official business;
    (2) Minimize the possibility of involving the NTSB in controversial 
issues not related to its mission;
    (3) Maintain the impartiality of the Board among private litigants;
    (4) Avoid spending the time and money of the United States for 
private purposes; and
    (5) To protect confidential, sensitive information, and the 
deliberative processes of the Board.



Sec. 837.2  Applicability.

    This part applies to requests to produce material concerning 
information acquired in the course of performing official duties or 
because of the employee's official status. Specifically, this part 
applies to requests for: material contained in NTSB files; and any 
information or material acquired by an employee of the NTSB in the 
performance of official duties or as a result of the employee's status. 
Two sets of procedures are here established, dependent on the type of 
material sought. Rules governing requests for employee testimony, as 
opposed to material production, can be found at 49 CFR part 835.

[[Page 1019]]

Document production shall not accompany employee testimony, absent 
compliance with this part and General Counsel approval.



Sec. 837.3  Published reports, material contained in the public accident investigation dockets, and accident database data.

    (a) Demands for material contained in the NTSB's official public 
docket files of its accident investigations, or its computerized 
accident database(s) shall be submitted, in writing, to the Public 
Inquiries Branch. Demands for specific published reports and studies 
should be submitted to the National Technical Information Service. The 
Board does not maintain stock of these items. Demands for information 
collected in particular accident investigations and made a part of the 
public docket should be submitted to the Public Inquiries Branch or, 
directly, to our contractor. For information regarding the types of 
documents routinely issued by the Board, see 49 CFR part 801.
    (b) No subpoena shall be issued to obtain materials subject to this 
paragraph, and any subpoena issued shall be required to be withdrawn 
prior to release of the requested information. Payment of reproduction 
fees may be required in advance.



Sec. 837.4  Other material.

    (a) Production prohibited unless approved. Except in the case of the 
material referenced in Sec. 837.3, no employee or former employee of 
NTSB shall, in response to a demand of a private litigant, court, or 
other authority, produce any material contained in the files of the NTSB 
(whether or not agency records under 5 U.S.C. 552) or produce any 
material acquired as part of the performance of the person's official 
duties or because of the person's official status, without the prior 
written approval of the General Counsel.
    (b) Procedures to be followed for the production of material under 
this paragraph.
    (1) All demands for material shall be submitted to the General 
Counsel at NTSB headquarters, Washington, DC 20594. If an employee 
receives a demand, he shall forward it immediately to the General 
Counsel.
    (2) Each demand must contain an affidavit by the party seeking the 
material or his attorney setting forth the material sought and its 
relevance to the proceeding, and containing a certification, with 
support, that the information is not available from other sources, 
including Board materials described in Secs. 837.3 and part 801 of this 
chapter.
    (3) In the absence of General Counsel approval of a demand, the 
employee is not authorized to comply with the demand.
    (4) The General Counsel shall advise the requester of approval or 
denial of the demand, and may attach whatever conditions to approval 
considered appropriate or necessary to promote the purposes of this 
part. The General Counsel may also permit exceptions to any requirement 
in this part when necessary to prevent a miscarriage of justice, or when 
the exception is in the best interests of the NSTB and/or the United 
States.



PART 840--RULES PERTAINING TO NOTIFICATION OF RAILROAD ACCIDENTS--Table of Contents




Sec.
840.1  Applicability.
840.2  Definitions.
840.3  Notification of railroad accidents.
840.4  Information to be given in notification.
840.5  Inspection, examination and testing of physical evidence.
840.6  Priority of Board investigations.

    Authority:  Sec. 304(a)(1)(c), Independent Safety Board Act of 1974, 
as amended (49 U.S.C. 1903).



Sec. 840.1  Applicability.

    This part contains the Safety Board's accident notification 
requirements, and its authority for inspection, examination, and testing 
of physical evidence, and describes the exercise of the Safety Board's 
priority accorded to its activities when investigating railroad 
accidents.
[47 FR 49408, Nov. 1, 1982]



Sec. 840.2  Definitions.

    As used in this part, the following words or phrases are defined as 
follows:

[[Page 1020]]

    (a) Railroad means any system of surface transportation of persons 
or property over rails. It includes, but is not limited to, line-haul 
freight and passenger-carrying railroads, and rapid transit, commuter, 
scenic, subway, and elevated railways.
    (b) Accident means any collision, derailment, or explosion involving 
railroad trains, locomotives, and cars; or any other loss-causing event 
involving the operation of such railroad equipment that results in a 
fatality to a passenger or employee, or the emergency evacuation of 
persons.
    (c) Joint operations means rail operations conducted on a track used 
jointly or in common by two or more railroads subject to this part, or 
operation of a train, locomotive, or car by one railroad over the track 
of another railroad.
    (d) Fatality means the death of a person either at the time an 
accident occurs or within 24 hours thereafter.
[41 FR 13925, Apr. 1, 1976, as amended at 47 FR 49408, Nov. 1, 1982]



Sec. 840.3  Notification of railroad accidents.

    The operator of a railroad shall notify the Board by telephoning the 
National Response Center at telephone 800-424-0201 at the earliest 
practicable time after the occurrence of any one of the following 
railroad accidents:
    (a) No later than 2 hours after an accident which results in:
    (1) A passenger or employee fatality or serious injury to two or 
more crewmembers or passengers requiring admission to a hospital;
    (2) The evacuation of a passenger train;
    (3) Damage to a tank car or container resulting in release of 
hazardous materials or involving evacuation of the general public; or
    (4) A fatality at a grade crossing.
    (b) No later than 4 hours after an accident which does not involve 
any of the circumstances enumerated in paragraph (a) of this section but 
which results in:
    (1) Damage (based on a preliminary gross estimate) of $150,000 or 
more for repairs, or the current replacement cost, to railroad and 
nonrailroad property; or
    (2) Damage of $25,000 or more to a passenger train and railroad and 
nonrailroad property.
    (c) Accidents involving joint operations must be reported by the 
railroad that controls the track and directs the movement of trains 
where the accident has occurred.
    (d) Where an accident for which notification is required by 
paragraph (a) or (b) of this section occurs in a remote area, the time 
limits set forth in that paragraph shall commence from the time the 
first railroad employee who was not at the accident site at the time of 
its occurrence has received notice thereof.
[53 FR 49152, Dec. 6, 1988]



Sec. 840.4  Information to be given in notification.

    The notice required by Sec. 840.3 shall include the following 
information:
    (a) Name and title of person reporting.
    (b) Name of railroad.
    (c) Location of accident (relate to nearest city).
    (d) Time and date of accident.
    (e) Description of accident.
    (f) Casualties:
    (1) Fatalities.
    (2) Injuries.
    (g) Property damage (estimate).
    (h) Name and telephone number of person from whom additional 
information may be obtained.
[41 FR 13925, Apr. 1, 1976]



Sec. 840.5  Inspection, examination and testing of physical evidence.

    (a) Any employee of the Safety Board, upon presenting appropriate 
credentials is authorized to enter any property wherein a transportation 
accident has occurred or wreckage from any such accident is located and 
do all things necessary for proper investigation, including examination 
or testing of any vehicle, rolling stock, track, or any part of any part 
of any such item when such examination or testing is determined to be 
required for purposes of such investigation.
    (b) Any examination or testing shall be conducted in such a manner 
so as not to interfere with or obstruct unnecessarily the transportation 
services

[[Page 1021]]

provided by the owner or operator of such vehicle, rolling stock, or 
track, and shall be conducted in such a manner so as to preserve, to the 
maximum extent feasible, any evidence relating to the transportation 
accident, consistent with the needs of the investigation and with the 
cooperation of such owner or operator. The employee may inspect, at 
reasonable times, records, files, papers, processes, controls, and 
facilities relevant to the investigation of such accident. Each 
inspection shall be commenced and completed promptly and the results of 
such inspection, examination, or test made available to the parties.
[47 FR 49408, Nov. 1, 1982]



Sec. 840.6  Priority of Board investigations.

    Any investigation of an accident conducted by the Safety Board shall 
have priority over all other investigations of such accident conducted 
by other Federal agencies. The Safety Board shall provide for the 
appropriate participation by other Federal agencies in any such 
investigation, except that such agencies may not participate in the 
Safety Board's determination of the probable cause of the accident. 
Nothing in this section impairs the authority of other Federal agencies 
to conduct investigations of an accident under applicable provisions of 
law or to obtain information directly from parties involved in, and 
witnesses to, the transportation accident. The Safety Board and other 
Federal agencies shall assure that appropriate information obtained or 
developed in the course of their investigations is exchanged in a timely 
manner.
[47 FR 49408, Nov. 1, 1982]



PART 845--RULES OF PRACTICE IN TRANSPORTATION; ACCIDENT/INCIDENT HEARINGS AND REPORTS--Table of Contents




Sec.
845.1  Applicability.
845.2  Nature of hearing.
845.3  Sessions open to the public.

                      Subpart A--Initial Procedure

845.10  Determination to hold hearing.
845.11  Board of inquiry.
845.12  Notice of hearing.
845.13  Designation of parties.

                      Subpart B--Conduct of Hearing

845.20  Powers of chairman of board of inquiry.
845.21  Hearing officer.
845.22  Technical panel.
845.23  Prehearing conference.
845.24  Right of representation.
845.25  Examination of witnesses.
845.26  Evidence.
845.27  Proposed findings.
845.28  Stenographic transcript.
845.29  Payment of witnesses.

                        Subpart C--Board Reports

845.40  Accident report.
845.41  Petitions for reconsideration or modification.

                        Subpart D--Public Record

845.50  Public docket.
845.51  Investigation to remain open.

    Authority:  Title VII, Federal Aviation Act of 1958, as amended (49 
U.S.C. 1441 et seq.); and the Independent Safety Board Act of 1974, Pub. 
L. 93-633, 88 Stat. 2166 (49 U.S.C. 1901 et seq.).

    Source:  44 FR 34419, June 14, 1979, unless otherwise noted.



Sec. 845.1  Applicability.

    Unless otherwise specifically ordered by the National Transportation 
Safety Board (Board), the provisions of this part shall govern all 
transportation accident investigation hearings conducted under the 
authority of section 304(b) of the Independent Safety Board Act of 1974 
(49 U.S.C. 1903(b)) and accident reports issued by the Board.



Sec. 845.2  Nature of hearing.

    Transportation accident hearings are convened to assist the Board in 
determining cause or probable cause of an accident, in reporting the 
facts, conditions, and circumstances of the accident, and in 
ascertaining measures which will tend to prevent accidents and promote 
transportation safety. Such hearings are factfinding proceedings with no 
formal issues and no adverse parties and are not subject to the

[[Page 1022]]

provisions of the Administrative Procedure Act (Pub. L. 89-554, 80 Stat. 
384 (5 U.S.C. 554)).
[44 FR 34419, June 14, 1979; 44 FR 39181, July 5, 1979]



Sec. 845.3  Sessions open to the public.

    (a) All hearings shall normally be open to the public (subject to 
the provision that any person present shall not be allowed at any time 
to interfere with the proper and orderly functioning of the board of 
inquiry).
    (b) Sessions shall not be open to the public when evidence of a 
classified nature or which affects national security is to be received.



                      Subpart A--Initial Procedure



Sec. 845.10  Determination to hold hearing.

    The Board may order a public hearing as part of an accident 
investigation whenever such hearing is deemed necessary in the public 
interest: Provided, that if a quorum of the Board is not immediately 
available in the event of a catastrophic accident, the determination to 
hold a public hearing may be made by the Chairman of the Board.



Sec. 845.11  Board of inquiry.

    The board of inquiry shall consist of a Member of the Board who 
shall be chairman of the board of inquiry, and such other employees as 
may be designated by the chairman of the board of inquiry. Assignment of 
a Member to serve as the chairman of each board of inquiry shall be 
determined by the Board. The board of inquiry shall examine witnesses 
and secure, in the form of a public record, all known facts pertaining 
to the accident or incident and surrounding circumstances and conditions 
from which cause or probable cause may be determined and recommendations 
for corrective action may be formulated.
[49 FR 32853, Aug. 17, 1984]



Sec. 845.12  Notice of hearing.

    The chairman of the board of inquiry shall designate a time and 
place for the hearing which meets the needs of the Board. Notice to all 
known interested persons shall be given.



Sec. 845.13  Designation of parties.

    (a) The chairman of the board of inquiry shall designate as parties 
to the hearing those persons, agencies, companies, and associations 
whose participation in the hearing is deemed necessary in the public 
interest and whose special knowledge will contribute to the development 
of pertinent evidence. Parties shall be represented by suitable 
qualified technical employees or members who do not occupy legal 
positions.
    (b) No party shall be represented by any person who also represents 
claimants or insurers. Failure to comply with this provision shall 
result in loss of status as a party.
[44 FR 34419, June 14, 1979, as amended at 51 FR 7278, Mar. 3, 1986]



                      Subpart B--Conduct of Hearing



Sec. 845.20  Powers of chairman of board of inquiry.

    The chairman of the board of inquiry, or his designee, shall have 
the following powers:
    (a) To designate parties to the hearing and revoke such 
designations;
    (b) To open, continue, or adjourn the hearing;
    (c) To determine the admissibility of and to receive evidence and to 
regulate the course of the hearing;
    (d) To dispose of procedural requests or similar matters; and
    (e) To take any other action necessary or incident to the orderly 
conduct of the hearing.
[44 FR 34419, June 14, 1979; 44 FR 39181, July 5, 1979]



Sec. 845.21  Hearing officer.

    The hearing officer, upon designation by the Chairman of the Board, 
shall have the following powers:
    (a) To give notice concerning the time and place of hearing;
    (b) To administer oaths and affirmations to witnesses; and
    (c) To issue subpenas requiring the attendance and testimony of 
witnesses and production of documents.



Sec. 845.22  Technical panel.

    The Director, Bureau of Accident Investigation, or the Director, 
Bureau of

[[Page 1023]]

Field Operations, shall designate members of the Board's technical staff 
to participate in the hearing and initially develop the testimony of 
witnesses.
[49 FR 32853, Aug. 17, 1984]



Sec. 845.23  Prehearing conference.

    (a) Except as provided in paragraph (d) of this section for 
expedited hearings, the chairman of the board of inquiry shall hold a 
prehearing conference with the parties to the hearing at a convenient 
time and place prior to the hearing. At such prehearing conference, the 
parties shall be advised of the witnesses to be called at the hearing, 
the areas in which they will be examined, and the exhibits which will be 
offered in evidence.
    (b) Parties shall submit at the prehearing conference copies of any 
additional documentary exhibits they desire to offer. (Copies of all 
exhibits proposed for admission by the board of inquiry and the parties 
shall be furnished to the board of inquiry and to all parties, insofar 
as available at that time.)
    (c) A party who, at the time of the prehearing conference, fails to 
advise the chairman of the board of inquiry of additional exhibits he 
intends to submit, or additional witnesses he desires to examine, shall 
be precluded from introducing such evidence unless the chairman of the 
board of inquiry determines for good cause shown that such evidence 
should be admitted.
    (d) Expedited hearings. When time permits, the chairman of the board 
of inquiry may hold a prehearing conference. In the event that an 
expedited hearing is held, the requirements in paragraphs (b) and (c) of 
this section concerning the identification of witnesses, exhibits or 
other evidence may be waived by the chairman of the board of inquiry.



Sec. 845.24  Right of representation.

    Any person who appears to testify at a public hearing shall be 
accorded the right to be accompanied, represented, or advised by counsel 
or by any other duly qualified representative.



Sec. 845.25  Examination of witnesses.

    (a) Witnesses shall be initially examined by the board of inquiry or 
its technical panel. Following such examination, parties to the hearing 
shall be given the opportunity to examine such witnesses.
    (b) Materiality, relevancy, and competency of witness testimony, 
exhibits, or physical evidence shall not be the subject of objections in 
the legal sense by a party to the hearing or any other person. Such 
matters shall be controlled by rulings of the chairman of the board of 
inquiry on his own motion. If the examination of a witness by a party is 
interrupted by a ruling of the chairman of the board of inquiry, 
opportunity shall be given to show materiality, relevancy, or competency 
of the testimony or evidence sought to be elicited from the witness.



Sec. 845.26  Evidence.

    The chairman of the board of inquiry shall receive all testimony and 
evidence which may be of aid in determining the cause of accident. He 
may exclude any testimony or exhibits which are not pertinent to the 
investigation or are merely cumulative.



Sec. 845.27  Proposed findings.

    Any party may submit proposed findings to be drawn from the 
testimony and exhibits, a proposed probable cause, and proposed safety 
recommendations designed to prevent future accidents. The proposals 
shall be submitted within the time specified by the presiding officer at 
the close of the hearing, and shall be made a part of the public docket. 
Parties to the hearing shall serve copies of their proposals on all 
other parties to the hearing.
[48 FR 52740, Nov. 22, 1983]



Sec. 845.28  Stenographic transcript.

    A verbatim report of the hearing shall be taken. Copies of the 
transcript may be obtained by any interested person from the Board or 
from the court reporting firm preparing the transcript upon payment of 
the fees fixed therefor. (See part 801, Appendix--Fee Schedule.)



Sec. 845.29  Payment of witnesses.

    Any witness subpenaed to attend the hearing under this part shall be 
paid such fees for his travel and attendance

[[Page 1024]]

as shall be certified by the hearing officer.



                        Subpart C--Board Reports



Sec. 845.40  Accident report.

    (a) The Board will issue a detailed narrative accident report in 
connection with the investigation into those accidents which the Board 
determines to warrant such a report. The report will set forth the 
facts, conditions and circumstances relating to the accident and the 
probable cause thereof, along with any appropriate recommendations 
formulated on the basis of the investigation.
    (b) The probable cause and facts, conditions, and circumstances of 
all other accidents will be reported in a manner and form prescribed by 
the Board.



Sec. 845.41  Petitions for reconsideration or modification.

    (a) Petitions for reconsideration or modification of the Board's 
findings and determination of probable cause filed by a party to an 
investigation or hearing or other person having a direct interest in the 
accident investigation will be entertained only if based on the 
discovery of new evidence or on a showing that the Board's findings are 
erroneous. The petitions shall be in writing. Petitions which are 
repetitious of proposed findings submitted pursuant to Sec. 845.27, or 
of positions previously advanced, and petitions filed by a party to the 
hearing who failed to submit proposed findings pursuant to Sec. 845.27 
will not be entertained. Petitions based on the discovery of new matter 
shall: identify the new matter; contain affidavits of prospective 
witnesses, authenticated documents, or both, or an explanation of why 
such substantiation is unavailable; and state why the new matter was not 
available prior to Board's adoption of its findings. Petitions based on 
a claim of erroneous findings shall set forth in detail the grounds 
relied upon.
    (b) When a petition for reconsideration or modification is filed 
with the Board, copies of the petition and any supporting documentation 
shall be served on all other parties to the investigation or hearing and 
proof of service shall be attached to the petition. The other parties 
may file comments no later than 90 days after service of the petition.
    (c) Oral presentation before the Board normally will not form a part 
of proceedings under this part. However, the Board may permit oral 
presentation where a party or interested person makes an affirmative 
showing that the written petition for reconsideration or modification is 
an insufficient means to present the party's or person's position to the 
Board. Where oral presentation is allowed, the Board will specify the 
issues to be addressed and all parties to the investigation or hearing 
will be given notice and the opportunity to participate.
[48 FR 52740, Nov. 22, 1983]



                        Subpart D--Public Record



Sec. 845.50  Public docket.

    (a) The public docket shall include all factual information 
concerning the accident. Proposed findings submitted pursuant to 
Sec. 831.12 or Sec. 845.27 and petitions for reconsideration and 
modification submitted pursuant to Sec. 845.41, comments thereon by 
other parties, and the Board's rulings, shall also be placed in the 
public docket.
    (b) The docket shall be established as soon as practicable following 
the accident, and material shall be added thereto as it becomes 
available. Where a hearing is held, the exhibits will be introduced into 
the record at the hearing.
    (c) A copy of the docket shall be made available to any person for 
review at the Washington office of the Board. Copies of the material in 
the docket may be obtained, upon payment of the cost of reproduction, 
from the Public Inquiries Section, Bureau of Administration, National 
Transportation Safety Board, Washington, DC 20594.
[44 FR 34419, June 14, 1979, as amended at 48 FR 52740, Nov. 22, 1983]



Sec. 845.51  Investigation to remain open.

    Accident investigations are never officially closed but are kept 
open for the submission of new and pertinent evidence by any interested 
person. If the Board finds that such evidence is relevant and probative, 
it shall be made a

[[Page 1025]]

part of the docket and, where appropriate, parties will be given an 
opportunity to examine such evidence and to comment thereon.



PART 850--COAST GUARD--NATIONAL TRANSPORTATION SAFETY BOARD MARINE CASUALTY INVESTIGATIONS--Table of Contents




Sec.
850.1  Purpose.
850.3  Relationship to Coast Guard marine investigation regulations and 
          procedures.
850.5  Definitions.
850.10  Preliminary investigation by the Coast Guard.
850.15  Marine casualty investigation by the Board.
850.20  Cause or probable cause determinations from Board investigation.
850.25  Coast Guard marine casualty investigation for the Board.
850.30  Procedures for Coast Guard investigation.
850.35  Records of the Coast Guard and the Board.

    Authority:  Sec. 304(a)(1)(E), Independent Safety Board Act of 1974, 
Pub. L. 93-633, 88 Stat. 2168 (49 U.S.C. 1903).

    Source:  42 FR 61204, Dec. 1, 1977, unless otherwise noted.



Sec. 850.1  Purpose.

    This part prescribes the joint regulations of the National 
Transportation Safety Board and the Coast Guard for the investigation of 
marine casualties.
[47 FR 46089, Oct. 15, 1982]



Sec. 850.3  Relationship to Coast Guard marine investigation regulations and procedures.

    (a) The Coast Guard's responsibility to investigate marine 
casualties is not eliminated nor diminished by the regulations in this 
part.
    (b) In those instances where the Board conducts an investigation in 
which the Coast Guard also has responsibility under R.S. 4450 (46 U.S.C. 
239), the proceedings are conducted independently, but so as to avoid 
duplication as much as possible.



Sec. 850.5  Definitions.

    As used in this part:
    (a) Act means Title III of Pub. L. 93-633, the Independent Safety 
Board Act of 1974 (49 U.S.C. 1901, et seq.).
    (b) Board means the National Transportation Safety Board.
    (c) Chairman means the Chairman of the National Transportation 
Safety Board.
    (d) Commandant means the Commandant of the Coast Guard.
    (e) Major marine casualty means a casualty involving a vessel, other 
than a public vessel, that results in--
    (1) The loss of six or more lives;
    (2) The loss of a mechanically propelled vessel of 100 or more gross 
tons;
    (3) Property damage initially estimated as $500,000 or more; or
    (4) Serious threat, as determined by the Commandant and concurred in 
by the Chairman, to life, property, or the environment by hazardous 
materials.
    (f) Public vessel means a vessel owned by the United States, except 
a vessel to which the Act of October 25, 1919, c. 82 (41 Stat. 305, 46 
U.S.C. 363) applies.
    (g) Vessel of the United States means a vessel--
    (1) Documented, or required to be documented, under the laws of the 
United States;
    (2) Owned in the United States; or
    (3) Owned by a citizen or resident of the United States and not 
registered under a foreign flag.



Sec. 850.10  Preliminary investigation by the Coast Guard.

    (a) The Coast Guard conducts the preliminary investigation of marine 
casualties.
    (b) The Commandant determines from the preliminary investigation 
whether:
    (1) The casualty is a major marine casualty; or
    (2) The casualty involves a public and a nonpublic vessel and at 
least one fatality or $75,000 in property damage; or
    (3) The casualty involves a Coast Guard and a nonpublic vessel and 
at least one fatality or $75,000 in property damage; or
    (4) The casualty is a major marine casualty which involves 
significant safety issues relating to Coast Guard safety functions, 
e.g., search and rescue, aids to navigation, vessel traffic systems, 
commercial vessel safety, etc.

[[Page 1026]]

    (c) The Commandant notifies the Board of a casualty described in 
paragraph (b) of this section.
[42 FR 61204, Dec. 1, 1977, as amended at 47 FR 46089, Oct. 15, 1982]



Sec. 850.15  Marine casualty investigation by the Board.

    (a) The Board may conduct an investigation under the Act of any 
major marine casualty or any casualty involving public and nonpublic 
vessels. Where the Board determines it will convene a hearing in 
connection with such an investigation, the Board's rules of practice for 
transportation accident hearings in 49 CFR part 845 shall apply.
    (b) The Board shall conduct an investigation under the Act when:
    (1) The casualty involves a Coast Guard and a nonpublic vessel and 
at least one fatality or $75,000 in property damage; or
    (2) The Commandant and the Board agree that the Board shall conduct 
the investigation, and the casualty involves a public and a nonpublic 
vessel and at least one fatality or $75,000 in property damage; or
    (3) The Commandant and the Board agree that the Board shall conduct 
the investigation, and the casualty is a major marine casualty which 
involves significant safety issues relating to Coast Guard safety 
functions.
[47 FR 46090, Oct. 15, 1982]



Sec. 850.20  Cause or probable cause determinations from Board investigation.

    After an investigation conducted by the Board under Sec. 850.15, the 
Board determines cause or probable cause and issues a report of that 
determination.



Sec. 850.25  Coast Guard marine casualty investigation for the Board.

    (a) If the Board does not conduct an investigation under 
Sec. 850.15(a), (b)(2) or (3), the Coast Guard, at the request of the 
Board, may conduct an investigation under the Act unless there is an 
allegation of Federal Government misfeasance or nonfeasance.
    (b) The Board will request the Coast Guard to conduct an 
investigation under paragraph (a) of this section within 48 hours of 
receiving notice under Sec. 850.10(c).
    (c) The Coast Guard will advise the Board within 24 hours of receipt 
of a request under paragraph (b) of this section whether the Coast Guard 
will conduct an investigation under the Act.
[47 FR 46090, Oct. 15, 1982]



Sec. 850.30  Procedures for Coast Guard investigation.

    (a) The Coast Guard conducts an investigation under Sec. 850.25 
using the procedures in 46 CFR 4.01-1 through 4.23-1.
    (b) The Board may designate a person or persons to participate in 
every phase of an investigation, including on-scene investigation, that 
is conducted under the provisions of Sec. 850.25.
    (c) Consistent with Coast Guard responsibility to direct the course 
of the investigation, the person or persons designated by the Board 
under paragraph (b) of this section may:
    (1) Make recommendations about the scope of the investigation.
    (2) Call and examine witnesses.
    (3) Submit or request additional evidence.
    (d) The Commandant provides a record of the proceedings to the Board 
of an investigation of a major marine casualty under paragraph (a) of 
this section.
    (e) The Board, under the Act, makes its determination of the facts, 
conditions, and circumstances, and the cause or probable cause of a 
major marine casualty, using the record of the proceedings provided by 
the Commandant under paragraph (d) of this section and any additional 
evidence the Board may acquire under its own authority.
    (f) An investigation by the Coast Guard under this section is both 
an investigation under the Act and under R.S. 4450 (46 U.S.C. 239).



Sec. 850.35  Records of the Coast Guard and the Board.

    (a) Records of the Coast Guard made under Sec. 850.30 are available 
to the public under 49 CFR part 7.
    (b) Records of the Board made under Secs. 850.20 and 850.30 are 
available to the public under 49 CFR part 801.



PARTS 851--999 [RESERVED]



[[Page 1027]]


                              FINDING AIDS




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

  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.
  Material Approved for Incorporation by Reference
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1029]]

            Material Approved for Incorporation by Reference

                     (Revised as of October 1, 1997)

  The Director of the Federal Register has approved under 5 U.S.C. 
552(a) and 1 CFR Part 51 the incorporation by reference of the following 
publications. This list contains only those incorporations by reference 
effective as of the revision date of this volume. Incorporations by 
reference found within a regulation are effective upon the effective 
date of that regulation. For more information on incorporation by 
reference, see the preliminary pages of this volume.


49 CFR (PARTS 500-599)

NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION, DEPARTMENT OF 
TRANSPORTATION
  All materials are available from the Office of 
  Rulemaking, DOT-NHTSA, 400 7th St., SW., 
  Washington, DC 20590


American Association of Textile Chemists and Colorists

  Post Office Box 886, Durham, NC
AATCC Chart for Measuring Transference of Color...               571.209
Standard Test Method 8-1961 Colorfast to Crocking.               571.209
Standard Test Method 30-1957T Fungicides,                        571.209
  Evaluation of Textiles; Mildew and Rot 
  Resistence of Textiles: Section 1C1, Water 
  Leaching; Section 1C2, Volatilization; Section 
  1B3, Soil Burial Test.
Standard Test Method 107-1981 Colorfastness to                   571.209
  Water.
Geometric Gray Scale..............................               571.209


American National Standards Institute

  1430 Broadway, New York, NY 10018
ANSI Z26.1-1977 as suppl. by Z26.1a-80 Safety Code               571.205
  for Safety Glazing Materials for Glazing Motor 
  Vehicles Operating on Land Highways.


American Society of Mechanical Engineers (ASME)

  Service Center, 22 Law Drive, P.O. Box 2900, 
  Fairfield, NJ 07007, Telephone (610) 832-9585, 
  FAX (610) 832-9555
ASME Boiler and Pressure Vessel Code, Section IX,         571.5; 571.304
  Article II, QW-304 and QW-305 (1992).
ASME Boiler and Pressure Vessel Code, Section             571.5; 571.304
  VIII, UW-12 (1989).
ASME Boiler and Pressure Vessel Code, Section             571.5; 571.304
  VIII, U-1 through U-3, and UW-51 through UW-53 
  (1989).


American Society for Testing and Materials (ASTM)

  100 Barr Harbor Drive, West Conshohocken, PA, 
  19428-2959, Telephone (610) 832-9585, FAX (610) 
  832-9555
ASTM 1003-61 Haze and Luminous Transmittance of                  571.108
  Transparent Plastic.
ASTM A 166-61T Tentative Specifications for             571.208; 571.209
  Electrodeposited Coatings of Nickel and Chromium 
  on Steel.
ASTM A 505-87, Standard Specification for Steel,          571.5; 571.304
  Sheet and Strip, Alloy, Hot-Rolled and Cold-
  Rolled, General Requirements for.
ASTM A 255-89, Standard Method for End-Quench Test        571.5; 571.304
  for Hardenability of Steel.
ASTM B 117-73 Standard Method of Salt Spray (fog)     571.106; 571.125; 
  Testing.                                                       571.209

[[Page 1030]]

ASTM B 456-79 Standard Specification for                         571.209
  Electrodeposited Coatings of Copper Plus Nickel 
  Plus Chromium and Nickel Plus Chronium.
ASTM C 150-77 Standard Specification for Portland                571.108
  Cement.
ASTM D 362-84 Standard Specification for                571.108; 571.205
  Industrial Grade Toluene.
ASTM D 445-65 Standard Method of Test for                        571.116
  Viscosity of Transparent and Opaque Liquids 
  (Kinematic and Dynamic Viscosity), Appendix 1.
ASTM D 471-64T Tentative Method of Test for Change               571.106
  in Properties of Elastomeric Volcanizates 
  Resulting from Immersion in Liquids.
ASTM D 484-71 Standard Specifications for                        571.301
  Hydrocarbon Dry Cleaning Solvent.
ASTM D 523-62T Tentative Method of Test for                      571.107
  Specular Glass.
ASTM D 756-78 Standard Practice for Determination                571.209
  of Weight and Shape Changes of Plastics Under 
  Accelerated Service Conditions.
ASTM D 1056-73 Standard Specifications for                       571.213
  Flexible Cellular Materials Sponge or Expanded 
  Rubber.
ASTM D 1121-67 Standard Method of Test for Reserve               571.116
  Alaklinity of Engine Antifreezes and Antirusts, 
  Appendix A1.1, A1.2, and A1.3.
ASTM D 1123-59 Standard Method of Test for Water                 571.116
  in Concentrated Engine Anti-Freezes by the 
  Iodine Reagent Method.
ASTM D 1193-70 Standard Specifications for Reagent               571.116
  Water.
ASTM D 1415-68 Tentative Method of Test for                      571.116
  International Hardness of Volcanized Natural and 
  Synthetic Rubbers.
ASTM D 1564-71 Standard Method of Testing Flexible               571.213
  Cellular Materials--Slab Urethane Foam.
ASTM D 1565-76 Standard Specifications for                       571.213
  Flexible Cellular Materials--Vinyl Chloride 
  Polymers and Copolymers (Open-Cell Foam).
ASTM D 2343-67, (Reapproved 1985), Standard Test          571.5; 571.304
  Method for Tensile Properties of Glass Fiber 
  Strands, Yarns, and Rovings Used in Reinforced 
  Plastics.
ASTM D 2344-84, (Reapproved 1989), Standard Test          571.5; 571.304
  Method for Apparent Interlaminar Shear Strength 
  of Parallel Fiber Composites by Short-Beam 
  Method.
ASTM D 2515-66 Standard Specifications for                       571.116
  Kinematic Glass Viscosity.
ASTM E 1-68 Standard Specifications for ASTM                     571.116
  Thermometers.
ASTM E 4-64 Methods of Verification of Testing          571.106; 571.209
  Machines.
ASTM E 4-72 Methods of Verification of Testing                   571.221
  Machines.
ASTM E 4-79 Standard Methods of Load Verification                571.209
  of Testing Machines.
ASTM E 8-93, Standard Test Methods for Tension            571.5; 571.304
  Testing of Metallic Materials.
ASTM E 77-66 Standard Method for Inspection, Test                571.116
  and Standardization of Liquid-in-Glass 
  Thermometers.
ASTM E 274-65T Skid Resistance of Pavements Using       571.208; 571.301
  a Two Wheel Trailer.
ASTM E 274-79 Standard Test Method for Skid           571.105; 571.116; 
  Resistance of Paved Surfaces Using a Full-Scale                575.104
  Tire.
ASTM E 298-68 Standard Methods for Assay of                      571.116
  Organic Peroxides.
ASTM E 501-76 Standard Tire for Pavement Skid      575.104(f)(1)(ii) and 
  Resistance Tests.                                                (vii)

[[Page 1031]]

ASTM F 377-74 Standard Method for Calibration of        575.104(f)(1)(v)
  Braking Force for Testing of Pneumatic Tires.
ASTM G 23-81 Standard Practice for Operating Light               571.209
  Exposure Apparatus (Carbon Arc Type) with and 
  without Water for Exposure of Nonmetallic 
  Materials.
1985 Annual Book of ASTM Standards, Vol. 5.04,          571.108; 571.205
  ``Motor Fuels'', Section I, A2.3.2, A2.3.3. and 
  A2.7 in Annex 2.


General Motors Corporation

  c/o Docket 74-14, Docket Section, National 
  Highway Traffic Safety Administration, Room 
  5109, 400 Seventh Street, S.W., Washington, DC 
  20590
The Anthropomorphic Test Dummy Parts List, dated               572.31(a)
  December 15, 1987, and a Parts List Index, dated 
  December 15, 1987.
The Anthromorphic Test Dummy Parts List, dated                 572.31(a)
  April 22, 1986.
The Anthromorphic Test Dummy Parts List, dated                 572.31(a)
  September 9, 1996.
A listing of Optional Hybrid III Dummy                         572.31(a)
  Transducers, dated April 22, 1986.
A General Motors Drawing Package identified by GM              572.31(a)
  drawing No. 78051-218 revision R and subordinate 
  drawings.
A General Motors Drawing Package identified by GM              572.31(a)
  drawing No. 78051-218 revision S, ``Hybrid III 
  Anthromorphic Test Dummy'', dated May 20, 1978.
Drawing No. 78051-55, ``Instrumentation Assembly -              Part 572
  Pelvic Accelerometer'', dated August 2, 1979.
Drawing No. 78051-61, Revision T, ``Head                        Part 572
  Assembly'', complete, dated May 20, 1978.
Drawing No. 78051-70 , Revision E, ``Lower Torso                Part 572
  Assembly'', complete, dated August 20, 1996.
Drawing No. 78051-89, Revision K, ``Upper Torso                 Part 572
  Assembly'', complete, dated May 20, 1978.
Drawing No. 78051-90, Revision A, ``Neck                        Part 572
  Assembly'', complete, dated May 20, 1978.
Drawing No. 78051-123, Revision D, ``Arm                        Part 572
  Assembly'', complete, dated May 20, 1978.
Drawing No. 78051-124, Revision D, ``Arm                        Part 572
  Assembly'', complete, dated May 20, 1978.
Drawing 86-5001-001, Revision A, ``Leg Assembly'',              Part 572
  complete, dated March 26, 1996.
Drawing 86-5001-002, Revision A, ``Leg Assembly'',              Part 572
  complete, dated March 26, 1996.
A General Motors Drawing No. 78051-218, Revision          572.31; 572.34
  T, ``Hybrid III Anthromorphic Test Dummy'', 
  dated May 20, 1978.
Disassembly, Inspection, Assembly and Limbs                    572.31(a)
  Adjustment Procedures for the Hybrid III dummy, 
  dated July 15, 1986.
Disassembly, Inspection, Assembly and Limbs                    572.31(a)
  Adjustment Procedures for the Hybrid III dummy, 
  dated September 1996.
Disassembly, Inspection, Assembly and Limbs                    572.31(a)
  Adjustment Procedures for the Hybrid III dummy, 
  dated April 1997.
Sign Convention for the signal outputs of Hybrid               572.31(a)
  III dummy transducers, dated July 15, 1986.
Exterior Dimensions of the Hybrid III dummy, dated             572.31(a)
July 15, 1986.
[[Page 1032]]

General Services Administration

  Superintendent of Documents, U.S. Government 
  Printing Office, Washington, DC 20402, Telephone 
  202-512-1800
Federal Specification L-S-300 1965, Sheeting and                 571.108
  Tape Reflective: Nonexposed Lens, Adhesive 
  Backing.


Illuminating Engineering Society of North America

  345 East 47th St., New York, NY 10017
LM-45 IES Approved Method for Electrical and                     571.108
  Photometric Measurements of General Service 
  Incandescent Filament Lamps (April 1980).


National Aeronautics and Space Administration

  600 Independence Ave., SW., Washington, DC 20546
NASA NAS 3-6292, Computer Program for the Analysis        571.5; 571.304
  of Filament-Reinforced Metal-Shell Pressure 
  Vessels (May 1966).


Department of Defense

  DODSSP Standardization Document Order Desk, 700 
  Robbins Ave., Bldg , Philadelphia, PA 19111-5098
Military Specifications:
  MIL-S-13192, Shoes, Men's, Dress, 1976................571.208; 571.214


National Health Survey Data

  Superintendent of Documents, U.S. Government 
  Printing Office, Washington, DC 20402, Telephone 
  202-512-1800
5th Percentile adult female and 95th Percentile                    571.3
  adult male: Public Health Service Pub. No. 1000, 
  Series 11, No. 8, ``Weight, Height, and Selected 
  Body Dimensions of Adults'', 1965.


National Highway Traffic Safety Administration

  Office of Vehicle Safety Standards, DOT-NHTSA, 
  400 7th St. SW., Washington, DC 20590
Drawing Package, SAS-100-1000, Standard Seat                     571.213
  Assembly with Addendum A, Seat Base weldment, 
  dated July 1, 1993.
A User's Manual entitled ``Free-Motion Headform       572.100; 572.101, 
  User's Manual,'' version 2, March 1995.                        572.103


Reprographic Technologies

  9000 Virginia Manor Rd., Beltsville, MD 20705, 
  Telephone (301) 210-5600, FAX (301) 210-5607
Drawings and Specifications:
  SA 150 M010--Head Assembly, 1973..............................Part 572
SA 150 M020--Neck Assembly, 1973..................              Part 572
SA 150 M030--Shoulder-thorax Assembly, 1973.......              Part 572
SA 150 M050--Lumbar Spine Assembly, 1973..........              Part 572
SA 150 M060--Pelvis and Abdomen Assembly, 1973....              Part 572
SA 150 M070--Right Arm Assembly, 1973.............              Part 572
SA 150 M071--Left Arm Assembly, 1973..............              Part 572
SA 150 M080--Right Leg Assembly, 1973.............              Part 572
SA 150 M081--Left Leg Assembly, 1973..............              Part 572
Operation and Maintenance Manual for Three Year                 Part 572
  Old Test Dummy, SA 103C, Contract No. DOT-HS-6-
  01294, dated May 28, 1976.
SA 103C 010 Head Assembly, 1976...................              Part 572
SA 103C 020 Neck Assembly, 1976...................              Part 572
SA 103C 030 Torso Assembly, 1976..................              Part 572
SA 103C 141 Upper Arm Assembly Left, 1976.........              Part 572
SA 103C 142 Upper Arm Assembly Right, 1976........              Part 572
SA 103C 051 Forearm Hand Assembly Left, 1976......              Part 572

[[Page 1033]]

SA 103C 052 Forearm Hand Assembly Right, 1976.....              Part 572
SA 103C 061 Upper Leg Assembly Left, 1976.........              Part 572
SA 103C 062 Upper Leg Assembly Right, 1976........              Part 572
SA 103C 071 Lower Leg Assembly Left, 1976.........              Part 572
SA 103C 072 Lower Leg Assembly Right, 1976........              Part 572
SA 103C 081 Foot Assembly Left, 1976..............              Part 572
SA 103C 082 Foot Assembly Right, 1976.............              Part 572
AGARD-AR-330 Hybrid III Dummy Transducers list,                   572.31
  Anthropomorphic Dummies for Crash and Escape 
  System Testing, Chapter 6, table 6-2, North 
  Atlantic Treaty Organization, July 1996.
Construction of an Infant Dummy (Mark II) for                   Part 572
  Dynamic Tests of Crash Restraint Systems, July 
  2, 1974.
SA 106, C001, C010, C020, C030, C041, C042, C050,               Part 572
  C060, C071 and C072 establishing specifications 
  for an anthropomorphic test dummy representing a 
  6-year old child.
SA 106C 001, ``Crash Test Dummy Ass'y. 6 Yr. Old        572.71; 572.74; 
  Child'', sheets 1 through 7, released July 11,                  572.78
  1997, technical drawings and specifications, 
  parts list package, and list of measurement 
  definitions (``Landmark Definitions'' (sheet 18) 
  for anthropomorphic test dummy representing 6-
  year-old child.
SA 106C 010, Revision A (sheet 8) Head Assembly,                Part 572
  1989.
SA 106C 020, Revision A (sheet 9) Neck Assembly,                Part 572
  1989.
SA 106C 030, Revision C (sheet 10) Thorax                       Part 572
  Assembly, 1996 (including 6C-1610-1 through -4 
  Screw Button Head Socket, 1996, and 6C-1021 
  Ballast, 6-year-old Thoraxc [for 7267A], 1996).
SA 106C 030, Revision D (sheet 11) Thorax                       Part 572
  Assembly, 1996 (including 6C-909, Revision A, 
  Cover-chest Accelerometer, 1996 and 6C-1000-1, 
  Revision C, Sternum Thoracic Weld Ass'y., 1996).
SA 106C 041, Revision A (sheet 14) Arm Assembly,                Part 572
  Right, 1989.
SA 106C 042, Revision A (sheet 15) Arm Assembly,                Part 572
  Left, 1989.
SA 106C 050, Revision A (sheet 12) Lumbar Spine                 Part 572
  Assembly, 1989.
SA 106C 060, Revision A (sheet 13) Pelvis                       Part 572
  Assembly, 1989.
SA 106C 071, Revision B (sheet 16) Leg Assembly,                Part 572
  Right, 1995.
SA 106C 072, Revision B (sheet 17) Leg Assembly,                Part 572
  Left, 1995.
User's Manual entitled ``Six-Year-Old Size Child                Part 572
  Test Dummy SA106C,'' October 28, 1991.
LP 1049/1 through 1049/54, dummy components and                 Part 572
  parts.
LP 1049/A, March 1979, assembled dummy with its                 Part 572
  major components.
LP 1049/0 parts list (5 sheets), index............              Part 572
The TNO P3/4, Child Dummy Users Manual, January                 Part 572
  1979, Instituut voor Wegtransportmiddelen TNO.
SA 1001, 1974.....................................              Part 572
FIR100 Filter Program, Version 1.0, dated July 16,                572.44
  1990.
Side Impact Moving Deformable Barrier Drawings,                    587.6
  DSL-1279, 1280, 1281, 1284, and 1286 dated Aug. 
  20, 1980; DSL 1278; 1283, 1285, 1287, and 1290 
  dated October 1991.
Drawing numbers 126-0000 through 126-0015 (sheets    Part 572, subpart K
1 through 3), 126-0017 through 126-0027, and a 
[[Page 1034]]`Parts List for CAMI Newborn 
  Dummy'', Construction of the Newborn Infant 
Dummy Assembly drawings SID-M001A revision A, SID-                572.41
  M001 revision B, SA-SID-M030 revision A, SA-SID-
  050 revision A, SA-SID-M060 revision A, SA-SID-
  087 sheet 1 revision H and SA-SID-087 sheet 2 
  revision H, all dated May 18, 1994; and the 
  User's Manual dated May 1994.
Drawing SA-SID-M001A revision A dated May 18, 1994  572.42(a); 572.43(a)
Drawing SID-005 revision F dated May 18, 1994.....          572.44(b)(1)
Drawing SID-087 revision H dated May 18, 1994.....             572.44(c)
The ``Free Motion Headform Drawing Package''          572.100, 572.101; 
  consisting of the following drawings.                 572.102; 572.103
  Drawing number 92041-001 titled ``Head Form                           
  Assembly,'' dated November 30, 1992.
  Drawing number 92041-002 titled, ``Skull                              
  Assembly,'' dated November 30, 1992.
  Drawing number 92041-003 titled, ``Skull Cap                          
  Plate Assembly,'' dated November 30, 1992.
  Drawing number 92041-004 titled, ``Skull Cap                          
  Plate,'' dated November 30, 1992.
  Drawing number 92041-005 titled, ``Threaded                           
  Pin,'' dated November 30, 1992.
  Drawing number 92041-006 titled, ``Hex Nut,''                         
  dated November 30, 1992.
  Drawing number 92041-008 titled, ``Head Skin                          
  without Nose,'' dated November 30, 1992, as 
  amended March 6, 1995.
  Drawing number 92041-009 titled, ``Six-Axis Load                      
  Cell Simulator Assembly,'' dated November 30, 
  1992.
  Drawing number 92041-011 titled, ``Head Ballast                       
  Weight,'' dated November 30, 1992.
  Drawing number 92041-018, ``Head Form Bill of                         
  Materials,'' dated November 30, 1992.
  Drawing number 78051-148, titled ``Skull-Head                         
  (cast) Hybrid III,'' dated May 20, 1978, as 
  amended August 17, 1978.
  Drawing number 78051-228/78051-229 titled,                            
  ``Skin-Hybrid III,'' dated May 20, 1978 as 
  amended through September 24, 1979.
  Drawing number 78051-339 titled, ``Pivot Pin--                        
  Neck Transducer,'' dated May 20, 1978, as 
  amended May 14, 1986.
  Drawing number 78051-372 titled, ``Vinyl Skin                         
  Formulation Hybrid III,'' dated May 20, 1978.
  Drawing number C-1797, ``Neck Blank, dated                            
  August 1, 1989.
  Drawing number SA572-S4, titled ``Accelerometer                       
  Specification,'' dated November 30, 1992.


Society of Automotive Engineers

  455 Lexington Avenue, New York, NY 10017
SAE J186a Supplemental High Mounted Stop and Rear                571.108
  Turn Signal Lamps, September 1977.
SAE J211-1980 Instrumentation for Impact Tests....  571.218; 572.36(i); 
                                                                  572.44
SAE J211-1995 Implementation for Impact Tests -                   572.36
  Parts 1 and 2.
SAE J211/1-1995 Instrumentation for Impact Tests -               571.208
  Part 1, Electronic Instrumentation.
SAE J211a-1971 Instrumentation for Impact Tests...      571.213; 571.222
SAE J222-1970 Parking Lamps (Position Lamps)......               571.108
SAE J387-NOV 1987 Terminology-Motor Vehicle                     Part 571
Lighting.
[[Page 1035]]

SAE J449a-1963 Surface Texture Control............           581.6(b)(1)
SAE J527-1967 Brazed Double Wall Low Carbon Steel                571.116
  Tubing.
SAE J564a-1964 Headlamp Beam Switching............               571.108
SAE J565b-1969 Semi-Automatic Headlamp Beam                      571.108
  Switching Devices.
SAE J566-1960 Headlamp Mountings..................               571.108
SAE J567b-1970 Bulb Sockets.......................               571.108
SAE J571d-1976 Dimensional Specification for                     571.108
  Sealed Beam Headlamp Units.
SAE J573d-1968 Lamp Bulbs and Sealed Units........               571.108
SAE J575, July 1983, Tests for Motor Vehicle                     571.131
  Lighting Devices and Components.
SAE J575d-1967 Test for Motor Vehicle Lighting                   571.108
  Devices and Components.
SAE J575e-1970 Test for Motor Vehicle Lighting                   571.108
  Devices and Components.
SAE J576b-1966 Plastic Materials for Use in                      571.108
  Optical Parts, such as Lenses and Reflectors, of 
  Motor Vehicle Lighting Devices.
SAE J576c-1970 Plastic Materials for Use in                      571.108
  Optical Parts, such as Lenses and Reflectors, of 
  Motor Vehicle Lighting Devices.
SAE J578, May 1988, Color Specification...........               571.131
SAE J578a-1966 Color Specification for Electric                  571.108
  Signal Lighting Devices.
SAE J578c-1977 Color Specification for Electric                  571.108
  Signal Lighting Devices.
SAE J579-1984 Sealed Beam Headlamp Units for Motor               571.108
  Vehicles.
SAE J579c-1978 Sealed Beam Headlamp Units for                    571.108
  Motor Vehicles.
SAE J580b-1974 Sealed Beam Headlamp Assembly......               571.108
SAE J580-1986 Sealed Beam Headlamp Assembly.......               571.108
SAE J584-1964 Motorcycle and Motor Driven Cycle                  571.108
  Headlamps.
SAE J585d-1970 Tail Lamps (Rear Position Light)...               571.108
SAE J585e-1977 Tail Lamps (Rear Position Lamps)...               571.108
SAE J586b-1966 Stop Lamps.........................               571.108
SAE J586c-1970 Stop Lamps.........................               571.108
SAE J586 FEB84 Stop Lamps for Use on Motor                       571.108
  Vehicles Less than 2032 mm in Overall Width.
SAE J587-1981 License Plate Lamps (Rear                          571.108
  Registration Plate Lamps).
SAE J588d-1966 Turn Signal Lamps..................               571.108
SAE J588e-1970 Turn Signal Lamps..................               571.108
SAE J588 NOV84 Turn Signal Lamps for Use on Motor                571.108
  Vehicles Less than 2032 mm in Overall Width.
SAE J589-1964 Turn Signal Switch..................               571.108
SAE J590b-1965 Automotive Turn Signal Flashers....               571.108
SAE J592-1992 Clearance, Side Marker and                         571.121
  Identification Lamps.
SAE J592e-1972 Clearance, Side Marker and               571.108; 571.121
  Identification Lamps.
SAE J593c-1968 Backup Lamps.......................               571.108
SAE J594f-1977 Reflex Reflectors..................               571.108
SAE J599b-1970 Lighting Inspection Code...........              581.5(c)
SAE J599c-1973 Lighting Inspection Code...........               571.108
SAE J602-1980 Headlamps Aiming Device for                        571.108
  Mechanically Aimable Sealed Beam Headlamp Units.
SAE J602a-1970 Headlamp Aiming Device for                       581.5(c)
Mechanically Aimable Sealed Beam Headlamp Units.
[[Page 1036]]

SAE J673a-1967 Automotive Glazing.................               571.205
SAE J726a-1962 Recommended Practice, Air Cleaner                 571.209
  Test Code.
SAE J759-1995 Recommended Practice, Lighting                     571.121
  Identification Code.
SAE J787(b) 1966 Motor Vehicle Seat Belt Anchorage                 571.3
SAE J800b-1965 Recommended Practice, Motor Vehicle               571.209
  Seat Belt Installations.
SAE J826-1980 Devices for Use in Defining Vehicle       571.3; 571.108; 
  Seating Accommodations.                               571.208; 571.214
SAE J826-May 87 Devices for Use in Defining and                  571.210
  Measuring Vehicle Seating Accomodation.
SAE J839b-1965 Passenger Car Side Door Latch            571.201; 571.206
  System.
SAE J843a-1966 Brake System Road Test Code--               575.101(e)(2)
  Passenger.
SAE J885a-1966 Human Tolerance to Impact                         571.208
  Conditions as Related to Motor Vehicle Design.
SAE J887-1964 School Bus Red Signal Lamps.........               571.108
SAE J902-1964 Recommended Practice, Passenger Car                571.103
  Windshield Defrosting Systems.
SAE J902a-1967 Passenger Car Windshield Defrosting               571.103
  Systems.
SAE J903a-1966 Passenger Car Windshield Wiper                    571.104
  Systems.
SAE J910-1966 Vehicle Hazard Warning Signal                      571.108
  Flasher.
SAE J921-1965 Recommended Practice, Instrument                   571.201
  Panel Laboratory Impact Test Procedure.
SAE J934-1965 Recommended Practice Vehicle                       571.206
  Passenger Door Hinge Systems.
SAE J941-1965 Passenger Car Driver's Eye Range....      571.104; 571.107
SAE J942-1965 Passenger Car Windshield Washer                    571.104
  System.
SAE J944-JUN80 Steering Control System-Passenger                 571.203
  Car-Laboratory Test Procedure.
SAE J945b-1966 Vehicular Hazard Warning Signal                   571.108
  Flashers.
SAE J964a-1974 Test Procedure for Determining                    571.111
  Reflectivity of Rear View Mirrors.
SAE J972-1966 Moving Barrier Collision Test.......               571.105
SAE J977-1966 Instrumentation for Laboratory                     571.201
  Impact Tests.
SAE J1100a Motor Vehicle Demensions...............                 571.3
SAE J1100 JUN84 Motor Vehicle Dimensions..........               571.210
SAE J1132-1976 Sealed Beam Headlamp Units.........               571.108
SAE J1133, April 1984, School Bus Stop Arm........               571.131
SAE J1383-1985 Performance Requirements for Motor                571.108
  Vehicle Headlamps.
SAE J1395 APR85 Turn Signal Lamps for Use on Motor               571.108
  Vehicles 2032 or More in Overall Width.
SAE J1398 MAY85 Stop Lamps for Use on Motor                      571.108
  Vehicles 2032 mm or More in Overall Width.
SAE J1703 JAN 1995, Motor Vehicle Brake Fluid,          571.106; 571.116
  Appendix B, SAE RM-66-04 Compatibility Fluid.
SAE J1733 Information Report, titled ``Sign                      571.121
  Convention for Vehicle Crash Testing'', dated 
  December 1994.
SAE Aero Space and Car and Body Measuring Standard               571.202


Suppliers of Advanced Composite Materials Association

  1600 Wilson Blvd., Suite 1008, Arlington, VA 
  22209
SACMA SRM 16-90, Recommended Test Method for Tow          571.5; 571.304
  Tensile Testing of Carbon Fibers.



[[Page 1037]]



                    Table of CFR Titles and Chapters




                   (Revised as of September 30, 1997)

                      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--[Reserved]

                        Title 3--The President

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

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--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)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal 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 (Part 3201)
     XXIII  Department of Energy (Part 3301)

[[Page 1038]]

      XXIV  Federal Energy Regulatory Commission (Part 3401)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      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 (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         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, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Consumer Service, Department of Agriculture 
                (Parts 210--299)

[[Page 1039]]

       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (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 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       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, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (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  [Reserved]
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)

[[Page 1040]]

     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (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)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, 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)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
        XV  Office of the Federal Inspector for the Alaska Natural 
                Gas Transportation System (Parts 1500--1599)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      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)

[[Page 1041]]

      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (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, 
                Department 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 
                Commerce (Parts 300--399)

                    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)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 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 Export Administration, 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)

[[Page 1042]]

            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        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)

          Title 18--Conservation of Power and Water Resources

         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  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     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)

[[Page 1043]]

        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, 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, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (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  Board for International Broadcasting (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)

[[Page 1044]]

                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 
                Development
         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 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (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 Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (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 Development (Parts 3200--3899)
       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 
                Interior (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 (Part 1001)

[[Page 1045]]

       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       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)

                            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  Pension and Welfare Benefits 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)

[[Page 1046]]

                      Title 30--Mineral Resources

         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)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department 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)

                      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 
                Defense
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       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)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

[[Page 1047]]

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (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 
                Education (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, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (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 Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             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)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

[[Page 1048]]

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (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)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          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 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       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)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       301  Travel Allowances (Parts 301-1--301-99)
       302  Relocation Allowances (Parts 302-1--302-99)

[[Page 1049]]

       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, 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)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (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), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement 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)

[[Page 1050]]

         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  ACTION (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)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     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)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
        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)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of 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  United States 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)

[[Page 1051]]

        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  United States Information Agency (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)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        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 (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement 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  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)

[[Page 1052]]

       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (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)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric 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, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (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
            Acts Requiring Publication in the Federal Register
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 1053]]





           Alphabetical List of Agencies Appearing in the CFR




                   (Revised as of September 30, 1997)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

ACTION                                            45, XII
Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  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
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               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 Consumer Service                       7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  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
Alaska Natural Gas Transportation System, Office  10, XV
     of the Federal Inspector
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII

[[Page 1054]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 1055]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Defense Mapping Agency                          32, I
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Mapping Agency                            32, I
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV

[[Page 1056]]

Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Inspector for the Alaska Natural Gas      10, XV
     Transportation System, Office of
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Consumer Service                         7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  Payment From a Non-Federal Source for Travel    41, 304
     Expenses
[[Page 1057]]

  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Travel Allowances                               41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II

[[Page 1058]]

  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II
  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, United States        22, II; 48, 7
       Agency for
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII

[[Page 1059]]

Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 1060]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Surface Transportation Board                    49, X

[[Page 1061]]

Transportation, Office of                         7, XXXIII
Travel Allowances                                 41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1063]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985,'' published in seven 
separate volumes.

                                  1986

49 CFR
                                                                   51 FR
                                                                    Page
Chapter IV
420--424 (Subchapter A)  Removed...................................22813
420  Removed.......................................................22813
421  Removed.......................................................22813
422  Removed.......................................................22813
423  Removed.......................................................22813
424  Removed.......................................................22813
Chapter V
501  Revised.......................................................12707
509.2  Table amended...............................................29555
531  Authority citation revised....................................35620
531.5  (b) introductory text republished; (b)(2) revised...........12856
    (a) revised....................................................35620
533.5  (a) Table II and (d) revised................................15346
541  Petitions denied...............................................8831
    Appendix A added...............................................11920
    Appendix A revised; Appendixes A-I and A-II added..............42578
543  Added...........................................................713
565  Petition denied...............................................11309
571  Authority citation revised.....................................9456
571.106  Amended..............................................605, 16697
571.108  Amended........................9456, 16327, 24153, 28239, 40981
    Corrected..........................11310, 18795, 22285, 35222, 35357
    Amended; eff. in part 11-3-86..................................16849
571.109  Amended...................................................16520
571.115  Petition denied...........................................11309
571.116  Amended...................................................16698
571.208  Amended (eff. date pending in part)........................9810
    Corrected......................................................12856
    Amended..........................................21914, 31771, 37033
    Amended; eff. 10-23-86.........................................26710
571.209  Amended.............................................9813, 31774
571.210  Amended.............................................9813, 29555
571.213  Amended....................................................5339
572  Authority citation revised....................................26701
572.30--572.36 (Subpart E)  Added; eff. 10-23-86...................26701
573  Authority citation revised......................................398
573.6  Revised.......................................................398
585  Added..........................................................9813
585.4  Revised.....................................................37033
585.5  (b)(1) revised..............................................37033
Chapter VI
635.3  (c) revised.................................................36403
661.6  Added.......................................................22286
661.12  Added......................................................22286
661.13  (b) revised................................................22287
Chapter VIII
807  Added..........................................................4579
807.103  Corrected..................................................7543
807.150  (c) corrected..............................................7543
807.170  (c) revised................................................4579
845  Authority citation revised.....................................7278
845.13  (a) amended.................................................7278

[[Page 1064]]

                                  1987

49 CFR
                                                                   52 FR
                                                                    Page
Chapter V
509.2  Revised (OMB numbers).......................................29858
533.5  (a) Table II revised.........................................6575
543  Revised; eff. 10-8-87.........................................33829
544  Added............................................................76
567.4  (g)(5)(ii) revised..........................................28562
571.100  Added......................................................7151
571.101  Amended; eff. in part 9-1-89...............................3247
    Amended...........................................7157, 19874, 33417
571.105  Amended...................................................19874
571.106  Petition denied...........................................46479
571.108  Corrected..................................................4774
    Amended; eff. 10-14-87.........................................34655
    Amended........................................................38428
    Petition denied................................................46480
    Heading and text corrected.....................................48691
571.112  Amended; eff. 10-23-87....................................35710
571.121  Amended...................................................20605
571.204  Revised...................................................44897
571.207  Amended....................................................7868
571.208  Amended............................................10103, 44908
    Corrected......................................................36423
    Petition denied................................................42440
571.209  Amended...................................................44912
    (d) revised.....................................................6576
575  Authority citation revised....................................27810
575.6  (a) amended; authority citation removed.....................27810
575.7  Authority citation removed..................................27810
575.104  Authority citation removed................................27810
Chapter VI
604  Revised.......................................................11933
622.101 (Subpart A)  Revised; eff. 11-27-87........................32660
630  Revised; eff. 10-26-87........................................36186
Chapter VII
701  Authority citation revised....................................15321
701.2  (b) amended.................................................15321
701.3  (a) amended; (b) revised....................................15321
701.4  (a)(4) and (d) revised; (c) amended; (e) added..............15321
701.7  Revised.....................................................15321
    (e)(1) amended.................................................31407
Chapter VIII
830.5  (a) (6) and (7) added.......................................30371
Chapter IX
Chapter removed....................................................12916
901  Removed.......................................................12916
903  Removed.......................................................12916
932  Removed.......................................................12916

                                  1988

49 CFR
                                                                   53 FR
                                                                    Page
Chapter V
501  Revised.......................................................26258
510.4  Revised.....................................................26261
511  Authority citation revised....................................15782
511.3  (a) (9) and (11) revised; (a) (13) and (14) added...........15782
511.14  (a) revised................................................15782
511.16  (a) revised................................................15783
511.17  Revised....................................................15783
511.26  (h) revised................................................15783
511.31  (h) revised................................................15783
511.35  (e)(2) revised.............................................15783
511.38  (b) revised................................................15783
    (b), (d) and (f) revised.......................................26261
511.42  (e) revised................................................15783
511.48  Revised....................................................15783
511.67  Revised....................................................15783
511.73  (b) revised................................................15783
511.75  (a) revised................................................15784
511.78  (e)(1), (2)(ii), (3), (4) and (5) revised..................15784
531.5  (a) table revised...........................................39302
533.5  (a) Table II and (d) revised................................11090
541  Appendix A revised; Appendix A-I removed; Appendix A-II 
        redesignated as Appendix A-I and revised.....................134
    Appendix A amended.............................................13274
544  Appendixes A and B revised.....................................1638
    Appendixes A and B revised; eff. 10-11-88......................35074
565  Authority citation revised.....................................1034
565.4  (b) Table I revised..........................................1034
566.6  Corrected...................................................20119
571  Petition denied...............................................50221
571.105  Amended....................................................8200
571.108  Petition denied.....................................9944, 17053
    Amended........................................................31009
    Corrected......................................................33898
571.109  Amended...................................................17951
571.116  Amended; eff. 12-27-88....................................24276
571.118  Amended; eff. in part 12-21-88............................23769
571.121  Amended...................................................7937,
                                                      8201, 30681, 35076

[[Page 1065]]

571.207  Corrected.................................................30434
571.208  Petitions denied...........................................5579
    Amended.........................................................8764
    Amended; eff. 1-3-89...........................................25343
    Corrected......................................................27106
571.209  Petitions denied...........................................5579
571.213  Amended....................................................1784
571.218  Amended; eff. 10-3-88.....................................11288
    Appendix corrected.............................................12529
571.301  Amended.............................................8204, 49990
572.31  (a) introductory text republished; (a) (1) and (3) and (b) 
        revised.....................................................8764
572.33  (b)(1)(i) revised...........................................8765
572.34  (a), (b), and (c)(2) revised................................8765
572.35  (b) revised.................................................8765
572.36  (b) through (f) and (h) revised.............................8765
575.104  (g) Table 1 revised.......................................17952
580  Revised; eff. in part 4-29-89.................................29476
585  Authority citation revised....................................30434
Chapter VI
604.9  (b) (5), (6), and (7) added.................................53355
604  Appendixes A and B added......................................53355
653  Added.........................................................47174
661  Authority citation revised......................................618
661.7  Appendix A revised............................................618
Chapter VII
701.8  Added........................................................5581
Chapter VIII
830  Revised; eff. 10-24-88........................................36982
831  Revised.......................................................15847
840.3  Revised.....................................................49152

                                  1989

49 CFR
                                                                   54 FR
                                                                    Page
Chapter V
501.8  (f) introductory text, (1) and (g) revised..................14814
512  Revised.......................................................48895
531  Petition denied...............................................22899
531.5  (b) introductory text republished; (b)(2) revised...........42304
541  Appendix A revised............................................13069
    Appendix A-I revised...........................................13069
    Appendixes A and A-I revised...................................38685
    Appendix A-II added............................................38685
    Petition denied................................................24344
    541  Appendix A-II amended.....................................52033
544  Appendixes A and B revised....................................46253
565.2  Amended.....................................................41844
567  Authority citation revised....................................46256
567.4  (k)(4)(i) revised; (l) added................................46256
571.5  (b)(6) redesignated as (b)(7); new (b)(6) added.............20083
571.102  Amended...................................................29045
571.105  Amended...................................................22905
    Amended; eff. 9-1-91...........................................40082
571.108  Amended; eff. in part 12-1-89.............................20071
    Amended.......................................................21624,
                                                     27368, 30224, 31841
    Amended; interim...............................................31688
    Tables I, II, III, and IV amended..............................20082
    Amended.................................................49297, 53070
571.109  Section and Appendix A amended............................38386
571.115  Amended............................................41844, 46257
571.119  Amended...................................................38386
571.120  Amended...................................................38386
571.121  Amended......................................18899-18903, 25462
    Amended; eff. 9-1-91...........................................40083
571.202  Amended; eff. 11-9-89.....................................39187
571.208  Amended; eff. 12-4-89.....................................23988
    CFR correction.................................................24557
    Amended; eff. 12-11-89.........................................25278
    Amended; eff. 1-8-90...........................................29042
    Amended.................................................29049, 32346
    Amended; eff. in part 9-1-91...................................46266
571.210  Amended; eff. 12-11-89....................................25278
    Amended........................................................46268
571.222  Amended...................................................46268
575.2  (c) amended.................................................48749
575.6  (a) redesignated as (a)(1); (a)(2) added....................48749
580  Petition granted...............................................980,
     981, 982, 8747, 8748, 8749, 8750, 11729, 11730-11733, 15197-15205, 
                                                17950-17956, 18507-18516
    Petition denied.................................................9816
580.3  Amended.....................................................35887
580.4  (d) revised..................................................7773
    Revised; interim................................................9814
    Revised........................................................35887
580.5  (h) revised; interim.........................................9814
    (c), (f), and (h) amended......................................35887
580.6  Introductory text and (a) revised; (c) added................35888

[[Page 1066]]

580.8  (c) added; interim...........................................9815
    (c) revised....................................................35888
580.13  Added; interim..............................................9815
    Revised........................................................35888
    (f) revised....................................................40083
580.14  Added; interim..............................................9815
    Revised........................................................35888
580.15  Added; interim..............................................9816
    Revised........................................................35889
580.16  Added......................................................35889
580  Appendix E added; interim......................................9816
    Appendix E amended.............................................35889
591  Added; eff. 1-31-90...........................................40078
592  Added; eff. 10-30-89..........................................40090
592.5  (c) and (d) amended.........................................47088
592.6  (a) amended; second (b) redesignated in part as (c) and (c) 
        through (i) redesignated as (d) through (j)................47088
592.8  (g) amended.................................................47088
593  Added; eff. 10-30-89..........................................40099
594  Added.........................................................40107
Chapter VI
633  Added; eff. 10-2-89...........................................36711
665  Added; interim; eff. 10-1-89 to 9-30-90.......................35162
665  Comment time delayed..........................................49297
Chapter VIII
800.25  (c) revised................................................10331
800.28  (c) revised................................................10331
805.735-2  Revised.................................................10332
821.14  (c) revised................................................12203
821.33  (a) introductory text republished; (a)(1) revised..........12203
821.50  (e) revised................................................12203
826  Authority citation revised....................................10332
826.4  (b) (1), (2) and (5) revised................................10332

                                  1990

49 CFR
                                                                   55 FR
                                                                    Page
Chapter V
501.8  (d)(2) amended..............................................26208
531.5  (b) introductory text republished; (b)(7) revised; (b)(8) 
        and (9) added..............................................12486
    (b) introductory text republished; (b)(11) added...............34018
    (b) introductory text republished; (b)(2) revised; eff. 10-11-
90.................................................................37326
533.5  (a) Table III and (e) added.................................12497
538  Added.........................................................17616
541  Appendixes A through A-II revised.............................37327
544.3  Revised.....................................................25609
544.6  (a)(2) revised..............................................25610
544  Appendix C added..............................................25610
571.108  Safety standard evaluation plan............................1586
    Amended....................................4429, 13139, 21039, 46670
    Amended; eff. in part 12-1-90..................................20161
    Figure 8 revised; figures 24 through 26 added..................13141
    Corrected; CFR correction......................................19630
    Regulation at 55 FR 20161 effective date delayed to 12-1-91....50184
    Amended; eff. 12-1-91..........................................50184
571.109  Amended.......................................41191,49620-49622
571.110  Amended...................................................29589
571.114  Amended; eff. 9-1-92......................................21875
571.116  Amended...................................................37329
571.120  Amended...................................................29589
571.121  Amended............................................33320, 48850
571.129  Added.....................................................29590
    Figures 1 and 2 added..........................................29594
571.208  Amended............................................18892, 21876
    Amended; eff. 1-28-91 and 9-1-91...............................30918
    Amended; interim...............................................39284
571.210  Amended; eff. in part 9-1-92..............................17983
    Amended; eff. 9-1-92...........................................24241
571.213  Amended...................................................30467
571.214  Amended...................................................45752
572.16  (a) and (b) revised........................................30468
572.17  (a) revised................................................30468
572.21  (a), (b), and (c) revised..................................30468
572.40--572.44 (Subpart F)  Added..................................45766
574.4  Amended.....................................................29596
574.5  Amended.....................................................29596
574.6  Revised.....................................................29596
575.104  (d)(2)(i) revised; eff. 11-15-91..........................47771
    (e) revised....................................................47771
    Effective date and (e)(2)(viii)(F)(2) corrected................49478
    (f)(2)(viii) amended; Table 1 revised..........................49622
    Table 2 revised................................................49623
580  Petitions denied...............................................6257

[[Page 1067]]

586  Added.........................................................45769
587  Added.........................................................45779
591  Authority citation and heading revised........................11378
591.1  Revised.....................................................11378
591.2  Revised.....................................................11378
591.3  Revised.....................................................11378
591.4  Amended......................................................3747
    Introductory text revised......................................11378
591.5  (b), (e), (f)(1) and (j) amended; (h) and (j)(5) revised.....3747
    Introductory text republished; (a), (b), (c), (d) introductory 
text, (e), (f) introductory text, (1), (g) introductory text, (h) 
introductory text, (i)(2), and (j) introductory text revised; 
(g)(5), (6), and (7), and (k) added................................11378
    (b) and (h) introductory text amended..........................17439
591.6  (f) amended; (g) added.......................................3747
    (c) and (g) amended.............................................6994
    (c) revised....................................................11379
591.7  (c) removed..................................................6994
591.8  Added.......................................................11379
591.9  Added.......................................................11380
591  Appendix A added..............................................11380
    Appendix B added...............................................11381
592.5  (a)(1) amended..............................................37330
592.8  (b) amended.................................................37330
593.5  (b)(2) amended..............................................37330
593.7  (g) redesignated as (f).....................................37330
594.3  Revised.....................................................40667
594.5  (c), (d), (e), and (g) revised..............................40667
594.6  (a) introductory text corrected................................78
    (a), (b), (d), (h) and (i) amended.............................40667
594.7  (e) revised; (f) added......................................40667
594.8  Revised.....................................................40667
594.9  (c) revised.................................................40667
Chapter VI
604.11  (b)(3) revised.............................................34932
653  Suspended......................................................2527
665.3  Revised; interim............................................41176
665.5  Amended; interim............................................41176
665.11  (b)(3) revised; interim....................................41176
Chapter VIII
835  Revised.......................................................41541

                                  1991

49 CFR
                                                                   56 FR
                                                                    Page
Chapter V
531.5  (b) introductory text republished; (b)(11) revised...20363, 37479
533  Petition denied...............................................15839
533.5  (a) Table III revised.......................................13784
541  Appendix A amended.............................................4737
    Appendix A revised.............................................43712
    Appendixes A-I and A-II revised................................43713
544  Appendixes A, B and C revised.................................12463
556.4  (b)(6) added................................................66376
567.2  (b) revised.................................................22356
567.4  (g)(1) introductory text and (l)(1) amended.................22356
571  Petition denied...............................................13784
    Policy statement...............................................43556
    Technical correction...........................................56016
571.3  Amended; eff. 9-1-92........................................38086
    Amended........................................................63681
571.101  Amended...................................................51848
571.102  Amended...................................................12471
571.106  Amended....................................................7591
    Amended........................................................50521
571.108  Amended..................................................10188,
                                              12124, 12464, 26344, 26345
    Amended; eff. 9-1-93....................................16020, 16021
    Amended........................................................56942
571.109  Figure 1 Table revised.....................................6289
    Table II corrected.............................................11589
571.110  Amended...................................................19311
571.111  Amended...................................................58516
571.114  Amended; eff. 9-1-92......................................12468
571.116  Amended......................................11110-11112, 49427
571.118  Revised; eff. 9-1-92......................................15294
571.120  Amended...................................................19311
571.121  Amended............................................21619, 49427
    Amended; eff. 12-9-91...................................26931, 26933
    Amended; eff. 10-8-92..........................................50670
571.123  Amended...................................................61387
571.129  Amended...................................................19312
571.131  Added; eff. 9-1-92........................................20370
571.201  Amended...................................................26039
571.205  Amended............................................12674, 18531
    Corrected......................................................49149
571.208  Amended..................3223, 8283, 12484, 15299, 19307, 26042
571.209  Amended...................................................15299
    Amended........................................................56325
571.210  Amended............................................63681, 63685
571.214  Amended; eff. 9-1-93......................................27437
    Corrected...............................................47008, 47011
    Figure 2 correctly revised.....................................47009
    Figure 3 correctly revised.....................................47010

[[Page 1068]]

571.216  Amended; eff. 9-1-93......................................15517
572.4  (c) revised.................................................57836
572.44  (c) corrected..............................................47011
572.70--572.78 (Subpart I)  Added..................................57836
572.80--572.86 (Subpart J)  Added; eff. 2-15-92....................41080
574  Authority citation revised....................................49427
574.7  (a) revised.................................................49427
574.8  (a)(3) revised..............................................49427
575.104  Table 1 and Table 2 corrected.............................11589
    (d)(2)(i) revised; eff. 9-1-93; (e)(1) and (2)(i) through 
(viii) revised; effective to 8-31-93...............................26772
    (e)(1) and (2)(i) through (viii) revised; eff. 9-1-93..........26773
    (e)(2)(ix)(F) revised; eff. 9-1-93.............................26774
    Appendix A amended; eff. 12-16-91..............................47012
    (e)(1)(iv) revised.............................................57989
580.3  Amended; eff. 10-21-91......................................47686
580.5  (c) introductory text revised; eff. 6-22-92.................47686
580.11  (a) and (c) revised; eff. 10-21-91.........................47686
580.13  (f) revised; eff. 10-21-91.................................47686
585.1  Revised.....................................................12486
585.2  Revised.....................................................12486
585.3  Revised.....................................................12486
585.4  Revised.....................................................12486
585.5  Revised.....................................................12486
585.6  Revised.....................................................12487
586.6  Text correctly revised......................................47011
587.6  (c) correctly revised.......................................47011
594.6  (a), (b), (d), (h) and (i) amended..........................49429
594.7  (e) amended.................................................49429
594.9  (c) revised.................................................49429
Chapter VI
639  Added.........................................................51794
661  Revised.........................................................932
663  Added; eff. 10-24-91..........................................48395
665.3  Amended.....................................................46573
Chapter VIII
821.7  (a) and (b) revised.........................................56172
821.10  Revised....................................................56172

                                  1992

49 CFR
                                                                   57 FR
                                                                    Page
Chapter V
501.8  (g)(3) added................................................22442
509.2  Revised (OMB numbers).......................................21215
527  Removed.......................................................60728
544  Appendixes A, B and C revised.................................23538
571  Petition denied................................................3556
    Petition denied................................................47007
571.100  Removed...................................................60728
571.105  Amended; eff. 10-20-93....................................47800
571.108  Amended...................................................32740
    Regulation at 56 FR 16021 effective 10-1-92....................45328
    Amended; eff. 12-1-93..........................................58413
571.111  Amended; eff. 12-2-93.....................................57015
571.114  Amended; eff. in part 9-1-92 and 9-1-93....................2043
    Technical correction............................................4086
571.118  Amended...................................................23963
    Corrected......................................................28012
571.121  Amended; eff. 8-23-93..............................30917, 37905
    Amended; eff. 10-20-94.........................................47800
571.131  Heading revised; text amended.............................40134
571.205  Amended......................................1654, 13656, 30164
    Corrected......................................................31563
    Corrected......................................................58150
571.208  Amended; eff. 12-14-92....................................26617
571.210  Amended; eff. 9-1-93......................................32904
571.213  Amended; eff. 3-9-93.................41427, 41428, 41434, 41435
    Corrected......................................................45422
571.214  Figure 2 revised..........................................21615
    Amended; eff. 9-1-93....................................30921, 30922
571.217  Amended; eff. 5-2-94...............................49423, 57020
572  Petition denied................................................3556
572.31  (a)(1) revised.............................................47010
572.73  Correctly designated........................................4086
586.1  Revised; eff. 9-1-93........................................30922
586.2  Revised; eff. 9-1-93........................................30922
586.3  Revised; eff. 9-1-93........................................30922
586.4  (b) revised; eff. 9-1-93....................................30923
586.5  Heading revised; eff. 9-1-93................................30923
586.6  OMB number removed..........................................21616
    Heading revised; eff. 9-1-93...................................30923
586.7  Redesignated as 586.9; new 586.7 added; eff. 9-1-93.........30923
586.8  Added; eff. 9-1-93..........................................30923
586.9  Redesignated from 586.7 and revised; eff. 9-1-93............30923

[[Page 1069]]

587  Petition denied................................................3556
587.6  (b) introductory text, (1), (3), (5), (7) and (c) revised; 
        (b)(8) added................................................7558
588  Added; eff. 3-9-93............................................41438
590  Removed.......................................................60728
591.5  (j) revised..................................................2047
    (i)(1) revised; eff. 1-1-93....................................44703
591.6  (g) revised..................................................2047
    (g)(1) amended.................................................29043
591.7  (b) revised..................................................2047
    (c) and (d) added...............................................2048
Chapter VI
Chapter VI  Nomenclature change....................................13657
    Policy statement........................................30880, 39328
603  Removed.......................................................60728
623  Removed.......................................................60728
635  Removed.......................................................60728
663  Dispostition of inquiries.....................................10834
665  Added; interim................................................33397
665.3  (d) revised; interim........................................46815
670  Removed.......................................................60728

                                  1993

49 CFR
                                                                   58 FR
                                                                    Page
Chapter IV
Chapter IV  Policy statement........................................6446
Chapter V
501.3  (a)(3) heading amended......................................12545
501.4  (b) amended.................................................12545
501.5  (a) and (b) amended.........................................12545
501.7  Introductory text amended...................................12545
501.8  (b) heading and text amended................................12545
523  Authority citation revised....................................18029
523.5  (b)(2)(iv) and (v) revised..................................18029
525  Authority citation revised....................................18029
525.7  (e)(4) revised..............................................18029
531.5  (b)(2) revised..............................................62295
533  Authority citation revised....................................18029
533.4  (b)(2) amended..............................................18029
533.5  (a) Table III revised.......................................18029
537  Authority citation revised....................................18029
537.7  (c)(4)(iii) and (iv) revised................................18029
541  Appendixes A, A-I and A-II revised.............................3852
    Appendix A amended.............................................44775
    Appendixes A and A-I revised...................................63298
    Appendix A-II revised..........................................63299
544  Appendix A revised............................................63301
    Appendixes B and C revised.....................................63302
552  Petition denied...............................................17787
555  Authority citation revised....................................58104
555.9  (c)(1) revised..............................................58104
564  Added..........................................................3860
571  Petition denied........................................19628, 31658
571.104  Amended...................................................13023
571.105  Amended; interim..........................................45461
571.108  Amended...................................................3506,
                                 3861, 12185, 12186, 52026, 64169, 65676
    Figures 23-4 and 23-5 revised...................................3854
    Regulation at 57 FR 58413 effective date corrected to 3-2-93 
and amended........................................................11975
    Table IV amended...............................................13024
571.109  Amended...................................................41639
571.111  Regulation at 57 FR 57000 confirmed.......................53666
    Amended........................................................60402
571.118  Amended...................................................16785
571.120  Amended...................................................13426
571.121  Amended...................................................36618
    Amended; interim...............................................45461
571.203  Amended............................................26527, 63304
571.208  Amended...................................................11978
    Amended; eff. 3-1-94...........................................46563
    Amended; eff. 9-1-95...........................................52926
    Figure 5 added; eff. 9-1-95....................................52927
    Amended; eff. 9-1-97....................................59191, 59193
571.211  Amended....................................................4583
571.213  Amended; eff. 10-13-93.............................19779, 19780
    Corrected......................................................25900
    Amended........................................................36154
571.214  Amended; eff. 9-1-94......................................14169
571.216  Amended....................................................5633
571.217  Regulations at 57 FR 49423 and 57020 effective date 
        confirmed..................................................45065
571.222  Amended; eff. 1-17-94...............................4593, 46876
571.301  Amended.............................................5638, 51788
572.90--572.91 (Subpart K)  Added...................................3232
582  Authority citation revised....................................12550
582.3  (b)(1) revised..............................................12550

[[Page 1070]]

582.4  Revised.....................................................12550
582.5  Revised.....................................................12550
585.1  Revised; eff. 3-1-94........................................46566
585.2  Revised; eff. 3-1-94........................................46566
585.3  Revised; eff. 3-1-94........................................46566
585.5  Revised; eff. 3-1-94........................................46566
585.6  Revised; eff. 3-1-94........................................46568
591.6  (g)(1) amended; (g)(2) redesignated as (g)(3); new (g)(2) 
        added......................................................12908
591.7  (c) amended; (e) added......................................12908
    Technical correction...........................................32615
591.10  Added......................................................12908
591  Appendix C added..............................................12908
592.6  (i) revised.................................................30997
594.6  (a) introductory text and (i) revised; (b), (d) and (h) 
        amended....................................................51023
594.7  (e) amended.................................................51023
594.8  (b) and (c) amended.........................................51023
594.9  (c) revised.................................................51023
Chapter VI
604.9  (b)(8) added................................................36899
    (b)(8)(iv) revised.............................................52685
604.15  Nomenclature change........................................52685
604.17  Nomenclature change........................................52685
604.19  Nomenclature change........................................52685
604.21  Nomenclature change........................................52685
613  Authority citation added; subpart authority citations removed
                                                                   58079
613.100 (Subpart A)  Revised.......................................58079
613.200 (Subpart B)  Revised.......................................58079
614  Added; interim................................................63485
    Technical correction...........................................64374
630  Revised........................................................4888
665  Regulation at 57 FR 33397 comment period extended; interim.....2989
    Meeting........................................................11549
    Authority citation revised.....................................58733
665.3  (d) revised; interim.................................10990, 58733
665.5  Amended; interim............................................58734
671  Added; interim................................................42693
Chapter VIII
821  Authority citation revised....................................11380
821.1  Amended; interim............................................11380
    Regulation at 58 FR 11380 comment period extended in part to 
5-5-93.............................................................17531
821.2  Revised; interim............................................11380
    Regulation at 58 FR 11380 comment period extended in part to 
5-5-93.............................................................17531
821.30  Revised; interim...........................................11381
    Regulation at 58 FR 11381 comment period extended in part to 
5-5-93.............................................................17531
821.64  Revised; interim...........................................11381
    Regulation at 58 FR 11381 comment period extended in part to 
5-5-93.............................................................17531
826  Authority citation revised....................................11381
826.2  Revised; interim............................................11381
    Regulation at 58 FR 11381 comment period extended in part to 
5-5-93.............................................................17531
826.3  (a) revised; interim........................................11381
    Regulation at 58 FR 11381 comment period extended in part to 
5-5-93.............................................................17531
826.6  (b) revised.................................................21544
826.7  Revised.....................................................21545

                                  1994

49 CFR
                                                                   59 FR
                                                                    Page
Chapter V
501.7  (a)(2) and (3) revised; (a)(4) added........................64163
501.8  (f) introductory text and (g) heading revised...............64163
526  Authority citation revised....................................25576
526.1  (b) and (c) revised.........................................25576
526.2  Introductory text revised...................................25576
526.3  Heading, introductory text and (a) introductory text 
        revised....................................................25576
526.4  Removed.....................................................25576
526.5  Introductory text and (a) revised...........................25576
533.5  (a) Table IV added..........................................16323
541  Authority citation revised....................................64168
541.3  Revised; eff. 10-25-95......................................64168
541.4  Revised; eff. 10-25-95......................................64168
541.5  Revised; eff. 10-25-95......................................64168
541  Appendix A revised............................................31163
    Appendixes A-I and A--II revised...............................31164
    Appendix A amended; Appendix B revised; eff. 10-25-95..........64169
542  Revised.......................................................21672
543.5  (a) revised.................................................10758
543.6  (a)(1) revised..............................................10758

[[Page 1071]]

567  Authority citation revised....................................64170
567.4  (k) introductory text amended...............................64170
571  Petition denied..................................2755, 14569, 27506
    Technical correction....................................19753, 51229
    Authority citation revised..............................37175, 38940
571.5  (b)(7) redesignated as ((b)(10); (b)(7), new (8) and new 
        (9) added; eff. 3-27-95....................................49021
571.103  Amended...................................................11006
571.108  Corrected...........................................3164, 61656
    Figures 1a, 1b and 1c added....................................49355
    Amended; eff. 11-1-95..........................................54839
571.109  Amended...................................................38940
    Appendix A amended.............................................38941
    Corrected......................................................51229
571.120  Amended...................................................25578
571.121  Amended....................................................6909
    Figure 1 revised................................................6911
    Amended; eff. 10-20-94.........................................18323
571.125  Amended; eff. 10-31-94....................................49591
571.131  Amended; interim..........................................26761
571.207  Amended; eff. 10-19-94....................................37167
571.208  Amended.....................................11203, 25827, 60918
    Amended; eff. 10-12-94.........................................17994
    Compliance date amended........................................35636
    Amended; eff. 9-1-97...........................................39476
571.209  Amended; eff. 10-12-94....................................17994
    Compliance date amended........................................35636
571.213  Amended......................................7647, 15863, 37175
    Corrected......................................................14452
    Figures 1A and 1B revised......................................37178
571.217  Amended...................................................22999
571.303  Added; eff. 9-1-95........................................19659
571.304  Added; eff. 3-27-95.......................................49021
    Amended........................................................66776
572.41  (a) introductory text, (3), (4), (5) and (c) revised.......52091
572.42  (a) introductory text revised..............................52091
572.43  (a) revised................................................52091
572.44  (b)(1) and (c) revised.....................................52091
572.40--572.44 (Subpart F)  Appendix A added.......................52092
575  Authority citation revised....................................38941
575.104  (g) Table 1 revised.......................................38941
    (h) Table 2 revised............................................38942
582  Petition denied...............................................13630
583  Added.........................................................37330
591  Authority citation revised....................................52097
591.4  Introductory text revised...................................52097
591.5  (f)(1) revised; (g) removed; interim........................31560
591.6  (c) revised; (e) removed; (f) and (g) redesignated as (e) 
        and (f); interim...........................................31560
    (c) revised....................................................52097
591.7  (c) amended; interim........................................31560
591.8  (a) amended; (d)(2)(i) redesignated as (d)(2); (d)(2)(ii) 
        removed; interim...........................................31560
591.9  (a) amended; interim........................................31560
591.10  (b) and (c) revised........................................52097
591  Appendix B removed; interim...................................31560
    Appendix A amended; Appendix B added...........................52097
592  Authority citation revised....................................52098
592.1  Revised.....................................................52098
592.4  Introductory text revised...................................52098
592.6  (a) amended; interim........................................31560
    (g)(2)(i) revised..............................................52098
592.7  (c) amended.................................................52098
592.8  (g) revised.................................................52098
Chapter VI
604  Authority cite revised........................................43778
604.9  (b)(8)(iv) revised..........................................51134
604.11  (b)(3) revised.............................................43778
604.15  Amended....................................................52685
604.17  Amended....................................................52685
604.19  Amended....................................................52685
604.21  Amended....................................................52685
653  Revised........................................................7589
    Authority citation revised.....................................62230
653.7  Amended.....................................................62230
653.47  Revised....................................................62230
654  Added..........................................................7549
    Authority citation revised.....................................62240
654.33  (b) redesignated as (b)(1); (b)(2) added...................62240
654.37  (d)(2) and (3) redesignated as (d)(3) and (4); new (d)(2) 
        added......................................................62240
663  Clarification.................................................43778
Chapter VIII
821  Authority citation revised....................................59046
821.1  Amended.....................................................59046
    Regulation at 58 FR 11380 confirmed............................59054
821.2  Regulation at 58 FR 11380 confirmed; revised................59054
821.3  Added.......................................................59046
821.6  (d) revised.................................................59046

[[Page 1072]]

821.7  (a) and (b) revised.........................................59046
821.8  Revised.....................................................59047
821.9  Revised.....................................................59047
821.11  Revised....................................................59047
821.12  Revised....................................................59047
821.14  (a) revised................................................59047
821.19  (b) revised; (d) added.....................................59047
821.20  (b) and (c) revised........................................59048
821.24  (a), (d) and (e) revised...................................59048
821.30  (a) revised................................................59048
    Regulation at 58 FR 11381 confirmed............................59054
821.31  (a) revised................................................59048
821.35  (a) revised................................................59048
821.37  (a) revised................................................59048
821.38  Revised....................................................59048
821.42  (c) removed; (d) redesignated as (c).......................59049
821.43  Revised....................................................59049
821.47  Revised....................................................59049
821.48  (e) revised; (f) removed; (g) redesignated as (f)..........59049
821.49  Revised....................................................59049
821.50  (a) and (b) revised........................................59049
821.54--821.57 (Subpart I)  Heading revised........................59049
821.54  (a) revised................................................59049
821.55  (a), (b) and (c) revised; (f) added........................59049
821.56  (a) revised................................................59050
821.57  (b) and (c) revised........................................59050
821.63  (b) revised................................................59050
821.64  Revised....................................................59050
    Regulation at 58 FR 11381 confirmed............................59054
826.2  Revised.....................................................30531
      Regulation at 58 FR 11381 confirmed..........................59054
826.3  Regulation at 58 FR 11381 confirmed; (a) revised............59054
826.6  (b)(1) revised..............................................30531
826.21  (b) introductory text revised..............................30532
826.24  (a) revised................................................30532
826.31  Revised....................................................30532

                                  1995

49 CFR
                                                                   60 FR
                                                                    Page
Chapter V
501.2  Revised.....................................................43029
501.3  (c)(1) heading and (2) heading amended......................15504
    (a) introductory text amended; (a)(1)(i), (2), (3) and (c) 
revised; (d) removed...............................................43029
501.4  (d) and (e) amended.........................................15504
    Revised........................................................43030
501.7  Revised.....................................................43030
501.8  (g)(3) removed; (l) added....................................9789
    (f) and (g) amended............................................15504
    (d)(2) revised.................................................20435
    Revised........................................................43030
531  Authority citation revised....................................47877
531.5  (b)(12) added; eff. 10-30-95................................47878
541  Appendixes A, A-I and II revised..............................36233
544  Authority citation revised....................................33148
544.2  Revised.....................................................33148
544.4  (a) revised.................................................33148
544.5  (a) revised.................................................33149
544  Appendixes A and B revised....................................33149
552  Authority citation revised....................................17267
552.1  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
552.2  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
552.3  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
552.6  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
552.8  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
553  Revised.......................................................62222
    Authority citation revised.....................................63651
553.39  Revised....................................................63651
554  Authority citation revised....................................17267
554.2  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
554.3  Revised.....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17267 eff. 7-7-95..........................50476

[[Page 1073]]

554.10  (a), (b), (c) introductory text, (2) and (4) revised; (e) 
        removed....................................................17267
    Regulation at 60 FR 17267 eff. date delayed to 7-7-95..........26002
554.11  Revised....................................................17268
    Regulation at 60 FR 17268 eff. date delayed to 7-7-95..........26002
555  Authority citation revised.....................................1750
555.9  (c)(1) revised...............................................1750
564  Authority citation revised....................................14228
564.1  Revised.....................................................14228
564.2  Revised.....................................................14228
564.3  Revised.....................................................14228
564.5  Revised.....................................................14228
    (a) and (c) revised............................................58523
571  Technical correction..........................................42804
    Workshop.......................................................53280
    Authority citation revised.....................................58524
    Reconsideration petition.......................................63651
571.3  Amended.....................................................13254
    (b) amended; eff. 3-25-96......................................15509
    Regulation at 60 FR 13254 eff. date corrected to 9-26-95.......49518
571.5  (b)(9) removed..............................................37843
571.101  Table 2 revised..............................6433, 13255, 63977
    Regulation at 60 FR 13255 eff. date corrected to 9-26-95.......49518
571.102  Amended; eff. 3-14-96.....................................13642
571.103  Amended; eff. 3-14-96.....................................13642
571.104  Amended; eff. 3-14-96.....................................13643
571.105  Amended....................................................6434
    Amended; eff. 3-14-96..........................................13256
    Regulation at 60 FR 13256 eff. date corrected to 3-1-99........49518
    Amended; eff. 3-1-99....................................13303, 63979
571.106  Amended...................................................30198
571.108  Amended....................1752, 8200, 8201, 8202, 57952, 58524
    Figure 10 amended..............................................19682
    Amended; eff. 3-1-96...........................................46066
571.109  Amended....................................................8203
    Appendix A amended.............................................11914
571.110  Amended; eff. 3-14-96.....................................13643
571.111  Amended...................................................15692
571.112  Amended; eff. 3-14-96.....................................13643
571.114  Amended...................................................30011
    Amended; eff. 3-14-96..........................................13644
    Corrected......................................................41028
571.115  Amended; eff. 3-14-96.....................................13644
571.116  Amended...................................................30198
571.118  Amended; eff. 3-14-96.....................................13644
571.120  Amended; eff. 3-14-96.....................................13644
571.121  Amended......................................2896, 36742, 38765
    Amended; eff. 3-1-97.............................13256, 13296, 63979
571.124  Amended; eff. 3-14-96.....................................13645
571.126  Amended; eff. 3-14-96.....................................13645
571.131  Regulation at 59 FR 26761 confirmed........................5337
571.135  Added......................................................6434
    Amended........................................................37847
    Corrected......................................................44548
571.201  Amended...................................................43050
    Figure 1 and Figure 2 added....................................43055
571.205  Amended; eff. 3-14-96.....................................13646
571.206  Amended; eff. 3-14-96.....................................13646
    Amended; eff. 9-1-97...........................................50134
571.207  Amended; eff. 3-14-96.....................................13647
571.208  Amended...................................................27238
571.210  Amended....................................................3775
571.212  Amended; eff. 3-14-96.....................................13647
571.213  Amended...............................7464, 24799, 35139, 35145
    Corrected......................................................50477
571.214  Amended; eff. 9-1-98......................................38761
    Amended........................................................57839
571.216  Amended; eff. 3-14-96..............................13647, 13649
571.217  Amended...................................................24570
571.303  Amended....................................................2543
    Amended........................................................57948
571.304  Amended...................................................37843
    Amended........................................................57948
572  Authority citation revised.....................................2897
    Heading revised................................................43058
    Workshop.......................................................53280
572.1  Revised.....................................................43058
572.70--572.78 (Subpart I)  Figure 41 revised.......................2898
572.74  (c)(2) revised..............................................2897
572.100--572.103 (Subpart L)  Added................................43058
572  Figure 50 added...............................................43060
573  Authority citation revised....................................17268
573.3  (b) through (f) revised.....................................17268
    Regulation at 60 FR 17268 eff. date delayed to 7-7-95..........26002
573.4  Amended.....................................................17268
    Regulation at 60 FR 17268 eff. date delayed to 7-7-95..........26002
573.5  (c)(1) amended; (c)(2) introductory text revised; (c)(8) 
        redesignated as (c)(8)(i); (c)(2)(iv), (v), (8)(ii) 
        through (vi), (10) and (11) added..........................17268

[[Page 1074]]

    Regulation at 60 FR 17268 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17268 stayed in part.......................35458
    Regulation at 60 FR 17268 eff. in part 1-2-96..................50476
573.6  (a) amended; (b)(6) and (d) added...........................17269
    Regulation at 60 FR 17269 eff. date delayed to 7-7-95..........26002
573.7  Heading, (d) and (e) added..................................17269
    Regulation at 60 FR 17269 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17269 stayed...............................35458
    Regulation at 60 FR 17269 eff. 1-2-96..........................50746
573.8  Revised.....................................................17270
    Regulation at 60 FR 17270 eff. date delayed to 7-7-95..........26002
575  Authority citation revised....................................32921
575.101  Removed...................................................32921
575.104  (g) Table 1 revised.......................................11914
    Appendix D added...............................................39271
576  Authority citation revised....................................17270
576.5  Revised.....................................................17270
    Regulation at 60 FR 17270 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17270 stayed...............................35458
    Regulation at 60 FR 17270 eff. 1-2-96..........................50746
576.6  Revised.....................................................17270
    Regulation at 60 FR 17270 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17270 stayed...............................35458
    Regulation at 60 FR 17270 eff. 1-2-96..........................50746
577  Authority citation revised....................................17270
577.4  Amended.....................................................17270
    Regulation at 60 FR 17270 eff. date delayed to 7-7-95..........26002
577.5  Heading, (c)(1) and (2) revised; (a) and (g)(1)(vii) 
        amended; (h) and (i) added.................................17270
    Regulation at 60 FR 17270 eff. date delayed to 7-7-95..........26002
    Regulation at 60 FR 17271 stayed in part.......................35458
    Regulation at 60 FR 17270 eff. in part 1-2-96..................50746
577.6  Heading, (a), (b)(2)(i), (ii), (3), (5), (9)(i)(A), (C), 
        (10)(iv), (11) and (c)(1) revised..........................17271
    Regulation at 60 FR 17271 eff. date delayed to 7-7-95..........26002
577.7  (a)(1) and (2)(i) amended; (a)(2)(iv) added; (a)(2)(ii)(B) 
        revised....................................................17271
    Regulation at 60 FR 17271 eff. date delayed to 7-7-95..........26002
577.8  Revised.....................................................17272
    Regulation at 60 FR 17272 eff. date delayed to 7-7-95..........26002
577.10  Added......................................................17272
    Regulation at 60 FR 17272 eff. date delayed to 7-7-95..........26002
582  Authority citation revised....................................15512
582.5  Revised.....................................................15512
583.5  (i) revised.................................................14229
    (e)(3) revised; eff. 10-16-95..................................47893
583.6  Revised; eff. 10-16-95......................................47894
583.7  (c)(1) and (f) revised; eff. 10-16-95.......................47895
583.8  (c)(1) and (e) revised; eff. 10-16-95.......................47895
586  Authority citation revised....................................57839
586.1  Revised.....................................................57839
586.3  Revised.....................................................57839
586.4  (a) revised.................................................57839
586.7  Removed.....................................................57839
586.8  Revised.....................................................57839
589  Added.........................................................43061
591  Authority citation revised....................................57954
591.4  Introductory text revised...................................57954
591.6  (c) revised.................................................57954
591  Appendixd A revised...........................................57954
    Appendix B revised.............................................57954
Chapter VI
653.5  (b) and note amended........................................12297
653.7  Amended..............................................12297, 39620
653.13  (a) and (b) amended........................................12297
653.37  (a) amended................................................12297
653.43  (c) redesignated as 653.65.................................12297
653.45  (a)(1), (2)(i) and (ii) amended............................12297
    (a)(2)(i) amended..............................................39620
653.65  Redesignated from 653.43(c)................................12297

[[Page 1075]]

653  Appendix A removed............................................12297
654.3  (b) and note amended........................................12299
654.7  Amended..............................................12299, 39620
654.15  (a) and (b) amended........................................12299
654.31  Stayed.....................................................24766
654.33  (a)(1), (2)(i) and (ii) amended............................12300
    (a)(2)(i) amended..............................................39620
654.35  (c)(1) revised; (j) and (k) added..........................12300
654.45  Added......................................................12300
654  Appendix A removed............................................12300
659  Added.........................................................67046
660  Removed.......................................................65597
661  Authority citation revised....................................14175
661.7  Appendix A amended...................................14176, 37928
Chapter VIII
800  Authority citation revised....................................40112
800.2  Revised.....................................................61488
800.3  (a) revised.................................................40112
    Revised........................................................61488
800.4  (a) revised.................................................61489
800.5  Revised.....................................................61489
800.21  Revised....................................................61489
800.22  Revised....................................................61489
800.23  Revised....................................................61489
800.24  Revised....................................................61489
800.25  Revised....................................................61489
800.26  Revised....................................................61490
800.27  Revised....................................................61490
800.28  Removed....................................................61490
821.48  (e) revised................................................25620
830  Authority citation revised....................................40112
830.1  Revised.....................................................40112
830.2  Amended.....................................................40112
830.5  Introductory text revised...................................40113
830.15  (a) revised................................................40113
830.20 (Subpart E)  Removed........................................40113
831  Authority citation revised....................................40113
831.2  (a)(1) revised..............................................40113
831.9  (b) revised.................................................40113

                                  1996

49 CFR
                                                                   61 FR
                                                                    Page
Chapter V
501.8  (d)(5) added................................................26469
531.5  (b) introductory text added; (b)(2) revised..................4370
    (b)(10) added..................................................67492
533  Authority citation revised....................................14682
533.5  (a) table amended...........................................14682
    Regulation at 61 FR 14682 eff. date delayed to 6-22-96.........25595
538  Revised.......................................................14511
    Petition denial................................................46740
541  Notice.........................................................1228
541.4  (b)(7) revised..............................................29033
541  Appendixes A, A-I and A-II revised............................15392
544  Authority citation revised....................................41987
544.2  Revised.....................................................41987
544.4  (a) revised.................................................41987
544.5  (a) revised.................................................41987
544  Appendixes A, B and C revised.................................41987
564.1  Revised.....................................................20500
564.2  Revised.....................................................20500
564.5  (a), (b), (c), (d) introductory text and (1) revised........20500
564  Appendix A amended............................................20500
    Appendixes A and B amended.....................................20501
565  Revised.......................................................29033
567  Authority citation revised....................................29036
567.4  (k) introductory text and (l) revised.......................29036
571  Reconsideration petition.......................................1152
    Petition denied.................................................4370
    Clarification...................................................4938
571.105  Amended...................................................19562
571.106  Amended....................................................9954
    Amended; eff. 10-8-96..........................................41514
571.107  Removed...................................................11589
571.108  Amended...................................................20501
    Amended; eff. 7-1-97...........................................41360
    Amended; eff. 10-15-96.........................................45362
    Amended; eff. 10-24-96.........................................49979
571.109  Amended...................................................29494
571.112  Removed; eff. 10-24-96....................................49979
571.115  Removed...................................................29036
571.117  Amended...................................................29494
571.119  Amended...................................................29494
571.120  Amended...................................................29495
571.121  Amended; eff. 3-1-97.......................................5954
    Amended.........................................................6175
    Revised; eff. 3-1-97...........................................27290
    Table V revised................................................36519
    Amended; eff. 3-1-97...........................................49695
    Amended........................................................60636
571.126  Removed; eff. 9-1-97......................................36657

[[Page 1076]]

571.202  Amended...................................................27025
571.205  Amended...................................................41743
571.206  Amended; eff. 9-2-97......................................39907
571.208  Amended...................................................13109
    Corrected; CFR correction......................................26845
    Amended;..................................60215, 60217, 64298, 65188
571.209  Amended...................................................20171
571.210  Amended; eff. in part 9-1-98..............................19561
571.211  Removed...................................................20175
571.213  Amended.......................20171, 28427, 30834, 60220, 60221
571.223  Added; eff. 1-26-98........................................2030
571.224  Added; eff. 1-26-98........................................2035
571.301  Amended...................................................19202
571.304  Amended...................................................19204
    Amended; eff. in part 12-2-96..................................47089
572.30  (b) revised................................................67955
572.31  (b) removed; (c) through (f) redesignated as (b) through 
        (e); (a)(1), (3), (4) and new (d) revised..................67955
572.35  (a), (b) and (c) revised; Figures 25, 26 and 27 added......67955
573.5  (c)(8)(ii), (iii) and (iv) removed; (c)(8)(v) and (vi) 
        redesignated as (c)(8)(iii) and (iv) and revised; new 
        (c)(8)(ii) added.............................................278
573.7  (d) removed; (e) redesignated as (d) and revised..............278
574.2  Revised.....................................................29495
574.3  (a) revised.................................................29495
574.6  Introductory text revised...................................29495
575  Reconsideration petition.......................................2946
575.103  Revised; eff. 9-1-97......................................36657
575.104  Amended; (d)(1)(i)(B), (iii), (2)(i), (ii) introductory 
        text and (e)(2)(ix)(C) revised; (d)(2)(ii)(D) added; (i) 
        through (l) removed; eff. 3-9-98...........................47443
    Appendix D amended; eff. 10-11-96..............................47826
576.5  Revised.......................................................278
576.6  Revised.......................................................278
577.5  (h) removed; (i) redesignated as (h)..........................279
583  Petition denied...............................................17253
583.6  (c)(5) revised; (c)(6) added................................46390
590  Added; eff. 9-2-97............................................39908
593  Authority citation revised....................................51243
593  Appendix A added..............................................51243
594  Heading revised...............................................51045
    Authority citation revised.....................................51045
594.1  Revised.....................................................51045
594.4  Introductory text revised...................................51045
594.6  (a) introductory text, (b) and (i) revised; (d) and (h) 
        amended....................................................51045
594.7  (e) amended.................................................51045
594.8  (b) and (c) amended.........................................51045
594.9  (c) revised.................................................51045
Chapter VI
604  Appendix B redesignated as Part 609 Appendix A................19562
609  Authority citation revised....................................19562
609.5  Amended.....................................................19562
609.7  Removed.....................................................19563
609.9  Removed.....................................................19563
609.11  Removed....................................................19563
609.13  Removed....................................................19563
609.15  Removed....................................................19563
609.17  Removed....................................................19563
609.19  Removed....................................................19563
609.21  Removed....................................................19563
609.23  Amended....................................................19562
609.25  Removed....................................................19563
609  Appendix A redesignated from Part 604 Appendix B and amended 
                                                                   19562
613  Authority citation revised....................................67175
614  Revised.......................................................67175
639  Authority citation revised....................................25090
639.17  Revised....................................................25090
653.7  Amended.....................................................37224
    Random drug and alcohol testing rate...........................67962
654.7  Amended.....................................................37224
    Random drug and alcohol testing rate...........................67962
659.33  (a) and (b) revised........................................67493
659.45  (b) amended................................................67493
661  Authority citation revised.....................................6302
661.3  Amended......................................................6302
661.5  Revised......................................................6302
661.7  (h) added....................................................6302
661.10  Removed.....................................................6302
661.11  Revised.....................................................6302
661.18  Added.......................................................6303
671  Removed........................................................9651

[[Page 1077]]

Chapter VIII
800.2  (g) revised.................................................14512

                                  1997

  (Regulations published from January 1, 1997, through October 1, 1997)

49 CFR
                                                                   62 FR
                                                                    Page
Chapter V
531.5  (b)(2) revised..............................................17101
    (b)(6) table amended...........................................37154
533.5  (a) table IV revised........................................15860
541  Appendixes A, A-1 and A-II amended.............................1691
    Appendix A revised.............................................40951
    Appendix A-I and A-II revised..................................40952
    Theft data.....................................................44416
544  Authority citation revised....................................33756
    Technical correction...........................................41882
544.2  Revised.....................................................33756
544.4  (a) revised.................................................33756
544.5  (a) revised.................................................33756
544  Appendixes A, B and C revised.................................33756
571  Reconsideration petitions.....................................19523
    Petition denial................................................31008
571.101  Amended............................................32542, 32543
571.105  Corrected; CFR correction.................................35107
    Amended; eff. 10-20-97.........................................46915
    Amended; eff. 12-1-97..........................................51069
571.108  Amended..............................10716, 10717, 16714, 40953
    Corrected; CFR correction......................................31367
571.114  Amended....................................................2978
571.135  Amended; eff. 10-20-97....................................46917
    Amended; eff. 12-1-97..........................................51070
571.201  Revised...................................................16725
571.208  Amended.............................32, 806, 1402, 12974, 12975
    Amended; interim........................................26427, 45175
    Corrected......................................................51379
571.213  Amended; interim...................................18724, 30466
572.30  (b) revised; interim.......................................27514
572.31  (a)(1) through (5) revised; interim........................27514
572.32  (a) and (b) revised; interim...............................27514
572.33  (a), (b) and Figures 20 and 21 revised; interim............27514
572.34  (b) revised; interim.......................................27518
572.36  (c) through (f), (h) and (i) revised; interim..............27518
572.70  (b)(1) revised.............................................44226
572.71  (a)(1) and (b) revised.....................................44226
572.74  (a) revised................................................44227
572.78  (d) revised................................................44227
578  Added..........................................................5169
580  Authority citation revised....................................47763
580.6  Redesignated as 580.17; interim.............................47765
580.17  Redesignated from 580.6; interim...........................47765
583.6  (c)(6) revised..............................................33761
589.1  Revised.....................................................16735
589.2  Revised.....................................................16735
589.3  Revised.....................................................16735
589.5  Revised.....................................................16735
589.6  Revised.....................................................16735
589.7  Revised.....................................................16735
589.8  Revised.....................................................16735
594  Authority citation revised....................................50881
594.5  (g) and (h) redesignated as (h) and (i); new (g) added; 
        eff. 10-29-97..............................................50882
594.10  Added; eff. 10-29-97.......................................50882
Chapter VI
661.11  Appendixes A, B and C added................................40954
Chapter VIII
801  Authority citation revised....................................27703
801.13  Removed....................................................27703
831  Authority citation revised.....................................3806
831.2  Revised......................................................3806
831.3  Revised......................................................3806
831.4  Revised......................................................3806
831.5  Revised......................................................3807
831.6  Revised......................................................3807
831.7  Revised......................................................3807
831.8  Revised......................................................3807
831.9  (a) revised..................................................3807
831.11  Revised.....................................................3808
831.12  Revised.....................................................3808
831.13  (b) revised.................................................3808
831.14  Revised.....................................................3808
837  Added.........................................................27703

[[Page 1078]]