[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2019 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

                                Title 49

                              Transportation
                          ________________________

                           Parts 572 to 999

                         Revised as of October 1, 2019

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2019
                    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 OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

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

              
              
          U . S . G O V E R N M E N T P U B L I S H I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



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

  Title 49:
    SUBTITLE B--Other Regulations Relating to Transportation 
      (Continued)
          Chapter V--National Highway Traffic Safety 
          Administration, Department of Transportation, 
          (Continued)                                                5
          Chapter VI--Federal Transit Administration, 
          Department of Transportation                             447
          Chapter VII--National Railroad Passenger Corporation 
          (AMTRAK)                                                 607
          Chapter VIII--National Transportation Safety Board       625
  Finding Aids:
      Table of CFR Titles and Chapters........................     723
      Alphabetical List of Agencies Appearing in the CFR......     743
      List of CFR Sections Affected...........................     753

[[Page iv]]





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

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

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

[[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, 2019), 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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not dropped in error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected].

SALES

    The Government Publishing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2104, 24 hours a day. For payment by check, 
write to: US Government Publishing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
States, Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format via www.govinfo.gov. For 
more information, contact the GPO Customer Contact Center, U.S. 
Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-
free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) website for public 
law numbers, Federal Register finding aids, and related information. 
Connect to NARA's website at www.archives.gov/federal-register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    October 1, 2019.







[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of nine volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-177, parts 178-199, parts 200-299, parts 300-399, parts 400-571, 
parts 572-999, parts 1000-1199, and part 1200 to end. The first volume 
(parts 1-99) contains current regulations issued under subtitle A--
Office of the Secretary of Transportation; the second volume (parts 100-
177) and the third volume (parts 178-199) contain the current 
regulations issued under chapter I--Pipeline and Hazardous Materials 
Safety Administration (DOT); the fourth volume (parts 200-299) contains 
the current regulations issued under chapter II--Federal Railroad 
Administration (DOT); the fifth volume (parts 300-399) contains the 
current regulations issued under chapter III--Federal Motor Carrier 
Safety Administration (DOT); the sixth volume (parts 400-571) contains 
the current regulations issued under chapter IV--Coast Guard (DHS), and 
some of chapter V--National Highway Traffic Safety Administration (DOT); 
the seventh volume (parts 572-999) contains the rest of the regulations 
issued under chapter V--National Highway Traffic Safety Administration 
(DOT), and the current regulations issued under chapter VI--Federal 
Transit Administration (DOT), chapter VII--National Railroad Passenger 
Corporation (AMTRAK), and chapter VIII--National Transportation Safety 
Board; the eighth volume (parts 1000-1199) contains some of the current 
regulations issued under chapter X--Surface Transportation Board and the 
ninth volume (part 1200 to end) contains the rest of the current 
regulations issued under chapter X--Surface Transportation Board, 
chapter XI--Research and Innovative Technology Administration (DOT), and 
chapter XII--Transportation Security Administration (DHS). The contents 
of these volumes represent all current regulations codified under this 
title of the CFR as of October 1, 2019.

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

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

[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 572 to 999)

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

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

                                                                    Part

chapter v--National Highway Traffic Safety Administration, 
  Department of Transportation (Continued)..................         572

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

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

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

[[Page 3]]

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

[[Page 5]]



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




  --------------------------------------------------------------------
Part                                                                Page
572             Anthropomorphic test devices................           7
573             Defect and noncompliance responsibility and 
                    reports.................................         173
574             Tire identification and recordkeeping.......         188
575             Consumer information........................         198
576             Record retention............................         256
577             Defect and noncompliance notification.......         257
578             Civil and criminal penalties................         268
579             Reporting of information and communications 
                    about potential defects.................         273
580             Odometer disclosure requirements............         300
581             Bumper standard.............................         309
582             Insurance cost information regulation.......         312
583             Automobile parts content labeling...........         314
585             Phase-in reporting requirements.............         325
586             [Reserved]

587             Deformable barriers.........................         344
588             Child restraint systems recordkeeping 
                    requirements............................         353
589-590         [Reserved]

591             Importation of vehicles and equipment 
                    subject to Federal safety, bumper and 
                    theft prevention standards..............         354
592             Registered importers of vehicles not 
                    originally manufactured to conform to 
                    the Federal motor vehicle safety 
                    standards...............................         366
593             Determinations that a vehicle not originally 
                    manufactured to conform to the Federal 
                    motor vehicle safety standards is 
                    eligible for importation................         380
594             Schedule of fees authorized by 49 U.S.C. 
                    30141...................................         392
595             Make inoperative exemptions.................         396
596-598         [Reserved]

[[Page 6]]

599             Requirements and procedures for Consumer 
                    Assistance to Recycle and Save Act 
                    program.................................         414

[[Page 7]]



PART 572_ANTHROPOMORPHIC TEST DEVICES--Table of Contents



                            Subpart A_General

Sec.
572.1 Scope.
572.2 Purpose.
572.3 Application.
572.4 Terminology.

                     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 of Part 572

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 of Part 572

                       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.

         Subpart M_Side Impact Hybrid Dummy 50th Percentile Male

572.110 Materials incorporated by reference.
572.111 General description.
572.112 Head assembly.
572.113 Neck assembly.
572.114 Thorax.
572.115 Lumbar spine and pelvis.
572.116 Instrumentation and test conditions.

          Subpart N_Six-year-old Child Test Dummy, Beta Version

572.120 Incorporation by reference.
572.121 General description.
572.122 Head assembly and test procedure.
572.123 Neck assembly and test procedure.
572.124 Thorax assembly and test procedure.
572.125 Upper and lower torso assemblies and torso flexion test 
          procedure.
572.126 Knees and knee impact test procedure.
572.127 Test conditions and instrumentation.

Figures to Subpart N of Part 572

  Subpart O_Hybrid III 5th Percentile Female Test Dummy, Alpha Version

572.130 Incorporation by reference.
572.131 General description.
572.132 Head assembly and test procedure.
572.133 Neck assembly and test procedure.
572.134 Thorax assembly and test procedure.
572.135 Upper and lower torso assemblies and torso flexion test 
          procedure.
572.136 Knees and knee impact test procedure.

[[Page 8]]

572.137 Test conditions and instrumentation.

Figures to Subpart O of Part 572

  Subpart P_Hybrid III 3-Year-Old Child Crash Test Dummy, Alpha Version

572.140 Incorporation by reference.
572.141 General description.
572.142 Head assembly and test procedure.
572.143 Neck-headform assembly and test procedure.
572.144 Thorax assembly and test procedure.
572.145 Upper and lower torso assemblies and torso flexion test 
          procedure.
572.146 Test condition and instrumentation.

Figures to Subpart P of Part 572

   Subpart R_CRABI 12-Month-Old Infant Crash Test Dummy, Alpha Version

572.150 Incorporation by reference.
572.151 General description.
572.152 Head assembly and test procedure.
572.153 Neck-headform assembly and test procedure.
572.154 Thorax assembly and test procedure.
572.155 Test condition and instrumentation.

Figures to Subpart R of Part 572

       Subpart S_Hybrid III Six-Year-Old Weighted Child Test Dummy

572.160 Incorporation by reference.
572.161 General description.
572.162 Head assembly and test procedure.
572.163 Neck assembly and test procedure.
572.164 Thorax assembly and test procedure.
572.165 Upper and lower torso assemblies and torso flexion test 
          procedure.
572.166 Knees and knee impact test procedure.
572.167 Test conditions and instrumentation.

Figures to Subpart S of Part 572

      Subpart T_Hybrid III 10-Year-Old Child Test Dummy (HIII	10C)

572.170 Incorporation by reference.
572.171 General description.
572.172 Head assembly and test procedure.
572.173 Neck assembly and test procedure.
572.174 Thorax assembly and test procedure.
572.175 Upper and lower torso assemblies and torso flexion test 
          procedure.
572.176 Knees and knee impact test procedure.
572.177 Test conditions and instrumentation.

Figures to Subpart T of Part 572

 Subpart U_ ES	2re Side Impact Crash Test Dummy, 50th Percentile Adult 
                                  Male

572.180 Incorporated materials.
572.181 General description.
572.182 Head assembly.
572.183 Neck assembly.
572.184 Shoulder assembly.
572.185 Thorax (upper torso) assembly.
572.186 Abdomen assembly.
572.187 Lumbar spine.
572.188 Pelvis.
572.189 Instrumentation and test conditions.

Appendix A to Subpart U of Part 572--Figures

   Subpart V_SID	IIsD Side Impact Crash Test Dummy, Small Adult Female

572.190 Incorporated materials.
572.191 General description.
572.192 Head assembly.
572.193 Neck assembly.
572.194 Shoulder.
572.195 Thorax with arm.
572.196 Thorax without arm.
572.197 Abdomen.
572.198 Pelvis acetabulum.
572.199 Pelvis iliac.
572.200 Instrumentation and test conditions.

Appendix A to Subpart V of Part 572--Figures

    Authority: 49 U.S.C. 322, 30111, 30115, 30117 and 30166; delegation 
of authority at 49 CFR 1.95

    Editorial Notes: 1. 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.

    2. Nomenclature changes to part 572 appear at 69 FR 18803, Apr. 9, 
2004.



                            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

[[Page 9]]

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 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

[[Page 10]]

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 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] 5[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) (2     (inches 0.5)
------------------------------------------------------------------------
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 23.5 2.0 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, t2 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.

[[Page 11]]

    (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 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 17.7 0.1 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 (6
                                                            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

[[Page 12]]

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 
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 17.3 0.2 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 2[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.

[[Page 13]]

    (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 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 Sec. Sec.572.8, 572.9, 
and 572.10, the dummy is positioned in accordance with Figure 11 as 
follows:

[[Page 14]]

    (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 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 15]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.152


[[Page 16]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.153


[[Page 17]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.154


[[Page 18]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.155


[[Page 19]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.156


[[Page 20]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.157


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



                       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

[[Page 21]]

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.
    (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.

[[Page 22]]

    (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 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 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.

------------------------------------------------------------------------
                                 Time (ms) (2     (inches 0.8)
------------------------------------------------------------------------
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 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 
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.

[[Page 23]]

    (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 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

[[Page 24]]

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 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

[[Page 25]]

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 Sec. Sec.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 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 12.4 
0.2 inches above the seating surface. The rear 
surfaces of the dummy's shoulders and buttocks are touching the back 
support as

[[Page 26]]

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 27]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.158


[[Page 28]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.159


[[Page 29]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.160


[[Page 30]]


[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]



                      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

[[Page 31]]

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 at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

[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 June 26, 1998, 
and containing 16 pages, and a Parts List Index, dated June 26, 1998, 
containing 8 pages.
    (2) A listing of Hybrid III Dummy Transducers-reference document 
AGARD-AR-330, ``Anthropomorphic Dummies for Crash and Escape System 
Testing'', Chapter 6, Table 6-2, North Atlantic Treaty Organization, 
July, 1996.
    (3) A General Motors Drawing Package identified by GM Drawing No. 
78051-218, revision U, titled ``Hybrid III Anthropomorphic Test Dummy,'' 
dated August 30, 1998, the following component assemblies, and 
subordinate drawings:

------------------------------------------------------------------------
                          Drawing No.                           Revision
------------------------------------------------------------------------
78051-61X head assembly-complete, (May 20, 1978)..............       (T)
78051-90 neck assembly-complete, dated May 20, 1978...........       (A)

[[Page 32]]

 
78051-89 upper torso assembly-complete, dated May 20, 1978....       (K)
78051-70 lower torso assembly-complete, dated June 30, 1998,         (F)
 except for drawing No. 78051-55, ``Instrumentation Assembly-
 Pelvic Accelerometer,'' dated August 2, 1979.................
86-5001-001 leg assembly-complete (LH), dated March 26, 1996..       (A)
86-5001-002 leg assembly-complete (RH), dated March 26, 1996..       (A)
78051-123 arm assembly-complete (LH), dated May 20, 1996......       (D)
78051-124 arm assembly-complete (RH), dated May 20, 1978......       (D)
78051-59 pelvic assembly-complete, dated June 30, 1998........       (G)
78051-60 pelvic structure-molded, dated June 30, 1998.........       (E)
------------------------------------------------------------------------

    (4) Disassembly, Inspection, Assembly and Limbs Adjustment 
Procedures for the Hybrid III dummy, dated June 1998.
    (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) [Reserved]
    (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; 63 FR 5747, Feb. 4, 1998; 63 FR 53851, Oct. 7, 1998]



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 33]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.162

    (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]

[[Page 34]]



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 47ms 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 35]]

[GRAPHIC] [TIFF OMITTED] TR20MY97.000


[[Page 36]]


[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 37]]

[GRAPHIC] [TIFF OMITTED] TR02JN11.011

    (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.

[[Page 38]]



          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; 76 FR 31864, June 2, 2011]



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 Sec.572.36(a) at 
22 fps 0.40 fps in accordance with paragraph (c) 
of this section, the thorax of a complete dummy assembly (78051-218, 
revision U, without shoes, 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 
0.18 inches. The internal hysteresis in 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 39]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.166

    (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.

[[Page 40]]

    (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; 63 FR 53851, Oct. 7, 1998]



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 torque at 30 deg. rotation from its initial horizontal 
orientation will not be more than 70 ft-lbf, and at 150 ft-lbf of torque 
will not be less than 40 deg. or more than 50 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 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

[[Page 41]]

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 (b)(2)(ii) of this section.
[GRAPHIC] [TIFF OMITTED] TC01AU91.167


[[Page 42]]


[GRAPHIC] [TIFF OMITTED] TR26DE96.004


[[Page 43]]


[GRAPHIC] [TIFF OMITTED] TR26DE96.005

[GRAPHIC] [TIFF OMITTED] TR26DE96.006


[[Page 44]]


[GRAPHIC] [TIFF OMITTED] TR26DE96.007


[[Page 45]]


[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; 63 FR 5748, Feb. 4, 1998]



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

[[Page 46]]

the longitudinal centerline of the cylinder.
    (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 600
    (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; 63 FR 45965, Aug. 28, 1998]



            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 47]]

to the reader, the materials incorporated by reference are listed in the 
Finding Aids 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 St., S.W., Washington, D.C., 20590, telephone (202) 
366-4949. Copies may be obtained from Reprographic Technologies, 9000 
Virginia Manor Rd., Suite 210, Beltsville, MD, 20705, Telephone (301) 
419-5070, Fax (301) 419-5069.

[55 FR 45766, Oct. 30, 1990, as amended at 63 FR 16140, Apr. 2, 1998]



Sec.572.41  General description.

    (a) The dummy consists of component parts and component assemblies 
(SA-SID-M001, revision C, dated September 12, 1996, and SA-SID-M001A, 
revision B, dated September 12, 1996), which are described in 
approximately 250 drawings and specifications that are set forth in 
Sec.572.5(a) of this chapter 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 
(Sec.572.9(a)) and conforms to drawing SA 150 M050 and drawings 
subtended by SA-SID-M050 revision B, dated September 12, 1996, including 
the addition of Lumbar Spacers-Lower SID-SM-001 and Lumbar Spacers-Upper 
SID-SM-002 (both dated May 12, 1994), and Washer 78051-243.
    (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 except for pages 
7, 20 and 23, and appendix A (consisting of replacement pages 7, 20 and 
23) dated January 20, 1998 (incorporated by reference; see Sec.
572.40).

[55 FR 45766, Oct. 30, 1990, as amended at 59 FR 52091, Oct. 14, 1994; 
63 FR 16140, Apr. 2, 1998]



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

[[Page 48]]

(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 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 B, dated September 12, 1996, (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; 
63 FR 16140, Apr. 2, 1998]



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

[[Page 49]]

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 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.
    (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 Sec. Sec.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.

[[Page 50]]

    (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 51]]



            Sec. Appendix A to Subpart F of Part 572--Figures
[GRAPHIC] [TIFF OMITTED] TC01AU91.168


[[Page 52]]


[GRAPHIC] [TIFF OMITTED] TR14OC94.001


[59 FR 52092, Oct. 14, 1994]

[[Page 53]]

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 Sec. Sec.
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 National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (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:

                                                     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

[[Page 54]]

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 2.7 0.1 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 total of 78 degrees 6 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
------------------------------------------------------------------------
                                                           Chordal
                                  Time (ms) (2    (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.

[[Page 55]]

    (2) Release the pendulum and allow it to fall freely from a height 
such that the velocity at impact is 17.00 1.0 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 20 0.3 
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.
    (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]

[[Page 56]]



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.
    (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 7.0 0.1 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 11 0.2 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

[[Page 57]]

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, 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.

[[Page 58]]

    (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 12.4 0.2 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.
    (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]



                  Sec. Figures to Subpart I of Part 572

[[Page 59]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.169


[[Page 60]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.170


[60 FR 2898, Jan. 12, 1995]

[[Page 61]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.171


[[Page 62]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.172



                       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

[[Page 63]]

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 National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.



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 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

[[Page 64]]

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 National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.

[[Page 65]]

    (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 National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html.
    (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;

[[Page 66]]

see Sec.572.100), 92041-003 (incorporated by 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 67]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.173


[60 FR 43060, Aug. 18, 1995]

[[Page 68]]



         Subpart M_Side Impact Hybrid Dummy 50th Percentile Male

    Source: 63 FR 41470, Aug. 4, 1998, unless otherwise noted.



Sec.572.110  Materials incorporated by reference.

    (a) The following materials are hereby incorporated by reference in 
Subpart M:
    (1) The Anthropomorphic Test Dummy Parts List, SID/Hybrid III part 
572, subpart M, dated May 10, 1997.
    (2) The SID/Hybrid III Part 572 Subpart M User's Manual, dated May 
1997.
    (3) Drawing number 96-SIDH3-001, titled, ``Head-Neck Bracket,'' 
dated August 30, 1996.
    (4) Drawing number 96-SIDH3-006, titled, ``Upper and Middle Shoulder 
Foam,'' dated May 10, 1997.
    (5) Drawing number SA-SIDH3-M001, titled, ``Complete Assembly 
SIDH3,'' dated April 19, 1997.
    (6) Drawing number 78051-61X, Revision C, titled ``Head Assembly--
complete,'' dated March 28, 1997
    (7) Drawing number 78051-90, Revision A, titled ``Neck Assembly--
complete,'' dated May 20, 1978.
    (8) Dummy assembly drawing number SA-SID-M030, Revision A, titled 
``Thorax Assembly--complete,'' dated May 18, 1994.
    (9) Dummy assembly drawing SA-SID-M050, revision A, titled ``Lumbar 
Spine Assembly,'' dated May 18, 1994.
    (10) Dummy assembly drawing SA-150 M060, revision A, titled ``Pelvis 
and Abdomen Assembly,'' dated May 18, 1994.
    (11) Dummy assembly drawing SA-SID-053, revision A, titled ``Lumbar 
Spine Assembly,'' dated May 18, 1994.
    (12) Dummy assembly drawing SA-SID-M080, titled ``Leg Assembly, 
Right,'' dated August 13, 1987.
    (13) Dummy assembly drawing SA-SID-M081, titled ``Leg Assembly, 
Left,'' dated August 13, 1987.
    (14) Drawing number 78051-383X, Revision P, titled ``Neck Transducer 
Structural Replacement,'' dated November 1, 1995.
    (15) The Society of Automotive Engineers (SAE) J1733 Information 
Report, titled ``Sign Convention for Vehicle Crash Testing,'' dated 
December 1994.
    (16) SAE Recommended Practice J211, ``Instrumentation for Impact 
Tests,'' Parts 1 and 2, dated March 1995.
    (b) The incorporated materials are available as follows:
    (1) The Director of the Federal Register approved those 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 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (2) The parts lists, user's manual and drawings referred to in 
paragraphs (a)(1) through (a)(14) of this section are available from 
Reprographic Technologies, 9000 Virginia Manor Road, Beltsville, MD 
20705 (301) 419-5070.
    (3) The SAE materials referred to in paragraphs (a)(15) and (a)(16) 
of this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096.



Sec.572.111  General description.

    (a) The dummy consists of component parts and component assemblies 
defined in drawing SA-SIDH3-M001, dated April 19, 1997, which are 
described in approximately 200 drawings and specifications that are set 
forth in Sec. Sec.572.32, 572.33 and 572.41(a)(3),(4),(5) and (6) of 
this part, and in the drawing of the Adaptor Bracket 96-SIDH3-001.
    (1) The head assembly consists of the assembly specified in subpart 
E (Sec.572.32) and conforms to each of the drawings subtended under 
drawing 78051-61X rev. C.
    (2) The neck assembly consists of the assembly specified in subpart 
E (Sec.572.33) and conforms to each of the drawings subtended under 
drawing 78051-90 rev. A.
    (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 rev. A.

[[Page 69]]

    (4) The lumbar spine consists of the assembly specified in subpart B 
(Sec.572.9(a)) and conforms to drawing SA 150 M050 and drawings 
subtended by SA-SID M050 rev. A.
    (5) The abdomen and pelvis consist of the assembly and conform to 
the drawings subtended by SA 150 M060, the drawings subtended by SA 150 
M060 rev. A and the drawings subtended by SA-SID-087 sheet 1 rev. H, and 
SA-SID-87 sheet 2 rev. 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 and conform to the drawings subtended by those 
numbers.
    (7) The neck mounting adaptor bracket conforms to drawing 96-SIDH3-
001.
    (8) Upper and middle shoulder foams conform to drawing 96-SIDH3-006.
    (b) The structural properties of the dummy are such that the dummy 
conforms to the specifications of this subpart in every respect before 
being used in vehicle tests specified in Standard 201.
    (c) Disassembly, inspection and assembly procedures, external 
dimensions, weight and drawing list are set forth in the SIDH3 User's 
Manual, dated May 1997.
    (d) Sign convention for signal outputs is given in the reference 
document SAE J1733 of 1994-12, ``Sign Convention for Vehicle Crash 
Testing.''



Sec.572.112  Head assembly.

    The head assembly consists of the head (drawing 78051-61X, rev. C) 
with the neck transducer structural replacement (drawing 78051-383X, 
rev. P) and three (3) accelerometers that are mounted in conformance to 
Sec.572.36 (c).
    (a) Test procedure. (1) Soak the head assembly in a test environment 
at any temperature between 18.9 and 25.6 degrees C. (66 to 78 degrees 
F.) and at a relative humidity between 10 percent and 70 percent for a 
period of at least four (4) hours prior to its application in a test.
    (2) Clean the impact surface of the head skin and impact plate 
surface, described in paragraph (a)(4) of this section, with 1,1,1 
trichloroethane or equivalent prior to the test.
    (3) Suspend the head, as shown in Figure 51, so that the midsagittal 
plane makes an angle of 35 1 degrees with the 
impact surface and its anterior-posterior axis is horizontal 1 degree.
    (4) Drop the head from a height of 200 0.25 mm 
(7.87 0.01 inches), measured from the lowest point 
on the head, by a means that ensures a smooth, clean release into a 
rigidly supported flat horizontal steel plate, which is 51 2 mm (2.0 0.01 in.) thick and 610 
10 mm (24.0 0.4 in) square. 
The plate shall have a dry surface and shall have a microfinish of 0.2 
microns (8 microinches) to 2.0 microns (80 microinches).
    (5) Allow at least two (2) hours between successive tests on the 
same head.
    (b) Performance criteria. (1) When the head assembly is dropped in 
accordance with Sec.572.112(a), the measured peak resultant 
acceleration shall be between 120 and 150 G's.
    (2) The resultant acceleration-time curve shall be unimodal to the 
extent that oscillations occurring after the main acceleration pulse 
shall not exceed 15 percent (zero to peak) of the main pulse. The 
longitudinal acceleration vector shall not exceed 15 G's.

[[Page 70]]

[GRAPHIC] [TIFF OMITTED] TR04AU98.003



Sec.572.113  Neck assembly.

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

[[Page 71]]

    (a) Test procedure. (1) Soak the head and neck assembly in a test 
environment at any temperature between 20.6 and 22.2 degrees C. (69 to 
72 degrees F.) and at any relative humidity between 10 percent and 70 
percent for a period of at least four (4) hours prior to its application 
in a test.
    (2) Torque the jamnut (78051-64) on the neck cable (78051-301, rev. 
E) to 1.35 0.27 Nm (1.0 0.2 
ft-lb) before each test.
    (3) Using neck brackets 78051-303 and -307, mount the head/neck 
assembly to the part 572 pendulum test fixture (see Sec.572.33, Figure 
22,) so that the midsagittal plane of the head is vertical and 
perpendicular to the plane of motion of the pendulum's longitudinal 
centerline (see Sec.572.33, Figure 20, except that the direction of 
the head/neck assembly is rotated around the superior-inferior axis by 
an angle of 90 degrees). Install suitable transducers or other devices 
necessary for measuring the ``D'' plane (horizontal surface at the base 
of the skull) rotation with respect to the pendulum's longitudinal 
centerline. The rotation can be measured by placing a transducer at the 
occipital condyles and another at the intersection of the centerline of 
the neck and the line extending from the base of the neck as shown in 
figure 52.
    (4) Release the pendulum and allow it to fall freely from a height 
to achieve an impact velocity of 6.89 to 7.13 m/s (22.6 to 23.4 ft/sec) 
measured at the center of the pendulum accelerometer.
    (5) Allow the neck to flex without the head or neck contacting any 
object during the test.
    (6) Time zero is defined as the time of initial contact between the 
striker plate and the pendulum deceleration medium.
    (7) Allow a period of at least thirty (30) minutes between 
successive tests on the same neck assembly.
    (b) Performance criteria. (1) The pendulum deceleration pulse is to 
be characterized in terms of decrease in velocity as obtained by 
integrating the pendulum acceleration output.

------------------------------------------------------------------------
               Time (ms)                      Pendulum Delta-V (m/s)
------------------------------------------------------------------------
10.....................................  1.96 to 2.55.
20.....................................  4.12 to 5.10.
30.....................................  5.73 to 7.01.
40 to 70...............................  6.27 to 7.64.
------------------------------------------------------------------------

    (2) The maximum rotation of the midsagittal plane of the head shall 
be 66 to 82 degrees with respect to the pendulum's longitudinal 
centerline. The decaying head rotation vs. time curve shall cross the 
zero angle between 58 to 67 ms after reaching its peak value.
    (3) The moment about the x-axis which coincides with the midsagittal 
plane of the head at the level of the occipital condyles shall have a 
maximum value between 73 and 88 Nm. The decaying moment vs. time curve 
shall first cross zero moment between 49 and 64 ms after reaching its 
peak value. The following formula is to be used to calculate the moment 
about the occipital condyles when using the six-axis neck transducer:

M = Mx + 0.01778 Fy

Where Mx and Fy are the moment and force measured by the transducer and 
          expressed in terms of Nm and N, respectively.

    (4) The maximum rotation of the head with respect to the pendulum's 
longitudinal centerline shall occur between 2 and 16 ms after peak 
moment.

[63 FR 41470, Aug. 4, 1998, as amended at 66 FR 51882, Oct. 11, 2001]



Sec.572.114  Thorax.

    The specifications and test procedure for the thorax for the SID/
HIII dummy are identical to those applicable to the SID dummy as set 
forth in Sec.572.42 except that the reference to the SID device found 
in Sec.572.42(a), (SA-SID-M001A revision A, dated May 18, 1994) does 
not apply and the reference to the SID/HIII (SA-SIDH3-M001, dated April 
19, 1997) is applied in its place.

[[Page 72]]

[GRAPHIC] [TIFF OMITTED] TR04AU98.004



Sec.572.115  Lumbar spine and pelvis.

    The specifications and test procedure for the lumbar spine and 
pelvis are identical to those for the SID dummy as set forth in Sec.
572.42 except that the reference to the SID device found in Sec.
572.42(a), (SA-SID-M001A revision A, dated May 18, 1994) does not apply 
and the reference to the SID/HIII (SA-SIDH3-M001, dated April 19, 1997) 
is applied in its place.



Sec.572.116  Instrumentation and test conditions.

    (a) The test probe for lateral thoracic and pelvis impact tests are 
the same as those specified in Sec.572.44(a).

[[Page 73]]

    (b) Accelerometer mounting in the thorax is the same as specified in 
Sec.572.44(b).
    (c) Accelerometer mounting in the pelvis is the same as specified in 
Sec.572.44(c).
    (d) Head accelerometer mounting is the same as specified in Sec.
572.36(c).
    (e) Neck transducer mounting is the same as specified in Sec.
572.36(d).
    (f) Instrumentation and sensors used must conform to SAE Recommended 
Practice J211, March 1995, ``Instrumentation for Impact Tests.''
    (g) 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.
    (h) Limb joints of the test dummy shall be set at the force between 
1 to 2 g's, which just supports the limb's 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 the limb motion.
    (i) Performance tests must be conducted at a temperature between 
20.6 and 22.2 degrees C. (69 to 72 degrees F.) and at a relative 
humidity between 10 percent and 70 percent after exposure of the dummy 
to those conditions for a period of at least four (4) hours.
    (j) For the performance of tests specified in Sec.572.114 and 
Sec.572.115, the dummy is positioned the same as specified in Sec.
572.44(h).



          Subpart N_Six-year-old Child Test Dummy, Beta Version

    Source: 65 FR 2065, Jan. 13, 2000, unless otherwise noted.



Sec.572.120  Incorporation by reference.

    (a) The following materials are hereby incorporated into this 
subpart by reference:
    (1) A drawings and inspection package entitled, ``Parts List and 
Drawings, Part 572 Subpart N, Hybrid III Six-Year Old Child Crash Test 
Dummy (H-III6C, Beta Version), June 2009,'' consisting of:
    (i) Drawing No. 127-1000, 6-year H3 Head Complete, incorporated by 
reference in Sec.572.122,
    (ii) Drawing No. 127-1015, Neck Assembly, incorporated by reference 
in Sec.572.123,
    (iii) Drawing No. 127-2000, Upper Torso Assembly, incorporated by 
reference in Sec.572.124,
    (iv) Drawing No. 127-3000, Lower Torso Assembly, incorporated by 
reference in Sec.572.125,
    (v) Drawing No. 127-4000-1 and 4000-2, Leg Assembly, incorporated by 
reference in Sec.572.126,
    (vi) Drawing No. 127-5000-1 and 5000-2, Arm Assembly, incorporated 
by reference in Sec. Sec.572.121, 572.124, and 572.125 as part of a 
complete dummy assembly, and,
    (vii) Parts List and Drawings, Hybrid III Six-year-old Child Test 
Dummy (H-III6C, Beta Version), dated June 1, 2009, incorporated by 
reference in Sec.572.121;
    (2) A procedures manual entitled ``Procedures for Assembly, 
Disassembly, and Inspection (PADI) of the Hybrid III 6-year-old Child 
Crash Test Dummy (H-III6C), Beta Version, June 1, 2009,'' incorporated 
by reference in Sec.572.121;
    (3) SAE Recommended Practice J211-1995, ``Instrumentation for Impact 
Tests--Parts 1 and 2, dated March, 1995,'' incorporated by reference in 
Sec.572.127;
    (4) SAE J1733 Information Report, titled ``Sign Convention for 
Vehicle Crash Testing,'' dated December 1994, incorporated by reference 
in Sec.572.127.
    (b) 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 the Department of 
Transportation, Docket Operations, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, telephone (202) 366-9826, and at the National 
Archives and Records Administration (NARA), and in electronic format 
through Regulations.gov. For information on the availability and 
inspection of this material at NARA, call 202-741-6030, or go to: http:/
/www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. For information on the availability and inspection 
of this material at Regulations.gov, call 1-877-

[[Page 74]]

378-5457, or go to: http://www.regulations.gov.
    (c) The incorporated materials are available as follows:
    (1) The drawings and specifications package, the parts list, and the 
PADI document referred to in paragraphs (a)(1), and (a)(2) of this 
section, are available in electronic format through www.Regulations.gov 
and in paper format from Leet-Melbrook, Division of New RT, 18810 
Woodfield Road, Gaithersburg, MD 20879, (301) 670-0090.
    (2) The SAE materials referred to in paragraphs (a)(3) and (a)(4) of 
this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096.

[65 FR 2065, Jan. 13, 2000, as amended at 67 FR 47327, July 18, 2002; 75 
FR 76645, Dec. 9, 2010]



Sec.572.121  General description.

    (a) The Hybrid III type 6-year-old dummy is defined by drawings and 
specifications containing the following materials:
    (1) Technical drawings and specifications package P/N 127-0000, the 
titles of which are listed in Table A;
    (2) Procedures for Assembly, Disassembly, and Inspection (PADI) of 
the Hybrid III 6-year-old child crash test dummy (H-III6C), Beta 
version, dated June 1, 2009, incorporated by reference in Sec.572.120.

                                 Table A
------------------------------------------------------------------------
                                                                Drawing
                     Component assembly                         number
------------------------------------------------------------------------
Head assembly...............................................    127-1000
Neck assembly...............................................    127-1015
Upper torso assembly........................................    127-2000
Lower torso assembly........................................    127-3000
Leg assembly................................................    127-4000
Arm assembly................................................    127-5000
------------------------------------------------------------------------

    (b) 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.
    (c) The structural properties of the dummy are such that the dummy 
must conform to this Subpart in every respect before use in any test 
similar to those specified in Standard 208, ``Occupant Crash 
Protection'', and Standard 213, ``Child Restraint Systems''.

[65 FR 2065, Jan. 13, 2000, as amended at 75 FR 76645, Dec. 9, 2010]



Sec.572.122  Head assembly and test procedure.

    (a) The head assembly for this test consists of the complete head 
(drawing 127-1000), a six-axis neck transducer (drawing SA572-S11) or 
its structural replacement (drawing 78051-383X), a head to neck-to-pivot 
pin (drawing 78051-339), and 3 accelerometers (drawing SA572-S4).
    (b) When the head assembly in paragraph (a) of this section is 
dropped from a height of 376.0 1.0 mm (14.8 0.04 in) in accordance with paragraph (c) of this 
section, the peak resultant acceleration at the location of the 
accelerometers at the head CG may not be less than 245 G or more than 
300 G. The resultant acceleration vs. time history curve shall be 
unimodal; oscillations occurring after the main pulse must be less than 
10 percent of the peak resultant acceleration. The lateral acceleration 
shall not exceed 15 g's (zero to peak).
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Soak the head assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a 
relative humidity from 10 to 70 percent for at least four hours prior to 
a test.
    (2) Prior to the test, clean the impact surface of the skin and the 
impact plate surface with isopropyl alcohol, trichloroethane, or an 
equivalent. The skin of the head must be clean and dry for testing.
    (3) Suspend the head assembly as shown in Figure N1. The lowest 
point on the forehead must be 376.0 1.0 mm (14.8 
0.04 in) from the impact surface and the head must 
be oriented to an incline of 62 1 deg. between the 
``D'' plane as shown in Figure N1 and the plane of the impact surface. 
The 1.57 mm (0.062 in) diameter holes located on either side of the 
dummy's head shall be used to ensure that the head is level with respect 
to the impact surface.
    (4) Drop the head assembly from the specified height by means that 
ensure a smooth, instant release onto a rigidly

[[Page 75]]

supported flat horizontal steel plate which is 50.8 mm (2 in) thick and 
610 mm (24 in) square. The impact surface shall be clean, dry and have a 
micro finish of not less than 203.2. x 10-6 mm (8 micro 
inches) (RMS) and not more than 2032.0 x 10-6 mm (80 micro 
inches) (RMS).
    (5) Allow at least 2 hours between successive tests on the same 
head.



Sec.572.123  Neck assembly and test procedure.

    (a) The neck assembly for the purposes of this test consists of the 
assembly of components shown in drawing 127-1015.
    (b) When the head-neck assembly consisting of the head (drawing 127-
1000), neck (drawing 127-1015), pivot pin (drawing 78051-339), bib 
simulator (drawing TE127-1025, neck bracket assembly (drawing 127-8221), 
six-axis neck transducer (drawing SA572-S11), neck mounting adaptor 
(drawing TE-2208-001), and three accelerometers (drawing SA572-S4) 
installed in the head assembly as specified in Sec.572.122, is tested 
according to the test procedure in paragraph (c) of this section, it 
shall have the following characteristics:
    (1) Flexion. (i) Plane D, referenced in Figure N2, shall rotate in 
the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 74 degrees and 92 degrees. Within this 
specified rotation corridor, the peak moment about the occipital 
condyles shall be not less than 27 N-m (19.9 ft-lbf) and not more than 
33 N-m (24.3 ft-lbf).
    (ii) The positive moment shall decay for the first time to 5 N-m 
(3.7 ft-lbf) between 103 ms and 123 ms.
    (iii) The moment shall be calculated by the following formula: 
Moment (N-m) = My-(0.01778m) x (FX).
    (iv) My is the moment about the y-axis and FX 
is the shear force measured by the neck transducer (drawing SA572-S11) 
and 0.01778m is the distance from force to occipital condyle.
    (2) Extension. (i) Plane D, referenced in Figure N3, shall rotate in 
the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 85 degrees and 103 degrees. Within this 
specified rotation corridor, the peak moment about the occipital 
condyles shall be not more than -19 N-m (-14 ft-lbf) and not less than -
24 N-m (-17.7ft-lbf).
    (ii) The negative moment shall decay for the first time to -5 N-m (-
3.7 ft-lbf) between 123 ms and 147 ms.
    (iii) The moment shall be calculated by the following formula: 
Moment (N-m) = My-(0.01778m) x (FX).
    (iv) My is the moment about the y-axis and FX 
is the shear force measured by the neck transducer (drawing SA572-S11) 
and 0.017778m is the distance from force to occipital condyle.
    (3) Time-zero is defined as the time of initial contact between the 
pendulum striker plate and the honeycomb material.
    (c) Test procedure. The test procedure for the neck assembly is as 
follows:
    (1) Soak the neck assembly in a controlled environment at any 
temperature between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a 
relative humidity between 10 and 70 percent for at least four hours 
prior to a test.
    (2) Torque the jam nut (drawing 9000341) on the neck cable (drawing 
127-1016) to 0.23 0.02 N-m (2.0 0.2 in-lbs).
    (3) Mount the head-neck assembly, defined in paragraph (b) of this 
section, on the pendulum so the midsagittal plane of the head is 
vertical and coincides with the plane of motion of the pendulum as shown 
in Figure N2 for flexion tests and Figure N3 for extension tests.
    (4) Release the pendulum and allow it to fall freely from a height 
to achieve an impact velocity of 4.95 0.12 m/s 
(16.2 0.4 ft/s) for flexion tests and 4.3 0.12 m/s (14.10 0.40 ft/s) for 
extension tests, measured by an accelerometer mounted on the pendulum as 
shown in Figure 22 of 49 CFR 572 at the instant of contact with the 
honey comb.
    (i) Time-zero is defined as the time of initial contact between the 
pendulum striker plate and the honeycomb material. All data channels 
should be at the zero level at this time.
    (ii) Stop the pendulum from the initial velocity with an 
acceleration vs. time pulse which meets the velocity change as specified 
below. Integrate the pendulum acceleration data channel to obtain the 
velocity vs. time curve:

[[Page 76]]



                                                     Table B
----------------------------------------------------------------------------------------------------------------
                            Time                                                Pendulum pulse
----------------------------------------------------------------------------------------------------------------
                                                                       Flexion                  Extension
                             ms                              ---------------------------------------------------
                                                                  m/s          ft/s         m/s          ft/s
----------------------------------------------------------------------------------------------------------------
10..........................................................      1.2-1.6      3.9-5.3      1.0-1.4      3.3-4.6
20..........................................................      2.4-3.4     7.9-11.2      2.2-3.0      7.2-9.8
30..........................................................      3.8-5.0    12.5-16.4      3.2-4.2    10.5-13.8
----------------------------------------------------------------------------------------------------------------



Sec.572.124  Thorax assembly and test procedure.

    (a) Thorax (upper torso) assembly. The thorax consists of the part 
of the torso assembly shown in drawing 127-2000.
    (b) When the anterior surface of the thorax of a completely 
assembled dummy (drawing 127-0000) is impacted by a test probe 
conforming to section 572.127(a) at 6.71 0.12 m/s 
(22.0 0.4 ft/s) according to the test procedure in 
paragraph (c) of this section:
    (1) The maximum sternum displacement (compression) relative to the 
spine, measured with chest deflection transducer (drawing SA572-S50), 
must be not less than 38.0 mm (1.50 in) and not more than 46.0 mm (1.80 
in). Within this specified compression corridor, the peak force, 
measured by the probe in accordance with section 572.127, shall not be 
less than 1150 N (259 lbf) and not more than 1380 N (310 lbf). The peak 
force after 12.5 mm (0.5 in) of sternum displacement but before reaching 
the minimum required 38.0 mm (1.5 in) sternum displacement limit shall 
not exceed 1500 N (337.2 lbf).
    (2) The internal hysteresis of the ribcage in each impact as 
determined by the plot of force vs. deflection in paragraph (b)(1) of 
this section shall be not less than 65 percent but not more than 85 
percent.
    (c) Test procedure. The test procedure for the thorax assembly is as 
follows:
    (1) Soak the dummy in a controlled environment at any temperature 
between 20.6[deg] and 22.2 [deg]C (69[deg] and 72 [deg]F) and a relative 
humidity between 10 and 70 percent for at least four hours prior to a 
test.
    (2) Seat and orient the dummy, wearing tight-fitting underwear or 
equivalent consisting of a size 5 short-sleeved shirt having a weight 
less than 0.090 kg (0.2 lb) and an opening at the top just large enough 
to permit the passage of the head with a tight fit, and a size 4 pair of 
long pants having a weight of less than 0.090 kg (0.2 lb) with the legs 
cut off sufficiently above the knee to allow the knee target to be 
visible, on a seating surface without back support as shown in Figure 
N4, with the limbs extended horizontally and forward, parallel to the 
midsagittal plane, the midsagittal plane vertical within 1 degree and the ribs level in the anterior-posterior 
and lateral directions within 0.5 degrees.
    (3) Establish the impact point at the chest midsagittal plane so 
that the impact point of the longitudinal centerline of the probe 
coincides with the midsagittal plane of the dummy within 2.5 mm (0.1 in) and is 12.7 1.1 mm 
(0.5 0.04 in) below the horizontal-peripheral 
centerline of the No. 3 rib and is within 0.5 degrees of a horizontal 
line in the dummy's midsagittal plane.
    (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) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.

[65 FR 2065, Jan. 13, 2000, as amended at 67 FR 47327, July 18, 2002]



Sec.572.125  Upper and lower torso assemblies and torso flexion test
procedure.

    (a) Upper/lower torso assembly. The test objective is to determine 
the stiffness effects of the lumbar spine (drawing 127-3002), including 
cable (drawing 127-8095), mounting plate insert (drawing 910420-048), 
nylon shoulder bushing

[[Page 77]]

(drawing 9001373), nut (drawing 9001336), and abdominal insert (drawing 
127-8210), on resistance to articulation between upper torso assembly 
(drawing 127-2000) and lower torso assembly (drawing 127-3000).
    (b)(1) When the upper torso assembly of a seated dummy is subjected 
to a force continuously applied at the head to neck pivot pin level 
through a rigidly attached adaptor bracket as shown in Figure N5 
according to the test procedure set out in paragraph (c) of this 
section, the lumbar spine-abdomen assembly shall flex by an amount that 
permits the upper torso assembly to translate in angular motion until 
the machined rear surface of the instrument cavity at the back of the 
thoracic spine box is at 45 0.5 degrees relative 
to the vertical transverse plane, at which time the force applied as 
shown in Figure N5 must be not less than 147 N (33 lbf) and not more 
than 200 N (45 lbf), and
    (2) Upon removal of the force, the torso assembly must return to 
within 8 degrees of its initial position.
    (c) Test procedure. The test procedure for the torso assemblies is 
as follows:
    (1) Soak the dummy in a controlled environment at any temperature 
between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a relative humidity 
between 10 and 70 percent for at least four hours prior to a test.
    (2) Attach the dummy (with or without the legs below the femurs) to 
the fixture in a seated posture as shown in Figure N5.
    (3) Secure the pelvis at the pelvis instrument cavity rear face by 
threading four \1/4\ in cap screws into the available threaded 
attachment holes. Tighten the mountings so that the test material is 
rigidly affixed to the test fixture and the pelvic-lumbar joining 
surface is horizontal.
    (4) Flex the thorax forward three times between vertical and until 
the torso reference plane, as shown in figure N5, reaches 30 2 degrees from vertical. Bring the torso to vertical 
orientation, remove all externally applied flexion forces, and wait 30 
minutes before conducting the test. During the 30-minute waiting period, 
the dummy's upper torso shall be externally supported at or near its 
vertical orientation to prevent sagging.
    (5) Remove the external support and wait two minutes. Measure the 
initial orientation of the torso reference plane of the seated, 
unsupported dummy as shown in Figure N5. This initial torso orientation 
angle may not exceed 22 degrees.
    (6) Attach the loading adapter bracket to the spine of the dummy, 
the pull cable, and the load cell as shown in Figure N5.
    (7) Apply a tension force in the midsagittal plane to the pull cable 
as shown in Figure N5 at any upper torso deflection rate between 0.5 and 
1.5 degrees per second, until the torso reference plane is at 45 0.5 degrees of flexion relative to the vertical 
transverse plane as shown in Figure N5.
    (8) Continue to apply a force sufficient to maintain 45 0.5 degrees of flexion for 10 seconds, and record the 
highest applied force during the 10-second period.
    (9) Release all force as rapidly as possible, and measure the return 
angle at 3 minutes or any time thereafter after the release.



Sec.572.126  Knees and knee impact test procedure.

    (a) Knee assembly. The knee assembly is part of the leg assembly 
(drawing 127-4000-1 and -2).
    (b) When the knee assembly, consisting of knee machined (drawing 
127-4013), knee flesh (drawing 127-4011), lower leg (drawing 127-4014), 
the foot assembly (drawing 127-4030-1(left) and -2 (right)) and femur 
load transducer (drawing SA572-S10) or its structural replacement 
(drawing 127-4007) is tested according to the test procedure in section 
572.127(c), the peak resistance force as measured with the test probe 
mounted accelerometer must be not less than 2.0 kN (450 lbf) and not 
more than 3.0 kN (674 lbf).
    (c) Test procedure. The test procedure for the knee assembly is as 
follows:
    (1) Soak the knee assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a 
relative humidity from 10 to 70 percent for at least four hours prior to 
a test.

[[Page 78]]

    (2) Mount the test material and secure it to a rigid test fixture as 
shown in Figure N6. No contact is permitted between any part of the foot 
or tibia and any exterior surface.
    (3) Align the test probe so that throughout its stroke and at 
contact with the knee it is within 2 degrees of horizontal and collinear 
with the longitudinal centerline of the femur.
    (4) Guide the pendulum so that there is no significant lateral 
vertical or rotational movement at time-zero.
    (5) The test probe velocity at the time of contact shall be 2.1 
0.03 m/s (6.9  0.1 ft/s).
    (6) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during testing.

[65 FR 2065, Jan. 13, 2000, as amended at 67 FR 47328, July 18, 2002]



Sec.572.127  Test conditions and instrumentation.

    (a) The test probe for thoracic impacts, except for attachments, 
shall be of rigid metal or metal alloy construction and concentric about 
its longitudinal axis. Any attachments to the impactor, such as 
suspension hardware, velocity vanes, etc., must meet the requirements of 
Sec.572.124(c)(6). The impactor shall have a mass of 2.86 0.02 kg (6.3 0.05 lb) and a 
minimum mass moment of inertia of 160 kg-c\2\ (0.141 lb-in-sec\2\) in 
yaw and pitch about the CG of the probe. One third of the weight of 
suspension cables and any attachments to the impact probe must be 
included in the calculation of mass, and such components may not exceed 
five percent of the total weight of the probe. The impacting end of the 
probe, has a flat, continuous, and non-deformable 101.6 0.25 mm (4.00 0.01 in) diameter 
face with an edge radius of 7.6/12.7 mm (0.3/0.5 in). The impactor shall 
have a 101-103 mm (4.0-4.1 in) diameter cylindrical surface extending 
for a minimum of 12.5 mm (0.5 in) to the rear from the impact face. The 
probe's end opposite to the impact face has provisions for mounting an 
accelerometer with its sensitive axis collinear with the longitudinal 
axis of the probe. The impact probe shall have a free air resonant 
frequency of not less than 1000 Hz limited to the direction of the 
longitudinal axis of the impactor.
    (b) The test probe for knee impacts, except for attachments, shall 
be of rigid metal or alloy construction and concentric about its 
longitudinal axis. Any attachments to the impactor, such as suspension 
hardware, velocity vanes, etc., must meet the requirements of Sec.
572.126(c)(6). The impactor shall have a mass of 0.82 0.02 kg (1.8 0.05 lb) and a 
minimum mass moment of inertia of 34 kg-cm2 (0.03 lb-in-sec2) in yaw and 
pitch about the CG of the probe. One third of the weight of suspension 
cables and any attachments to the impact probe must be included in the 
calculation of mass, and such components may not exceed five percent of 
the total weight of the probe. The impacting end of the probe, has a 
flat, continuous, and non-deformable 76.2 0.2 mm 
(3.00 0.01 in) diameter face with an edge radius 
of 7.6/12.7 mm (0.3/0.5 in). The impactor shall have a 76-77 mm (3.0-3.1 
in) diameter cylindrical surface extending for a minimum of 12.5 mm (0.5 
in) to the rear from the impact face. The probe's end opposite to the 
impact face has provisions for mounting an accelerometer with its 
sensitive axis collinear with the longitudinal axis of the probe. The 
impact probe shall have a free air resonant frequency of not less than 
1000 Hz limited to the direction of the longitudinal axis of the 
impactor.
    (c) Head accelerometers shall have dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be mounted in the head as shown in drawing 127-0000 sheet 
3.
    (d) Neck force/moment transducer. (1) The upper neck force/moment 
transducer shall have the dimensions, response characteristics, and 
sensitive axis locations specified in drawing SA572-S11 and be mounted 
in the head-neck assembly as shown in drawing 127-0000 sheet 3.
    (2) The optional lower neck force/moment transducer shall have the 
dimensions, response characteristics, and sensitive axis locations 
specified in drawing SA572-S26 and be mounted as shown in drawing 127-
0000 sheet 3.

[[Page 79]]

    (e) The thorax accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be mounted in the torso assembly in triaxial configuration 
at T4, and as optional instrumentation in uniaxial for- and-aft oriented 
configuration on the most anterior ends of ribs 1 and 6 and at the 
spine box at the levels of 1 and 6 ribs as shown in 127-0000 sheet 3.
    (f) The chest deflection transducer shall have the dimensions and 
response characteristics specified in drawing SA572-S50 and be mounted 
in the upper torso assembly as shown in 127-0000 sheet 3.
    (g) The optional lumbar spine force-moment transducer shall have the 
dimensions, response characteristics, and sensitive axis locations 
specified in drawing SA572-S12 and be mounted in the lower torso 
assembly as shown in drawing 127-0000 sheet 3 as a replacement for 
lumbar adaptor 127-3005.
    (h) The optional iliac spine force transducers shall have the 
dimensions and response characteristics specified in drawing SA572-S13 
and be mounted in the torso assembly as shown in drawing 127-0000 sheet 
3 as a replacement for ASIS load cell 127-3015-1 (left) and -2 (right).
    (i) The optional pelvis accelerometers shall have the dimensions, 
response characteristics, and sensitive mass locations specified in 
drawing SA572-S4 and be mounted in the torso assembly in triaxial 
configuration in the pelvis bone as shown in drawing 127-0000 sheet 3.
    (j) The femur force transducer shall have the dimensions and 
response characteristics specified in drawing SA72-S10 and be mounted in 
the leg assembly as shown in drawing 127-0000 sheet 3.
    (k) The outputs of acceleration and force-sensing devices installed 
in the dummy and in the test apparatus specified by this part must be 
recorded in individual data channels that conform to SAE Recommended 
Practice J211, Rev. Mar95 ``Instrumentation for lmpact Tests,'' except 
that the lumbar measurements are based on CFC 600, with channel classes 
as follows:
    (1) Head acceleration--Class 1000.
    (2) Neck:
    (i) Forces--Class 1000;
    (ii) Moments--Class 600;
    (iii) Pendulum acceleration--Class 180;
    (iv) Rotation--Class 60 (if used).
    (3) Thorax:
    (i) Rib acceleration--Class 1000;
    (ii) Spine and pendulum accelerations--Class 180;
    (iii) Sternum deflection--Class 600.
    (4) Lumbar:
    (i) Forces--Class 1000;
    (ii) Moments--Class 600;
    (iii) Flexion--Class 60 if data channel is used.
    (5) Pelvis accelerations--Class 1000.
    (6) Femur forces--Class 600.
    (l) Coordinate signs for instrumentation polarity shall conform to 
the Sign Convention For Vehicle Crash Testing, Surface Vehicle 
Information Report, SAE J1733, 1994-12.
    (m) The mountings for sensing devices shall have no resonance 
frequency less than 3 times the frequency range of the applicable 
channel class.
    (n) Limb joints must be set at one G, barely restraining the weight 
of the limb when it is extended horizontally. The force needed to move a 
limb segment shall not exceed 2G throughout the range of limb motion.
    (o) Performance tests of the same component, segment, assembly, or 
fully assembled dummy shall be separated in time by period of not less 
than 30 minutes unless otherwise noted.
    (p) Surfaces of dummy components may not be painted except as 
specified in this subpart or in drawings subtended by this subpart.

[65 FR 2065, Jan. 13, 2000, as amended at 67 FR 47328, July 18, 2002]

[[Page 80]]



                  Sec. Figures to Subpart N of Part 572
[GRAPHIC] [TIFF OMITTED] TR18JY02.000


[[Page 81]]


[GRAPHIC] [TIFF OMITTED] TR18JY02.001


[[Page 82]]


[GRAPHIC] [TIFF OMITTED] TR18JY02.002


[[Page 83]]


[GRAPHIC] [TIFF OMITTED] TR13JA00.005


[[Page 84]]


[GRAPHIC] [TIFF OMITTED] TR19SE02.000


[[Page 85]]


[GRAPHIC] [TIFF OMITTED] TR18JY02.003


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

[[Page 86]]



  Subpart O_Hybrid III 5th Percentile Female Test Dummy, Alpha Version

    Source: 65 FR 10968, Mar. 1, 2000, unless otherwise noted.



Sec.572.130  Incorporation by reference.

    (a) The following materials are hereby incorporated into this 
Subpart by reference:
    (1) A drawings and specification package entitled ``Parts List and 
Drawings, Part 572 Subpart O Hybrid III Fifth Percentile Small Adult 
Female Crash Test Dummy (HIII-5F, Alpha Version)'' (June 2002), 
incorporated by reference in ``572.131, and consisting of:
    (i) Drawing No. 880105-100X, Head Assembly, incorporated by 
reference in Sec. Sec.572.131, 572.132, 572.133, 572.134, 572.135, and 
572.137;
    (ii) Drawing No. 880105-250, Neck Assembly, incorporated by 
reference in Sec. Sec.572.131, 572.133, 572.134, 572.135, and 572.137;
    (iii) Drawing No. 880105-300, Upper Torso Assembly, incorporated by 
reference in Sec. Sec.572.131, 572.134, 572.135, and 572.137;
    (iv) Drawing No. 880105-450, Lower Torso Assembly, incorporated by 
reference in Sec. Sec.572.131, 572.134, 572.135, and 572.137;
    (v) Drawing No. 880105-560-1, Complete Leg Assembly--left, 
incorporated by reference in Sec. Sec.572.131, 572.135, 572.136, and 
572.137;
    (vi) Drawing No. 880105-560-2, Complete Leg Assembly--right 
incorporated by reference in Sec. Sec.572.131, 572.135, 572.136, and 
572.137;
    (vii) Drawing No. 880105-728-1, Complete Arm Assembly--left, 
incorporated by reference in Sec. Sec.572.131, 572.134, and 572.135 as 
part of the complete dummy assembly;
    (viii) Drawing No. 880105-728-2, Complete Arm Assembly--right, 
incorporated by reference in Sec. Sec.572.131, 572.134, and 572.135 as 
part of the complete dummy assembly;
    (ix) The Hybrid III 5th percentile small adult female crash test 
dummy parts list, incorporated by reference in Sec.572.131;
    (2) A procedures manual entitled ``Procedures for Assembly, 
Disassembly, and Inspection (PADI) Subpart O Hybrid III Fifth Percentile 
Adult Female Crash Test Dummy (HIII-5F), Alpha Version'' (February 
2002), incorporated by reference in Sec.572.132.
    (3) SAE Recommended Practice J211/1, Rev. Mar 95 ``Instrumentation 
for Impact Tests--Part 1--Electronic Instrumentation'', incorporated by 
reference in Sec.572.137;
    (4) SAE Recommended Practice J211/2, Rev. Mar 95 ``Instrumentation 
for Impact Tests--Part 2--Photographic Instrumentation'' incorporated by 
reference in Sec.572.137; and
    (5) SAE J1733 of 1994-12 ``Sign Convention for Vehicle Crash 
Testing'', incorporated by reference in Sec.572.137.
    (b) 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 Technical 
Reference Library, 400 Seventh Street SW., room 5109, Washington, DC, or 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (c) The incorporated materials are available as follows:
    (1) The Parts List and Drawings, Part 572 Subpart O Hybrid III Fifth 
Percentile Small Adult Female Crash Test Dummy, (HIII-5F, Alpha Version) 
(June 2002), referred to in paragraph (a)(1) of this section and the 
Procedures for Assembly, Disassembly, and Inspection (PADI) of the 
Hybrid III 5th Percentile Small Adult Female Crash Test Dummy, Alpha 
Version, referred to in paragraph (a)(2) of this section are available 
from Reprographic Technologies, 9107 Gaither Road, Gaithersburg, MD 
20877, (301) 419-5070. These documents are also accessible for reading 
and copying through the DOT Docket Management System.
    (2) The SAE materials referred to in paragraphs (a)(3) and (a)(4) of 
this section are available from the Society of

[[Page 87]]

Automotive Engineers, Inc., 400 Commonwealth Drive, Warrendale, Pa. 
15096.

[65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46413, July 15, 2002]



Sec.572.131  General description.

    (a) The Hybrid III fifth percentile adult female crash test dummy is 
defined by drawings and specifications containing the following 
materials:
    (1) Technical drawings and specifications package P/N 880105-000 
(refer to Sec.572.130(a)(1)), the titles of which are listed in Table 
A;
    (2) Parts List and Drawings, Part 572 Subpart O Hybrid III Fifth 
Percentile Small Adult Female Crash Test Dummy (HIII-5F, Alpha Version) 
(June 2002) (refer to Sec.572.130(a)(1)(ix)).

                                 Table A
------------------------------------------------------------------------
            Component assembly                      Drawing No.
------------------------------------------------------------------------
Head Assembly............................  880105-100X
Neck Assembly............................  880105-250
Upper Torso Assembly.....................  880105-300
Lower Torso Assembly.....................  880105-450
Complete Leg Assembly--left..............  880105-560-1
Complete Leg Assembly--right.............  880105-560-2
Complete Arm Assembly--left..............  880105-728-1
Complete Arm Assembly--right.............  880105-728-2
------------------------------------------------------------------------

    (b) 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.
    (c) The structural properties of the dummy are such that the dummy 
conforms to this Subpart in every respect before use in any test similar 
to those specified in Standard 208, Occupant Crash Protection.

[65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46414, July 15, 2002]



Sec.572.132  Head assembly and test procedure.

    (a) The head assembly (refer to Sec.572.130(a)(1)(i)) for this 
test consists of the complete head (drawing 880105-100X), a six-axis 
neck transducer (drawing SA572-S11) or its structural replacement 
(drawing 78051-383X), and 3 accelerometers (drawing SA572-S4).
    (b) When the head assembly is dropped from a height of 376.0 1.0 mm (14.8 0.04 in) in 
accordance with subsection (c) of this section, the peak resultant 
acceleration at the location of the accelerometers at the head CG may 
not be less than 250 G or more than 300 G. The resultant acceleration 
vs. time history curve shall be unimodal; oscillations occurring after 
the main pulse must be less than 10 percent of the peak resultant 
acceleration. The lateral acceleration shall not exceed 15 G (zero to 
peak).
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Soak the head assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a 
relative humidity from 10 to 70 percent for at least four hours prior to 
a test.
    (2) Prior to the test, clean the impact surface of the skin and the 
impact plate surface with isopropyl alcohol, trichloroethane, or an 
equivalent. The skin of the head must be clean and dry for testing.
    (3) Suspend and orient the head assembly as shown in Figure 19 of 49 
CFR 572. The lowest point on the forehead must be 376.0 1.0 mm (14.8 0.04 in) from the 
impact surface. The 1.57 mm (0.062 in) diameter holes located on either 
side of the dummy's head shall be used to ensure that the head is level 
with respect to the impact surface.
    (4) Drop the head assembly from the specified height by means that 
ensure a smooth, instant release onto a rigidly supported flat 
horizontal steel plate which is 50.8 mm (2.0 in) thick and 610 mm (24.0 
in) square. The impact surface shall be clean, dry and have a micro 
finish of not less than 203.2. x 10-6 mm (8 micro inches) 
(RMS) and not more than 2032.0 x 10-6 mm (80 micro inches) 
(RMS).
    (5) Allow at least 2 hours between successive tests on the same 
head.



Sec.572.133  Neck assembly and test procedure.

    (a) The neck assembly (refer to Sec.572.130(a)(1)(ii)) for the 
purposes of this test consists of the assembly of components shown in 
drawing 880105-250.
    (b) When the head-neck assembly consisting of the head (drawing 
880105-100X), neck (drawing 880105-250), bib

[[Page 88]]

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

                                             Table B--Pendulum Pulse
----------------------------------------------------------------------------------------------------------------
                                                              Flexion                        Extension
                     Time ms                     ---------------------------------------------------------------
                                                        m/s            ft/s             m/s            ft/s
----------------------------------------------------------------------------------------------------------------
10..............................................         2.1-2.5         6.9-8.2         1.5-1.9         4.9-6.2
20..............................................         4.0-5.0       13.1-16.4         3.1-3.9       10.2-12.8
30..............................................         5.8-7.0       19.5-23.0         4.6-5.6       15.1-18.4
----------------------------------------------------------------------------------------------------------------


[[Page 89]]


[65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46414, July 15, 2002]



Sec.572.134  Thorax assembly and test procedure.

    (a) Thorax (Upper Torso) Assembly (refer to Sec.
572.130(a)(1)(iii)). The thorax consists of the part of the torso 
assembly shown in drawing 880105-300.
    (b) When the anterior surface of the thorax of a completely 
assembled dummy (drawing 880105-000) is impacted by a test probe 
conforming to section 572.137(a) at 6.71 0.12 m/s 
(22.0 0.4 ft/s) according to the test procedure in 
subsection (c) of this section:
    (1) Maximum sternum displacement (compression) relative to the 
spine, measured with chest deflection transducer (drawing SA572-S5), 
must be not less than 50.0 mm (1.97 in) and not more than 58.0 mm (2.30 
in). Within this specified compression corridor, the peak force, 
measured by the impact probe as defined in section 572.137 and 
calculated in accordance with paragraph (b)(3) of this section, shall 
not be less than 3900 N (876 lbf) and not more than 4400 N (989 lbf). 
The peak force after 18.0 mm (0.71 in) of sternum displacement but 
before reaching the minimum required 50.0 mm (1.97 in) sternum 
displacement limit shall not exceed 4600 N.
    (2) The internal hysteresis of the ribcage in each impact as 
determined by the plot of force vs. deflection in paragraph (1) of this 
section shall be not less than 69 percent but not more than 85 percent. 
The hysteresis shall be calculated 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.
    (3) The force shall be calculated by the product of the impactor 
mass and its deceleration.
    (c) Test procedure. The test procedure for the thorax assembly is as 
follows:
    (1) The dummy is clothed in a form fitting cotton stretch above-the-
elbow sleeved shirt and above-the-knee pants. The weight of the shirt 
and pants shall not exceed 0.14 kg (0.30 lb) each.
    (2) Soak the dummy in a controlled environment at any temperature 
between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a relative humidity 
between 10 and 70 percent for at least four hours prior to a test.
    (3) Seat and orient the dummy on a seating surface without back 
support as shown in Figure O3, with the limbs extended horizontally and 
forward, parallel to the midsagittal plane, the midsagittal plane 
vertical within 1 degree and the ribs level in the 
anterior-posterior and lateral directions within 0.5 degrees.
    (4) Establish the impact point at the chest midsagittal plane so 
that the impact point of the longitudinal centerline of the probe 
coincides with the midsagittal plane of the dummy within 2.5 mm (0.1 in) and is 12.7 1.1 mm 
(0.5 0.04 in) below the horizontal-peripheral 
centerline of the No. 3 rib and is within 0.5 degrees of a horizontal 
line in the dummy's midsagittal plane.
    (5) 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.
    (6) Guide the test probe during impact so that there is no 
significant lateral, vertical or rotational movement.
    (7) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.

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



Sec.572.135  Upper and lower torso assemblies and torso flexion test
procedure.

    (a) Upper/lower torso assembly. The test objective is to determine 
the stiffness effects of the lumbar spine (drawing 880105-1096), and 
abdominal insert (drawing 880105-434), on resistance to articulation 
between the upper torso assembly (drawing 880105-300) and the lower 
torso assembly (drawing 880105-450) (refer to Sec.572.130(a)(1)(iv)).
    (b)(1) When the upper torso assembly of a seated dummy is subjected 
to a force continuously applied at the head to neck pivot pin level 
through a rigidly attached adaptor bracket as shown in Figure O4 
according to the test procedure set out in subsection (c) of this 
section, the lumbar spine-abdomen assembly shall flex by an amount that 
permits the upper torso assembly to

[[Page 90]]

translate in angular motion relative to the vertical transverse plane 45 
0.5 degrees at which time the force applied must 
be not less than 320 N (71.5 lbf) and not more than 390 N (87.4 lbf), 
and
    (2) Upon removal of the force, the torso assembly must return to 
within 8 degrees of its initial position.
    (c) Test procedure. The test procedure for the upper/lower torso 
assembly is as follows:
    (1) Soak the dummy in a controlled environment at any temperature 
between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a relative humidity 
between 10 and 70 percent for at least four hours prior to a test.
    (2) Assemble the complete dummy (with or without the legs below the 
femurs) and attach to the fixture in a seated posture as shown in Figure 
O4.
    (3) Secure the pelvis to the fixture at the pelvis instrument cavity 
rear face by threading four \1/4\ inch cap screws into the available 
threaded attachment holes. Tighten the mountings so that the test 
material is rigidly affixed to the test fixture and the pelvic-lumbar 
joining surface is horizontal.
    (4) Attach the loading adapter bracket to the spine of the dummy as 
shown in Figure O4.
    (5) Inspect and adjust, if necessary, the seating of the abdominal 
insert within the pelvis cavity and with respect to the torso flesh, 
assuring that the torso flesh provides uniform fit and overlap with 
respect to the outside surface of the pelvis flesh.
    (6) Flex the dummy's upper torso three times between the vertical 
and until the torso reference plane, as shown in Figure O4, reaches 30 
degrees from the vertical transverse plane. Bring the torso to vertical 
orientation and wait for 30 minutes before conducting the test. During 
the 30 minute waiting period, the dummy's upper torso shall be 
externally supported at or near its vertical orientation to prevent it 
from drooping.
    (7) Remove all external support and wait two minutes. Measure the 
initial orientation angle of the torso reference plane of the seated, 
unsupported dummy as shown in Figure O4. The initial orientation angle 
may not exceed 20 degrees.
    (8) Attach the pull cable and the load cell as shown in Figure O4.
    (9) Apply a tension force in the midsagittal plane to the pull cable 
as shown in Figure O4 at any upper torso deflection rate between 0.5 and 
1.5 degrees per second, until the angle reference plane is at 45 0.5 degrees of flexion relative to the vertical 
transverse plane.
    (9) Continue to apply a force sufficient to maintain 45 0.5 degrees of flexion for 10 seconds, and record the 
highest applied force during the 10-second period.
    (10) Release all force at the attachment bracket as rapidly as 
possible, and measure the return angle with respect to the initial angle 
reference plane as defined in paragraph (6) 3 minutes after the release.



Sec.572.136  Knees and knee impact test procedure.

    (a) Knee assembly. The knee assembly (refer to Sec. Sec.
572.130(a)(1)(v) and (vi)) for the purpose of this test is the part of 
the leg assembly shown in drawing 880105-560.
    (b)(1) When the knee assembly, consisting of sliding knee assembly 
(drawing 880105-528R or -528L), lower leg structural replacement 
(drawing 880105-603), lower leg flesh (drawing 880105-601), ankle 
assembly (drawing 880105-660), foot assembly (drawing 880105-651 or 
650), and femur load transducer (drawing SA572-S14) or its structural 
replacement (drawing 78051-319) is tested according to the test 
procedure in subsection (c), the peak resistance force as measured with 
the test probe-mounted accelerometer must be not less than 3450 N (776 
lbf) and not more than 4060 N (913 lbf).
    (2) The force shall be calculated by the product of the impactor 
mass and its deceleration.
    (c) Test procedure. The test procedure for the knee assembly is as 
follows:
    (1) Soak the knee assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a 
relative humidity from 10 to 70 percent for at least four hours prior to 
a test.
    (2) Mount the test material and secure it to a rigid test fixture as 
shown

[[Page 91]]

in Figure O5. No part of the foot or tibia may contact any exterior 
surface.
    (3) Align the test probe so that throughout its stroke and at 
contact with the knee it is within 2 degrees of horizontal and collinear 
with the longitudinal centerline of the femur.
    (4) Guide the pendulum so that there is no significant lateral 
vertical or rotational movement at the time of initial contact between 
the impactor and the knee.
    (5) The test probe velocity at the time of contact shall be 2.1 
0.03 m/s (6.9 0.1 ft/s).
    (6) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.

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



Sec.572.137  Test conditions and instrumentation.

    (a) The test probe for thoracic impacts, except for attachments, 
shall be of rigid metallic construction and concentric about its 
longitudinal axis. Any attachments to the impactor, such as suspension 
hardware, impact vanes, etc., must meet the requirements of Sec.
572.134(c)(7). The impactor shall have a mass of 13.97 0.23 kg (30.8 0.5 lbs) and a 
minimum mass moment of inertia of 3646 kg-cm\2\ (3.22 lbs-in-sec\2\) in 
yaw and pitch about the CG of the probe. One-third (1/3) of the weight 
of suspension cables and any attachments to the impact probe must be 
included in the calculation of mass, and such components may not exceed 
five percent of the total weight of the test probe. The impacting end of 
the probe, perpendicular to and concentric with the longitudinal axis of 
the probe, has a flat, continuous, and non-deformable 152.4 0.25 mm (6.00 0.01 in) diameter 
face with a minimum/maximum edge radius of 7.6/12.7 mm (0.3/0.5 in). The 
impactor shall have a 152.4-152.6 mm (6.0-6.1 in) diameter cylindrical 
surface extending for a minimum of 25 mm (1.0 in) to the rear from the 
impact face. The probe's end opposite to the impact face has provisions 
for mounting of an accelerometer with its sensitive axis collinear with 
the longitudinal axis of the probe. The impact probe has a free air 
resonant frequency of not less than 1000 Hz, which may be determined 
using the procedure listed in Docket No. NHTSA-6714-14.
    (b) The test probe for knee impacts, except for attachments, shall 
be of rigid metallic construction and concentric about its longitudinal 
axis. Any attachments to the impactor, such as suspension hardware, 
impact vanes, etc., must meet the requirements of Sec.572.136(c)(6). 
The impactor shall have a mass of 2.990.23 kg 
(6.60.5 lbs) and a minimum mass moment of inertia 
of 209 kg-cm\2\ (0.177 lb-in-sec\2\) in yaw and pitch about the CG of 
the probe. One-third (1/3) of the weight of suspension cables and any 
attachments to the impact probe may be included in the calculation of 
mass, and such components may not exceed five percent of the total 
weight of the test probe. The impacting end of the probe, perpendicular 
to and concentric with the longitudinal axis of the probe, has a flat, 
continuous, and non-deformable 76.2 0.2 mm (3.00 
0.01 in) diameter face with a minimum/maximum edge 
radius of 7.6/12.7 mm (0.3/0.5 in). The impactor shall have a 76.2-76.4 
mm (3.0-3.1 in) diameter cylindrical surface extending for a minimum of 
12.5 mm (0.5 in) to the rear from the impact face. The probe's end 
opposite to the impact face has provisions for mounting an accelerometer 
with its sensitive axis collinear with the longitudinal axis of the 
probe. The impact probe has a free air resonant frequency of not less 
than 1000 Hz, which may be determined using the procedure listed in 
Docket No. NHTSA-6714-14.
    (c) Head accelerometers shall have dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be mounted in the head as shown in drawing 880105-000 sheet 
3 of 6.
    (d) The upper neck force/moment transducer shall have the 
dimensions, response characteristics, and sensitive axis locations 
specified in drawing SA572-S11 and be mounted in the head neck assembly 
as shown in drawing 880105-000, sheet 3 of 6.
    (e) The thorax accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be

[[Page 92]]

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

[[Page 93]]

fully assembled dummy shall be separated in time by not less than 30 
minutes unless otherwise noted.
    (r) Surfaces of dummy components may not be painted except as 
specified in this subpart or in drawings subtended by this subpart.

[65 FR 10968, Mar. 1, 2000, as amended at 67 FR 46415, July 15, 2002; 74 
FR 29894, June 23, 2009]

[[Page 94]]



                  Sec. Figures to Subpart O of Part 572
[GRAPHIC] [TIFF OMITTED] TR15JY02.000


[[Page 95]]


[GRAPHIC] [TIFF OMITTED] TR15JY02.001


[[Page 96]]


[GRAPHIC] [TIFF OMITTED] TR15JY02.002


[[Page 97]]


[GRAPHIC] [TIFF OMITTED] TR15JY02.003


[[Page 98]]


[GRAPHIC] [TIFF OMITTED] TR15JY02.004


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

[[Page 99]]



       Subpart P_3-year-Old Child Crash Test Dummy, Alpha Version

    Source: 65 FR 15262, Mar. 22, 2000, unless otherwise noted.



Sec.572.140  Incorporation by reference.

    (a) The following materials are hereby incorporated in this subpart 
P by reference:
    (1) A drawings and specifications package entitled, ``Parts List and 
Drawings, Subpart P Hybrid III 3-year-old child crash test dummy, (H-
III3C, Alpha version) September 2001,'' incorporated by reference in 
Sec.572.141 and consisting of:
    (i) Drawing No. 210-1000, Head Assembly, incorporated by reference 
in Sec. Sec.572.141, 572.142, 572.144, 572.145, and 572.146;
    (ii) Drawing No. 210-2001, Neck Assembly, incorporated by reference 
in Sec. Sec.572.141, 572.143, 572.144, 572.145, and 572.146;
    (iii) Drawing No. TE-208-000, Headform, incorporated by reference in 
Sec. Sec.572.141, and 572.143;
    (iv) Drawing No. 210-3000, Upper/Lower Torso Assembly, incorporated 
by reference in Sec. Sec.572.141, 572.144, 572.145, and 572.146;
    (v) Drawing No. 210-5000-1(L), -2(R), Leg Assembly, incorporated by 
reference in Sec. Sec.572.141, 572.144, 572.145 as part of a complete 
dummy assembly;
    (vi) Drawing No. 210-6000-1(L), -2(R), Arm Assembly, incorporated by 
reference in Sec. Sec.572.141, 572.144, and 572.145 as part of the 
complete dummy assembly;
    (2) A procedures manual entitled ``Procedures for Assembly, 
Disassembly and Inspection (PADI), Subpart P, Hybird III 3-year-old 
Child Crash Test Dummy, (H-III3C, Alpha Version) September 2001,'' 
incorporated by reference in Sec.572.141;
    (3) SAE Recommended Practice J211/1, Rev. Mar 95 ``Instrumentation 
for Impact Tests--Part 1-Electronic Instrumentation'', incorporated by 
reference in Sec.572.146;
    (4) SAE J1733 1994-12 ``Sign Convention for Vehicle Crash Testing'' 
incorporated by reference in Sec.572.146.
    (5) The Director of the Federal Register approved those 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 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) The incorporated materials are available as follows:
    (1) The drawings and specifications package referred to in paragraph 
(a)(1) of this section and the PADI document referred to in paragraph 
(a)(2) of this section are accessible for viewing and copying at the 
Department of Transportation's Docket public area, Plaza 401, 400 
Seventh St., SW., Washington, DC 20590, and downloadable at dms.dot.gov. 
They are also available from Reprographic Technologies, 9107 Gaither 
Rd., Gaithersburg, MD 20877, (301) 419-5070.
    (2) The SAE materials referred to in paragraphs (a)(3) and (a)(4) of 
this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096.

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



Sec.572.141  General description.

    (a) The Hybrid III 3-year-old child dummy is described by the 
following materials:
    (1) Technical drawings and specifications package 210-0000 (refer to 
Sec.572.140(a)(1)), the titles of which are listed in Table A of this 
section;
    (2) Procedures for Assembly, Disassembly and Inspection document 
(PADI) (refer to Sec.572.140(a)(2)).
    (b) The dummy is made up of the component assemblies set out in the 
following Table A of this section:

                                 Table A
------------------------------------------------------------------------
            Component assembly                      Drawing No.
------------------------------------------------------------------------
Head Assembly............................  210-1000
Neck Assembly (complete).................  210-2001
Upper/Lower Torso Assembly...............  210-3000
Leg Assembly.............................  210-5000-1(L), -2(R)

[[Page 100]]

 
Arm Assembly.............................  210-6000-1(L), -2(R)
------------------------------------------------------------------------

    (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 only before use in any test 
similar to those specified in Standard 208, Occupant Crash Protection, 
and Standard 213, Child Restraint Systems.



Sec.572.142  Head assembly and test procedure.

    (a) The head assembly (refer to Sec.572.140(a)(1)(i)) for this 
test consists of the head (drawing 210-1000), adapter plate (drawing ATD 
6259), accelerometer mounting block (drawing SA 572-S80), structural 
replacement of \1/2\ mass of the neck load transducer (drawing TE-107-
001), head mounting washer (drawing ATD 6262), one \1/2\-20 x 
1 flat head cap screw (FHCS) (drawing 9000150), and 3 
accelerometers (drawing SA-572-S4).
    (b) When the head assembly in paragraph (a) of this section is 
dropped from a height of 376.01.0 mm (14.80.04 in) in accordance with paragraph (c) of this 
section, the peak resultant acceleration at the location of the 
accelerometers at the head CG shall not be less than 250 g or more than 
280 g. The resultant acceleration versus time history curve shall be 
unimodal, and the oscillations occurring after the main pulse shall be 
less than 10 percent of the peak resultant acceleration. The lateral 
acceleration shall not exceed 15 G (zero to peak).
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Soak the head assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and at any 
relative humidity between 10 and 70 percent for at least four hours 
prior to a test.
    (2) Prior to the test, clean the impact surface of the head skin and 
the steel impact plate surface with isopropyl alcohol, trichlorethane, 
or an equivalent. Both impact surfaces must be clean and dry for 
testing.
    (3) Suspend the head assembly with its midsagittal plane in vertical 
orientation as shown in Figure P1 of this subpart. The lowest point on 
the forehead is 376.0 1.0 mm (14.76 0.04 in) from the steel impact surface. The 3.3 mm (0.13 
in) diameter holes, located on either side of the dummy's head in 
transverse alignment with the CG, shall be used to ensure that the head 
transverse plane is level with respect to the impact surface.
    (4) Drop the head assembly from the specified height by a means that 
ensures a smooth, instant release onto a rigidly supported flat 
horizontal steel plate which is 50.8 mm (2 in) thick and 610 mm (24 in) 
square. The impact surface shall be clean, dry and have a finish of not 
less than 203.2 x 10-6 mm (8 micro inches) (RMS) and not more 
than 2032.0 x 10-6 mm (80 micro inches) (RMS).
    (5) Allow at least 2 hours between successive tests on the same 
head.



Sec.572.143  Neck-headform assembly and test procedure.

    (a) The neck and headform assembly (refer to Sec. Sec.
572.140(a)(1)(ii) and 572.140(a)(1)(iii)) for the purposes of this test, 
as shown in Figures P2 and P3 of this subpart, consists of the neck 
molded assembly (drawing 210-2015), neck cable (drawing 210-2040), nylon 
shoulder bushing (drawing 9001373), upper mount plate insert (drawing 
910420-048), bib simulator (drawing TE-208-050), urethane washer 
(drawing 210-2050), neck mounting plate (drawing TE-250-021), two jam 
nuts (drawing 9001336), load-moment transducer (drawing SA 572-S19), and 
headform (drawing TE-208-000).
    (b) When the neck and headform assembly, as defined in Sec.
572.143(a), is tested according to the test procedure in paragraph (c) 
of this section, it shall have the following characteristics:
    (1) Flexion.

[[Page 101]]

    (i) Plane D, referenced in Figure P2 of this subpart, shall rotate 
in the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 70 degrees and 82 degrees. Within this 
specified rotation corridor, the peak moment about the occipital condyle 
may not be less than 42 N-m and not more than 53 N-m.
    (ii) The positive moment shall decay for the first time to 10 N-m 
between 60 ms and 80 ms after time zero.
    (iii) The moment and rotation data channels are defined to be zero 
when the longitudinal centerline of the neck and pendulum are parallel.
    (2) Extension.
    (i) Plane D referenced in Figure P3 of this subpart shall rotate in 
the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 83 degrees and 93 degrees. Within this 
specified rotation corridor, the peak moment about the occipital condyle 
may be not more than -43.7 N-m and not less than -53.3 N-m.
    (ii) The negative moment shall decay for the first time to -10 N-m 
between 60 and 80 ms after time zero.
    (iii) The moment and rotation data channels are defined to be zero 
when the longitudinal centerline of the neck and pendulum are parallel.
    (c) Test procedure. (1) Soak the neck assembly in a controlled 
environment at any temperature between 20.6 and 22.2 [deg]C (69 and 72 
F) and a relative humidity between 10 and 70 percent for at least four 
hours prior to a test.
    (2) Torque the jam nut (drawing 9001336) on the neck cable (drawing 
210-2040) between 0.2 N-m and 0.3 N-m.
    (3) Mount the neck-headform assembly, defined in paragraph (a) of 
this section, on the pendulum so the midsagittal plane of the headform 
is vertical and coincides with the plane of motion of the pendulum as 
shown in Figure P2 of this subpart for flexion and Figure P3 of this 
subpart for extension tests.
    (4) Release the pendulum and allow it to fall freely to achieve an 
impact velocity of 5.50 0.10 m/s (18.05 + 0.40 ft/
s) for flexion and 3.65 0.1 m/s (11.98 0.40 ft/s) for extension tests, measured by an 
accelerometer mounted on the pendulum as shown in Figure 22 of this part 
572 at time zero.
    (i) The test shall be conducted without inducing any torsion 
twisting of the neck.
    (ii) Stop the pendulum from the initial velocity with an 
acceleration vs. time pulse which meets the velocity change as specified 
in Table B of this section. Integrate the pendulum acceleration data 
channel to obtain the velocity vs. time curve as indicated in Table B of 
this section.
    (iii) Time-zero is defined as the time of initial contact between 
the pendulum striker plate and the honeycomb material. The pendulum data 
channel shall be zero at this time.

                                             Table B--Pendulum Pulse
----------------------------------------------------------------------------------------------------------------
                      Time                                Flexion              Time             Extension
----------------------------------------------------------------------------------------------------------------
                       ms                            m/s          ft/s          ms          m/s          ft/s
----------------------------------------------------------------------------------------------------------------
10.............................................      2.0-2.7      6.6-8.9            6      1.0-1.4      3.3-4.6
15.............................................      3.0-4.0     9.8-13.1           10      1.9-2.5      6.2-8.2
20.............................................      4.0-5.1    13.1-16.7           14      2.8-3.5     9.2-11.5
----------------------------------------------------------------------------------------------------------------



Sec.572.144  Thorax assembly and test procedure.

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

[[Page 102]]

accelerometer as defined in Sec.572.146(a) and calculated in 
accordance with paragraph (b)(3) of this section, shall be not less than 
680 N and not more than 810 N. The peak force after 12.5 mm of sternum 
compression but before reaching the minimum required 32.0 mm sternum 
compression shall not exceed 910 N.
    (2) The internal hysteresis of the ribcage in each impact, as 
determined from the force vs. deflection curve, shall be not less than 
65 percent and not more than 85 percent. The hysteresis shall be 
calculated 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.
    (3) The force shall be calculated by the product of the impactor 
mass and its deceleration.
    (c) Test procedure. The test procedure for the thorax assembly is as 
follows:
    (1) The test dummy is clothed in cotton-polyester-based tight-
fitting shirt with long sleeves and ankle-length pants whose combined 
weight is not more than 0.25 kg (0.55 lbs).
    (2) Soak the dummy in a controlled environment at any temperature 
between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and at any relative 
humidity between 10 and 70 percent for at least four hours prior to a 
test.
    (3) Seat and orient the dummy on a seating surface without back 
support as shown in Figure P4, with the lower limbs extended 
horizontally and forward, the upper arms parallel to the torso and the 
lower arms extended horizontally and forward, parallel to the 
midsagittal plane, the midsagittal plane being vertical within 1 degree and the ribs level in the anterior-posterior 
and lateral directions within 0.5 degrees.
    (4) Establish the impact point at the chest midsagittal plane so 
that the impact point of the longitudinal centerline of the probe 
coincides with the dummy's mid-sagittal plane and is centered on the 
center of No. 2 rib within 2.5 mm (0.1 in.) and 
0.5 degrees of a horizontal plane.
    (5) Impact the thorax with the test probe so that at the moment of 
contact the probe's longitudinal center line is within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (6) Guide the test probe during impact so that there is no 
significant lateral, vertical or rotational movement.
    (7) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.

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



Sec.572.145  Upper and lower torso assemblies and torso flexion test
procedure.

    (a) The test objective is to determine the resistance of the lumbar 
spine and abdomen of a fully assembled dummy (drawing 210-0000) to 
flexion articulation between upper and lower halves of the torso 
assembly (refer to Sec.572.140(a)(1)(iv)).
    (b)(1) When the upper half of the torso assembly of a seated dummy 
is subjected to a force continuously applied at the occipital condyle 
level through the rigidly attached adaptor bracket in accordance with 
the test procedure set out in paragraph (c) of this section, the lumbar 
spine-abdomen assembly shall flex by an amount that permits the upper 
half of the torso, as measured at the posterior surface of the torso 
reference plane shown in Figure P5 of this subpart, to translate in 
angular motion in the midsagittal plane 45 0.5 
degrees relative to the vertical transverse plane, at which time the 
pulling force applied must not be less than 130 N (28.8 lbf) and not 
more than 180 N (41.2 lbf), and
    (2) Upon removal of the force, the upper torso assembly returns to 
within 10 degrees of its initial position.
    (c) Test procedure. The test procedure is as follows:
    (1) Soak the dummy in a controlled environment at any temperature 
between 18.9[deg] and 25.6 [deg]C (66 and 78 [deg]F) and at any relative 
humidity between 10 and 70 percent for at least 4 hours prior to a test.
    (2) Assemble the complete dummy (with or without the lower legs) and 
seat it on a rigid flat-surface table, as shown in Figure P5 of this 
subpart.
    (i) Unzip the torso jacket and remove the four \1/4\-20 x \3/
4\ bolts which attach

[[Page 103]]

the lumbar load transducer or its structural replacement to the pelvis 
weldment (drawing 210-4510) as shown in Figure P5 of this subpart.
    (ii) Position the matching end of the rigid pelvis attachment 
fixture around the lumbar spine and align it over the four bolt holes.
    (iii) Secure the fixture to the dummy with the four \1/4\-20 x \3/
4\ bolts and attach the fixture to the table. Tighten the 
mountings so that the pelvis-lumbar joining surface is horizontal within 
1 deg and the buttocks and upper legs of the 
seated dummy are in contact with the test surface.
    (iv) Attach the loading adapter bracket to the upper part of the 
torso as shown in Figure P5 of this subpart and zip up the torso jacket.
    (v) Point the upper arms vertically downward and the lower arms 
forward.
    (3)(i) Flex the thorax forward three times from vertical until the 
torso reference plane reaches 30 2 degrees from 
vertical. The torso reference plane, as shown in figure P5 of this 
subpart, is defined by the transverse plane tangent to the posterior 
surface of the upper backplate of the spine box weldment (drawing 210-
8020).
    (ii) Remove all externally applied flexion forces and support the 
upper torso half in a vertical orientation for 30 minutes to prevent it 
from drooping.
    (4) Remove the external support and after two minutes measure the 
initial orientation angle of the upper torso reference plane of the 
seated, unsupported dummy as shown in Figure P5 of this subpart. The 
initial orientation of the torso reference plane may not exceed 15 
degrees.
    (5) Attach the pull cable at the point of load application on the 
adaptor bracket while maintaining the initial torso orientation. Apply a 
pulling force in the midsagittal plane, as shown in Figure P5 of this 
subpart, at any upper torso flexion rate between 0.5 and 1.5 degrees per 
second, until the torso reference plane reaches 45 0.5 degrees of flexion relative to the vertical 
transverse plane.
    (6) Continue to apply a force sufficient to maintain 45 0.5 degrees of flexion for 10 seconds, and record the 
highest applied force during the 10-second period.
    (7) [Reserved]
    (8) Release all force at the loading adaptor bracket as rapidly as 
possible and measure the return angle with respect to the initial angle 
reference plane as defined in paragraph (c)(4) of this section 3 to 4 
minutes after the release.



Sec.572.146  Test conditions and instrumentation.

    (a) The test probe for thoracic impacts, except for attachments, 
shall be of rigid metallic construction and concentric about its 
longitudinal axis. Any attachments to the impactor such as suspension 
hardware, and impact vanes, must meet the requirements of Sec.
572.144(c)(7) of this part. The impactor shall have a mass of 1.70 
0.02 kg (3.75 0.05 lb) and a 
minimum mass moment of inertia 164 kg-cm\2\ (0.145 lb-in-sec\2\) in yaw 
and pitch about the CG of the probe. One-third (\1/3\) of the weight of 
suspension cables and any attachments to the impact probe must be 
included in the calculation of mass, and such components may not exceed 
five percent of the total weight of the test probe. The impacting end of 
the probe, perpendicular to and concentric with the longitudinal axis of 
the probe, has a flat, continuous, and non-deformable 50.8 0.25 mm (2.00 0.01 inch) diameter 
face with an edge radius of 7.6/12.7 mm (0.3/0.5 in). The impactor shall 
have a 53.3 mm (2.1 in) dia. cylindrical surface extending for a minimum 
of 25.4 mm (1.0 in) to the rear from the impact face. The probe's end 
opposite to the impact face has provisions for mounting an accelerometer 
with its sensitive axis collinear with the longitudinal axis of the 
probe. The impact probe has a free air resonant frequency not less than 
1000 Hz limited to the direction of the longitudinal axis of the 
impactor.
    (b) Head accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing SA 
572-S4 and be mounted in the head as shown in drawing 210-0000.
    (c) The neck force-moment transducer shall have the dimensions, 
response characteristics, and sensitive axis locations specified in 
drawing SA 572-S19 and be mounted at the upper neck transducer location 
as shown in

[[Page 104]]

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

[[Page 105]]

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



                  Sec. Figures to Subpart P of Part 572

[[Page 106]]

[GRAPHIC] [TIFF OMITTED] TR22MR00.000


[[Page 107]]


[GRAPHIC] [TIFF OMITTED] TR22MR00.001


[[Page 108]]


[GRAPHIC] [TIFF OMITTED] TR22MR00.002


[[Page 109]]


[GRAPHIC] [TIFF OMITTED] TR13DE01.237


[[Page 110]]


[GRAPHIC] [TIFF OMITTED] TR22MR00.004


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

[[Page 111]]



           Subpart R_CRABI 12-Month-Old Infant, Alpha Version

    Source: 65 FR 17188, Mar. 31, 2000, unless otherwise noted.



Sec.572.150  Incorporation by reference.

    (a) The following materials are incorporated by reference in this 
subpart R.
    (1) A drawings and specifications package entitled ``Parts List and 
Drawings, Subpart R, CRABI 12-Month-Old Infant Crash Test Dummy (CRABI-
12, Alpha version) August 2001'' and consisting of:
    (i) Drawing No. 921022-001, Head Assembly, incorporated by reference 
in Sec. Sec.572.151, 572.152, 572.154, and 572.155;
    (ii) Drawing No. 921022-041, Neck Assembly, incorporated by 
reference in Sec. Sec.572.151, 572.153, 572.154, and 572.155;
    (iii) Drawing No. TE-3200-160, Headform, incorporated by reference 
in Sec. Sec.572.151 and 572.153;
    (iv) Drawing No. 921022-060, Torso Assembly, incorporated by 
reference in Sec. Sec.572.151, 572.154, and 572.155;
    (v) Drawing No. 921022-055, Leg Assembly, incorporated by reference 
in Sec. Sec.572.151, and 572.155 as part of a complete dummy assembly;
    (vi) Drawing No. 921022-054, Arm Assembly, incorporated by reference 
in Sec. Sec.572.151, and 572.155 as part of the complete dummy 
assembly;
    (2) A procedures manual entitled ``Procedures for Assembly, 
Disassembly and Inspection (PADI) Subpart R, CRABI 12-Month-Old Infant 
Crash Test Dummy (CRABI-12, Alpha version) August 2001'' incorporated by 
reference in Sec.572.155;
    (3) SAE Recommended Practice J211/1, Rev. Mar95 ``Instrumentation 
for Impact Tests--Part 1--Electronic Instrumentation'', incorporated by 
reference in Sec.572.155;
    (4) SAE J1733 1994-12 ``Sign Convention for Vehicle Crash Testing'', 
incorporated by reference in Sec.572.155.
    (b) The Director of the Federal Register approved those 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 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (c) The incorporated materials are available as follows:
    (1) The drawings and specifications package referred to in paragraph 
(a)(1) of this section and the procedures manual referred to in 
paragraph (a)(2) of this section are available from Reprographic 
Technologies, 9000 Virginia Manor Road, Beltsville, MD 20705 (301) 419-
5070.
    (2) The SAE materials referred to paragraphs (a)(3) and (a)(4) of 
this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096.

[65 FR 17188, Mar. 31, 2000, as amended at 66 FR 45784, Aug. 30, 2001]



Sec.572.151  General description.

    (a) The 12-month-old-infant crash test dummy is described by 
drawings and specifications containing the following materials:
    (1) Technical drawings and specifications package 921022-000 (refer 
to Sec.572.150(a)(1)), the titles of which are listed in Table A of 
this section;
    (2) Procedures for Assembly, Disassembly and Inspection document 
(PADI) (refer to Sec.572.150(a)(2)).
    (b) The dummy consists of the component assemblies set out in the 
following Table A:

                                 Table A
------------------------------------------------------------------------
            Component assembly                     Drawing number
------------------------------------------------------------------------
Head Assembly.............................  921022-001.
Neck Assembly (complete)..................  921022-041.
Torso Assembly............................  921022-060.
Leg Assembly..............................  921022-055 R&L.
Arm Assembly..............................  921022-054 R&L.
------------------------------------------------------------------------

    (c) Adjacent segments of the dummy 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 
shall

[[Page 112]]

conform to this Subpart in every respect before its use in any test 
under this chapter.



Sec.572.152  Head assembly and test procedure.

    (a) The head assembly (refer to Sec.572.150(a)(1)(i)) for this 
test consists of the assembly (drawing 921022-001), triaxial mount block 
(SA572-80), and 3 accelerometers (drawing SA572-S4).
    (b) Frontal and rear impact. (1) Frontal impact. When the head 
assembly in paragraph (a) of this section is dropped from a height of 
376.0 1.0 mm (14.8 0.04 in) 
in accordance with paragraph (c)(3)(i) of this section, the peak 
resultant acceleration measured at the head CG shall not be less than 
100 g or more than 120 g. The resultant acceleration vs. time history 
curve shall be unimodal, and the oscillations occurring after the main 
pulse shall be less than 17 percent of the peak resultant acceleration. 
The lateral acceleration shall not exceed 15 g's.
    (2) Rear impact. When the head assembly in paragraph (a) of this 
section is dropped from a height of 376.0 1.0 mm 
(14.8 0.04 in) in accordance with paragraph 
(c)(3)(ii) of this section, the peak resultant acceleration measured at 
the head CG shall be not less than 55 g and not more than 71 g. The 
resultant acceleration vs. time history curve shall be unimodal, and the 
oscillations occurring after the main pulse shall be less than 17 
percent of the peak resultant acceleration. The lateral acceleration 
shall not exceed 15 g's.
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Soak the head assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and at any 
relative humidity between 10 and 70 percent for at least four hours 
prior to a test. These temperature and humidity levels shall be 
maintained throughout the entire testing period specified in this 
section.
    (2) Before the test, clean the impact surface of the head skin and 
the steel impact plate surface with isopropyl alcohol, trichlorethane, 
or an equivalent. Both impact surfaces shall be clean and dry for 
testing.
    (3)(i) For a frontal impact test, suspend the head assembly with its 
midsagittal plane in vertical orientation as shown in Figure R1 of this 
subpart. The lowest point on the forehead is 376.0 1.0 mm (14.8 0.04 in) from the 
impact surface. The 3.30 mm (0.13 in) diameter holes located on either 
side of the dummy's head are used to ensure that the head is level with 
respect to the impact surface. The angle between the lower surface plane 
of the neck transducer mass simulator (drawing 910420-003) and the plane 
of the impact surface is 45 1 degrees.
    (ii) For a rear impact test, suspend the head assembly with its 
midsagittal plane in vertical orientation as shown in Figure R2 of this 
subpart. The lowest point on the back of the head is 376.0 1.0 mm (14.8 0.04 in) from the 
impact surface. The 3.30 mm (0.13 in) diameter holes located on either 
side of the dummy's head are used to ensure that the head is level with 
respect to the impact surface. The angle between the lower surface plane 
of the neck transducer structural replacement (drawing 910420-003) and 
the impact surface is 90 1 degrees.
    (4) Drop the head assembly from the specified height by a means that 
ensures a smooth, instant release onto a rigidly supported flat 
horizontal steel plate which is 50.8 mm (2 in) thick and 610 mm (24 in) 
square. The impact surface shall be clean, dry and have a micro finish 
of not less than 203.2 x 10-6 mm (8 micro inches) (RMS) and 
not more than 2032.0 x 10-6 mm (80 micro inches) (RMS).
    (5) Allow at least 2 hours between successive tests of the head 
assembly at the same impact point. For head impacts on the opposite side 
of the head, the 30-minute waiting period specified in Sec.572.155(m) 
does not apply.



Sec.572.153  Neck-headform assembly and test procedure.

    (a) The neck and headform assembly (refer to Sec. Sec.
572.150(a)(1)(ii) and 572.150(a)(1)(iii)) for the purposes of this test 
consists of parts shown in CRABI neck test assembly (drawing TE-3200-
100);
    (b) When the neck and headform assembly, as defined in Sec.
572.153(a), is tested according to the test procedure in Sec.
572.153(c), it shall have the following characteristics:

[[Page 113]]

    (1) Flexion. (i) Plane D referenced in Figure R3 of this subpart 
shall rotate in the direction of pre-impact flight with respect to the 
pendulum's longitudinal centerline not less than 75 degrees and not more 
than 86 degrees. Within this specified rotation corridor, the peak 
positive moment about the occipital condyles shall be not less than 36 
N-m (26.6 ft-lbf) and not more than 45 N-m (33.2 ft-lbf).
    (ii) The positive moment about the occipital condyles shall decay 
for the first time to 5 N-m (3.7 ft-lbf) between 60 ms and 80 ms after 
time zero.
    (iii) The moment about the occipital condyles shall be calculated by 
the following formula: Moment (N-m) = My - (0.005842m) x (Fx), where My 
is the moment about the y-axis, Fx is the shear force measured by the 
neck transducer (drawing SA572 -S23) and 0.005842m is the distance from 
the point at which the load cell measures the force to the occipital 
condyle.
    (2) Extension. (i) Plane D referenced in Figure R4 of this subpart 
shall rotate in the direction of preimpact flight with respect to the 
pendulum's longitudinal centerline not less than 80 degrees and not more 
than 92 degrees. Within the specified rotation corridor, the peak 
negative moment about the occipital condyles shall be not more than -12 
Nm (-8.9 ft-lbf) and not less than -23 N-m (-17.0 ft-lbf) within the 
minimum and maximum rotation interval.
    (ii) The negative moment about the occipital condyles shall decay 
for the first time to -5 Nm (-3.7 lbf-ft) between 76 ms and 90 ms after 
time zero.
    (iii) The moment about the occipital condyles shall be calculated by 
the following formula: Moment (N-m) = My - (0.005842m) x (Fx), where My 
is the moment about the y-axis, Fx is the shear force measured by the 
neck transducer (drawing SA572 -S23) and 0.005842m is the distance from 
the point at which the load cell measures the force to the occipital 
condyle.
    (c) Test procedure. (1) Soak the neck assembly in a controlled 
environment at any temperature between 20.6 and 22.2 [deg]C (69 and 72 
[deg]F) and at any relative humidity between 10 and 70 percent for at 
least four hours prior to a test. These temperature and humidity levels 
shall be maintained throughout the testing period specified in this 
section.
    (2) Torque the jam nut (drawing 9001336) on the neck cable (drawing 
ATD-6206) to 0.2 to 0.3 Nm (2-3 in-lbf).
    (3) Mount the neck-headform assembly, defined in paragraph (b) of 
this section, on the pendulum so the midsagittal plane of the headform 
is vertical and coincides with the plane of motion of the pendulum as 
shown in Figure R3 for flexion and Figure R4 for extension tests.
    (i) The moment and rotation data channels are defined to be zero 
when the longitudinal centerline of the neck and pendulum are parallel.
    (ii) The test shall be conducted without inducing any torsion of the 
neck.
    (4) Release the pendulum and allow it to fall freely to achieve an 
impact velocity of 5.2 0.1 m/s (17.1 0.3 ft/s) for flexion and 2.5 0.1 
m/s (8.2 0.3 ft/s) for extension measured at the 
center of the pendulum accelerometer at the instant of contact with the 
honeycomb.
    (i) Time-zero is defined as the time of initial contact between the 
pendulum striker plate and the honeycomb material. The pendulum data 
channel shall be defined to be zero at this time.
    (ii) Stop the pendulum from the initial velocity with an 
acceleration vs. time pulse which meets the velocity change as specified 
in the following table. Integrate the pendulum acceleration data channel 
to obtain the velocity vs. time curve as indicated in Table B:

                                             Table B--Pendulum Pulse
----------------------------------------------------------------------------------------------------------------
                Time                         Flexion                   Time                    Extension
----------------------------------------------------------------------------------------------------------------
                 m/s                       m/s        ft/s              ms                 m/s          ft/s
----------------------------------------------------------------------------------------------------------------
10..................................  1.6-2.3       5.2-7.5  6......................  0.8-1.2       2.6-3.9
20..................................  3.4-4.2       11.2-13  10.....................  1.5-2.1       4.9-6.9
                                                        .8
25..................................  4.3-5.2       14.1-17  14.....................  2.2-2.9       7.2-9.5
                                                        .1
----------------------------------------------------------------------------------------------------------------


[[Page 114]]



Sec.572.154  Thorax assembly and test procedure.

    (a) Thorax Assembly (refer to Sec.572.150(a)(1)(iv)) . The thorax 
consists of the part of the torso assembly shown in drawing 921022-060.
    (b) When the thorax of a completely assembled dummy (drawing 921022-
000) is impacted by a test probe conforming to Sec.572.155(a) at 5.0 
0.1m/s (16.5 0.3 ft/s) 
according to the test procedure in paragraph (c) of this section, the 
peak force, measured by the impact probe in accordance with paragraph 
Sec.572.155(a), shall be not less than 1514 N (340.7 lbf) and not more 
than 1796 N (404.1 lbf).
    (c) Test procedure. (1) Soak the dummy in a controlled environment 
at any temperature between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and 
at any relative humidity between 10 and 70 percent for at least four 
hours prior to a test. These temperature and humidity levels shall be 
maintained throughout the entire testing period specified in this 
section.
    (2) The test dummy is clothed in a cotton-polyester based tight 
fitting sweat shirt with long sleeves and ankle long pants whose 
combined weight is not more than 0.25 kg (.55 lbs).
    (3) Seat and orient the dummy on a level seating surface without 
back support as shown in Figure R5 of this subpart, with the lower limbs 
extended forward, parallel to the midsagittal plane and the arms 0 to 5 
degrees forward of vertical. The dummy's midsagittal plane is vertical 
within /1 degree and the posterior surface of the 
upper spine box is aligned at 90 /1 degrees from 
the horizontal. (Shim material may be used under the upper legs to 
maintain the dummy's specified spine box surface alignment).
    (4) Establish the impact point at the chest midsagittal plane so 
that the impact point of the longitudinal centerline of the probe 
coincides with the dummy's midsagittal plane, is centered on the torso 
196 /2.5 mm (7.7 /0.1 in) 
vertically from the plane of the seating surface, and is within 0.5 
degrees of a horizontal plane.
    (5) 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.
    (6) Guide the test probe during impact so that there is no 
significant lateral, vertical or rotational movement.
    (7) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.

[65 FR 17188, Mar. 31, 2000, as amended at 66 FR 45784, Aug. 30, 2001]



Sec.572.155  Test conditions and instrumentation.

    (a) The test probe for thoracic impacts, except for attachments, 
shall be of rigid metallic construction and concentric about its 
longitudinal axis. Any attachments to the impactor, such as suspension 
hardware, impact vanes, etc., must meet the requirements of Sec.
572.154(c)(7). The impactor shall have a mass of 2.86 0.02 kg (6.3 0.05 lbs) and a 
minimum mass moment of inertia of 164 kg-cm\2\ (0.145 lb-in-sec\2\) in 
yaw and pitch about the CG of the probe. One-third of the weight of 
suspension cables and any attachments to the impact probe must be 
included in the calculation of mass, and such components may not exceed 
five percent of the total weight of the test probe. The impacting end of 
the probe, perpendicular to and concentric with the longitudinal axis of 
the probe, has a flat, continuous, and non-deformable 101.6 0.25 mm (4.00 0.01 in) diameter 
face with an edge radius of 7.6/12.7 mm (0.3/0.5 in). The impactor shall 
have a 101-103 mm (4-4.1 in) diameter cylindrical surface extending for 
a minimum of 12.5 mm (0.5 in) to the rear from the impact face. The 
probe's end opposite to the impact face has provisions for mounting an 
accelerometer with its sensitive axis collinear with the longitudinal 
axis of the probe. The impact probe shall have a free air resonant 
frequency of not less than 1000 Hz measured in line with the 
longitudinal axis of the impactor, using the test method shown in the 
Procedures for Assembly, Disassembly and Inspection (PADI) document 
referenced in Sec.572.151.
    (b) Head accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be mounted in the head as shown in drawing 921022-000.

[[Page 115]]

    (c) The neck force-moment transducer shall have the dimensions, 
response characteristics, and sensitive axis locations specified in 
drawing SA572-S23 and shall be mounted for testing as shown in drawing 
921022-000 and in figures R3 and R4 of this subpart.
    (d) The shoulder force transducers shall have the dimensions and 
response characteristics specified in drawing SA572-S25 and are allowed 
to be mounted as optional instrumentation in place of part No. 921022-
022 in the torso assembly as shown in drawing 921022-000.
    (e) The thorax accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and be mounted in the torso assembly in triaxial configuration 
as shown in drawing 921022-000.
    (f) The lumbar spine and lower neck force/moment transducer shall 
have the dimensions and response characteristics specified in drawing 
SA572-S23 and are allowed to be mounted as optional instrumentation in 
the torso assembly in place of part No. 910420-003 as shown in drawing 
921022-000.
    (g) The pelvis accelerometers shall have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 and are allowed to be mounted as optional instrumentation in 
the pelvis in triaxial configuration as shown in drawing 921022-000.
    (h) The pubic force transducer shall have the dimensions and 
response characteristics specified in drawing SA572-S24 and is allowed 
to be mounted as optional instrumentation in place of part No. 921022-
050 in the torso assembly as shown in drawing 921022-000.
    (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 the requirements of 
SAE Recommended Practice J211/1, Rev. Mar95 ``Instrumentation for Impact 
Tests--Part 1--Electronic Instrumentation'' (refer to Sec.
572.150(a)(3)), with channel classes as follows:
    (1) Head and headform acceleration--Class 1000.
    (2) Neck :
    (i) Forces--Class 1000;
    (ii) Moments--Class 600;
    (iii) Pendulum acceleration--Class 180;
    (iv) Rotation potentiometer response (if used)--CFC 60.
    (3) Thorax:
    (i) Spine and pendulum accelerations--Class 180;
    (ii) Shoulder forces--Class 600;
    (4) Lumbar:
    (i) Forces--Class 1000;
    (ii) Moments--Class 600;
    (5) Pelvis:
    (i) Accelerations--Class 1000;
    (ii) Pubic--Class 1000.
    (j) Coordinate signs for instrumentation polarity shall conform to 
SAE J1733, 1994-12, ``Sign Convention For Vehicle Crash Testing, Surface 
Vehicle Information Report,'' (refer to Sec.572.150(a)(4)).
    (k) The mountings for sensing devices shall have no resonance 
frequency within a range of 3 times the frequency range of the 
applicable channel class.
    (l) Limb joints shall be set at l g, barely restraining the weight 
of the limb when it is extended horizontally. The force required to move 
a limb segment shall not exceed 2 g throughout the range of limb motion.
    (m) Performance tests of the same component, segment, assembly, or 
fully assembled dummy shall be separated in time by period of not less 
than 30 minutes unless otherwise noted.
    (n) Surfaces of dummy components may not be painted except as 
specified in this subpart or in drawings referenced in Sec.572.150.

[65 FR 17188, Mar. 31, 2000, as amended at 66 FR 45784, Aug. 30, 2001]



                  Sec. Figures to Subpart R of Part 572

[[Page 116]]

[GRAPHIC] [TIFF OMITTED] TR31MR00.008


[[Page 117]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.009


[[Page 118]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.010


[[Page 119]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.011


[[Page 120]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.012


[[Page 121]]





       Subpart S_Hybrid III Six-Year-Old Weighted Child Test Dummy

    Source: 69 FR 42602, July 16, 2004, unless otherwise noted.



Sec.572.160  Incorporation by reference.

    (a) The following materials are hereby incorporated into this 
subpart S by reference:
    (1) A drawings and specifications package entitled, ``Parts List and 
Drawings, Part 572 Subpart S, Hybrid III 6-Year-Old Child Weighted Crash 
Test Dummy (H-III6CW),'' dated June 2009, incorporated by reference in 
Sec.572.161 and consisting of:
    (i) Drawing No. 167-0000, Complete Assembly, incorporated by 
reference in Sec.572.161;
    (ii) Drawing No. 167-2000, Upper Torso Assembly, incorporated by 
reference in Sec. Sec.572.161, 572.164, and 572.165 as part of a 
complete dummy assembly;
    (iii) Drawing No. 167-2020, Revision A, Spine Box Weight, 
incorporated by reference in Sec. Sec.572.161, 572.164, and 572.165 as 
part of a complete dummy assembly;
    (iv) Drawing No. 167-3000, Lower Torso Assembly, incorporated by 
reference in Sec. Sec.572.161, and 572.165 as part of a complete dummy 
assembly;
    (v) Drawing No. 167-3010, Revision A, Lumbar Weight Base, 
incorporated by reference in Sec. Sec.572.161 and 572.165 as part of a 
complete dummy assembly; and
    (vi) The Hybrid III Weighted Six-Year-Old Child Parts/Drawing List, 
incorporated by reference in Sec.572.161.
    (2) A procedures manual entitled, ``Procedures for Assembly, 
Disassembly, And Inspection (PADI) of the Part 572 Subpart S, Hybrid III 
6-Year-Old Child Weighted Crash Test Dummy (H-III6CW), revised June 
2009,'' incorporated by reference in Sec.572.161;
    (3) 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 the Department of 
Transportation, Docket Operations, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, telephone (202) 366-9826, and at the National 
Archives and Records Administration (NARA), and in electronic format 
through Regulations.gov. For information on the availability and 
inspection of this material at NARA, call 202-741-6030, or go to: http:/
/www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. For information on the availability and inspection 
of this material at Regulations.gov, call 1-877-378-5457, or go to: 
http://www.regulations.gov.
    (b) The incorporated materials are available as follows:
    (1) The Drawings and Specifications for the Hybrid III Six-Year-Old 
Weighted Child Test Dummy referred to in paragraph (a)(1) of this 
section are available in electronic format through the NHTSA docket 
center and in paper format from Leet-Melbrook, Division of New RT, 18810 
Woodfield Road, Gaithersburg, MD 20879, (301) 670-0090.
    (2) [Reserved]

[69 FR 42602, July 16, 2004, as amended at 70 FR 77338, Dec. 30, 2005; 
75 FR 76646, Dec. 9, 2010]



Sec.572.161  General description.

    (a) The Hybrid III Six-Year-Old Weighted Child Test Dummy is defined 
by drawings and specifications containing the following materials:
    (1) ``Parts List and Drawings, Part 572 Subpart S, Hybrid III 6-
Year-Old Child Weighted Crash Test Dummy (H-III6CW),'' dated June 2009 
(incorporated by reference, see Sec.572.160);
    (2) The head, neck, arm, and leg assemblies specified in 49 CFR 572 
subpart N; and
    (3) ``Procedures for Assembly, Disassembly, And Inspection (PADI) of 
the Part 572 Subpart S, Hybrid III 6-Year-Old Child Weighted Crash Test 
Dummy (H-III6CW), revised June 2009'' (incorporated by reference, see 
Sec.572.160).

                                 Table A
------------------------------------------------------------------------
          Component assembly \1\                     Drawing No.
------------------------------------------------------------------------
Complete assembly.........................  167-0000.
Upper torso assembly......................  167-2000.
Spine box weight..........................  167-2020 Rev. A.
Lower torso assembly......................  167-3000.
Lumbar weight base........................  167-3010 Rev. A.
------------------------------------------------------------------------
\1\ Head, neck, arm, and leg assemblies are as specified in 49 CFR 572
  subpart N.

    (b) Adjacent segments are joined in a manner such that except for 
contacts

[[Page 122]]

existing under static conditions, there is no contact between metallic 
elements throughout the range of motion or under simulated crash impact 
conditions.
    (c) The structural properties of the dummy are such that the dummy 
must conform to Subpart S in every respect and Subpart N as applicable, 
before use in any test similar to those specified in Standard 208, 
``Occupant Crash Protection'' (49 CFR 571.208), and Standard 213, 
``Child Restraint Systems'' (49 CFR 571.213).

[69 FR 42602, July 16, 2004, as amended at 70 FR 77338, Dec. 30, 2005; 
75 FR 76646, Dec. 9, 2010]



Sec.572.162  Head assembly and test procedure.

    The head assembly is assembled and tested as specified in 49 CFR 
572.122 (Subpart N).



Sec.572.163  Neck assembly and test procedure.

    The neck assembly is assembled and tested as specified in 49 CFR 
572.123 (Subpart N).



Sec.572.164  Thorax assembly and test procedure.

    (a) Thorax (upper torso) assembly. The thorax consists of the part 
of the torso assembly shown in drawing 167-2000 (incorporated by 
reference, see Sec.572.160).
    (b) When the anterior surface of the thorax of a completely 
assembled dummy (drawing 167-2000) that is seated as shown in Figure S1 
is impacted by a test probe conforming to 49 CFR 572.127(a) at 6.71 
0.12 m/s (22.0 0.4 ft/s) 
according to the test procedure specified in 49 CFR 572.124(c):
    (1) The maximum sternum displacement relative to the spine, measured 
with chest deflection transducer (specified in 49 CFR 572.124(b)(1)), 
must be not less than 38.0 mm (1.50 in) and not more than 46.0 mm (1.80 
in). Within this specified compression corridor, the peak force, 
measured by the probe in accordance with 49 CFR 572.127, must be not 
less than 1205 N (270.9 lbf) and not more than 1435 N (322.6 lbf). The 
peak force after 12.5 mm (0.5 in) of sternum displacement, but before 
reaching the minimum required 38.0 mm (1.46 in) sternum displacement 
limit, must not exceed an upper limit of 1500 N.
    (2) The internal hysteresis of the ribcage in each impact as 
determined by the plot of force vs. deflection in paragraph (b)(1) of 
this section must be not less than 65 percent but not more than 85 
percent.
    (c) Test procedure. The thorax assembly is tested as specified in 49 
CFR 572.124(c).



Sec.572.165  Upper and lower torso assemblies and torso flexion test
procedure.

    (a) Upper/lower torso assembly. The test objective is to determine 
the stiffness effects of the lumbar spine (specified in 49 CFR 
572.125(a)), including cable (specified in 49 CFR 572.125(a)), mounting 
plate insert (specified in 49 CFR 572.125(a)), nylon shoulder bushing 
(specified in 49 CFR 572.125(a)), nut (specified in 49 CFR 572.125(a)), 
spine box weighting plates (drawing 167-2020 Revision A), lumbar base 
weight (drawing 167-3010 Revision A), and abdominal insert (specified in 
49 CFR 572.125(a)), on resistance to articulation between the upper 
torso assembly (drawing 167-2000) and the lower torso assembly (drawing 
167-3000). Drawing Nos. 167-2000, 167-2020 Revision A, 167-3000, and 
167-3010 Revision A, are incorporated by reference, see Sec.572.160.
    (b)(1) When the upper torso assembly of a seated dummy is subjected 
to a force continuously applied at the head to neck pivot pin level 
through a rigidly attached adaptor bracket as shown in Figure S2 
according to the test procedure set out in 49 CFR 572.125(c), the lumbar 
spine-abdomen assembly must flex by an amount that permits the upper 
torso assembly to translate in angular motion until the machined surface 
of the instrument cavity at the back of the thoracic spine box is at 45 
0.5 degrees relative to the transverse plane, at 
which time the force applied as shown in Figure S2 must be within 88.6 N 
25 N (20.0 lbf 5.6 lbf), and
    (2) Upon removal of the force, the torso assembly must return to 
within 9 degrees of its initial position.
    (c) Test procedure. The upper and lower torso assemblies are tested 
as specified in 49 CFR 572.125(c), except that in paragraph (c)(5) of 
that section,

[[Page 123]]

the initial torso orientation angle may not exceed 32 degrees.

[69 FR 42602, July 16, 2004, as amended at 70 FR 77338, Dec. 30, 2005]



Sec.572.166  Knees and knee impact test procedure.

    The knee assembly is assembled and tested as specified in 49 CFR 
572.126 (Subpart N).



Sec.572.167  Test conditions and instrumentation.

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



                  Sec. Figures to Subpart S of Part 572

[[Page 124]]

[GRAPHIC] [TIFF OMITTED] TR16JY04.005


[[Page 125]]


[GRAPHIC] [TIFF OMITTED] TR16JY04.006


[[Page 126]]





      Subpart T_Hybrid III 10-Year-Old Child Test Dummy (HIII	10C)

    Source: 77 FR 11667, Feb. 27, 2012, unless otherwise noted.



Sec.572.170  Incorporation by reference.

    (a) Certain material is incorporated by reference (IBR) into this 
part with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, NHTSA must publish notice of change in the 
Federal Register and the material must be available to the public. All 
approved material is available for inspection at the Department of 
Transportation, Docket Operations, Room W12-140, telephone 202-366-9826, 
and is available from the sources listed below. The material is 
available in electronic format through Regulations.gov, call 1-877-378-
5457 or go to www.regulations.gov. It is also available for inspection 
at the National Archives and Records Administration (NARA). For 
information on the availability of this material at NARA, call 202-741-
6030 or go to http://www.archives.gov/federal-register/cfr/ibr-
locations.html.
    (b) NHTSA Technical Information Services, 1200 New Jersey Ave., SE., 
Washington, DC 20590, telephone 202-366-5965.
    (1) A parts/drawing list entitled, ``Parts/Drawing List, Part 572 
Subpart T, Hybrid III 10 Year Old Child Test Dummy (HIII-10C), March, 
2015,'' IBR approved for Sec.572.171.
    (2) A drawings and inspection package entitled, ``Parts List and 
Drawings, Part 572 Subpart T, Hybrid III 10 Year Old Child Crash Dummy 
(HIII-10C), March 2015,'' IBR approved for Sec.572.171, including:
    (i) Drawing No. 420-0000, Complete Assembly HIII 10-year-old, IBR 
approved for Sec. Sec.572.171, 572.172, 572.173, 572.174, 572.176, and 
572.177.
    (ii) Drawing No. 420-1000, Head Assembly, IBR approved for Sec.
572.171, Sec.572.172, Sec.572.173, and Sec.572.177.
    (iii) Drawing No. 420-2000, Neck Assembly, IBR approved for 
Sec. Sec.572.171, 572.173, and 572.177.
    (iv) Drawing No. 420-3000, Upper Torso Assembly, IBR approved for 
Sec. Sec.572.171, 572.174, 572.175, and 572.177.
    (v) Drawing No. 420-4000, Lower Torso Assembly, IBR approved for 
Sec. Sec.572.171, 572.174, 572.175, and 572.177.
    (vi) Drawing No. 420-5000-1, Complete Leg Assembly--left, IBR 
approved for Sec. Sec.572.171, 572.176, and 572.177.
    (vii) Drawing No. 420-5000-2, Complete Leg Assembly--right, IBR 
approved for Sec. Sec.572.171, 572.176, and 572.177.
    (viii) Drawing No. 420-7000-1, Complete Arm Assembly--left, IBR 
approved for Sec.572.171, and,
    (ix) Drawing No. 420-7000-2, Complete Arm Assembly--right, IBR 
approved for Sec.572.171.
    (3) A procedures manual entitled ``Procedures for Assembly, 
Disassembly, and Inspection (PADI) of the Hybrid III 10 Year Old Child 
Test Dummy (HIII-10C), March 2015''; IBR approved for Sec. Sec.572.171 
and 572.177.
    (c) SAE International, 400 Commonwealth Drive, Warrendale, PA 15096, 
call 1-877-606-7323.
    (1) SAE Recommended Practice J211/1, Rev. Mar 95, ``Instrumentation 
for Impact Tests--Part 1--Electronic Instrumentation,'' IBR approved for 
Sec.572.177.
    (2) SAE Information Report J1733 of 1994-12, ``Sign Convention for 
Vehicle Crash Testing,'' December 1994, IBR approved for Sec.572.177.

[77 FR 11667, Feb. 27, 2012, as amended at 80 FR 35860, June 23, 2015]



Sec.572.171  General description.

    (a) The Hybrid III 10-year-old Child Test Dummy (HIII-10C) is 
defined by drawings and specifications containing the following 
materials:
    (1) The parts enlisted in ``Parts/Drawing List, Part 572 Subpart T, 
Hybrid III 10 Year Old Child Test Dummy (HIII-10C), March, 2015'' 
(incorporated by reference, see Sec.572.170),
    (2) The engineering drawings and specifications contained in ``Parts 
List and Drawings, Part 572 Subpart T, Hybrid III 10 Year Old Child 
Crash Dummy (HIII-10C), March 2015,'' which includes the engineering 
drawings and specifications described in Drawing 420-0000, the titles of 
the assemblies of which are listed in Table A, and,
    (3) A manual entitled ``Procedures for Assembly, Disassembly, and 
Inspection (PADI) of the Hybrid III 10 Year Old

[[Page 127]]

Child Test Dummy (HIII-10C), March 2015.''

                                 Table A
------------------------------------------------------------------------
                 Component assembly                       Drawing No.
------------------------------------------------------------------------
 (i) Head Assembly..................................            420-1000
 (ii) Neck Assembly.................................            420-2000
 (iii) Upper Torso Assembly.........................            420-3000
 (iv) Lower Torso Assembly..........................            420-4000
 (v) Complete Leg Assembly--left....................          420-5000-1
 (vi) Complete Leg Assembly--right..................          420-5000-2
 (vii) Complete Arm Assembly--left..................          420-7000-1
 (viii) Complete Arm Assembly--right................          420-7000-2
------------------------------------------------------------------------

    (b) The structural properties of the dummy are such that the dummy 
conforms to this Subpart in every respect before use in any test.

[77 FR 11667, Feb. 27, 2012, as amended at 80 FR 35860, June 23, 2015]



Sec.572.172  Head assembly and test procedure.

    (a) The head assembly for this test consists of the complete head 
(drawing 420-1000), a six-axis neck transducer (drawing SA572-S11, 
included in drawing 420-0000), or its structural replacement (drawing 
420-383X), and 3 accelerometers (drawing SA572-S4, included in drawing 
420-0000) (all incorporated by reference, see Sec.572.170).
    (b) When the head assembly is dropped from a height of 376.0 1.0 mm (14.8 0.04 in) in 
accordance with paragraph (c) of this section, the peak resultant 
acceleration at the location of the accelerometers at the head CG may 
not be less than 250 G or more than 300 G. The resultant acceleration 
vs. time history curve shall be unimodal; oscillations occurring after 
the main pulse must be less than 10 percent of the peak resultant 
acceleration. The lateral acceleration shall not exceed 15 G (zero to 
peak).
    (c) Head test procedure. The test procedure for the head is as 
follows:
    (1) Soak the head assembly in a controlled environment at any 
temperature between 18.9 and 25.6 [deg]C (66 and 78 [deg]F) and a 
relative humidity from 10 to 70 percent for at least four hours prior to 
a test.
    (2) Prior to the test, clean the impact surface of the skin and the 
impact plate surface with isopropyl alcohol, trichloroethane, or an 
equivalent. The skin of the head must be clean and dry for testing.
    (3) Suspend and orient the head assembly as shown in Figure T1. The 
lowest point on the forehead must be 376.0 1.0 mm 
(14.8 0.04 in) from the impact surface. The 1.57 
mm (0.062 in) diameter holes located on either side of the dummy's head 
shall be used to ensure that the head is level with respect to the 
impact surface.
    (4) Drop the head assembly from the specified height by means that 
ensure a smooth, instant release onto a rigidly supported flat 
horizontal steel plate which is 50.8 mm (2 in) thick and 610 mm (24 in) 
square. The impact surface shall be clean, dry and have a micro finish 
of not less than 203.2 x 10-6 mm (8 micro inches) (RMS) and 
not more than 2032.0 x 10-6 mm (80 micro inches) (RMS).
    (5) Allow at least 2 hours between successive tests on the same 
head.



Sec.572.173  Neck assembly and test procedure.

    (a) The neck assembly for the purposes of this test consists of the 
assembly of components shown in drawing 420-2000 (incorporated by 
reference, see Sec.572.170).
    (b) When the head-neck assembly consisting of the head (drawing 420-
1000), neck (drawing 420-2000), six-channel neck transducer (SA572-S11, 
included in drawing 420-0000), lower neck bracket assembly (drawing 420-
2070), and either three uniaxial accelerometers (drawing SA572-S4, 
included in drawing 420-0000) or their mass equivalent installed in the 
head assembly as specified in drawing 420-1000 (all incorporated by 
reference, see Sec.572.170), is tested according to the test

[[Page 128]]

procedure in paragraph (c) of this section, it shall have the following 
characteristics:
    (1) Flexion. (i) Plane D, referenced in Figure T2, shall rotate in 
the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 76 degrees and 90 degrees. During the 
time interval while the rotation is within the specified corridor, the 
peak moment, measured by the neck transducer (drawing SA572-S11, 
included in drawing 420-0000) (incorporated by reference, see Sec.
572.170), about the occipital condyles may not be less than 50 N-m (36.9 
ft-lbf) and not more than 62 N-m (45.7 ft-lbf). The positive moment 
shall decay for the first time to 10 N-m (7.4 ft-lbf) between 86 ms and 
105 ms after time zero.
    (ii) The moment shall be calculated by the following formula: Moment 
(N-m) = My - (0.01778) x (FX).
    (iii) My is the moment about the y-axis in Newton-meters, 
FX is the shear force measured by the neck transducer 
(drawing SA572-S11) in Newtons, and 0.01778 is the distance in meters 
from the load center of the neck transducer to the occipital condyle.
    (2) Extension. (i) Plane D, referenced in Figure T3, shall rotate in 
the direction of preimpact flight with respect to the pendulum's 
longitudinal centerline between 96 degrees and 115 degrees. During the 
time interval while the rotation is within the specified corridor, the 
peak moment, measured by the neck transducer (drawing SA572-S11, 
included in drawing 420-0000) (incorporated by reference, see Sec.
572.170), about the occipital condyles may not be more than -37 N-m (-
27.3 ft-lbf) and not less than -46 N-m (-33.9 ft-lbf). The positive 
moment shall decay for the first time to -10 N-m (-7.4 ft-lbf) between 
100 ms and 116 ms after time zero.
    (ii) The moment shall be calculated by the following formula: Moment 
(N-m) = My - (0.01778) x (FX).
    (iii) My is the moment about the y-axis in Newton-meters, 
FX is the shear force measured by the neck transducer 
(drawing SA572-S11, included in drawing 420-0000) (incorporated by 
reference, see Sec.572.170) in Newtons, and 0.01778 is the distance in 
meters from the load center of the neck transducer to the occipital 
condyle.
    (3) Time zero is defined as the time of initial contact between the 
pendulum striker plate and the honeycomb material. All data channels 
shall be at the zero level at this time.
    (c) Test procedure. The test procedure for the neck assembly is as 
follows:
    (1) Soak the neck assembly in a controlled environment at any 
temperature between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a 
relative humidity between 10 and 70 percent for at least four hours 
prior to a test.
    (2) Torque the hex nut (drawing 420-2000, part 9000130) on the neck 
cable (drawing 420-2060) (both incorporated by reference, see Sec.
572.170) to 0.9 0.2 N-m (8 2 
in-lbf) before each test on the same neck.
    (3) Mount the head-neck assembly, defined in paragraph (b) of this 
section, on the pendulum described in Figure 22 of 49 CFR part 572 so 
that the leading edge of the lower neck bracket coincides with the 
leading edge of the pendulum as shown in Figure T2 for flexion tests and 
Figure T3 for extension tests.
    (4)(i) Release the pendulum and allow it to fall freely from a 
height to achieve an impact velocity of 6.1 0.12 
m/s (20.0 0.4 ft/s) for flexion tests and 5.03 
0.12 m/s (16.50 0.40 ft/s) 
for extension tests, measured by an accelerometer mounted on the 
pendulum as shown in Figure T2 at the instant of contact with the 
honeycomb.
    (ii) Stop the pendulum from the initial velocity with an 
acceleration vs. time pulse that meets the velocity change as specified 
below. Integrate the pendulum acceleration data channel to obtain the 
velocity vs. time curve:

                                             Table B--Pendulum Pulse
----------------------------------------------------------------------------------------------------------------
                                                              Flexion                        Extension
                    Time (ms)                    ---------------------------------------------------------------
                                                        M/s            ft/s             m/s            ft/s
----------------------------------------------------------------------------------------------------------------
10..............................................       1.64-2.04       5.38-6.69       1.49-1.89       4.89-6.20

[[Page 129]]

 
20..............................................       3.04-4.04      9.97-13.25       2.88-3.68      9.45-12.07
30..............................................       4.45-5.65     14.60-18.53       4.20-5.20     13.78-17.06
----------------------------------------------------------------------------------------------------------------



Sec.572.174  Thorax assembly and test procedure.

    (a) The thorax consists of the part of the torso assembly designated 
as the upper torso (drawing 420-3000) (incorporated by reference, see 
Sec.572.170).
    (b) When the anterior surface of the thorax of a completely 
assembled dummy (drawing 420-0000) (incorporated by reference, see Sec.
572.170) is impacted by a test probe conforming to section 572.177 at 
6.00 0.12 m/s (22.0 0.4 ft/
s) according to the test procedure in paragraph (c) of this section:
    (1) Maximum sternum displacement (compression) relative to the 
spine, measured with chest deflection transducer (drawing SA572-T4, 
included in drawing 420-0000) (incorporated by reference, see Sec.
572.170), must be not less than 37 mm (1.46 in) and not more than 46 mm 
(1.81 in). Within this specified compression corridor, the peak force, 
measured by the impact probe as defined in section 572.177 and 
calculated in accordance with paragraph (b)(3) of this section, shall 
not be less than 2.0 kN (450 lbf) and not more than 2.45 kN (551 lbf). 
The peak force after 20 mm (0.79 in.) of sternum displacement but before 
reaching the minimum required 37 mm (1.46 in.) sternum displacement 
limit shall not exceed 2.52 kN (567 lbf).
    (2) The internal hysteresis of the ribcage in each impact as 
determined by the plot of force vs. deflection in paragraph (a)(1) of 
this section shall be not less than 69 percent but not more than 85 
percent. The hysteresis shall be calculated by determining the ratio of 
the area between the loading (from time zero to maximum deflection) and 
unloading portions (from maximum deflection to zero force) of the force 
deflection curve to the area under the loading portion of the curve.
    (3) The force shall be calculated by the product of the impactor 
mass and its measured deceleration.
    (c) Test Procedure. The test procedure for the thorax assembly is as 
follows:
    (1) The dummy is clothed in a form fitting cotton stretch above-the-
elbow sleeved shirt and above-the-knees pants. The weight of the shirt 
and pants shall not exceed 0.14 kg (0.30 lb) each.
    (2) Torque the lumbar cable (drawing 420-4130) (incorporated by 
reference, see Sec.572.170) to 0.9 0.2 N-m (8 
2 in-lbf) and set the lumbar adjustment angle to 
12 degrees. Set the neck angle to 16 degrees.
    (3) Soak the dummy in a controlled environment at any temperature 
between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a relative humidity 
between 10 and 70 percent for at least four hours prior to a test.
    (4) Seat and orient the dummy on a seating surface without back 
support as shown in Figure T4, with the limbs extended horizontally and 
forward, parallel to the midsagittal plane, the midsagittal plane 
vertical within 1 degree and the ribs level in the 
anterior-posterior and lateral directions within 0.5 degrees.
    (5) Establish the impact point at the chest midsagittal plane so 
that the impact point of the longitudinal centerline of the probe 
coincides with the midsagittal plane of the dummy within 2.5 mm (0.1 in) and is 12.7 1.1 mm 
(0.5 0.04 in) below the horizontal-peripheral 
centerline of the No. 3 rib and is within 0.5 degrees of a horizontal 
line in the dummy's midsagittal plane.
    (6) Impact the thorax with the test probe so that at the moment of 
contact the probe's longitudinal centerline falls within 2 degrees of a 
horizontal line in the dummy's midsagittal plane.
    (7) Guide the test probe during impact so that there is no 
significant lateral, vertical, or rotational movement.
    (8) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity

[[Page 130]]

vane, shall make contact with the dummy during the test.



Sec.572.175  Upper and lower torso assemblies and torso flexion test 
procedure.

    (a) The test objective is to determine the stiffness of the molded 
lumbar assembly (drawing 420-4100), abdominal insert (drawing 420-4300), 
and chest flesh assembly (drawing 420-3560) on resistance to 
articulation between the upper torso assembly (drawing 420-3000) and 
lower torso assembly (drawing 420-4000) (all incorporated by reference, 
see Sec.572.170).
    (b) When the upper torso assembly of a seated dummy is subjected to 
a force continuously applied at the head to neck pivot pin level through 
a rigidly attached adaptor bracket as shown in Figure T5 according to 
the test procedure set out in paragraph (c) of this section:
    (1) The lumbar spine-abdomen-chest flesh assembly shall flex by an 
amount that permits the upper torso assembly to translate in angular 
motion relative to the vertical transverse plane 35 0.5 degrees at which time the force applied must be not 
less than 180 N (40.5 lbf) and not more than 250 N (56.2 lbf).
    (2) Upon removal of the force, the torso assembly must return to 
within 8 degrees of its initial position.
    (c) Test Procedure. The test procedure for the upper/lower torso 
assembly is as follows:
    (1) Torque the lumbar cable (drawing 420-4130) (incorporated by 
reference, see Sec.572.170) to 0.9 0.2 N-m (8 
2 in-lbf) and set the lumbar adjustment angle to 
12 degrees. Set the neck angle to 16 degrees.
    (2) Soak the dummy in a controlled environment at any temperature 
between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a relative humidity 
between 10 and 70 percent for at least four hours prior to a test.
    (3) Assemble the complete dummy (with or without the legs below the 
femurs) and attach to the fixture in a seated posture as shown in Figure 
T5.
    (4) Secure the pelvis to the fixture at the pelvis instrument cavity 
rear face by threading four \1/4\-inch cap screws into the available 
threaded attachment holes. Tighten the mountings so that the test 
material is rigidly affixed to the test fixture and the pelvic-lumbar 
joining surface is 18 degrees from horizontal and the legs are parallel 
with the test fixture.
    (5) Attach the loading adaptor bracket to the spine of the dummy as 
shown in Figure T5.
    (6) Inspect and adjust, if necessary, the seating of the abdominal 
insert within the pelvis cavity and with respect to the chest flesh, 
assuring that the chest flesh provides uniform fit and overlap with 
respect to the outside surface of the pelvis flesh.
    (7) Flex the dummy's upper torso three times between the vertical 
and until the torso reference frame, as shown in Figure T5, reaches 30 
degrees from the vertical transverse plane. Bring the torso to vertical 
orientation and wait for 30 minutes before conducting the test. During 
the 30-minute waiting period, the dummy's upper torso shall be 
externally supported at or near its vertical orientation to prevent it 
from drooping.
    (8) Remove all external support and wait two minutes. Measure the 
initial orientation angle of the torso reference plane of the seated, 
unsupported dummy as shown in Figure T5. The initial orientation angle 
may not exceed 20 degrees.
    (9) Attach the pull cable and the load cell as shown in Figure T5.
    (10) Apply a tension force in the midsagittal plane to the pull 
cable as shown in Figure T5 at any upper torso deflection rate between 
0.5 and 1.5 degrees per second, until the angle reference plane is at 35 
0.5 degrees of flexion relative to the vertical 
transverse plane.
    (11) Continue to apply a force sufficient to maintain 35 0.5 degrees of flexion for 10 seconds, and record the 
highest applied force during the 10-second period.
    (12) Release all force at the attachment bracket as rapidly as 
possible, and measure the return angle with respect to the initial angle 
reference plane as defined in paragraph (c)(7) of this section three 
minutes after the release.

[[Page 131]]



Sec.572.176  Knees and knee impact test procedure.

    (a) The knee assembly for the purpose of this test is the part of 
the leg assembly shown in drawing 420-5000 (incorporated by reference, 
see Sec.572.170).
    (b) When the knee assembly, consisting of lower upper leg assembly 
(420-5200), femur load transducer (SA572-S10, included in drawing 420-
0000) or its structural replacement (420-5121), lower leg assembly (420-
5300), ankle assembly (420-5400), and foot molded assembly (420-5500) 
(all incorporated by reference, see Sec.572.170) is tested according 
to the test procedure in subsection (c) of this section:
    (1) The peak resistance force as measured with the test probe-
mounted accelerometer must not be less than 2.6 kN (585 lbf) and not 
more than 3.2 kN (719 lbf).
    (2) The force shall be calculated by the product of the impactor 
mass and its deceleration.
    (c) Test Procedure. The test procedure for the knee assembly is as 
follows:
    (1) Soak the knee assembly in a controlled environment at any 
temperature between 20.6 and 22.2 [deg]C (69 and 72 [deg]F) and a 
relative humidity between 10 and 70 percent for at least four hours 
prior to a test.
    (2) Mount the test material and secure it to a rigid test fixture as 
shown in Figure T6. No part of the foot or tibia may contact any 
exterior surface.
    (3) Align the test probe so that throughout its stroke and at 
contact with the knee it is within 2 degrees of horizontal and collinear 
with the longitudinal centerline of the femur.
    (4) Guide the pendulum so that there is no significant lateral, 
vertical, or rotational movement at the time of initial contact between 
the impactor and the knee.
    (5) The test probe velocity at the time of contact shall be 2.1 
0.03 m/s (6.9 0.1 ft/s).
    (6) No suspension hardware, suspension cables, or any other 
attachments to the probe, including the velocity vane, shall make 
contact with the dummy during the test.



Sec.572.177  Test conditions and instrumentation.

    (a) The following test equipment and instrumentation is needed for 
qualification as set forth in this subpart:
    (1) The test probe for thoracic impacts is of rigid metallic 
construction, concentric in shape, and symmetric about its longitudinal 
axis. It has a mass of 6.89 0.05 kg (15.2 0.1 lb) and a minimum mass moment of inertia of 2040 kg-
cm\2\ (1.81 lbf-in-sec\2\) in yaw and pitch about the CG. One-third (\1/
3\) of the weight of the suspension cables and their attachments to the 
impact probe is included in the calculation of mass, and such components 
may not exceed five percent of the total weight of the test probe. The 
impacting end of the probe, perpendicular to and concentric with the 
longitudinal axis, is at least 25.4 mm (1.0 in) long, and has a flat, 
continuous, and non-deformable 121 0.25 mm (4.76 
0.01 in) diameter face with a maximum edge radius 
of 12.7 mm (0.5 in). The probe's end opposite to the impact face has 
provisions for mounting of an accelerometer with its sensitive axis 
collinear with the longitudinal axis of the probe. No concentric 
portions of the impact probe may exceed the diameter of the impact face. 
The impact probe has a free air resonant frequency of not less than 1000 
Hz, which may be determined using the procedure listed in the PADI 
(incorporated by reference, see Sec.572.170).
    (2) The test probe for knee impacts is of rigid metallic 
construction, concentric in shape, and symmetric about its longitudinal 
axis. It has a mass of 1.91 0.05 kg (4.21 0.1 lb) and a minimum mass moment of inertia of 140 kg-
cm\2\ (0.124 lbf-in-sec\2\) in yaw and pitch about the CG. One third 
(\1/3\) of the weight of the suspension cables and their attachments to 
the impact probe may be included in the calculation of mass, and such 
components may not exceed five percent of the total weight of the test 
probe. The impacting end of the probe, perpendicular to and concentric 
with the longitudinal axis, is at least 12.5 mm (0.5 in) long, and has a 
flat, continuous, and non-deformable 76.2 0.2 mm 
(3.00 0.01 in) diameter face with a maximum edge 
radius of 12.7 mm (0.5 in). The probe's end opposite to the impact face 
has provisions for

[[Page 132]]

mounting an accelerometer with its sensitive axis collinear with the 
longitudinal axis of the probe. No concentric portions of the impact 
probe may exceed the diameter of the impact face. The impact probe has a 
free air resonant frequency of not less than 1000 Hz, which may be 
determined using the procedure listed in the PADI (incorporated by 
reference, see Sec.572.170).
    (3) Head accelerometers have dimensions, response characteristics, 
and sensitive mass locations specified in drawing SA572-S4 (included in 
drawing 420-0000) and are mounted in the head as shown in drawing 420-
0000 (both incorporated by reference, see Sec.572.170), sheet 2 of 6.
    (4) The upper neck force and moment transducer has the dimensions, 
response characteristics, and sensitive axis locations specified in 
drawing SA572-S11 (included in drawing 420-0000) and is mounted in the 
head-neck assembly as shown in drawing 420-0000 (both incorporated by 
reference, see Sec.572.170), sheet 2 of 6.
    (5) The chest deflection transducer has the dimensions and response 
characteristics specified in drawing SA572-S50 (included in drawing 420-
0000) and is mounted to the upper torso assembly as shown in drawing 
420-0000 (both incorporated by reference, see Sec.572.170), sheet 2 of 
6.
    (b) The following instrumentation may be required for installation 
in the dummy for compliance testing. If so, it is installed during 
qualification procedures as described in this subpart:
    (1) The thorax CG accelerometers have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 (included in drawing 420-0000) (incorporated by reference, see 
Sec.572.170) and are mounted in the torso assembly in a triaxial 
configuration within the spine box instrumentation cavity.
    (2) The lower neck force and moment transducer has the dimensions, 
response characteristics, and sensitive axis locations specified in 
drawing SA572-S40 (included in drawing 420-0000) and is mounted to the 
neck assembly by replacing the lower neck mounting bracket 420-2070 as 
shown in drawing 420-2000 (all incorporated by reference, see Sec.
572.170).
    (3) The clavicle force transducers have the dimensions, response 
characteristics, and sensitive axis locations specified in drawing 
SA572-S41 (included in drawing 420-0000) and are mounted in the shoulder 
assembly as shown in drawing 420-3800 (both incorporated by reference, 
see Sec.572.170).
    (4) The IR-Tracc chest deflection transducers have the dimensions 
and response characteristics specified in drawing SA572-S43 (included in 
drawing 420-0000) and are mounted to the spine box assembly as shown in 
drawing 420-8000 (both incorporated by reference, see Sec.572.170).
    (5) The spine and sternum accelerometers have the dimensions, 
response characteristics, and sensitive mass locations specified in 
drawing SA572-S4 (included in drawing 420-0000) and are mounted in the 
torso assembly in uniaxial fore-and-aft oriented configuration arranged 
as corresponding pairs in two locations each on the sternum and at the 
spine box of the upper torso assembly as shown in drawing 420-0000 (both 
incorporated by reference, see Sec.572.170), sheet 2 of 6.
    (6) The lumbar spine force-moment transducer has the dimensions, 
response characteristics, and sensitive axis locations specified in 
drawing SA572-S12 (included in drawing 420-0000) and is mounted in the 
lower torso assembly as shown in drawing 420-4000 (both incorporated by 
reference, see Sec.572.170).
    (7) The iliac force transducers have the dimensions and response 
characteristics specified in drawing SA572-S13 L and R (included in 
drawing 420-0000) and are mounted in the lower torso assembly as shown 
in drawing 420-4000 (both incorporated by reference, see Sec.572.170).
    (8) The pelvis accelerometers have the dimensions, response 
characteristics, and sensitive mass locations specified in drawing 
SA572-S4 (included in drawing 420-0000) and are mounted in the torso 
assembly in triaxial configuration in the pelvis bone as shown in 
drawing 420-0000 (both incorporated by reference, see Sec.572.170), 
sheet 2 of 6.
    (9) The femur force and moment transducers (SA572-S10, included in 
drawing 420-0000) have the dimensions, response characteristics, and 
sensitive

[[Page 133]]

axis locations specified in the appropriate drawing and are mounted in 
the upper leg assembly, replacing the femur load cell simulator (drawing 
420-5121) as shown in drawing 420-5100 (all incorporated by reference, 
see Sec.572.170).
    (10) The tilt sensors have the dimensions and response 
characteristics specified in drawing SA572-S42 (included in drawing 420-
0000) and are mounted to the head, thorax, and pelvis assemblies as 
shown in drawing 420-0000 (both incorporated by reference, see Sec.
572.170), sheet 2 of 6.
    (c) The outputs of transducers installed in the dummy and in the 
test equipment specified by this part are to be recorded in individual 
data channels that conform to SAE Recommended Practice J211 
(incorporated by reference, see Sec.572.170) except as noted, with 
channel frequency classes as follows:
    (1) Pendulum acceleration, CFC 180,
    (2) Pendulum D-plane rotation (if transducer is used), CFC 60,
    (3) Torso flexion pulling force (if transducer is used), CFC 60,
    (4) Head acceleration, CFC 1000,
    (5) Neck forces, upper and lower, CFC 1000,
    (6) Neck moments, upper and lower, CFC 600,
    (7) Thorax CG acceleration, CFC 180,
    (8) Sternum deflection, Class 600,
    (9) Sternum and rib accelerations, Class 1000,
    (10) Spine accelerations, CFC 180,
    (11) Lumbar forces, CFC 1000,
    (12) Lumbar moments, CFC 600,
    (13) Shoulder forces, CFC 180,
    (14) Pelvis accelerations, CFC 1000,
    (15) Iliac forces, CFC 180,
    (16) Femur and tibia forces, CFC 600,
    (17) Femur and tibia moments, CFC 600.
    (18) Thorax probe acceleration, CFC 180,
    (19) Knee probe acceleration, CFC 600.
    (d) Coordinate signs for instrumentation polarity are to conform to 
SAE Information Report J1733 (incorporated by reference, see Sec.
572.170).
    (e) The mountings for sensing devices have no resonant frequency 
less than 3 times the frequency range of the applicable channel class.
    (f) Limb joints are set at one G, barely restraining the weight of 
the limb when it is extended horizontally. The force needed to move a 
limb segment is not to exceed 2G throughout the range of limb motion.
    (g) Performance tests of the same component, segment, assembly, or 
fully assembled dummy are separated in time by not less than 30 minutes 
unless otherwise noted.
    (h) Surfaces of dummy components may not be painted except as 
specified in this subpart or in drawings subtended by this subpart.

[77 FR 11667, Feb. 27, 2012, as amended at 80 FR 35860, June 23, 2015]



             Sec. Appendix--Figures to Subpart T of Part 572

[[Page 134]]

[GRAPHIC] [TIFF OMITTED] TR27FE12.003


[[Page 135]]


[GRAPHIC] [TIFF OMITTED] TR27FE12.004


[[Page 136]]


[GRAPHIC] [TIFF OMITTED] TR27FE12.005


[[Page 137]]


[GRAPHIC] [TIFF OMITTED] TR27FE12.006

[GRAPHIC] [TIFF OMITTED] TR27FE12.007


[[Page 138]]


[GRAPHIC] [TIFF OMITTED] TR27FE12.008



  Subpart U_ES	2re Side Impact Crash Test Dummy, 50th Percentile Adult 
                                  Male

    Source: 71 FR 75331, Dec. 14, 2006, unless otherwise noted.



Sec.572.180  Incorporated materials.

    (a) The following materials are hereby incorporated into this 
Subpart by reference:
    (1) A parts/drawing list entitled, ``Parts/Drawings List, Part 572 
Subpart U, Eurosid 2 with Rib Extensions (ES2re), September 2009,'' 
incorporated by reference in Sec.572.181.
    (2) A drawings and inspection package entitled ``Parts List and 
Drawings, Part 572 Subpart U, Eurosid 2 with Rib Extensions (ES-2re, 
Alpha Version), September 2009,'' consisting of:
    (i) Drawing No. 175-0000, ES-2re Dummy Assembly, incorporated by 
reference, see Sec. Sec.572.181, 575.182, 572.184;
    (ii) Drawing No. 175-1000, Head Assembly, incorporated by reference 
in Sec. Sec.572.181 and 572.182;
    (iii) Drawing No. 175-2000, Neck Assembly Test/Cert, incorporated by 
reference in Sec. Sec.572.181 and 572.183;
    (iv) Drawing No. 175-3000, Shoulder Assembly, incorporated by 
reference in Sec. Sec.572.181 and 572.184;
    (v) Drawing No. 175-3500, Arm Assembly, Left, incorporated by 
reference in Sec. Sec.572.181 and 572.185;
    (vi) Drawing No. 175-3800, Arm Assembly, Right, incorporated by 
reference in Sec. Sec.572.181, and 572.185;
    (vii) Drawing No. 175-4000, Thorax Assembly with Rib Extensions, 
incorporated by reference in Sec. Sec.572.181 and 572.185;
    (viii) Drawing No. 175-5000, Abdominal Assembly, incorporated by 
reference in Sec. Sec.572.181 and 572.186;
    (ix) Drawing No. 175-5500, Lumbar Spine Assembly, incorporated by 
reference in Sec. Sec.572.181 and 572.187;
    (x) Drawing No. 175-6000, Pelvis Assembly, incorporated by reference 
in Sec. Sec.572.181 and 572.188;
    (xi) Drawing No. 175-7000-1, Leg Assembly--left incorporated by 
reference in Sec.572.181;
    (xii) Drawing No. 175-7000-2, Leg Assembly--right incorporated by 
reference in Sec.572.181;

[[Page 139]]

    (xiii) Drawing No. 175-8000, Neoprene Body Suit, incorporated by 
reference in Sec. Sec.572.181 and 572.185; and,
    (xiv) Drawing No. 175-9000, Headform Assembly, incorporated by 
reference in Sec. Sec.572.181, 572.183, 572.187;
    (3) A procedures manual entitled ``Procedures for Assembly, 
Disassembly and Inspection (PADI) of the EuroSID-2re 50th Percentile 
Adult Male Side Impact Crash Test Dummy, February 2008,'' incorporated 
by reference in Sec. Sec.572.180(a)(2), and 572.181(a);
    (4) Society of Automotive Engineers (SAE) Recommended Practice J211, 
Rev. Mar 95 ``Instrumentation for Impact Tests--Part 1--Electronic 
Instrumentation''; and,
    (5) SAE J1733 of 1994-12 ``Sign Convention for Vehicle Crash 
Testing.''
    (b) 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 the Department of 
Transportation, Docket Operations, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, telephone (202) 366-9826, and at the National 
Archives and Records Administration (NARA), and in electronic format 
through Regulations.gov. For information on the availability and 
inspection of this material at NARA, call 202-741-6030, or go to: http:/
/www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. For information on the availability and inspection 
of this material at Regulations.gov, call 1-877-378-5457, or go to: 
http://www.regulations.gov.
    (c) The incorporated materials are available as follows:
    (1) The Parts/Drawings List, Part 572 Subpart U, Eurosid 2 with Rib 
Extensions (ES2re) referred to in paragraph (a)(1) of this section, the 
Parts List and Drawings, Part 572 Subpart U, Eurosid 2 with Rib 
Extensions (ES-2re, Alpha Version) referred to in paragraph (a)(2) of 
this section, and the PADI document referred to in paragraph (a)(3) of 
this section, are available in electronic format through Regulations.gov 
and in paper format from Leet-Melbrook, Division of New RT, 18810 
Woodfield Road, Gaithersburg, MD 20879, telephone (301) 670-0090.
    (2) The SAE materials referred to in paragraphs (a)(4) and (a)(5) of 
this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096, telephone 1-877-606-
7323.

[71 FR 75331, Dec. 14, 2006, as amended at 73 FR 33920, June 16, 2008; 
76 FR 31864, June 2, 2011]



Sec.572.181  General description.

    (a) The ES-2re Side Impact Crash Test Dummy, 50th Percentile Adult 
Male, is defined by:
    (1) The drawings and specifications contained in the ``Parts List 
and Drawings, Part 572 Subpart U, Eurosid 2 with Rib Extensions (ES-2re, 
Alpha Version), September 2009,'' (incorporated by reference, see Sec.
572.180), which includes the technical drawings and specifications 
described in Drawing 175-0000, the titles of which are listed in Table 
A;

                                 Table A
------------------------------------------------------------------------
            Component assembly                       Drawing No.
------------------------------------------------------------------------
Head Assembly.............................  175-1000
Neck Assembly Test/Cert...................  175-2000
Neck Bracket Including Lifting Eyebolt....  175-2500
Shoulder Assembly.........................  175-3000
Arm Assembly-Left.........................  175-3500
Arm Assembly-Right........................  175-3800
Thorax Assembly with Rib Extensions.......  175-4000
Abdominal Assembly........................  175-5000
Lumbar Spine Assembly.....................  175-5500
Pelvis Assembly...........................  175-6000
Leg Assembly, Left........................  175-7000-1
Leg Assembly, Right.......................  175-7000-2
Neoprene Body Suit........................  175-8000
------------------------------------------------------------------------

    (2) ``Parts/Drawings List, Part 572 Subpart U, Eurosid 2 with Rib 
Extensions (ES2re), September 2009,'' containing 9 pages, incorporated 
by reference, see Sec.572.180,
    (3) A listing of available transducers-crash test sensors for the 
ES-2re Crash Test Dummy is shown in drawing 175-0000 sheet 4 of 6, dated 
February 2008, incorporated by reference, see Sec.572.180,
    (4) Procedures for Assembly, Disassembly and Inspection (PADI) of 
the ES-2re Side Impact Crash Test Dummy, February 2008, incorporated by 
reference, see Sec.572.180,

[[Page 140]]

    (5) Sign convention for signal outputs reference document SAE J1733 
Information Report, titled ``Sign Convention for Vehicle Crash Testing'' 
dated December 1994, incorporated by reference, see Sec.572.180.
    (b) Exterior dimensions of ES-2re test dummy are shown in drawing 
175-0000 sheet 3 of 6, dated February 2008, incorporated by reference, 
see Sec.572.180.
    (c) Weights of body segments (head, neck, upper and lower torso, 
arms and upper and lower segments) and the center of gravity location of 
the head are shown in drawing 175-0000 sheet 2 of 6, dated February 
2008, incorporated by reference, see Sec.572.180.
    (d) Adjacent segments are joined in a manner such that, except for 
contacts existing under static conditions, there is no additional 
contact between metallic elements of adjacent body segments throughout 
the range of motion.
    (e) The structural properties of the dummy are such that the dummy 
conforms to this Subpart in every respect before use in any test similar 
to those in Standard No. 214, Side Impact Protection and Standard No. 
201, Occupant Protection in Interior Impact.

[71 FR 75331, Dec. 14, 2006, as amended at 73 FR 33921, June 16, 2008; 
76 FR 31866, June 2, 2011]



Sec.572.182  Head assembly.

    (a) The head assembly consists of the head (drawing 175-1000), 
including the neck upper transducer structural replacement, and a set of 
three (3) accelerometers in conformance with specifications in Sec.
572.189(b) and mounted as shown in drawing (175-0000 sheet 1 of 6). When 
tested to the test procedure specified in paragraph (b) of this section, 
the head assembly shall meet performance requirements specified in 
paragraph (c) of this section.
    (b) Test procedure. The head shall be tested per procedure specified 
in 49 CFR Sec.572.112(a).
    (c) Performance criteria. (1) When the head assembly is dropped in 
accordance with Sec.572.112 (a), the measured peak resultant 
acceleration shall be between 125 g's and 155 g's;
    (2) The resultant acceleration-time curve shall be unimodal to the 
extent that oscillations occurring after the main acceleration pulse 
shall not exceed 15% (zero to peak) of the main pulse;
    (3) The fore-and-aft component of the head acceleration shall not 
exceed 15 g's.



Sec.572.183  Neck assembly.

    (a) The neck assembly consists of parts shown in drawing 175-2000. 
For purposes of this test, the neck is mounted within the headform 
assembly 175-9000 as shown in Figure U1 in appendix A to this subpart. 
When subjected to tests procedures specified in paragraph (b) of this 
section, the neck-headform assembly shall meet performance requirements 
specified in paragraph (c) of this section.
    (b) Test procedure. (1) Soak the neck-headform assembly in a test 
environment as specified in Sec.572.189(n);
    (2) Attach the neck-headform assembly to the part 572 subpart E 
pendulum test fixture as shown in Figure U2-A in appendix A to this 
subpart, so that the midsagittal plane of the neck-headform assembly is 
vertical and perpendicular to the plane of motion of the pendulum 
longitudinal centerline shown in Figure U2-A. Torque the half-spherical 
screws (175-2004) located at either end of the neck assembly to 88 
5 in-lbs using the neck compression tool (175-
9500) or equivalent;
    (3) Release the pendulum from a height sufficient to allow it to 
fall freely to achieve an impact velocity of 3.40.1 m/s measured at the center of the pendulum 
accelerometer (Figure 22 as set forth in 49 CFR 572.33) at the time the 
pendulum makes contact with the decelerating mechanism. The velocity-
time history of the pendulum falls inside the corridor determined by the 
upper and lower boundaries specified in Table 1 to paragraph (a) of this 
section.
    (4) Allow the neck to flex without the neck-headform assembly making 
contact with any object;
    (5) Time zero is defined in Sec.572.189(j).

  Table 1 to Paragraph (a)--ES-2re Neck Certification Pendulum Velocity
                                Corridor
------------------------------------------------------------------------
                  Upper boundary                       Lower boundary
------------------------------------------------------------------------
                                          Velocity              Velocity
               Time (ms)                   (m/s)    Time (ms)    (m/s)
------------------------------------------------------------------------
1.0....................................       0.00        0.0      -0.05

[[Page 141]]

 
3.0....................................      -0.25        2.5     -0.375
14.0...................................      -3.20       13.5       -3.7
                                                         17.0       -3.7
------------------------------------------------------------------------

    (c) Performance criteria. (1) The pendulum deceleration pulse is to 
be characterized in terms of decrease in velocity as determined by 
integrating the filtered pendulum acceleration response from time-zero.
    (2) The maximum rotation in the lateral direction of the reference 
plane of the headform (175-9000) as shown in Figure U2-B in appendix A 
to this subpart, shall be 49 to 59 degrees with respect to the 
longitudinal axis of the pendulum occurring between 54 and 66 ms from 
time zero. Rotation of the headform-neck assembly and the neck angle 
with respect to the pendulum shall be measured with potentiometers 
specified in Sec.572.189(c), installed as shown in drawing 175-9000, 
and calculated per procedure specified in Figure U2-B in appendix A to 
this subpart;
    (3) The decaying headform rotation vs. time curve shall cross the 
zero angle with respect to its initial position at time of impact 
relative to the pendulum centerline between 53 ms to 88 ms after the 
time the peak translation-rotation value is reached.

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



Sec.572.184  Shoulder assembly.

    (a) The shoulder (175-3000) is part of the body assembly shown in 
drawing 175-0000. When subjected to impact tests specified in paragraph 
(b) of this section, the shoulder assembly shall meet performance 
requirements of paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly, without suit and 
shoulder foam pad (175-3010), in a test environment as specified in 
Sec.572.189(n);
    (2) The dummy is seated, as shown in Figure U3 in appendix A to this 
subpart, on a flat, horizontal, rigid surface covered by two overlaid 2 
mm thick Teflon sheets and with no back support of the dummy's torso. 
The dummy's torso spine backplate is vertical within 2 degrees and the midsagittal plane of the thorax is 
positioned perpendicular to the direction of the plane of motion of the 
impactor at contact with the shoulder. The arms are oriented forward at 
502 degrees from the horizontal, pointing 
downward. The dummy's legs are horizontal and symmetrical about the 
midsaggital plane with the distance between the innermost point on the 
opposite ankle at 100 5 mm. The length of the 
elastic shoulder cord (175-3015) shall be adjusted so that a force 
between and including 27.5 and 32.5 N applied in a forward direction at 
4 1 mm from the outer edge of the clavicle in the 
same plane as the clavicle movement, is required to initiate a forward 
motion of 1 to 5 mm;
    (3) The impactor is the same as defined in Sec.572.189(a);
    (4) The impactor is guided, if needed, so that at contact with the 
shoulder, its longitudinal axis is within 0.5 
degrees of a horizontal plane and perpendicular (0.5 degrees) to the midsagittal plane of the dummy and 
the centerpoint on the impactor's face is within 5 mm of the center of 
the upper arm pivot bolt (5000040) at contact with the test dummy, as 
shown in Figure U3 in appendix A to this subpart;
    (5) The impactor impacts the dummy's shoulder at 4.30.1 m/s.
    (c) Performance criteria. The peak acceleration of the impactor is 
between 7.5 g's and 10.5 g's during the pendulum's contact with the 
dummy.



Sec.572.185  Thorax (upper torso) assembly.

    (a) The thorax assembly of the dummy must meet the requirements of 
both (b) and (c) of this section. Section 572.185(b) specifies 
requirements for an individual rib drop test, and Sec.572.185(c) 
specifies requirements for a full-body thorax impact test.
    (b) Individual rib drop test. For purposes of this test, the rib 
modules (175-4002), which are part of the thorax assembly (175-4000), 
are tested as individual units. When subjected to test procedures 
specified in paragraph (b)(1) of this section, the rib modules shall 
meet performance requirements specified in paragraph (b)(2) of this 
section.

[[Page 142]]

Each rib is tested at both the 459 mm and 815 mm drop height tests 
described in paragraphs (b)(1)(v)(A) and (B) of this section.
    (1) Test procedure. (i) Soak the rib modules (175-4002) in a test 
environment as specified in 572.189(n);
    (ii) Mount the rib module rigidly in a drop test fixture as shown in 
Figure U7 in appendix A to this subpart with the impacted side of the 
rib facing up;
    (iii) The drop test fixture contains a free fall guided mass of 
7.780.01 kg that is of rigid construction and with 
a flat impact face 1501.0 mm in diameter and an 
edge radius of 0.25 mm;
    (iv) Align the vertical longitudinal centerline of the drop mass so 
that the centerpoint of the downward-facing flat surface is aligned to 
impact the centerline of the rib rail guide system within 2.5 mm.
    (v) The impacting mass is dropped from the following heights:
    (A) 459 5 mm
    (B) 815 8 mm
    (vi) A test cycle consists of one drop from each drop height 
specified in paragraph (b)(1)(v) of this section. Allow a period of not 
less than five (5) minutes between impacts in a single test cycle. Allow 
a period of not less than thirty (30) minutes between two separate 
cycles of the same rib module.
    (2) Performance criteria.
    (i) Each of the rib modules shall deflect as specified in paragraphs 
(b)(2)(i)(A) and (B) of this section, with the deflection measurements 
made with the internal rib module position transducer specified in Sec.
572.189(d):
    (A) Not less than 36 mm and not more than 40 mm when impacted by the 
mass dropped from 459 mm; and,
    (B) Not less than 46 mm and not more than 51mm when impacted by the 
mass dropped from 815 mm.
    (c) Full-body thorax impact test. The thorax is part of the upper 
torso assembly shown in drawing 175-4000. For this full-body thorax 
impact test, the dummy is tested as a complete assembly (drawing 175-
0000) with the struck-side arm (175-3500, left arm; 175-3800, right arm) 
removed. The dummy's thorax is equipped with deflection potentiometers 
as specified in drawing SA572-S69. When subjected to the test procedures 
specified in paragraph (c)(1) of this section, the thorax shall meet the 
performance requirements set forth in paragraph (c)(2).
    (1) Test Procedure. (i) Soak the dummy assembly (175-0000), with 
struck-side arm (175-3500, left arm; 175-3800, right arm), shoulder foam 
pad (175-3010), and neoprene body suit (175-8000) removed, in a test 
environment as specified in Sec.572.189(n);
    (ii) The dummy is seated, as shown in Figure U4 in appendix A to 
this subpart, on a flat, horizontal, rigid surface covered by two 
overlaid 2 mm thick Teflon sheets and with no back support of the 
dummy's torso. The dummy's torso spine backplate is vertical within 
2 degrees and the midsagittal plane of thorax is 
positioned perpendicular to the direction of the plane of motion of the 
impactor at contact with the thorax. The non-struck side arm is oriented 
vertically, pointing downward. The dummy's legs are horizontal and 
symmetrical about the midsagittal plane with the distance between the 
innermost point on the opposite ankle at 100 5 mm;
    (iii) The impactor is the same as defined in Sec.572.189(a);
    (iv) The impactor is guided, if needed, so that at contact with the 
thorax its longitudinal axis is within 0.5 degrees 
of horizontal and perpendicular 0.5 degrees to the 
midsagittal plane of the dummy and the centerpoint of the impactor's 
face is within 5 mm of the impact point on the dummy's middle rib shown 
in Figure U4 in appendix A to this subpart;
    (v) The impactor impacts the dummy's thorax at 5.5 m/s 0.1 m/s.
    (vi) Time zero is defined in Sec.572.189(k).
    (2) Performance Criteria. (i) The individual rib modules shall 
conform to the following range of deflections:
    (A) Upper rib not less than 34 mm and not greater than 41 mm;
    (B) Middle rib not less than 37 mm and not greater than 45 mm;
    (C) Lower rib not less than 37 mm and not greater than 44 mm.
    (ii) The impactor force shall be computed as the product of the 
impact probe acceleration and its mass. The peak impactor force at any 
time after 6 ms from time zero shall be not less

[[Page 143]]

than 5100 N and not greater than 6200 N.

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



Sec.572.186  Abdomen assembly.

    (a) The abdomen assembly (175-5000) is part of the dummy assembly 
shown in drawing 175-0000 including load sensors specified in Sec.
572.189(e). When subjected to tests procedures specified in paragraph 
(b) of this section, the abdomen assembly shall meet performance 
requirements specified in paragraph (c) of this section.
    (b) Test procedure.
    (1) Soak the dummy assembly (175-0000), without suit (175-8000) and 
shoulder foam pad (175-3010), as specified in Sec.572.189(n);
    (2) The dummy is seated as shown in Figure U5 in appendix A to this 
subpart;
    (3) The abdomen impactor is the same as specified in Sec.
572.189(a) except that on its rectangular impact surface is affixed a 
special purpose block whose weight is 1.0 0.01 kg. 
The block is 70 mm high, 150 mm wide and 60 to 80 mm deep. The impact 
surface is flat, has a minimum Rockwell hardness of M85, and an edge 
radius of 4 to 5 mm. The block's wide surface is horizontally oriented 
and centered on the longitudinal axis of the probe's impact face as 
shown in Figure U5-A in appendix A to this subpart;
    (4) The impactor is guided, if needed, so that at contact with the 
abdomen its longitudinal axis is within 0.5 
degrees of a horizontal plane and perpendicular 0.5 degrees to the midsagittal plane of the dummy and 
the centerpoint on the impactor's face is aligned within 5 mm of the 
center point of the middle load measuring sensor in the abdomen as shown 
in Figure U5;
    (5) The impactor impacts the dummy's abdomen at 4.0 m/s 0.1 m/s;
    (6) Time zero is defined in Sec.572.189(k).
    (c) Performance criteria.
    (1) The maximum sum of the forces of the three abdominal load 
sensors, specified in 572.189(e), shall be not less than 2200 N and not 
more than 2700 N and shall occur between 10 ms and 12.3 ms from time 
zero. The calculated sum of the three load cell forces must be 
concurrent in time.
    (2) Maximum impactor force (impact probe acceleration multiplied by 
its mass) is not less than 4000 N and not more than 4800 N occurring 
between 10.6 ms and 13.0 ms from time zero.



Sec.572.187  Lumbar spine.

    (a) The lumbar spine assembly consists of parts shown in drawing 
175-5500. For purposes of this test, the lumbar spine is mounted within 
the headform assembly 175-9000 as shown in Figure U1 in appendix A to 
this subpart. When subjected to tests procedures specified in paragraph 
(b) of this section, the lumbar spine-headform assembly shall meet 
performance requirements specified in paragraph (c) of this section.
    (b) Test procedure. (1) Soak the lumbar spine-headform assembly in a 
test environment as specified in Sec.572.189(n);
    (2) Attach the lumbar spine-headform assembly to the Part 572 
pendulum test fixture per procedure in Sec.572.183(b)(2) and as shown 
in Figure U2-A in appendix A to this subpart. Torque the lumbar hex nut 
(p/n 9000057) on to the lumbar cable assembly (175-5506) to 50 5 in-lb;
    (3) Release the pendulum from a height sufficient to allow it to 
fall freely to achieve an impact velocity of 6.05 0.1 m/s measured at the center of the pendulum 
accelerometer (Figure 22) at the time the pendulum makes contact with 
its decelerating mechanism. The velocity-time history of the pendulum 
falls inside the corridor determined by the upper and lower boundaries 
specified in Table 1 to paragraph (b) of this section;
    (4) Allow the lumbar spine to flex without the lumbar spine or the 
headform making contact with any object;
    (5) Time zero is defined in Sec.572.189(j).

  Table 1 to paragraph (b)--ES-2re Lumbar Spine Certification Pendulum
                            Velocity Corridor
------------------------------------------------------------------------
           Upper boundary                       Lower boundary
------------------------------------------------------------------------
    Time (ms)       Velocity (m/s)       Time (ms)       Velocity (m/s)
------------------------------------------------------------------------
          1.0               0.00               0.0             -0.05
          3.7              -0.24               2.7             -0.425
         27.0              -5.80              24.5             -6.50

[[Page 144]]

 
                                              30.0             -6.50
------------------------------------------------------------------------

    (c) Performance criteria. (1) The pendulum deceleration pulse is to 
be characterized in terms of decrease in velocity as determined by 
integrating the filtered pendulum acceleration response from time-zero.
    (2) The maximum rotation in the lateral direction of the reference 
plane of the headform (175-9000) as shown in Figure U2-B in appendix A 
to this subpart, shall be 45 to 55 degrees with respect to the 
longitudinal axis of the pendulum occurring between 39 and 53 ms from 
time zero. Rotation of the headform-neck assembly shall be measured with 
potentiometers specified in Sec.572.189(c), installed as shown in 
drawing 175-9000, and calculated per procedure specified in Figure U2-B 
in appendix A to this subpart.
    (3) The decaying headform rotation vs. time curve shall cross the 
zero angle with respect to its initial position at impact relative to 
the pendulum centerline between 37 ms to 57 ms after the time the peak 
translation-rotation value is reached.

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



Sec.572.188  Pelvis.

    (a) The pelvis (175-6000) is part of the torso assembly shown in 
drawing 175-0000. The pelvis is equipped with a pubic symphysis load 
sensor in conformance with Sec.572.189(f) and mounted as shown in 
drawing (175-0000 sheet 4). When subjected to tests procedures specified 
in paragraph (b) of this section, the pelvis assembly shall meet 
performance requirements specified in paragraph (c) of this section.
    (b) Test procedure.
    (1) Soak the dummy assembly (175-0000) without suit (175-8000) and 
shoulder foam pad (175-3010) as specified in Sec.572.189(n);
    (2) The dummy is seated as specified in Figure U6 in appendix A to 
this subpart;
    (3) The pelvis impactor is the same as specified in Sec.
572.189(a);
    (4) The impactor is guided, if needed, so that at contact with the 
pelvis its longitudinal axis is within 0.5 degrees 
of a horizontal plane and perpendicular to the midsagittal plane of the 
dummy and the centerpoint on the impactor's face is within 5 mm of the 
center of the H-point in the pelvis, as shown in Figure U6 in appendix A 
to this subpart;
    (5) The impactor impacts the dummy's pelvis at 4.3 0.1 m/s.
    (6) Time zero is defined in Sec.572.189(k).
    (c) Performance criteria. (1) The impactor force (probe acceleration 
multiplied by its mass) shall be not less than 4,700 N and not more than 
5,400 N, occurring between 11.8 ms and 16.1 ms from time zero;
    (2) The pubic symphysis load, measured with load cell specified in 
Sec.572.189(f) shall be not less than 1,230 N and not more than 1,590 
N occurring between 12.2 ms and 17.0 ms from time zero.

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



Sec.572.189  Instrumentation and test conditions.

    (a) The test probe for lateral shoulder, thorax without arm, 
abdomen, and pelvis impact tests is the same as that specified in Sec.
572.36(a) and the impact probe has a minimum mass moment of inertia in 
yaw of 9,000 kg-cm\2\, a free air resonant frequency not less than 1,000 
Hz and the probe's end opposite to the impact face has provisions to 
mount an accelerometer with its sensitive axis collinear with the 
longitudinal axis of the probe. All hardware attached directly to the 
impactor and one-third (\1/3\) of the mass of the suspension cables must 
be included in the calculations of the total impactor mass. The sum mass 
of the attachments and \1/3\ cable mass must not exceed 5 percent of the 
total pendulum mass. No suspension hardware, suspension cables, or any 
other attachments to the test probe, including velocity vane, shall make 
contact with the dummy during the test.
    (b) Accelerometers for the head, the thoracic spine, and the pelvis 
conform to specifications of SA572-S4.

[[Page 145]]

    (c) Rotary potentiometer for the neck and lumbar spine certification 
tests conforms to SA572-53.
    (d) Linear position transducer for the thoracic rib conforms to 
SA572-S69.
    (e) Load sensors for the abdomen conform to specifications of SA572-
S75.
    (f) Load sensor for the pubic symphysis conforms to specifications 
of SA572-77.
    (g) Load sensor for the lumbar spine conforms to specifications of 
SA572-76.
    (h) Instrumentation and sensors conform to the Recommended Practice 
SAE J-211 (Mar. 1995)--Instrumentation for Impact Test unless noted 
otherwise.
    (i) All instrumented response signal measurements shall be treated 
to the following specifications:
    (1) Head acceleration--Digitally filtered CFC 1000;
    (2) Neck and lumbar spine rotations--Digitally filtered CFC 180;
    (3)Neck and lumbar spine pendulum accelerations--Digitally filtered 
CFC 60;
    (4) Pelvis, shoulder, thorax without arm, and abdomen impactor 
accelerations--Digitally filtered CFC 180;
    (5) Abdominal and pubic symphysis force--Digitally filtered at CFC 
600;
    (6) Thorax deflection--Digitally filtered CFC 180.
    (j)(1) Filter the pendulum acceleration data using a SAE J211 CFC 60 
filter.
    (2) Determine the time when the filtered pendulum accelerometer data 
first crosses the -10 g level (T10).
    (3) Calculate time-zero: T0 = T10-Tm,

Where:

Tm = 1.417 ms for the Neck Test
    = 1.588 ms for the Lumbar Spine Test

    (4) Set the data time-zero to the sample number nearest to the 
calculated T0.
    (k)(1) Filter the pendulum acceleration data using a SAE J211 CFC 
180 filter.
    (2) Determine the time when the filtered pendulum accelerometer data 
first crosses the -1.0 m/s\2\ (-.102 g) acceleration level (T0).
    (3) Set the data time-zero to the sample number of the new T0.
    (l) Mountings for the head, spine and pelvis accelerometers shall 
have no resonance frequency within a range of 3 times the frequency 
range of the applicable channel class.
    (m) Limb joints of the test dummy are set at the force between 1 to 
2 G's, which just supports the limb's 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 the limb motion.
    (n) Performance tests are conducted, unless specified otherwise, at 
any temperature from 20.6 to 22.2 degrees C. (69 to 72 degrees F.) and 
at any relative humidity from 10 percent to 70 percent after exposure of 
the dummy to those conditions for a period of not less than 4 hours.
    (o) Certification tests of the same component, segment, assembly, or 
fully assembled dummy shall be separated in time by a period of not less 
than thirty (30) minutes unless otherwise specified.

[[Page 146]]



            Sec. Appendix A to Subpart U of Part 572--Figures
[GRAPHIC] [TIFF OMITTED] TR14DE06.000


[[Page 147]]


[GRAPHIC] [TIFF OMITTED] TR16JN08.006


[[Page 148]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.002


[[Page 149]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.003

[GRAPHIC] [TIFF OMITTED] TR14DE06.004


[[Page 150]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.005


[[Page 151]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.006


[[Page 152]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.007


[[Page 153]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.008


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



   Subpart V_SID	IIsD Side Impact Crash Test Dummy, Small Adult Female

    Source: 71 FR 75370, Dec. 14, 2006, unless otherwise noted.



Sec.572.190  Incorporated materials.

    (a) The following materials are hereby incorporated into this 
Subpart by reference:
    (1) A parts/drawing list entitled, ``Parts/Drawings List, Part 572 
Subpart V, SID-IIsD, July 1, 2008,''
    (2) A drawings and inspection package entitled ``Drawings and 
Specifications for the SID-IIsD Small Female Crash Test Dummy, Part 572 
Subpart V, July 1, 2008,'' consisting of:
    (i) Drawing No. 180-0000, SID-IIsD Complete Assembly;
    (ii) Drawing No. 180-1000, 6 Axis Head Assembly;
    (iii) Drawing No. 180-2000, Neck Assembly;

[[Page 154]]

    (iv) Drawing No. 180-3000, Upper Torso Assembly;
    (v) Drawing No. 180-3005, Washer, Clamping;
    (vi) Drawing No. 9000021, Screw, SHCS \3/8\-16 x 1 NYLOK;
    (vii) Drawing No. 900005, Screw, SHCS \1/4\-20 x \5/8\ NYLOK;
    (viii) Drawing No. 180-4000, Lower Torso Assembly Complete;
    (ix) Drawing No. 180-5000-1, Complete Leg Assembly, Left;
    (x) Drawing No. 180-5000-2, Complete Leg Assembly, Right;
    (xi) Drawing No. 180-6000-1, Arm Assembly Left Molded;
    (xii) Drawing No. 180-6000-2, Arm Assembly Right Molded; and,
    (xiii) Drawing No. 180-9000, SID-IIsD Headform Assembly.
    (3) A procedures manual entitled, ``Procedures for Assembly, 
Disassembly, and Inspection (PADI) of the SID-IIsD Side Impact Crash 
Test Dummy, July 1, 2008,'' incorporated by reference in Sec.572.191;
    (4) SAE Recommended Practice J211, Rev. Mar 95 ``Instrumentation for 
Impact Tests--Part 1--Electronic Instrumentation''; and,
    (5) SAE J1733 of 1994-12, ``Sign Convention for Vehicle Crash 
Testing.''
    (b) 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 the Department of 
Transportation, Docket Operations, Room W12-140, 1200 New Jersey Avenue, 
SE., Washington, DC 20590, telephone (202) 366-9826, and at the National 
Archives and Records Administration (NARA), and in electronic format 
through Regulations.gov. For information on the availability and 
inspection of this material at NARA, call 202-741-6030, or go to: http:/
/www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. For information on the availability and inspection 
of this material at Regulations.gov, call 1-877-378-5457, or go to: 
http://www.regulations.gov.
    (c) The incorporated materials are available as follows:
    (1) The Parts/Drawings List, Part 572 Subpart V, SID-IIsD, July 1, 
2008, referred to in paragraph (a)(1) of this section, the package 
entitled Drawings and Specifications for SID-IIsD Small Female Crash 
Test Dummy, Part 572 Subpart V, July 1, 2008, referred to in paragraph 
(a)(2) of this section, and the PADI document referred to in paragraph 
(a)(3) of this section, are available in electronic format through 
www.Regulations.gov and in paper format from Leet-Melbrook, Division of 
New RT, 18810 Woodfield Road, Gaithersburg, MD 20879, (301) 670-0090.
    (2) The SAE materials referred to in paragraphs (a)(4) and (a)(5) of 
this section are available from the Society of Automotive Engineers, 
Inc., 400 Commonwealth Drive, Warrendale, PA 15096, telephone 1-877-606-
7323.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29894, June 23, 2009]



Sec.572.191  General description.

    (a) The SID-IIsD Side Impact Crash Test Dummy, small adult female, 
is defined by:
    (1) The drawings and specifications contained in the ``Drawings and 
Specifications for SID-IIsD Small Female Crash Test Dummy, Part 572 
Subpart V, July 1, 2008,'' which includes the technical drawings and 
specifications described in Drawing 180-0000, the titles of which are 
listed in Table A;

                                 Table A
------------------------------------------------------------------------
                   Component assembly                     Drawing number
------------------------------------------------------------------------
6 Axis Head Assembly....................................        180-1000
Neck Assembly...........................................        180-2000
Upper Torso Assembly....................................        180-3000
Clamping Washer.........................................        180-3005
Lower Torso Assembly Complete...........................        180-4000
Complete Leg Assembly, Left.............................      180-5000-1
Complete Leg Assembly, Right............................      180-5000-2
Arm Assembly Left Molded................................      180-6000-1
Arm Assembly Right Molded...............................      180-6000-2
------------------------------------------------------------------------

    (2) The ``Parts/Drawing List, Part 572 Subpart V, SID-IIsD,'' dated 
July 1, 2008 and containing 7 pages,
    (3) A listing of available transducers-crash test sensors for the 
SID-IIsD Side Impact Crash Test Dummy, 5th percentile adult female, is 
shown in drawing 180-0000 sheet 2 of 5, dated July 1, 2008,
    (4) ``Procedures for Assembly, Disassembly, and Inspection (PADI) of 
the

[[Page 155]]

SID-IIsD Side Impact Crash Test Dummy, July 1, 2008,'' and,
    (5) Sign convention for signal outputs reference document SAE J1733 
Information Report, titled ``Sign Convention for Vehicle Crash 
Testing,'' dated July 12, 1994, incorporated by reference in Sec.
572.200(k).
    (b) Exterior dimensions of the SID-IIsD Small Adult Female Side 
Impact Crash Test Dummy are shown in drawing 180-0000 sheet 3 of 5, 
dated July 1, 2008.
    (c) Weights and center of gravity locations of body segments are 
shown in drawing 180-0000 sheet 4 of 5, dated July 1, 2008.
    (d) Adjacent segments are joined in a manner such that, except for 
contacts existing under static conditions, there is no additional 
contact between metallic elements of adjacent body segments throughout 
the range of motion.
    (e) The structural properties of the dummy are such that the dummy 
conforms to this Subpart in every respect before use in any test similar 
to that set forth in Standard 214, Side Impact Protection (49 CFR 
571.214).

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29895, June 23, 2009]



Sec.572.192  Head assembly.

    (a) The head assembly consists of the head (180-1000) and a set of 
three (3) accelerometers in conformance with specifications in 49 CFR 
572.200(d) and mounted as shown in drawing 180-0000 sheet 2 of 5. When 
tested to the procedure specified in paragraph (b) of this section, the 
head assembly shall meet performance requirements specified in paragraph 
(c) of this section.
    (b) Test procedure. The head shall be tested according to the 
procedure specified in 49 CFR 572.112(a).
    (c) Performance criteria.
    (1) When the head assembly is dropped from either the right or left 
lateral incline orientations in accordance with procedure in Sec.
572.112(a), the measured peak resultant acceleration shall be between 
115 g and 137 g;
    (2) The resultant acceleration-time curve shall be unimodal to the 
extent that oscillations occurring after the main acceleration pulse 
shall not exceed 15% (zero to peak) of the main pulse;
    (3) The longitudinal acceleration vector (anterior-posterior 
direction) shall not exceed 15 g.



Sec.572.193  Neck assembly.

    (a) The neck assembly consists of parts shown in drawing 180-2000. 
For purposes of this test, the neck assembly is mounted within the 
headform assembly (180-9000) as shown in Figure V1 in appendix A to this 
subpart. When subjected to the test procedure specified in paragraph (b) 
of this section, the neck-headform assembly shall meet the performance 
requirements specified in paragraph (c) of this section.
    (b) Test procedure.
    (1) Soak the assembly in a test environment as specified in 49 CFR 
572.200(j);
    (2) Attach the neck-headform assembly, as shown in Figure V2-A or 
V2-B in appendix A to this subpart, to the 49 CFR Part 572 pendulum test 
fixture (Figure 22, 49 CFR 572.33) in either the left or right lateral 
impact orientations, respectively, so that the midsagittal plane of the 
neck-headform assembly is vertical and at right angle (90 1 degrees) to the plane of motion of the pendulum 
longitudinal centerline;
    (3) Release the pendulum from a height sufficient to achieve a 
velocity of 5.57 0.06 m/s measured at the center 
of the pendulum accelerometer, as shown in 49 CFR Part 572 Figure 15, at 
the instant the pendulum makes contact with the decelerating mechanism;
    (4) The neck flexes without the neck-headform assembly making 
contact with any object;
    (5) Time zero is defined as the time of initial contact between the 
pendulum mounted striker plate and the pendulum deceleration mechanism;
    (6) Allow a period of at least thirty (30) minutes between 
successive tests on the same neck assembly.
    (c) Performance Criteria.
    (1) The pendulum deceleration pulse is characterized in terms of 
decrease in velocity as obtained by integrating the pendulum 
acceleration output from time zero:

------------------------------------------------------------------------
                                                      Peakpendulumdelta-
                      Time(ms)                              V(m/s)
------------------------------------------------------------------------
10.0................................................      -2.20 to -2.80
15.0................................................      -3.30 to -4.10

[[Page 156]]

 
20.0................................................      -4.40 to -5.40
25.0................................................      -5.40 to -6.10
25.0 <100................................      -5.50 to -6.20
------------------------------------------------------------------------

    (2) The maximum translation-rotation of the midsagittal plane of the 
headform disk (180-9061 or 9062) in the lateral direction measured, with 
the rotation transducers specified in 49 CFR 572.200(e) shall be 71 to 
81 degrees with respect to the longitudinal axis of the pendulum (see 
Figure V2-C in appendix A to this subpart) occurring between 50 and 70 
ms from time zero;
    (3) Peak occipital condyle moment shall not be higher than -36 Nm 
and not lower than -44 Nm. The moment measured by the upper neck load 
cell (Mx) shall be adjusted by the following formula: Mx(oc) \1\= Mx + 
0.01778Fy;
---------------------------------------------------------------------------

    \1\ Mx(oc) is the moment at occipital condyle (Newton-meters) and Fy 
is the lateral shear force (Newtons) measured by the load cell.
---------------------------------------------------------------------------

    (4) The decaying moment shall cross the 0 Nm line after peak moment 
between 102 ms-126 ms after time zero.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29895, June 23, 2009]



Sec.572.194  Shoulder.

    (a) The shoulder structure is part of the upper torso assembly shown 
in drawing 180-3000. For the shoulder impact test, the dummy is tested 
as a complete assembly (drawing 180-0000). The dummy is equipped with T1 
laterally oriented accelerometer as specified in 49 CFR 572.200(d), and 
deflection potentiometer as specified in 180-3881 configured for 
shoulder and installed as shown in drawing 180-0000 sheet 2 of 5. When 
subjected to the test procedure as specified in paragraph (b) of this 
section, the shoulder shall meet the performance requirements of 
paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, outfitted with the torso jacket (180-3450) and 
cotton underwear pants on a certification bench, specified in Figure V3 
in appendix A to this subpart, the seat pan and the seatback surfaces of 
which are covered with a 2 mm thick PTFE (Teflon) sheet;
    (3) Align the outermost portion of the pelvis flesh of the impacted 
side of the seated dummy tangent to a vertical plane located within 10 
mm of the side edge of the bench as shown in Figure V4-A in appendix A 
to this subpart, while the midsagittal plane of the dummy is in vertical 
orientation.
    (4) Push the dummy at the knees and at mid-sternum of the upper 
torso with just sufficient horizontally oriented force towards the seat 
back until the back of the upper torso is in contact with the seat back.
    (5) While maintaining the dummy's position as specified in 
paragraphs (b)(3) and (4) of this section, the top of the shoulder rib 
mount (drawing 180-3352) orientation in the fore-and-aft direction is 
24.6 2.0 degrees relative to horizontal, as shown 
in Figure V4-B in appendix A to this subpart.
    (6) Adjust orientation of the legs such that they are symmetrical 
about the mid-sagittal plane, the thighs touch the seat pan, the inner 
part of the right and left legs at the knees are as close as possible to 
each other, the heels touch the designated foot support surface and the 
feet are vertical and as close together as possible.
    (7) Orient the arm to point forward at 90 2 
degrees relative to the inferior-superior orientation of the upper torso 
spine box incline.
    (8) The impactor is specified in 49 CFR 572.200(a).
    (9) The impactor is guided, if needed, so that at contact with the 
dummy's arm rotation centerline (ref. item 23 in drawing 180-3000) the 
impactor's longitudinal axis is within 1 degree of 
a horizontal plane and perpendicular to the midsagittal plane of the 
dummy. The centerpoint of the impactor face at contact is within 2 mm of 
the shoulder yoke assembly rotation centerline (drawing 180-3327), as 
shown in Figure V4-A in appendix A to this subpart.
    (10) The dummy's arm-shoulder is impacted at 4.3 0.1 m/s with the impactor meeting the alignment and 
contact point requirements of paragraph (b)(9) of this section.
    (11) Allow a period of at least thirty (30) minutes between 
successive tests of the same shoulder assembly.

[[Page 157]]

    (c) Performance criteria.
    (1) While the impactor is in contact with the dummy's arm, the 
shoulder shall compress not less than 28 mm and not more than 37 mm 
measured by the potentiometer specified in (a);
    (2) Peak lateral acceleration of the upper spine (T1) shall not be 
less than 17 g and not more than 22 g;
    (3) Peak impactor acceleration shall be not less than 13 g and not 
more than 18 g.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29895, June 23, 2009]



Sec.572.195  Thorax with arm.

    (a) The thorax is part of the upper torso assembly shown in drawing 
180-3000. For the thorax with arm impact test, the dummy is tested as a 
complete assembly (drawing 180-0000). The dummy's thorax is equipped 
with T1 and T12 laterally oriented accelerometers as specified in 49 CFR 
572.200(d), and deflection potentiometers for the thorax and shoulder as 
specified in 180-3881, installed as shown in drawing 180-0000 sheet 2 of 
5. When subjected to the test procedure as specified in paragraph (b) of 
this section, the thorax shall meet performance requirements of 
paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, outfitted with the torso jacket (180-3450) and 
cotton underwear pants on a certification bench, specified in Figure V3, 
the seat pan and the seatback surfaces of which are covered with a 2-mm-
thick PTFE (Teflon) sheet.
    (3) Align the outermost portion of the pelvis flesh of the impacted 
side of the seated dummy tangent to a vertical plane located within 10 
mm of the side edge of the bench as shown in Figure V5-A, while the 
midsagittal plane of the dummy is in vertical orientation.
    (4) Push the dummy at the knees and at mid-sternum of the upper 
torso with just sufficient horizontally oriented force towards the seat 
back until the back of the upper torso is in contact with the seat back.
    (5) While maintaining the dummy's position as specified in 
paragraphs (b)(3) and (4) of this section, the top of the shoulder rib 
mount (drawing 180-3352) orientation in the fore-and-aft direction is 
24.6 2.0 degrees relative to horizontal as shown 
in Figure V5-B in appendix A to this subpart.
    (6) Adjust orientation of the legs such that they are symmetrical 
about the mid-sagittal plane, the thighs touch the seat pan, the inner 
part of the right and left legs at the knees are as close as possible to 
each other, the heels touch the designated foot support surface and the 
feet are vertical and as close together as possible.
    (7) Orient the arm downward to the lowest detent such that the 
longitudinal centerline of the arm is parallel to the inferior-superior 
orientation of the spine box.
    (8) The impactor is specified in 49 CFR 572.200(a).
    (9) The impactor is guided, if needed, so that at contact with the 
dummy's arm, its longitudinal axis is within 1 
degree of a horizontal plane and perpendicular to the midsagittal plane 
of the dummy. The centerpoint of the impactor face is within 2 mm of the 
vertical midpoint of the second thoracic rib and coincident with a line 
parallel to the seat back incline passing through the center of the 
shoulder yoke assembly arm rotation pivot (drawing 180-3327), as shown 
in Figure V5-A in appendix A to this subpart.
    (10) The dummy's arm is impacted at 6.7 0.1 m/
s.
    (11) Time zero is defined as the time of contact between the impact 
probe and the arm.
    (12) Allow a period of at least thirty (30) minutes between 
successive tests of the same thorax assembly.
    (c) Performance criteria.
    (1) While the impactor is in contact with the dummy's arm, the 
thoracic ribs and the shoulder shall conform to the following range of 
deflections:
    (i) Shoulder not less than 31 mm and not more than 40 mm;
    (ii) Upper thorax rib not less than 25 mm and not more than 32 mm;
    (iii) Middle thorax rib not less than 30 mm and not more than 36 mm;
    (iv) Lower thorax rib not less than 32 mm and not more than 38 mm;

[[Page 158]]

    (2) Peak lateral acceleration of the upper spine (T1) shall not be 
less than 34 g and not more than 43 g, and the lower spine (T12) not 
less than 29 g and not more than 37 g;
    (3) Peak impactor acceleration after 5 ms after time zero shall be 
not less than 30 g and not more than 36 g.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29895, June 23, 2009]



Sec.572.196  Thorax without arm.

    (a) The thorax is part of the upper torso assembly shown in drawing 
180-3000. For this thorax test, the dummy is tested as a complete 
assembly (drawing 180-0000) with the arm (180-6000) on the impacted side 
removed. The dummy's thorax is equipped with T1 and T12 laterally 
oriented accelerometers as specified in 49 CFR 572.200(d) and with 
deflection potentiometers for the thorax as specified in drawing 180-
3881, installed as shown in drawing 180-0000 sheet 2 of 5. When 
subjected to the test procedure specified in paragraph (b) of this 
section, the thorax shall meet the performance requirements set forth in 
paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, outfitted with the torso jacket (180-3450) and 
cotton underwear pants on a calibration bench, specified in Figure V3 in 
appendix A to this subpart, the seat pan and the seatback surfaces of 
which are covered with a 2-mm-thick PTFE (Teflon) sheet.
    (3) Align the outermost portion of the pelvis flesh of the impacted 
side of the seated dummy tangent to a vertical plane located within 10 
mm of the side edge of the bench as shown in Figure V6-A, while the 
midsagittal plane of the dummy is in vertical orientation.
    (4) Push the dummy at the knees and at mid-sternum of the upper 
torso with just sufficient horizontally oriented force towards the seat 
back until the back of the upper torso is in contact with the seat back.
    (5) While maintaining the dummy's position as specified in 
paragraphs (b)(3) and (4) of this section, the top of the shoulder rib 
mount (drawing 180-3352) orientation in the fore-and-aft direction is 
24.6 2.0 degrees relative to horizontal, as shown 
in Figure V6-B in appendix A to this subpart.
    (6) Adjust orientation of the legs such that they are symmetrical 
about the mid-sagittal plane, the thighs touch the seat pan, the inner 
part of the right and left legs at the knees are as close as possible to 
each other, the heels touch the designated foot support surface and the 
feet are vertical and as close together as possible.
    (7) The impactor is specified in 49 CFR 572.200(a).
    (8) The impactor is guided, if needed, so that at contact with the 
thorax, its longitudinal axis is within 1 degree of a horizontal plane 
and perpendicular to the midsagittal plane of the dummy. The centerpoint 
of the impactor face is within 2 mm of the vertical midpoint of the 
second thorax rib and coincident with a line parallel to the seat back 
incline passing through the center of the shoulder yoke assembly arm 
rotation pivot (drawing 180-3327), as shown in Figure V6-A in appendix A 
to this subpart.
    (9) The dummy's thorax is impacted at 4.3 0.1 
m/s.
    (10) Allow a period of at least thirty (30) minutes between 
successive tests of the same thorax assembly.
    (c) Performance criteria.
    (1) While the impactor is in contact with the dummy's thorax, the 
ribs shall conform to the following range of deflections:
    (i) Upper thorax rib not less than 32 mm and not more than 40 mm;
    (ii) Middle thorax rib not less than 39 mm and not more than 45 mm;
    (iii) Lower thorax rib not less than 35 mm and not more than 43 mm;
    (2) Peak acceleration of the upper spine (T1) shall not be less than 
13 g and not more than 17 g and the lower spine (T12) not less than 7 g 
and not more than 11 g;
    (3) Peak impactor acceleration shall not be less than 14 g and not 
more than 18 g.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29895, June 23, 2009]



Sec.572.197  Abdomen.

    (a) The abdomen assembly is part of the upper torso assembly (180-
3000) and

[[Page 159]]

is represented by two ribs (180-3368) and two linear deflection 
potentiometers (180-3881). The abdomen test is conducted on the complete 
dummy assembly (180-0000) with the arm (180-6000) on the impacted side 
removed. The dummy is equipped with a lower spine laterally oriented 
accelerometer as specified in 49 CFR 572.200(d) and deflection 
potentiometers specified in drawing 180-3881, installed as shown in 
sheet 2 of drawing 180-0000. When subjected to the test procedure as 
specified in paragraph (b) of this section, the abdomen shall meet 
performance requirements of paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, outfitted with the torso jacket (180-3450) and 
cotton underwear pants on a calibration bench, specified in Figure V3, 
the seat pan and the seatback surfaces of which are covered with a 2 mm 
thick PTFE (Teflon) sheet.
    (3) Align the outermost portion of the pelvis flesh of the impacted 
side of the seated dummy tangent to a vertical plane located within 10 
mm of the side edge of the bench as shown in Figure V7-A in Appendix A 
to this subpart, while the midsagittal plane of the dummy is in vertical 
orientation.
    (4) Push the dummy at the knees and at mid-sternum of the upper 
torso with just sufficient horizontally oriented force towards the seat 
back until the back of the upper torso is in contact with the seat back.
    (5) While maintaining the dummy's position as specified in paragraph 
(b)(3) and (4) of this section, the top of the shoulder rib mount 
(drawing 180-3352) orientation in the fore-and-aft direction is 24.6 
2.0 degrees relative to horizontal, as shown in 
Figure V7-B in appendix A to this subpart);
    (6) Adjust orientation of the legs such that they are symmetrical 
about the mid-sagittal plane, the thighs touch the seat pan, the inner 
part of the right and left legs at the knees are as close as possible to 
each other, the heels touch the designated foot support surface and the 
feet are vertical and as close together as possible;
    (7) The impactor is specified in 49 CFR 572.200(b);
    (8) The impactor is guided, if needed, so that at contact with the 
abdomen, its longitudinal axis is within 1 degree 
of a horizontal plane and perpendicular to the midsagittal plane of the 
dummy and the centerpoint of the impactor's face is within 2 mm of the 
vertical midpoint between the two abdominal ribs and coincident with a 
line parallel to the seat back incline passing through the center of the 
shoulder yoke assembly arm rotation pivot (drawing 180-3327), as shown 
in Figure V7-A in appendix A to this subpart;
    (9) The dummy's abdomen is impacted at 4.3 0.1 
m/s.
    (10) Allow a period of at least thirty (30) minutes between 
successive tests of the same abdomen assembly.
    (c) Performance criteria. (1) While the impact probe is in contact 
with the dummy's abdomen, the deflection of the upper abdominal rib 
shall be not less than 36 mm and not more than 47 mm, and the lower 
abdominal rib not less than 33 mm and not more than 44 mm.
    (2) Peak acceleration of the lower spine (T12) laterally oriented 
accelerometer shall be not less than 9 g and not more than 14 g;
    (3) Peak impactor acceleration shall be not less than 12 g and not 
more than 16 g.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009]



Sec.572.198  Pelvis acetabulum.

    (a) The acetabulum is part of the lower torso assembly shown in 
drawing 180-4000. The acetabulum test is conducted by impacting the side 
of the lower torso of the assembled dummy (drawing 180-0000). The dummy 
is equipped with a laterally oriented pelvis accelerometer as specified 
in 49 CFR 572.200(d), acetabulum load cell SA572-S68, mounted as shown 
in sheet 2 of 5 of drawing 180-0000, and an unused and certified pelvis 
plug (180-4450). When subjected to the test procedure as specified in 
paragraph (b) of this section, the pelvis shall meet performance 
requirements of paragraph (c) of this section.

[[Page 160]]

    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, without the torso jacket (180-3450) and without 
cotton underwear pants, as shown in Figure V8-A in appendix A to this 
subpart, on a calibration bench, specified in Figure V3 in appendix A to 
this subpart, with the seatpan and the seatback surfaces covered with a 
2-mm-thick PTFE (Teflon) sheet;
    (3) Align the outermost portion of the pelvis flesh of the impacted 
side of the seated dummy tangent to a vertical plane located within 10 
mm of the side edge of the bench as shown in Figure V8-A in appendix A 
to this subpart, while the midsagittal plane of the dummy is in vertical 
orientation.
    (4) Push the dummy at the knees and at mid-sternum of the upper 
torso with just sufficient horizontally oriented force towards the seat 
back until the back of the upper torso is in contact with the seat back.
    (5) While maintaining the dummy's position as specified in 
paragraphs (b)(3) and (4) of this section, the top of the shoulder rib 
mount (drawing 180-3352) orientation in the fore-and-aft direction is 
24.6 1.0 degrees relative to horizontal, as shown 
in Figure V8-B in appendix A to this subpart;
    (6) Adjust orientation of the legs such that they are symmetrical 
about the mid-sagittal plane, the thighs touch the seat pan, the inner 
part of the right and left legs at the knees are as close as possible to 
each other, the heels touch the designated foot support surface and the 
feet are vertical and as close together as possible.
    (7) Rotate the arm downward to the lowest detent such that the 
longitudinal centerline of the arm is parallel to the inferior-superior 
orientation of the spine box.
    (8) The impactor is specified in 49 CFR 572.200(a).
    (9) The impactor is guided, if needed, so that at contact with the 
pelvis, its longitudinal axis is within 1 degree 
of a horizontal plane and perpendicular to the midsagittal plane of the 
dummy. The centerpoint of the impactor's face is in line within 2 mm of 
the longitudinal centerline of the \1/4\-20x\1/2\ flat head cap screw 
through the center of the acetabulum load cell (SA572-S68), as shown in 
Figure V8-A in appendix A to this subpart;
    (10) The dummy's pelvis is impacted at the acetabulum at 6.7 0.1 m/s.
    (11) Time zero is defined as the time of contact between the impact 
probe and the pelvis plug.
    (12) Allow a period of at least 120 minutes between successive tests 
of the same pelvis assembly.
    (c) Performance criteria. While the impactor is in contact with the 
pelvis:
    (1) Peak acceleration of the impactor is not less than 38 g and not 
more than 47 g;
    (2) Peak lateral acceleration of the pelvis after 6 ms after time 
zero is not less than 34 g and not more than 42 g;
    (3) Peak acetabulum force is not less than 3.60 kN and not more than 
4.30 kN.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009]



Sec.572.199  Pelvis iliac.

    (a) The iliac is part of the lower torso assembly shown in drawing 
180-4000. The iliac test is conducted by impacting the side of the lower 
torso of the assembled dummy (drawing 180-0000). The dummy is equipped 
with a laterally oriented pelvis accelerometer as specified in 49 CFR 
572.200(d), and iliac wing load cell SA572-S66, mounted as shown in 
sheet 2 of 5 of drawing 180-0000. When subjected to the test procedure 
as specified in paragraph (b) of this section, the pelvis shall meet 
performance requirements of paragraph (c) of this section.
    (b) Test procedure. (1) Soak the dummy assembly (180-0000) in a test 
environment as specified in 49 CFR 572.200(j).
    (2) Seat the dummy, without the torso jacket and without cotton 
underwear pants, as shown in Figure V9-A in appendix A to this subpart, 
on a flat, rigid, horizontal surface covered with a 2-mm-thick PTFE 
(Teflon) sheet.
    (3) The legs are outstretched in front of the dummy such that they 
are symmetrical about the midsagittal plane, the thighs touch the seated 
surface, the inner part of the right and left legs at the knees are as 
close as possible to each other, and the feet are in full

[[Page 161]]

dorsiflexion and as close together as possible.
    (4) Orient the arm downward to the lowest detent such that the 
longitudinal centerline of the arm is parallel to the inferior-superior 
orientation of the spine box.
    (5) The midsagittal plane of the dummy is vertical, and superior 
surface of the lower half neck assembly load cell replacement (180-3815) 
in the lateral direction is within 1 degree 
relative to the horizontal as shown in Figure V9-A.
    (6) While maintaining the dummy's position as specified in 
paragraphs (b)(3), (4) and (5) of this section, the top of the shoulder 
rib mount (180-3352) orientation in the fore-and-aft direction is within 
1.0 degree relative to horizontal as shown in 
Figure V9-B in Appendix A to this subpart.
    (7) The pelvis impactor is specified in 49 CFR 572.200(c).
    (8) The dummy is positioned with respect to the impactor such that 
the longitudinal centerline of the impact probe is in line with the 
longitudinal centerline of the iliac load cell access hole, and the 88.9 
mm dimension of the probe's impact surface is aligned horizontally.
    (9) The impactor is guided, if needed, so that at contact with the 
pelvis, the longitudinal axis of the impactor is within 1 degree of a horizontal plane and perpendicular to the 
midsagittal plane of the dummy.
    (10) The dummy's pelvis is impacted at the iliac location at 
4.30.1 m/s.
    (11) Allow a period of at least 120 minutes between successive tests 
of the same pelvis assembly.
    (c) Performance criteria. While the impactor is in contact with the 
pelvis:
    (1) Peak acceleration of the impactor is not less than 36 g and not 
more than 45 g;
    (2) Peak acceleration of the pelvis is not less than 28 g and not 
more than 39 g;
    (3) Peak iliac force is not less than 4.10 kN and not more than 5.10 
kN.

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009]



Sec.572.200  Instrumentation and test conditions.

    (a) The test probe for shoulder, lateral thorax, and pelvis-
acetabulum impact tests is the same as that specified in 49 CFR 
572.137(a) except that its impact face diameter is 120.70 0.25 mm and it has a minimum mass moment of inertia of 
3646 kg-cm\2\.
    (b) The test probe for the lateral abdomen impact test is the same 
as that specified in 572.137(a) except that its impact face diameter is 
76.20 0.25 mm and it has a minimum mass moment of 
inertia of 3646 kg-cm\2\.
    (c) The test probe for the pelvis-iliac impact tests is the same as 
that specified in 49 CFR 572.137(a) except that it has a rectangular 
flat impact surface 50.8 x 88.9 mm for a depth of at least 76 mm and a 
minimum mass moment of inertia of 5000 kg-cm\2\.
    (d) Accelerometers for the head, the thoracic spine, and the pelvis 
conform to specifications of SA572-S4.
    (e) Rotary potentiometers for the neck-headform assembly conform to 
SA572-S51.
    (f) Instrumentation and sensors conform to the Recommended Practice 
SAE J-211 (March 1995), Instrumentation for Impact Test, unless noted 
otherwise.
    (g) All instrumented response signal measurements shall be treated 
to the following specifications:
    (1) Head acceleration--digitally filtered CFC 1000;
    (2) Neck-headform assembly translation-rotation--digitally filtered 
CFC 60;
    (3) Neck pendulum, T1 and T12 thoracic spine and pelvis 
accelerations--digitally filtered CFC 180;
    (4) Neck forces (for the purpose of occipital condyle calculation) 
and moments--digitally filtered at CFC 600;
    (5) Pelvis, shoulder, thorax and abdomen impactor accelerations--
digitally filtered CFC 180;
    (6) Acetabulum and iliac wings forces--digitally filtered at CFC 
600;
    (7) Shoulder, thorax, and abdomen deflection--digitally filtered CFC 
600.
    (h) Mountings for the head, thoracic spine and pelvis accelerometers 
shall have no resonant frequency within a range of 3 times the frequency 
range of the applicable channel class;

[[Page 162]]

    (i) Leg joints of the test dummy are set at the force between 1 to 2 
g, which just support the limb's weight when the limbs are extended 
horizontally forward. The force required to move a limb segment does not 
exceed 2 g throughout the range of the limb motion.
    (j) Performance tests are conducted, unless specified otherwise, at 
any temperature from 20.6 to 22.2 degrees C. (69 to 72 degrees F.) and 
at any relative humidity from 10% to 70% after exposure of the dummy to 
those conditions for a period of 4 hours.
    (k) Coordinate signs for instrumentation polarity shall conform to 
the Sign Convention For Vehicle Crash Testing, Surface Vehicle 
Information Report, SAE J1733, 1994-12 (refer to Sec.572.191(a)(5)).

[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009]

[[Page 163]]



            Sec. Appendix A to Subpart V of Part 572--Figures
[GRAPHIC] [TIFF OMITTED] TR14DE06.009


[[Page 164]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.010


[[Page 165]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.011


[[Page 166]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.012


[[Page 167]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.013

[GRAPHIC] [TIFF OMITTED] TR23JN09.005


[[Page 168]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.015

[GRAPHIC] [TIFF OMITTED] TR14DE06.016


[[Page 169]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.017

[GRAPHIC] [TIFF OMITTED] TR14DE06.018


[[Page 170]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.019

[GRAPHIC] [TIFF OMITTED] TR14DE06.020


[[Page 171]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.021

[GRAPHIC] [TIFF OMITTED] TR14DE06.022


[[Page 172]]


[GRAPHIC] [TIFF OMITTED] TR14DE06.023

[GRAPHIC] [TIFF OMITTED] TR23JN09.006


[[Page 173]]


[GRAPHIC] [TIFF OMITTED] TR23JN09.007


[71 FR 75370, Dec. 14, 2006, as amended at 74 FR 29896, June 23, 2009]



PART 573_DEFECT AND NONCOMPLIANCE RESPONSIBILITY AND REPORTS--
Table of Contents



Sec.
573.1 Scope.
573.2 Purpose.
573.3 Application.
573.4 Definitions.
573.5 Defect and noncompliance responsibility.
573.6 Defect and noncompliance information report.
573.7 Quarterly reports.
573.8 Lists of purchasers, owners, dealers, distributors, lessors and 
          lessees.
573.9 Address for submitting required reports and other information.
573.10 Reporting the sale or lease of defective or noncompliant tires.
573.11 Prohibition on sale or lease of new defective and noncompliant 
          motor vehicles and items of replacement equipment.
573.12 Prohibition on sale or lease of new and used defective and 
          noncompliant motor vehicle equipment.
573.13 Reimbursement for prenotification remedies.
573.14 Accelerated remedy program.
573.15 Public availability of motor vehicle recall information.
573.16 Reporting bankruptcy petition.

    Authority: 49 U.S.C. 30102, 30103, 30116-30121, 30166, Pub. L. 112-
141, 126 Stat. 405; delegation of authority at 49 CFR 1.95 and 49 CFR 
501.8.

    Source: 43 FR 60169, Dec. 26, 1978, unless otherwise noted.



Sec.573.1  Scope.

    This part:
    (a) Sets forth the responsibilities under 49 U.S.C. 30116-30121 of 
manufacturers of motor vehicles and motor vehicle equipment with respect 
to safety-related defects and noncompliances with Federal motor vehicle 
safety standards in motor vehicles and items of motor vehicle equipment; 
and
    (b) Specifies requirements for--
    (1) Manufacturers to maintain lists of owners, purchasers, dealers, 
and distributors notified of defective and noncomplying motor vehicles 
and motor vehicle original and replacement equipment,
    (2) Reporting to the National Highway Traffic Safety Administration 
(NHTSA) defects in motor vehicles and motor vehicle equipment and 
noncompliances with motor vehicle safety standards prescribed under part 
571 of this chapter, and

[[Page 174]]

    (3) Providing quarterly reports on defect and noncompliance 
notification campaigns.

[69 FR 34959, June 23, 2004]



Sec.573.2  Purposes.

    The purposes of this part are:
    (a) To facilitate the notification of owners of defective and 
noncomplying motor vehicles and items of motor vehicle equipment, and 
the remedy of such defects and noncompliances, by equitably apportioning 
the responsibility for safety-related defects and noncompliances with 
Federal motor vehicle safety standards among manufacturers of motor 
vehicles and motor vehicle equipment; and
    (b) 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.

[67 FR 45872, July 10, 2002]



Sec.573.3  Application.

    (a) Except as provided in paragraphs (g), (h), and (i) of this 
section, this part applies to manufacturers of complete motor vehicles, 
incomplete motor vehicles, and motor vehicle original 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 Sec. Sec.573.6 and 573.7 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 Sec. Sec.
573.6 and 573.7 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 Sec. Sec.
573.6 and 573.7 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 Sec. Sec.573.6 and 573.7 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.573.6 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.573.7 is required of the manufacturer who is conducting the 
recall campaign.
    (g) The provisions of Sec.573.10 apply to all persons.
    (h) The provisions of Sec.573.11 apply to dealers, including 
retailers of motor vehicle equipment.
    (i) The provisions of Sec.573.12 apply to all persons.

[43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995; 66 
FR 38162, July 23, 2001; 67 FR 19697, Apr. 23, 2002; 68 FR 18142, Apr. 
15, 2003]



Sec.573.4  Definitions.

    For purposes of this part:
    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

[[Page 175]]

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.
    Original equipment means an item of motor vehicle equipment (other 
than a tire) that was installed in or on a motor vehicle at the time of 
its delivery to the first purchaser if 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 was installed by the dealer 
or distributor with the express authorizations of the motor vehicle 
manufacturer.
    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.
    Replacement equipment means motor vehicle equipment other than 
original equipment as defined in this section, and tires.

[43 FR 60169, Dec. 26, 1978, as amended at 60 FR 17268, Apr. 5, 1995; 67 
FR 45872, July 10, 2002]



Sec.573.5  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.

[67 FR 45872, July 10, 2002]



Sec.573.6  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. At a minimum, information 
required by paragraphs (c)(1), (2), and (5) of this section shall be 
submitted in the initial report. The remainder of the information 
required by paragraph (c) of this section that is not available within 
the five-day period shall be submitted within 5 working days after the 
manufacturer has confirmed the accuracy of the information. In addition, 
each manufacturer shall amend information required by paragraphs (c)(2), 
(3), and (8)(i) or (ii) within 5 working days after it has new 
information that updates or corrects information that was previously 
reported. Each manufacturer submitting new information relative to a 
previously submitted report shall refer to the recall 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.

[[Page 176]]

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.
    (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 (for tires, a range of 
tire identification numbers, as required by 49 CFR 574.5), size and 
function if applicable, the inclusive dates (month and year) of 
manufacture if available, brand (or trade) name, model name, model 
number, as applicable, 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, if known, the component's country of origin (i.e. final 
place of manufacture or assembly), the manufacturer and/or assembler 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. If at the time of submission of the initial report, the 
reporting manufacturer does not know the country of origin of the 
component, the manufacturer shall ascertain the country of origin and 
submit a supplemental report with that information once it becomes 
available.
    (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. In addition, the manufacturer shall identify 
and describe the risk to motor vehicle safety reasonably related to the 
defect or noncompliance consistent with its evaluation of risk required 
by 49 CFR 577.5(f).
    (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 and other 
information

[[Page 177]]

that the manufacturer considered in determining the existence of the 
noncompliance. The manufacturer shall identify the date of each test and 
observation that indicated that a noncompliance might or did exist.
    (8)(i) A description of the manufacturer's program for remedying the 
defect or noncompliance. This program shall include a plan for 
reimbursing an owner or purchaser who incurred costs to obtain a remedy 
for the problem addressed by the recall within a reasonable time in 
advance of the manufacturer's notification of owners, purchasers and 
dealers, in accordance with Sec.573.13 of this part. A manufacturer's 
plan may incorporate by reference a general reimbursement plan it 
previously submitted to NHTSA, together with information specific to the 
individual recall. Information required by Sec.573.13 that is not in a 
general reimbursement plan shall be submitted in the manufacturer's 
report to NHTSA under this section. If a manufacturer submits one or 
more general reimbursement plans, the manufacturer shall update each 
plan every two years, in accordance with Sec.573.13. The 
manufacturer's remedy program and reimbursement plans will be available 
for inspection by the public at NHTSA headquarters.
    (ii) The estimated date(s) on which it will begin sending 
notifications to owners, and to dealers and distributors, that there is 
a safety-related defect or noncompliance and that a remedy without 
charge will be available to owners, and the estimated date(s) on which 
it will complete such notifications (if different from the beginning 
date). If a manufacturer subsequently becomes aware that either the 
beginning or the completion dates reported to the agency for any of the 
notifications will be delayed by more than two weeks, it shall promptly 
advise the agency of the delay and the reasons therefore, 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 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) In the case of a remedy program involving the replacement of 
tires, the manufacturer's program for remedying the defect or 
noncompliance shall:
    (i) Address how the manufacturer will assure that the entities 
replacing the tires are aware of the legal requirements related to 
recalls of tires established by 49 U.S.C. Chapter 301 and regulations 
thereunder. At a minimum, the manufacturer shall notify its owned stores 
and/or distributors, as well as all independent outlets that are 
authorized to replace the tires that are the subject of the recall, 
annually or for each individual recall that the manufacturer conducts, 
about the ban on the sale of new defective or noncompliant tires (49 CFR 
573.11); the prohibition on the sale of new and used defective and 
noncompliant tires (49 CFR 573.12); and the duty to notify NHTSA of any 
sale of a new or used recalled tire for use on a motor vehicle (49 CFR 
573.10). For tire outlets that are manufacturer-owned or otherwise 
subject to the control of the manufacturer, the manufacturer shall also 
provide directions to comply with these statutory provisions and the 
regulations thereunder.
    (ii) Address how the manufacturer will prevent, to the extent 
reasonably within its control, the recalled tires from being resold for 
installation on a motor vehicle. At a minimum, the

[[Page 178]]

manufacturer shall include the following information, to be furnished to 
each tire outlet that it owns, or that is authorized to replace tires 
that are recalled, either annually or for each individual recall the 
manufacturer conducts:
    (A) Written directions to manufacturer-owned and other manufacturer-
controlled outlets to alter the recalled tires permanently so that they 
cannot be used on vehicles. These shall include instructions on the 
means to render recalled tires unsuitable for resale for installation on 
motor vehicles and instructions to perform the incapacitation of each 
recalled tire, with the exception of any tires that are returned to the 
manufacturer pursuant to a testing program, within 24 hours of receipt 
of the recalled tire at the outlet. If the manufacturer has a testing 
program for recalled tires, these directions shall also include criteria 
for selecting recalled tires for testing and instructions for labeling 
those tires and returning them promptly to the manufacturer for testing.
    (B) Written guidance to all other outlets which are authorized to 
replace the recalled tires on how to alter the recalled tires promptly 
and permanently so that they cannot be used on vehicles.
    (C) A requirement that manufacturer-owned and other manufacturer-
controlled outlets report to the manufacturer, either on a monthly basis 
or within 30 days of the deviation, the number of recalled tires removed 
from vehicles by the outlet that have not been rendered unsuitable for 
resale for installation on a motor vehicle within the specified time 
frame (other than those returned for testing) and describe any such 
failure to act in accordance with the manufacturer's plan;
    (iii) Address how the manufacturer will limit, to the extent 
reasonably within its control, the disposal of the recalled tires in 
landfills and, instead, channel them into a category of positive reuse 
(shredding, crumbling, recycling, and recovery) or another alternative 
beneficial non-vehicular use. At a minimum, the manufacturer shall 
include the following information, to be furnished to each tire outlet 
that it owns or that is authorized to replace tires that are recalled, 
either annually or for each individual recall that the manufacturer 
conducts:
    (A)(1) Written directions that require manufacturer-owned and other 
manufacturer-controlled outlets either:
    (i) To ship recalled tires to one or more locations designated by 
the manufacturer as part of the program or allow the manufacturer to 
collect and dispose of the recalled tires; or
    (ii) To ship recalled tires to a location of their own choosing, 
provided that they comply with applicable state and local laws and 
regulations regarding disposal of tires.
    (2) Under option (c)(9)(iii)(A)(1)(ii) of this section, the 
directions must also include further direction and guidance on how to 
limit the disposal of recalled tires in landfills and, instead, channel 
them into a category of positive reuse (shredding, crumbling, recycling, 
and recovery) or another alternative beneficial non-vehicular use.
    (B)(1) Written guidance that authorizes all other outlets that are 
authorized to replace the recalled tires either:
    (i) To ship recalled tires to one or more locations designated by 
the manufacturer or allow the manufacturer to collect and dispose of the 
recalled tires; or
    (ii) To ship recalled tires to a location of their own choosing, 
provided that they comply with applicable state and local laws and 
regulations regarding disposal of tires.
    (2) Under option (c)(9)(iii)(B)(1)(ii) of this section, the 
manufacturer must also include further guidance on how to limit the 
disposal of recalled tires in landfills and, instead, channel them into 
a category of positive reuse (shredding, crumbling, recycling, and 
recovery) or another alternative beneficial non-vehicular use.
    (C) A requirement that manufacturer-owned and other manufacturer-
controlled outlets report to the manufacturer, on a monthly basis or 
within 30 days of the deviation, the number of recalled tires disposed 
of in violation of applicable state and local laws and regulations, and 
describe any such failure to act in accordance with the manufacturer's 
plan; and

[[Page 179]]

    (D) A description of the manufacturer's program for disposing of the 
recalled tires that are returned to the manufacturer or collected by the 
manufacturer from the retail outlets, including, at a minimum, 
statements that the returned tires will be disposed of in compliance 
with applicable state and local laws and regulations regarding disposal 
of tires, and will be channeled, insofar as possible, into a category of 
positive reuse (shredding, crumbling, recycling and recovery) or another 
alternative beneficial non-vehicular use, instead of being disposed of 
in landfills.
    (iv) To the extent that the manufacturer wishes to limit the 
frequency of shipments of recalled tires, it must specify both a minimum 
time period and a minimum weight for the shipments and provide that 
shipments may be made at whichever minimum occurs first.
    (v) Written directions required under this paragraph to be furnished 
to a manufacturer-owned or controlled outlet shall be sent to the person 
in charge of each outlet by first-class mail or by electronic means, 
such as FAX transmissions or e-mail, with further instructions to notify 
all employees of the outlet who are involved with removal, rendering 
unsuitable for use, or disposition of recalled tires of the applicable 
requirements and procedures.
    (vi) Manufacturers must implement the plans for disposition of 
recalled tires that they file with NHTSA pursuant to this paragraph. The 
failure of a manufacturer to implement its plan in accordance with its 
terms constitutes a violation of the Safety Act.
    (10) 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 NHTSA's Recall Management 
Division (NVS-215) (RMD), not later than 5 days after they are initially 
sent to manufacturers, distributors, dealers, or purchasers. Submission 
shall be made pursuant to Sec.573.9 of this part.
    (11) The manufacturer's campaign number, if 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. Redesignated at 67 FR 45872, July 10, 2002, as amended at 67 FR 
64063, Oct. 17, 2002; 69 FR 34959, June 23, 2004; 69 FR 50084, Aug. 13, 
2004; 70 FR 38814, July 6, 2005; 72 FR 32016, June 11, 2007; 74 FR 
47757, Sept. 17, 2009; 78 FR 51421, Aug. 20, 2013; 79 FR 43677, July 28, 
2014]



Sec.573.7  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 the 
manufacturer notifies its purchasers of the availability of a remedy) 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.

[[Page 180]]

    (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.
    (7) For all recalls that involve the replacement of tires, the 
manufacturer shall provide:
    (i) The aggregate number of recalled tires that the manufacturer 
becomes aware have not been rendered unsuitable for resale for 
installation on a motor vehicle in accordance with the manufacturer's 
plan provided to NHTSA pursuant to Sec.573.6(c)(9);
    (ii) The aggregate number of recalled tires that the manufacturer 
becomes aware have been disposed of in violation of applicable state and 
local laws and regulations; and
    (iii) A description of any failure of a tire outlet to act in 
accordance with the directions in the manufacturer's plan, including an 
identification of the outlet(s) in question.
    (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
    (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. 
Redesignated at 67 FR 45872, July 10, 2002, as amended at 69 FR 50085, 
Aug. 13, 2004; 79 FR 43677, July 28, 2014]



Sec.573.8  Lists of purchasers, owners, dealers, distributors, 
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 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.
573.7. Each vehicle manufacturer shall also maintain such a list of the 
names and addresses of all dealers and distributors to which a defect or 
noncompliance notification was sent. Each list shall be retained for 5 
years, beginning with the date on which the defect or noncompliance 
information report required by Sec.573.6 is initially submitted to 
NHTSA.
    (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

[[Page 181]]

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. Redesignated at 67 FR 
45872, July 10, 2002; 69 FR 34959, June 23, 2004]



Sec.573.9  Address for submitting required reports and other
information.

    All submissions, except as otherwise required by this part, shall be 
submitted to NHTSA on the Internet Web page http://www.safercar.gov/
Vehicle + Manufacturers. A manufacturer must use the templates provided 
at this Web page for all submissions required under this section. Defect 
and noncompliance information reports required by Sec.573.6 of this 
part shall be submitted using one of the following forms, depending upon 
the type of product that is the subject of the report: ``Defect and/or 
Noncompliance Information Report Form--Vehicles;'' ``Defect and/or 
Noncompliance Information Report Form--Equipment;'' ``Defect and/or 
Noncompliance Information Report Form--Tires;'' ``Defect and/or 
Noncompliance Information Report Form--Child Restraints;'' ``Defect and/
or Noncompliance Information Report--Vehicle Alterers.'' Reports 
required under Sec.573.7 of this part shall be submitted using the 
form, ``Quarterly Report Form'' also located at this Web page.

[78 FR 51421, Aug. 20, 2013]



Sec.573.10  Reporting the sale or lease of defective or noncompliant 
tires.

    (a) Reporting requirement. Subject to paragraph (b) of this section, 
any person who knowingly and willfully sells or leases for use on a 
motor vehicle a defective tire or a tire that is not compliant with an 
applicable tire safety standard with actual knowledge that the 
manufacturer of such tire has notified its dealers of such defect or 
noncompliance as required under 49 U.S.C. 30118(c) or as required by an 
order under 49 U.S.C. 30118(b) must report that sale or lease to the 
Associate Administrator for Enforcement, NHTSA, 1200 New Jersey Ave., 
SE., Washington, DC 20590.
    (b) Exclusions from reporting requirement. Paragraph (a) of this 
section is not applicable where, before delivery under a sale or lease 
of a tire:
    (1) The defect or noncompliance of the tire is remedied as required 
under 49 U.S.C. 30120; or
    (2) Notification of the defect or noncompliance is required by an 
order under 49 U.S.C. 30118(b), but enforcement of the order is 
restrained or the order is set aside in a civil action to which 49 
U.S.C. 30121(d) applies.
    (c) Contents of report; requirement of signature. (1) A report 
submitted pursuant to paragraph (a) of this section must contain the 
following information, where that information is available to the person 
selling or leasing the defective or noncompliant tire:
    (i) A statement that the report is being submitted pursuant to 49 
CFR 573.10(a) (sale or lease of defective or noncompliant tires);

[[Page 182]]

    (ii) The name, address and phone number of the person who purchased 
or leased the tire;
    (iii) The name of the manufacturer of the tire;
    (iv) The tire's brand name, model name, and size;
    (v) The tire's DOT identification number;
    (vi) The date of the sale or lease; and
    (vii) The name, address, and telephone number of the seller or 
lessor.
    (2) Each report must be dated and signed, with the name of the 
person signing the report legibly printed or typed below the signature.
    (d) Reports required to be submitted pursuant to this section must 
be submitted no more than that five working days after a person to whom 
a tire covered by this section has been sold or leased has taken 
possession of that tire. Submissions must be made by any means which 
permits the sender to verify promptly that the report was in fact 
received by NHTSA and the day it was received by NHTSA.

[65 FR 81413, Dec. 26, 2000, as amended at 72 FR 32016, June 11, 2007]



Sec.573.11  Prohibition on sale or lease of new defective and 
noncompliant motor vehicles and items of replacement equipment.

    (a) If notification is required by an order under 49 U.S.C. 30118(b) 
or is required under 49 U.S.C. 30118(c) and the manufacturer has 
provided to a dealer (including retailers of motor vehicle equipment) 
notification about a new motor vehicle or new item of replacement 
equipment in the dealer's possession, including actual and constructive 
possession, at the time of notification that contains a defect related 
to motor vehicle safety or does not comply with an applicable motor 
vehicle safety standard issued under 49 CFR part 571, the dealer may 
sell or lease the motor vehicle or item of replacement equipment only 
if:
    (1) The defect or noncompliance is remedied as required by 49 U.S.C. 
30120 before delivery under the sale or lease; or
    (2) When the notification is required by an order under 49 U.S.C. 
30118(b), enforcement of the order is restrained or the order is set 
aside in a civil action to which 49 U.S.C. 30121(d) applies.
    (b) Paragraph (a) of this section does not prohibit a dealer from 
offering the vehicle or equipment for sale or lease, provided that the 
dealer does not sell or lease it.

[67 FR 19697, Apr. 23, 2002]



Sec.573.12  Prohibition on sale or lease of new and used defective
and noncompliant motor vehicle equipment.

    (a) Subject to Sec.573.12(b), no person may sell or lease any new 
or used item of motor vehicle equipment (including a tire) as defined by 
49 U.S.C. 30102(a)(7), for installation on a motor vehicle, that is the 
subject of a decision under 49 U.S.C. 30118(b) or a notice required 
under 49 U.S.C. 30118(c), in a condition that it may be reasonably used 
for its original purpose.
    (b) Paragraph (a) of this section is not applicable where:
    (1) The defect or noncompliance is remedied as required under 49 
U.S.C. 30120 before delivery under the sale or lease;
    (2) Notification of the defect or noncompliance is required by an 
order under 49 U.S.C. 30118(b), but enforcement of the order is 
restrained or the order is set aside in a civil action to which 49 
U.S.C. 30121(d) applies.

[67 FR 19698, Apr. 23, 2002]



Sec.573.13  Reimbursement for pre-notification remedies.

    (a) Pursuant to 49 U.S.C. 30120(d) and Sec.573.6(c)(8)(i) of this 
part, this section specifies requirements for a manufacturer's plan 
(including general reimbursement plans submitted pursuant to Sec.
573.6(c)(8)(i)) to reimburse owners and purchasers for costs incurred 
for remedies in advance of the manufacturer's notification of safety-
related defects and noncompliance with Federal motor vehicle safety 
standards under subsection (b) or (c) of 49 U.S.C. 30118.
    (b) Definitions. The following definitions apply to this section:
    (1) Booster seat means either a backless child restraint system or a 
belt-positioning seat.
    (2) Claimant means a person who seeks reimbursement for the costs of 
a pre-

[[Page 183]]

notification remedy for which he or she paid.
    (3) Pre-notification remedy means a remedy that is performed on a 
motor vehicle or item of replacement equipment for a problem 
subsequently addressed by a notification under subsection (b) or (c) of 
49 U.S.C. 30118 and that is obtained during the period for reimbursement 
specified in paragraph (c) of this section.
    (4) Other child restraint system means all child restraint systems 
as defined in 49 CFR 571.213 S4 not included within the categories of 
rear-facing infant seat or booster seat.
    (5) Rear-facing infant seat means a child restraint system that is 
designed to position a child to face only in the direction opposite to 
the normal direction of travel of the motor vehicle.
    (6) Warranty means a warranty as defined in Sec.579.4(c) of this 
chapter.
    (c) The manufacturer's plan shall specify a period for 
reimbursement, as follows:
    (1) The beginning date shall be no later than a date based on the 
underlying basis for the recall determined as follows:
    (i) For a noncompliance with a Federal motor vehicle safety 
standard, the date shall be the date of the first test or observation by 
either NHTSA or the manufacturer indicating that a noncompliance may 
exist.
    (ii) For a safety-related defect that is determined to exist 
following the opening of an Engineering Analysis (EA) by NHTSA's Office 
of Defects Investigation (ODI), the date shall be the date the EA was 
opened, or one year before the date of the manufacturer's notification 
to NHTSA pursuant to Sec.573.6 of this part, whichever is earlier.
    (iii) For a safety-related defect that is determined to exist in the 
absence of the opening of an EA, the date shall be one year before the 
date of the manufacturer's notification to NHTSA pursuant to Sec.573.6 
of this part.
    (2) The ending date shall be no earlier than:
    (i) For motor vehicles, 10 calendar days after the date on which the 
manufacturer mailed the last of its notifications to owners pursuant to 
part 577 of this chapter.
    (ii) For replacement equipment, 10 calendar days after the date on 
which the manufacturer mailed the last of its notifications to owners 
pursuant to part 577 of this chapter (where applicable) or 30 days after 
the conclusion of the manufacturer's initial efforts to provide public 
notice of the existence of the defect or noncompliance pursuant to Sec.
577.7, whichever is later.
    (d) The manufacturer's plan shall provide for reimbursement of costs 
for pre-notification remedies, subject to the conditions established in 
the plan. The following conditions and no others may be established in 
the plan.
    (1) The plan may exclude reimbursement for costs incurred within the 
period during which the manufacturer's original or extended warranty 
would have provided for a free repair of the problem addressed by the 
recall, without any payment by the consumer unless a franchised dealer 
or authorized representative of the manufacturer denied warranty 
coverage or the repair made under warranty did not remedy the problem 
addressed by the recall. The exclusion based on an extended warranty may 
be applied only when the manufacturer provided written notice of the 
terms of the extended warranty to owners.
    (2)(i) For a motor vehicle, the plan may exclude reimbursement:
    (A) If the pre-notification remedy was not of the same type (repair, 
replacement, or refund of purchase price) as the recall remedy;
    (B) If the pre-notification remedy did not address the defect or 
noncompliance that led to the recall or a manifestation of the defect or 
noncompliance; or
    (C) If the pre-notification remedy was not reasonably necessary to 
correct the defect or noncompliance that led to the recall or a 
manifestation of the defect or noncompliance.
    (ii) However, the plan may not require that the pre-notification 
remedy be identical to the remedy elected by the manufacturer pursuant 
to 49 U.S.C. 30120(a)(1)(A).
    (3)(i) For replacement equipment, the plan may exclude 
reimbursement:

[[Page 184]]

    (A) If the pre-notification remedy did not address the defect or 
noncompliance that led to the recall or a manifestation of the defect or 
noncompliance;
    (B) If the pre-notification remedy was not reasonably necessary to 
correct the defect or noncompliance that led to the recall or a 
manifestation of the defect and noncompliance; or
    (C) In the case of a child restraint system that was replaced, if 
the replacement child restraint is not the same type (i.e., rear-facing 
infant seat, booster seat, or other child restraint system) as the 
restraint that was the subject of the recall.
    (ii) However, the plan may not require that the pre-notification 
remedy be identical to the remedy elected by the manufacturer pursuant 
to 49 U.S.C. 30120(a)(1)(B).
    (4) The plan may exclude reimbursement if the claimant did not 
submit adequate documentation to the manufacturer at an address or 
location designated pursuant to Sec.573.13(f). The plan may require, 
at most, that the following documentation be submitted:
    (i) Name and mailing address of the claimant;
    (ii) Identification of the product that was recalled:
    (A) For motor vehicles, the vehicle make, model, model year, and 
vehicle identification number of the vehicle;
    (B) For replacement equipment other than child restraint systems and 
tires, a description of the equipment, including model and size as 
appropriate;
    (C) For child restraint systems, a description of the restraint, 
including the type (rear-facing infant seat, booster seat, or other 
child restraint system) and the model; or
    (D) For tires, the model and size;
    (iii) Identification of the recall (either the NHTSA recall number 
or the manufacturer's recall number);
    (iv) Identification of the owner or purchaser of the recalled motor 
vehicle or replacement equipment at the time that the pre-notification 
remedy was obtained;
    (v) A receipt for the pre-notification remedy, which may be an 
original or copy:
    (A) If the reimbursement sought is for a repair, the manufacturer 
may require that the receipt indicate that the repair addressed the 
defect or noncompliance that led to the recall or a manifestation of the 
defect or noncompliance, and state the total amount paid for the repair 
of that problem. Itemization of a receipt of the amount for parts, 
labor, other costs and taxes, may not be required unless it is unclear 
on the face of the receipt that the repair for which reimbursement is 
sought addressed only the pre-notification remedy relating to the 
pertinent defect or noncompliance or manifestation thereof.
    (B) If the reimbursement sought is for the replacement of a vehicle 
part or an item of replacement equipment, the manufacturer may require 
that the receipt identify the item and state the total amount paid for 
the item that replaced the defective or noncompliant item;
    (vi) In the case of items of replacement equipment that were 
replaced, documentation that the claimant or a relative thereof (with 
relationship stated) owned the recalled item. Such documentation could 
consist of:
    (A) An invoice or receipt showing purchase of the recalled item of 
replacement equipment;
    (B) If the claimant sent a registration card for a recalled child 
restraint system or tire to the manufacturer, a statement to that 
effect;
    (C) A copy of the registration card for the recalled child restraint 
system or tire; or
    (D) Documentation demonstrating that the claimant had replaced a 
recalled tire that was on a vehicle that he, she, or a relative owned; 
and
    (vii) If the pre-notification remedy was obtained at a time when the 
vehicle or equipment could have been repaired or replaced at no charge 
under a manufacturer's original or extended warranty program, 
documentation indicating that the manufacturer's dealer or authorized 
facility either refused to remedy the problem addressed by the recall 
under the warranty or that the warranty repair did not correct the 
problem addressed by the recall.
    (e) The manufacturer's plan shall specify the amount of costs to be 
reimbursed for a pre-notification remedy.
    (1) For motor vehicles:

[[Page 185]]

    (i) The amount of reimbursement shall not be less than the lesser 
of:
    (A) The amount paid by the owner for the remedy, or
    (B) The cost of parts for the remedy, plus associated labor at local 
labor rates, miscellaneous fees such as disposal of waste, and taxes. 
Costs for parts may be limited to the manufacturer's list retail price 
for authorized parts.
    (ii) Any associated costs, including, but not limited to, taxes or 
disposal of wastes, may not be limited.
    (2) For replacement equipment:
    (i) The amount of reimbursement ordinarily would be the amount paid 
by the owner for the replacement item.
    (ii) In cases in which the owner purchased a brand or model 
different from the item of motor vehicle equipment that was the subject 
of the recall, the manufacturer may limit the amount of reimbursement to 
the retail list price of the defective or noncompliant item that was 
replaced, plus taxes.
    (iii) If the item of motor vehicle equipment was repaired, the 
provisions of paragraph (e)(1) of this section apply.
    (f) The manufacturer's plan shall identify an address to which 
claimants may mail reimbursement clams and may identify franchised 
dealer(s) and authorized facilities to which claims for reimbursement 
may be submitted directly.
    (g) The manufacturer (either directly or through its designated 
dealer or facility) shall act upon requests for reimbursement as 
follows:
    (1) The manufacturer shall act upon a claim for reimbursement within 
60 days of its receipt. If the manufacturer denies the claim, the 
manufacturer must send a notice to the claimant within 60 days of 
receipt of the claim that includes a clear, concise statement of the 
reasons for the denial.
    (2) If a claim for reimbursement is incomplete when originally 
submitted, the manufacturer shall advise the claimant within 60 days of 
receipt of the claim of the documentation that is needed and offer an 
opportunity to resubmit the claim with complete documentation.
    (h) Reimbursement shall be in the form of a check or cash from the 
manufacturer or a designated dealer or facility.
    (i) The manufacturer shall make its reimbursement plan available to 
the public upon request.
    (j) Any disputes over the denial in whole or in part of a claim for 
reimbursement shall be resolved between the claimant and the 
manufacturer. NHTSA will not mediate or resolve any disputes regarding 
eligibility for, or the amount of, reimbursement.
    (k) Each manufacturer shall implement each plan for reimbursement in 
accordance with this section and the terms of the plan.
    (l) Nothing in this section requires that a manufacturer provide 
reimbursement in connection with a fraudulent claim for reimbursement.
    (m) A manufacturer's plan may provide that it will not apply to 
recalls based solely on noncompliant or defective labels.
    (n) The requirement that reimbursement for a pre-notification remedy 
be provided to an owner does not apply if, in the case of a motor 
vehicle or replacement equipment other than a tire, it was bought by the 
first purchaser more than 10 calendar years before notice is given under 
49 U.S.C. 30118(c) or an order is issued under section 49 U.S.C. 
30118(b). In the case of a tire, this period shall be 5 calendar years.

[67 FR 64063, Oct. 17, 2002]



Sec.573.14  Accelerated remedy program.

    (a) An accelerated remedy program is one in which the manufacturer 
expands the sources of replacement parts needed to remedy the defect or 
noncompliance, or expands the number of authorized repair facilities 
beyond those facilities that usually and customarily provide remedy work 
for the manufacturer, or both.
    (b) The Administrator may require a manufacturer to accelerate its 
remedy program if:
    (1) The Administrator finds that there is a risk of serious injury 
or death if the remedy program is not accelerated;
    (2) The Administrator finds that acceleration of the remedy program 
can be reasonably achieved by expanding

[[Page 186]]

the sources of replacement parts, expanding the number of authorized 
repair facilities, or both; and
    (3) The Administrator determines that the manufacturer's remedy 
program is not likely to be capable of completion within a reasonable 
time.
    (c) The Administrator, in deciding whether to require the 
manufacturer to accelerate a remedy program and what to require the 
manufacturer to do, will consult with the manufacturer and may consider 
a wide range of information, including, but not limited to, the 
following: the manufacturer's initial or revised report submitted under 
Sec.573.6(c), information from the manufacturer, information from 
other manufacturers and suppliers, information from any source related 
to the availability and implementation of the remedy, and the 
seriousness of the risk of injury or death associated with the defect or 
noncompliance.
    (d) As required by the Administrator, an accelerated remedy program 
shall include the manner of acceleration (expansion of the sources of 
replacement parts, expansion of the number of authorized repair 
facilities, or both), may require submission of a plan, may identify the 
parts to be provided and/or the sources of those parts, may require the 
manufacturer to notify the agency and owners about any differences among 
different sources or brands of parts, may require the manufacturer to 
identify additional authorized repair facilities, and may specify 
additional owner notifications related to the program. The Administrator 
may also require the manufacturer to include a program to provide 
reimbursement to owners who incur costs to obtain the accelerated 
remedy.
    (e) Under an accelerated remedy program, the remedy that is provided 
shall be equivalent to the remedy that would have been provided if the 
manufacturer's remedy program had not been accelerated. The replacement 
parts used to remedy the defect or noncompliance shall be reasonably 
equivalent to those that would have been used if the remedy program were 
not accelerated. The service procedures shall be reasonably equivalent. 
In the case of tires, all replacement tires shall be the same size and 
type as the defective or noncompliant tire, shall be suitable for use on 
the owner's vehicle, shall have the same or higher load index and speed 
rating, and, for passenger car tires, shall have the same or better 
rating in each of the three categories enumerated in the Uniform Tire 
Quality Grading System. See 49 CFR 575.104. In the case of child 
restraints systems, all replacements shall be of the same type (e.g., 
rear-facing infant seats with a base, rear-facing infant seats without a 
base, convertible seats (designed for use in both rear- and forward-
facing modes), forward-facing only seats, high back booster seats with a 
five-point harness, and belt positioning booster seats) and the same 
overall quality.
    (f) In those instances where the accelerated remedy program provides 
that an owner may obtain the remedy from a source other than the 
manufacturer or its dealers or authorized facilities by paying for the 
remedy and/or its installation, the manufacturer shall reimburse the 
owner for the cost of obtaining the remedy as specified on paragraphs 
(f)(1) through (f)(3) of this section. Under these circumstances, the 
accelerated remedy program shall include, to the extent required by the 
Administrator:
    (1) A description of the remedy and costs that are eligible for 
reimbursement, including identification of the equipment and/or parts 
and labor for which reimbursement is available;
    (2) Identification, with specificity or as a class, of the 
alternative repair facilities at which reimbursable repairs may be 
performed, including an explanation of how to arrange for service at 
those facilities; and
    (3) Other provisions assuring appropriate reimbursement that are 
consistent with those set forth in Sec.573.13, including, but not 
limited to, provisions regarding the procedures and needed documentation 
for making a claim for reimbursement, the amount of costs to be 
reimbursed, the office to which claims for reimbursement shall be 
submitted, the requirements on manufacturers for acting on claims for 
reimbursement, and the methods by which owners can obtain information 
about the program.

[[Page 187]]

    (g) In response to a manufacturer's request, the Administrator may 
authorize a manufacturer to terminate its accelerated remedy program if 
the Administrator concludes that the manufacturer can meet all future 
demands for the remedy through its own sources in a prompt manner. If 
required by the Administrator, the manufacturer shall provide notice of 
the termination of the program to all owners of unremedied vehicles and 
equipment at least 30 days in advance of the termination date, in a form 
approved by the Administrator.
    (h) Each manufacturer shall implement any accelerated remedy program 
required by the Administrator according to the terms of that program.

[67 FR 72392, Dec. 5, 2002]



Sec.573.15  Public availability of motor vehicle recall information.

    (a) General--Manufacturers that have manufactured for sale, sold, 
offered for sale, introduced or delivered for introduction in interstate 
commerce, or imported into the United States 25,000 or more light 
vehicles or 5,000 or more motorcycles in the current calendar year or 
the prior calendar year shall make motor vehicle safety recall 
information applicable to the vehicles they manufactured available to 
the public on the Internet. The information shall be in a format that is 
searchable by vehicle make and model and vehicle identification number 
(VIN), that preserves consumer privacy, and that includes information 
about each recall that has not been completed for each vehicle.
    (b) Specific requirements--The system that manufacturers use to 
provide the information as specified in paragraph (a) of this section 
must also meet the following requirements:
    (1) Be free of charge and not require users to register or submit 
information, other than a make, model, and a VIN, in order to obtain 
information on recalls;
    (2) Have a hyperlink (Internet link) to it conspicuously placed on 
the manufacturer's main United States' Web page;
    (3) Not include sales or marketing messages with the page for 
entering a make, model, and VIN, or with the page where the results are 
displayed;
    (4) Allow users to search a vehicle's recall remedy status, and 
report that a recall has not been completed on that vehicle, as soon as 
possible and no later than the date when the manufacturer includes that 
vehicle on its list compiled for purposes of 49 CFR 573.8(a);
    (5) Ensure safety recalls subject to paragraph (b)(4) of this 
section are conspicuously placed first, before any other information 
that is displayed;
    (6) For vehicles that have been identified as covered by a safety 
recall, but for which the recall remedy is not yet available, state that 
the vehicle is covered by the safety recall and that the remedy is not 
yet available;
    (7) Be updated at least once every seven (7) calendar days. The date 
of the last update must display on both the page for entering the make, 
model, and VIN to search for recall completion information and the 
results page;
    (8) Where the search results in identification of a recall that has 
not been completed, state the recall campaign number NHTSA assigned to 
the matter; state the date the defect or noncompliance was reported 
pursuant to Part 573; provide a brief description of the safety defect 
or noncompliance, including the risk to safety, identified in the 
manufacturer's information report or owner notification letter filed 
pursuant to this part; and describe the remedy program;
    (9) At a minimum, include recall completion information for each 
vehicle covered by any safety recall for which the owner notification 
campaign started at any time within the previous fifteen (15) calendar 
years;
    (10) State the earliest date for which recall completion information 
is available, either on the search page or on the results page, and 
provide information for all owner notification campaigns after that 
date;
    (11) Instruct the user to contact the manufacturer if the user has 
questions or wishes to question the accuracy of any information, and 
provide a hyperlink or other contact information for doing so;
    (12) Ensure, through adherence with technical specifications that 
NHTSA makes available through a secure area of its Web site http://
www.safercar.gov/Vehicle + Manufacturers/RecallsPortal,

[[Page 188]]

the secure electronic transfer of the recall information and data 
required to be made publicly available by this section, to NHTSA for its 
use in displaying that information and data on its Web sites or other 
public portals.

[78 FR 51421, Aug. 20, 2013, as amended at 79 FR 43677, July 28, 2014]



Sec.573.16  Reporting bankruptcy petition.

    Each manufacturer that files a bankruptcy petition, or is the 
subject of an involuntary petition for which relief has been ordered, 
pursuant to Title 11 of the United States Code, 11 U.S.C. 101 et seq., 
shall provide NHTSA a report as specified below.
    (a) The name of the court, the docket number, and the name, address 
and telephone number of the manufacturer's legal representative;
    (b) A copy of the bankruptcy petition;
    (c) A list of the recalls for which the manufacturer filed a 
``Defect and noncompliance information report'' with NHTSA pursuant to 
49 CFR 573.6; and
    (d) The information specified in 49 CFR 573.7(b) for each recall 
listed pursuant to paragraph (c) of this section.
    (e) Each report pursuant to this section must be received by NHTSA 
not more than 5 working days after the date the petition is filed in the 
United States Bankruptcy Court. Reports shall be addressed to the 
Associate Administrator for Enforcement, National Highway Traffic Safety 
Administration, Attention: Recall Management Division (NVS-215), 1200 
New Jersey Ave. SE., Washington, DC 20590, or submitted as an attachment 
to an email message to [email protected] in a portable document format 
(.pdf).

[78 FR 51422, Aug. 20, 2013]



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 How to obtain a plant code.
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: 49 U.S.C. 322, 30111, 30115, 30117, and 30166; delegation 
of authority at 49 CFR 1.95.

    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 Sec. Sec.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

[[Page 189]]

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 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.

(Authority: 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.

(Authority: 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]

[[Page 190]]



Sec.574.5  Tire identification requirements.

    (a) Tire identification number (TIN) labeling requirement--(1) New 
tires. Each new tire manufacturer must conspicuously label on one 
sidewall of each tire it manufactures, except 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 TIN 
consisting of 13 symbols and containing the information set forth in 
paragraphs (b)(1) through (b)(3) of this section. NOTE: The Federal 
Motor Vehicle Safety Standards may have more specific TIN marking 
requirements for some tires. See 49 CFR part 571.
    (2) Retreaded tires. Each tire retreader must conspicuously label at 
least one sidewall of each tire it retreads by permanently molding or 
branding into or onto the sidewall, in the manner and location specified 
by Figure 2, a TIN consisting of seven symbols and containing the 
information set forth in paragraphs (b)(1) and (b)(3) of this section.
    (3) Non-pneumatic tires and non-pneumatic tire assemblies. Each 
manufacturer of a non-pneumatic tire or non-pneumatic tire assembly must 
permanently mold, stamp, or otherwise permanently mark into or onto at 
least one side of the non-pneumatic tire or non-pneumatic tire assembly 
a TIN consisting of 13 symbols and containing the information set forth 
in paragraphs (b)(1) through (b)(3) of this section.
    (4) Tires for mileage-contract purchasers. Manufacturers or 
retreaders of tires exclusively for mileage-contract purchasers may, 
instead of meeting any other requirements of this section, permanently 
mold into or onto the tire sidewall in lettering at least 6 mm (0.25 
inch) high the phrase ``for mileage contract use only''.
    (5) Optional phase-out of two-symbol plant code. NHTSA will assign 
to tire manufacturers who were previously assigned a plant code 
consisting of two symbols a new three-symbol plant code to replace each 
two-symbol plant code. A manufacturer may continue to use a previously 
assigned two-symbol plant code until April 13, 2025. Manufacturers who 
use a two-symbol plant code must comply with paragraph (g) of this 
section in lieu of the requirements in paragraph (b) of this section. 
Retreaders may also optionally comply with paragraph (g) of this section 
in lieu of paragraph (b) of this section until April 13, 2025.
    (b) TIN content requirements--(1) Plant code. The plant code, 
consisting of three symbols, must be the first group of the TIN. The 
plant code represents the identity of the new tire manufacturer or 
retreader. The plant code is assigned to the manufacturer or retreader 
by NHTSA upon request. See Sec.574.6.
    (2) Manufacturer's code. The manufacturer's code, consisting of six 
symbols, is the second group of the TIN for all new tires, but it cannot 
be used for retreaded tires. The manufacturer's code must be located 
between the plant code and the date code as shown in Figure 1. For new 
tires, the manufacturer's code may be used as a descriptive code for the 
purpose of identifying significant characteristics of the tire or to 
identify the brand name owner. For a new non-pneumatic tire or a non-
pneumatic tire assembly, the manufacturer's code must identify the non-
pneumatic tire identification code. Each manufacturer must maintain a 
detailed record of each manufacturer's code it uses with the 
corresponding tire size, tire characteristic, brand name owner, and non-
pneumatic tire identification code as applicable and their respective 
meanings, which it must provide to NHTSA upon request.
    (3) Date code. The date code, consisting of four numerical symbols, 
is the final group. The date code must identify the week and year of 
manufacture. The first and second symbols of the date code must identify 
the week of the year by using ``01'' for the first full calendar week in 
each year, ``02'' for the second full calendar week, and so on. The 
calendar week runs from Sunday through the following Saturday. The final 
week of each year may include no more than six days of the following 
year. The third and fourth symbols of the date code must identify the 
last two digits of the year of manufacture. For example, 0109 means the 
tire was manufactured in the first full calendar week of 2009, or the 
week beginning on Sunday, January 4, 2009, and

[[Page 191]]

ending on Saturday, January 10, 2009. The date code must be positioned 
as shown in Figures 1 or 2 for new tires and retreaded tires, 
respectively.
    (c) Retreaded tire mark. The symbol ``R'' must be used to identify 
retreaded tires, and must be marked at the time of TIN marking in a 
location specified in Figure 2. The ``R'' is not part of the TIN.
    (d) Method of marking. (1) At the option of the manufacturer or 
retreader, the information contained in paragraph (b)(3) of this section 
may, instead of being permanently molded, be laser etched into or onto 
the sidewall in the location specified in Figures 1 or 2, respectively, 
during the manufacturing process of the tire and not later than 24 hours 
after the tire is removed from the mold.
    (2) The labeling for a non-pneumatic tire or a non-pneumatic tire 
assembly must 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).
    (e) The DOT symbol. (1) The DOT symbol constitutes a certification 
that the marked tire conforms to an applicable Federal Motor Vehicle 
Safety Standard.
    (2) If required, a manufacturer or retreader must place the DOT 
symbol as shown and positioned relative to the TIN in Figure 1 for new 
tires and as shown in Figure 2 for retreaded tires.
    (3) The DOT symbol must not appear on tires to which no Federal 
Motor Vehicle Safety Standard is applicable, except that retreaders of 
tires for use on motor vehicles other than passenger cars may, prior to 
retreading, remove the DOT symbol from the sidewall or allow it to 
remain on the sidewall, at the retreader's option.
    (f) Authorized symbols. The only symbols that manufacturers and 
retreaders are allowed to use in the tire identification number 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, and 0.
    (g) Old TIN content requirement. The following requirements are 
applicable to tire manufacturers who were previously assigned two-symbol 
plant codes by NHTSA and to retreaders. A new tire manufacturer who 
continues to use a previously assigned two-symbol plant code in place of 
a new three-symbol plant code and a retreader may optionally comply with 
this paragraph instead of paragraph (b) of this section until April 13, 
2025.
    (1) First grouping. The plant code, consisting of two symbols, must 
be the first group of the TIN. The plant code represents the identity of 
the new tire manufacturer and was previously assigned to the 
manufacturer by NHTSA.
    (2) Second grouping. For new tires, the second group, consisting of 
no more than two symbols, must be used to identify the tire size. For a 
non-pneumatic tire or non-pneumatic tire assembly, the second group, 
consisting of no more than two symbols, must be used to identify the 
non-pneumatic tire identification code. For retreaded tires, the second 
group, consisting of no more than two symbols, must 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 must maintain a record of each symbol used, with the 
corresponding matrix or tire size, which it must provide to NHTSA upon 
request.
    (3) 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 must be to 
identify the brand name owner. Each manufacturer or retreader who uses 
the third grouping must maintain a detailed record of any descriptive 
brand name owner code used, which it must provide to NHTSA upon request.
    (4) Fourth grouping. The date code, consisting of four numerical 
symbols, is the final group. The date code must identify the week and 
year of manufacture. The first and second symbols of the date code must 
identify the week of

[[Page 192]]

the year by using ``01'' for the first full calendar week in each year, 
``02'' for the second full calendar week, and so on. The calendar week 
runs from Sunday through the following Saturday. The final week of each 
year may include no more than six days of the following year. The third 
and fourth symbols of the date code must identify the last two digits of 
the year of manufacture. For example, 0109 means the tire was 
manufactured in the first full calendar week of 2009, or the week 
beginning on Sunday, January 4, 2009, and ending on Saturday, January 
10, 2009. The date code must be positioned as shown in Figures 1 or 2 
for new tires and retreaded tires, respectively.

[[Page 193]]

[GRAPHIC] [TIFF OMITTED] TR13AP15.004


[[Page 194]]


[GRAPHIC] [TIFF OMITTED] TR13AP15.005


[80 FR 19560, Apr. 13, 2015]



Sec.574.6  How to obtain a plant code.

    To obtain a plant code required by Sec.574.5(b)(1), each 
manufacturer of new

[[Page 195]]

or retreaded pneumatic tires, non-pneumatic tires, or non-pneumatic tire 
assemblies must apply in writing to the Office of Vehicle Safety 
Compliance, National Highway Traffic Safety Administration, 1200 New 
Jersey Ave. 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 name, or other identifying designation, of the corporate 
owner, if applicable, of each plant;
    (d) The email addresses, phone numbers, and fax numbers for each 
person or corporation listed, including the main office; and
    (e) 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.
    Note to Sec.574,6: Additional requirements for new tire 
manufacturers may be applicable. See 49 CFR parts 551 and 566.

[80 FR 19560, Apr. 13, 2015]



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. Each form shall:
    (i) Have the following physical characteristics:
    (A) Be rectangular;
    (B) Be not less than 3\1/2\ inches high, 5 inches long, and 0.007 
inches thick;
    (C) Be not more than 4\1/4\ inches high, 6 inches long, and 0.016 
inch thick.
    (ii) On the address side of the form, be addressed with the name and 
address of the manufacturer or its designee, and include, in the upper 
right hand corner, the statement ``Affix a postcard stamp.''
    (iii) On the other side of the form:
    (A) Include the tire manufacturer's name, unless it appears on the 
address side of the form;
    (B) Include a statement explaining the purpose of the form and how a 
consumer may register tires. The statement shall:
    (1) Include the heading ``IMPORTANT''.
    (2) Include the sentence: ``In case of a recall, we can reach you 
only if we have your name and address.''
    (3) Indicate that sending in the card will add a person to the 
manufacturer's recall list.
    (4) A tire manufacturer may voluntarily provide means for tire 
registration via the Internet, by telephone or other electronic means. 
If a tire manufacturer voluntarily provides a Web site or other means by 
which its tires can be registered, it may (but is not required to) 
include a sentence listing one or more such means, beginning with the 
phrase ``Instead of mailing this form, you can * * *.'' Example: Instead 
of mailing this form, you can register online at [insert tire 
manufacturer's registration Web site address].
    (5) Include the sentence: ``Do it today.''
    (C) Include space for recording tire identification numbers for six 
tires.
    (D) Use shading to distinguish between areas of the form to be 
filled in by sellers and customers.
    (1) Include the statement: ``Shaded areas must be filled in by 
seller.''
    (2) The areas of the form for recording tire identification numbers 
and information about the seller of the tires must be shaded.
    (3) The area of the form for recording the customer name and address 
must not be shaded.
    (E) Include, in the top right corner, the phrase ``OMB Control No. 
2127-0050''.

[[Page 196]]

    (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 must contain space for recording the information 
specified in paragraphs (a)(4)(i) through (a)(4)(iii) of this section. 
Each form must include:
    (A) A statement indicating where the form should be returned, 
including the name and mailing address of the manufacturer or its 
designee.
    (B) The tire manufacturers' logo or other identification, if the 
manufacturer is not identified as part of the statement indicating where 
the form should be returned.
    (C) The statement: ``IMPORTANT: FEDERAL LAW REQUIRES TIRE 
IDENTIFICATION NUMBERS MUST BE REGISTERED''.
    (D) In the top right corner, the phrase ``OMB Control No. 2127-
0050''.
    (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 five years from the date on which the information is recorded 
by the manufacturer or its designee.
    (e) Tire manufacturers may voluntarily provide means for tire 
registration via the Internet, by telephone or other electronic means.
    (f) Each tire manufacturer shall meet the requirements of paragraphs 
(b), (c) and (d) of this section with respect to tire registration 
information submitted to it or its designee by any means authorized by 
the manufacturer in addition to the use of registration forms.

(Authority: 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; 64 FR 36815, July 8, 1999; 67 FR 45872, July 
10, 2002; 71 FR 39233, July 12, 2006; 73 FR 72368, Nov. 28, 2008]



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 comply with paragraph 
(a)(1)(i), (a)(1)(ii) or (a)(1)(iii) of this section:
    (i) At the time of sale or lease of the tire, provide each tire 
purchaser with a paper tire registration form on which the distributor 
or dealer has recorded the following information:
    (A) The entire tire identification number of the tire(s) sold or 
leased to the tire purchaser, and
    (B) The distributor's or dealer's name and street address. In lieu 
of the street address, and if one is available, the distributor or 
dealer's e-mail address or

[[Page 197]]

Web site may be recorded. Other means of identifying the distributor or 
dealer known to the manufacturer may also be used.
    (ii) Record the following information on a paper tire registration 
form and return it to the tire manufacturer, or its designee, on behalf 
of the tire purchaser, at no charge to the tire purchaser and within 30 
days of the date of sale or lease:
    (A) The purchaser's name and address,
    (B) The entire tire identification number of the tire(s) sold or 
leased to the tire purchaser, and
    (C) The distributor's or dealer's name and street address. In lieu 
of the street address, and if one is available, the distributor or 
dealer's e-mail address or Web site may be recorded. Other means of 
identifying the distributor or dealer known to the manufacturer may also 
be used.
    (iii) Electronically transmit the following information on the tire 
registration form by any means listed on the form by the tire 
manufacturer, or by such other means as may be authorized by the tire 
manufacturer, to the tire manufacturer or its designee, using secure 
means (e.g., https on the Web), at no charge to the tire purchaser and 
within 30 days of the date of sale or lease:
    (A) The purchaser's name and address,
    (B) The entire tire identification number of the tire(s) sold or 
leased to the tire purchaser, and
    (C) The distributor's or dealer's name and street address. In lieu 
of the street address, and if one is available, the distributor or 
dealer's e-mail address or Web site may be recorded. Other means of 
identifying the distributor or dealer known to the manufacturer may also 
be used.
    (2) Each independent distributor or dealer that complies with 
paragraph (a)(1)(i) or (ii) of this section shall use either the tire 
registration forms provided by the tire manufacturers pursuant to Sec.
574.7(a) or registration forms obtained from another source. Paper forms 
obtained from other sources must comply with the requirements specified 
in Sec.574.7(a) for forms provided by tire manufacturers to 
independent distributors and dealers.
    (3) Multiple tire sales or leases by the same tire purchaser may be 
recorded on a single paper registration form or in a single Web site 
transaction.
    (4) Each independent distributor or dealer that is complying with 
paragraph (a)(1)(iii) with respect to a sale or lease shall include a 
statement to that effect on the invoice for that sale or lease and 
provide the invoice to the tire purchaser.
    (b) Other distributors and dealers.
    (1) Each distributor and each dealer, other than an independent 
distributor or dealer, selling new tires to tire purchasers:
    (i) shall submit, using paper registration forms or, if authorized 
by the tire manufacturer, secure electronic means, the information 
specified in Sec.574.7(a)(4) to the manufacturer of the tires sold, or 
to the manufacturer's designee.
    (ii) shall submit the information specified in Sec.574.7(a)(4) to 
the tire manufacturer or the manufacturer's designee, not less often 
than every 30 days. A distributor or dealer selling fewer than 40 tires 
of all makes, types and sizes during a 30 day period may wait until a 
total of 40 new tires is sold. In no event may more than six months 
elapse before the Sec.574.7(a)(4) information is forwarded 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 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 
49 U.S.C. 30118, Notification of defects and noncompliance.

[73 FR 72368, Nov. 28, 2008]



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

[[Page 198]]

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.

(Authority: 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 resale of 
each vehicle equipped with such tires. These records shall be maintained 
for a period of not less than 5 years from the date of sale of the 
vehicle to the first purchaser for purposes other than resale.

(Authority: 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, as amended at 67 FR 45872, July 10, 2002]



PART 575_CONSUMER INFORMATION--Table of Contents



   Subpart A_Regulations Issued Under Section 112(d) of the National 
              Traffic and Motor Vehicle Safety Act; 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_Regulations; Consumer Information Items

575.101-575.102 [Reserved]
575.103 Truck-camper loading.
575.104 Uniform tire quality grading standards.
575.105 Vehicle rollover.
575.106 Tire fuel efficiency consumer information program.

    Subpart C_Transportation Recall Enhancement, Accountability, and 
                 Documentation Act; Consumer Information

575.201 Child restraint performance.

 Subpart D_Safe, Accountable, Flexible, Efficient Transportation Equity 
       Act: A Legacy for Users (SAFETEA	LU); Consumer Information

575.301 Vehicle labeling of safety rating information (applicable unless 
          a vehicle is subject to Sec.575.302).
575.302 Vehicle labeling of safety rating information (compliance 
          required for model year 2012 and later vehicles manufactured 
          on or after January 31, 2012).

  Subpart E_Energy Independence and Security Act; Consumer Information

575.401 Vehicle labeling of fuel economy, greenhouse gas, and other 
          pollutant emissions information.

    Authority: 49 U.S.C. 32302, 32304A, 30111, 30115, 30117, 30123, 
30166, 30181, 30182, 30183, and 32908, Pub. L. 104-414, 114 Stat. 1800, 
Pub. L. 109-59, 119 Stat. 1144, Pub. L. 110-140, 121 Stat. 1492, 15 
U.S.C. 1232(g); delegation of authority at 49 CFR 1.95.



   Subpart A_Regulations Issued Under Section 112(d) of the National 
              Traffic and Motor Vehicle Safety Act; General

    Source: 35 FR 6867, Apr. 30, 1970, unless otherwise noted.



Sec.575.1  Scope.

    This part contains National Highway Traffic Safety Administration 
regulations relating to consumer information.

[75 FR 15944, Mar. 30, 2010]

[[Page 199]]



Sec.575.2  Definitions.

    (a) Statutory definitions. (1) All terms used in this part, subject 
to paragraph (a)(2) of this section, that are defined in 49 U.S.C. 
30102, are used as defined therein.
    (2) All terms used in Subpart D of this part that are defined in 15 
U.S.C. 1231, 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 in the Standards without regard to the 
applicability of a standard in which a definition is contained.
    (c) Definitions used in this part.
    Owners manual means the document which contains the manufacturers 
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 ASTM E 274 (incorporated by reference, see Sec.575.3) at 40 miles 
per hour, omitting water delivery as specified in paragraph 7.1 of ASTM 
E 274 (incorporated by reference, see Sec.575.3).

[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; 64 FR 27924, May 
24, 1999; 75 FR 15944, Mar. 30, 2010]



Sec.575.3  Matter incorporated by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the National Highway Traffic Safety 
Administration (NHTSA) must publish notice of change in the Federal 
Register and the material must be available to the public. All approved 
material is available for inspection at the NHTSA Technical Information 
Services Reading Room (http://www.nhtsa.dot.gov/cars/problems/trd/), 
1200 New Jersey Avenue, SE., Washington, DC 20590 (888-327-4236), and at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to: http://www.archives.gov/federal-register/cfr/ibr-locations.html. All 
approved material is also available from the sources listed below. If 
you experience difficulty obtaining the standards referenced below, 
contact NHTSA's Office of Rulemaking, 1200 New Jersey Avenue, SE., 
Washington, DC 20590, phone number: (202) 366-0846.
    (b) International Organization for Standardization (ISO), 1, ch. de 
la Voie-Creuse, CP 56, CH-1211 Geneva 20, Switzerland, + 41 22 749 01 
11, http://www.iso.org/iso/home.htm. All ISO materials are also 
available from the U.S. ISO member, American National Standards 
Institute (ANSI), 25 West 43rd Street, Fourth Floor, New York, NY 10036-
7417, 212-642-4900, http://www.ansi.org/.
    (1) International Organization for Standardization (ISO), ISO 
28580:2009(E) (``ISO 28580''), ``Passenger car, truck and bus tyres--
Methods of measuring rolling resistance--Single point test and 
correlation of measurement results,'' First edition (July 1, 2009), IBR 
approved for Sec.575.106.
    (2) [Reserved]
    (c) American Society for Testing and Materials (ASTM), 100 Barr 
Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959, 610-832-
9500, http://www.astm.org/.
    (1) ASTM E 501-08 (``ASTM E 501''), ``Standard Specification for 
Standard Rib Tire for Pavement Skid-Resistance Tests'' (June 2008), IBR 
approved for Sec.575.104 and Sec.575.106.
    (2) ASTM E 1136-93 (Reapproved 2003) (``ASTM E 1136''), ``Standard 
Specification for a Radial Standard Reference Test Tire'' (July 1993), 
IBR approved for Sec.575.104.
    (3) ASTM E 1337-90 (Reapproved 2002) (``ASTM E 1337''), ``Standard 
Test Method for Determining Longitudinal Peak Braking Coefficient of 
Paved Surfaces Using a Standard Reference Test Tire'' (April 1990), IBR 
approved for Sec.575.106.
    (d) The following standards are not available from the original 
publisher or a standards reseller. As indicated in paragraph (a) of this 
section, the standards are available for inspection at the NHTSA 
Technical Information Services Reading Room (http://

[[Page 200]]

www.nhtsa.dot.gov/cars/problems/trd/), 1200 New Jersey Avenue, SE., 
Washington, DC 20590 (888-327-4236), and at NARA. For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal-register/cfr/ibr-locations.html. If you 
experience difficulty obtaining the standards referenced below, contact 
NHTSA's Office of Rulemaking, 1200 New Jersey Avenue, SE., Washington, 
DC 20590, phone number (202) 366-0846.
    (1) ASTM E 274-79 (``ASTM E 274''), ``Standard Test Method for Skid 
Resistance of Paved Surfaces Using a Full-Scale Tire'' (February 1980), 
IBR approved for Sec.575.104.
    (2) ASTM F 377-74 (``ASTM F 377''), ``Standard Method for 
Calibration of Braking Force for Testing of Pneumatic Tires'' (March 
1974), IBR approved for Sec.575.104.

[75 FR 15944, Mar. 30, 2010, as amended at 76 FR 79121, Dec. 21, 2011]



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 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 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 the Uniform Tire Quality Grading information 
required by Sec.575.104(d)(1)(iii) in the owner's manual of each 
vehicle it produces. The vehicle manufacturer shall also provide to the 
purchaser, in writing and in the English language, the information 
specified in Sec.575.103 of this part that is applicable to that 
vehicle. The information provided with a vehicle may contain more than 
one table, but the document must either:
    (i) Clearly and unconditionally indicate which of the tables apply 
to the vehicle with which it is provided, or
    (ii) 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 in 
paragraph (a)(1)(ii) of this section, the vehicle certification label 
shall include such specific information.

    Example 1. Manufacturer X furnishes a document containing several 
tables that 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.'' That 
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. Regular cab, 135 in. (3,430 mm) wheel base--Table 1.
Model P. Club cab, 142 in. (3,607 mm) wheel base--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:


[[Page 201]]


    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 call the Vehicle Safety Hotline toll-free 
at 1-888-327-4236 (TTY: 1-800-424-9153); go to http://www.safercar.gov; 
or write to: Administrator, NHTSA, 400 Seventh Street, SW., Washington, 
DC 20590. You can also obtain other information about motor vehicle 
safety from http://www.safercar.gov.

    (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.''
    (3) For vehicles manufactured prior to September 1, 2000, at the 
time a motor vehicle is delivered to the first purchaser for purposes 
other than resale, the manufacturer of that vehicle shall provide the 
purchaser, in writing and in the English language, the information 
specified in Sec. Sec.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 
clearly and unconditionally indicate which of the tables apply to the 
vehicle with which it is provided, or 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.

    (4) When a motor vehicle that has a GVWR of 10,000 pounds or less, 
except a motorcycle or low speed vehicle, and that is manufactured on or 
after September 1, 2005, 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, a discussion of the items specified in paragraphs (a)(4)(i) 
through (v) of this section in the owner's manual, or, if there is no 
owner's manual, in a document:
    (i) Tire labeling, including a description and explanation of each 
marking on the tires provided with the vehicle, and information about 
the location of the Tire Identification Number (TIN);
    (ii) Recommended tire inflation pressure, including a description 
and explanation of:
    (A) Recommended cold tire inflation pressure,
    (B) The vehicle placard and tire inflation pressure label specified 
in Federal Motor Vehicle Safety Standard No. 110 and their location in 
the vehicle,
    (C) Adverse safety consequences of underinflation (including tire 
failure), and
    (D) Measuring and adjusting air pressure to achieve proper 
inflation;
    (iii) Glossary of tire terminology, including ``cold tire 
pressure,'' ``maximum inflation pressure,'' and ``recommended inflation 
pressure,'' and all non-technical terms defined in S3 of FMVSS Nos. 110 
& 139;
    (iv) Tire care, including maintenance and safety practices;
    (v) Vehicle load limits, including a description and explanation of:
    (A) Locating and understanding load limit information, total load 
capacity, seating capacity, towing capacity, and cargo capacity,

[[Page 202]]

    (B) Calculating total and cargo load capacities with varying seating 
configurations including quantitative examples showing/illustrating how 
the vehicle's cargo and luggage capacity decreases as the combined 
number and size of occupants increases,
    (C) Determining compatibility of tire and vehicle load capabilities,
    (D) Adverse safety consequences of overloading on handling and 
stopping and on tires.
    (5) When a motor vehicle that has a GVWR of 10,000 pounds or less, 
except a motorcycle or low speed vehicle, and that is manufactured on or 
after September 1, 2005, 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 verbatim statement, as applicable, in the owner's 
manual, or, if there is no owner's manual, in a document:
    (i) For vehicles except trailers: ``Steps for Determining Correct 
Load Limit--
    (1) Locate the statement ``The combined weight of occupants and 
cargo should never exceed XXX kg or XXX lbs.'' on your vehicle's 
placard.
    (2) Determine the combined weight of the driver and passengers that 
will be riding in your vehicle.
    (3) Subtract the combined weight of the driver and passengers from 
XXX kg or XXX lbs.
    (4) The resulting figure equals the available amount of cargo and 
luggage load capacity. For example, if the ``XXX'' amount equals 1400 
lbs. and there will be five 150 lb passengers in your vehicle, the 
amount of available cargo and luggage load capacity is 650 lbs. (1400-
750 (5 x 150) = 650 lbs.)
    (5) Determine the combined weight of luggage and cargo being loaded 
on the vehicle. That weight may not safely exceed the available cargo 
and luggage load capacity calculated in Step 4.
    (6) If your vehicle will be towing a trailer, load from your trailer 
will be transferred to your vehicle. Consult this manual to determine 
how this reduces the available cargo and luggage load capacity of your 
vehicle.''
    (ii) For trailers: ``Steps for Determining Correct Load Limit--
    (1) Locate the statement ``The weight of cargo should never exceed 
XXX kg or XXX lbs.'' on your vehicle's placard.
    (2) This figure equals the available amount of cargo and luggage 
load capacity.''
    (3) Determine the combined weight of luggage and cargo being loaded 
on the vehicle. That weight may not safely exceed the available cargo 
and luggage load capacity.
    (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 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 2 copies of the information

[[Page 203]]

specified in subpart B of this part that is applicable to the vehicles 
offered for sale, at least 90 days before information on such vehicles 
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 2 copies of the revised information reflecting the performance 
changes, at least 30 days before information on such vehicles is first 
provided to prospective purchasers pursuant to paragraph (c) of this 
section.
    (2)(i) In the case of Sec.575.104, each brand name owner of tires, 
and each manufacturer of tires for which there is no brand name owner 
shall submit to the Administrator 2 copies of the information specified 
in Subpart B of this part that is applicable to the 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.
    (ii) In the case of all other sections of Subpart B of this Part 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 2 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; 64 FR 27924, May 24, 1999; 67 FR 
69631, Nov. 18, 2002; 69 FR 31320, June 3, 2004; 70 FR 35557, June 21, 
2005]



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_Regulations; Consumer Information Items



Sec. 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 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

[[Page 204]]

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 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

[[Page 205]]

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) 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.

                  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.

[[Page 206]]

                       Figure 1. Label for Camper
[GRAPHIC] [TIFF OMITTED] TC01AU91.181


[[Page 207]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.182


[[Page 208]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.183


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

[[Page 209]]



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 12 inches or less, 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 preceding 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 210]]

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 the information required by Sec.575.6(c) to be 
furnished to prospective purchasers of tires, 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 
explanation for each performance area specified in Figure 2. The 
information need not be in the same format as in Figure 2. 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) Each manufacturer of motor vehicles equipped with passenger 
car tires shall include in the owner's manual of each such vehicle a 
list of all possible grades for traction and temperature resistance and 
restate verbatim the explanation for each performance area specified in 
Figure 2, Part II. The information need not be in the exact format of 
Figure 2, Part II, 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, as follows:

                      Uniform Tire Quality Grading

    Quality grades can be found where applicable on the tire sidewall 
between tread shoulder and maximum section width. For example:

                 Treadwear 200 Traction AA Temperature A

    (iv) 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 to this section. The information need not be 
in the format of Figure 2 to this section, 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

[[Page 211]]

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 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[mu] 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[mu] 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 mileages obtained to account for environmental 
variations on the basis of the performance of the course monitoring 
tires run in the same convoy.
    (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, light 
trucks, or MPVs, each with a GVWR of 10,000 pounds or less.
    (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

[[Page 212]]

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 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

[[Page 213]]

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:
[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 dividing the 
base course wear rate for the course monitoring tires (see Note to this 
paragraph) by the average wear rate for the four course monitoring 
tires.

    Note to paragraph (e)(2)(ix)(C): The base wear rate for the course 
monitoring tires will be obtained by the government by running the tire 
specified in ASTM E 1136 (incorporated by reference, see Sec.575.3) 
course monitoring tires for 6,400 miles over the San Angelo, Texas, 
UTQGS test route 4 times per year, then using the average wear rate from 
the last 4 quarterly CMT tests for the base course wear rate 
calculation. Each new base course wear rate will be published in the 
Federal Register. The course monitoring tires used in a test convoy must 
be no more than one year old at the commencement of the test and must be 
used within two months after removal from storage.

    (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] TR07SE99.000

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 grade (P) of the NHTSA nominal treadwear value for

[[Page 214]]

each candidate tire by using the following formula:

P = Projected mileage x base course wear raten/402

    Where base course wear raten = new base course wear rate, 
i.e., average treadwear of the last 4 quarterly course monitoring tire 
tests conducted by NHTSA.

    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 0.50 0.10 for the asphalt and 0.35 0.10 
for the concrete. The location of the skid pads is described in appendix 
B to this section.
    (ii) The standard tire is the tire specified in ASTM E 501 
(incorporated by reference, see Sec.575.3).
    (iii) The pavement surface is wetted in accordance with paragraph 
4.7, ``Pavement Wetting System,'' of ASTM E 274 (incorporated by 
reference, see Sec.575.3).
    (iv) The test apparatus is a test trailer built in conformity with 
the specifications in paragraph 4, ``Apparatus,'' of ASTM E 274 
(incorporated by reference, see Sec.575.3). The test apparatus is 
instrumented in accordance with paragraph 4.5 of that method, except 
that the ``wheel load'' in paragraph 4.3 and tire and rim specifications 
in paragraph 4.4 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 F 377 
(incorporated by reference, see Sec.575.3), 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 E 501 
(incorporated by reference, see Sec.575.3).
    (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

[[Page 215]]

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.
    (ix) Compute a candidate tire's adjusted traction coefficient for 
asphalt ([mu]a) by the following formula:

([mu]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 ([mu]c) by the following formula:

[mu]c = Measured candidate tire coefficient for concrete + 
0.35[mu] 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
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 216]]

    (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 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
------------------------------------------------------------------------
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
------------------------------------------------------------------------
                                CT tires
------------------------------------------------------------------------
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 217]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.196

                 Figure 2--[Part I]--DOT QUALITY GRADES

TREADWEAR

TRACTION AA A B C

TEMPERATURE A B C


[[Page 218]]


    (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, and at the option of the manufacturer:
    (A) 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); or
    (B) Proceed south to junction with Frank's Crossing. Reverse route 
at Frank's Crossing and proceed north on Texas 163 to junction with 
Highway 189; Reverse route at junction with Highway 189; proceed south 
on Texas 163 to junction with Frank's Crossing; reverse route at Frank's 
Crossing and proceed north 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 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

[[Page 219]]

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.
    Alternate Route When FM 189 and Texas 163 are Closed. This alternate 
test course route consists of a Modified Southern Loop, the Eastern Loop 
and Northwestern Loop described above, and a Modified Northwestern Loop.
    Modified Southern Loop. The course begins at the intersection (1) of 
Ft. McKavitt Road and Paint Rock Road (FM 388) 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 US 
277 (3). Turn onto US 277 and proceed south through Eldorado and Sonora 
(4), continuing on US 277 approximately 5.5 miles (from traffic light at 
separation of US 277 and Loop 467) to picnic area on right. Reverse 
route at this location and proceed north to junction of Loop 306 and FM 
388 (2).
    Eastern Loop and Northwestern Loop. From junction of Loop Road 306 
and FM 388 (2), complete the Eastern Loop, the Northwestern Loop, and 
then, from junction of Loop Road 306 and FM 388 (2), repeat the Eastern 
Loop.
    Modified Northwestern Loop. Proceed north on Northwestern Loop as 
normal until reaching the intersection of FM 2105 and Texas 208 and turn 
right onto Texas 208. Proceed on Texas 208 until the intersection with 
FM 2034. Turn left onto FM 2034 and continue on FM 2034 to the 
intersection with US 87. Turn left onto US 87. At the intersection of US 
87 and FM 2105 turn left onto FM 2105 and proceed to the intersection 
with US 277. Turn right onto US 277 and proceed to the intersection of 
Loop Road 306 and FM 388 (2).
    Repeat Eastern Loop. Turn left onto FM 388 and repeat the Eastern 
Loop. For convoys that originate at Goodfellow AFB, continue on FM 388 
and proceed to starting point at junction of Ft. McKavitt Road and FM 
388 (1). For convoys that do not originate at Goodfellow AFB, turn left 
onto 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[rarr])
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 220]]

[GRAPHIC] [TIFF OMITTED] TC01AU91.190


[[Page 221]]


[GRAPHIC] [TIFF OMITTED] TC01AU91.191

                     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

[[Page 222]]

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 223]]

[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

                          Appendix D--User Fees

    1. Use of Government Traction Skid Pads: A fee of $125 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 market price of the use of the traction skid pads.
    2. Fee payments shall be by check, draft, money order, or Electronic 
Funds Transfer System made payable to the Treasurer of the United 
States.
    3. The fee set forth in this Appendix continues in effect until 
adjusted by the Administrator of NHTSA. The Administrator reviews the 
fee set forth in this Appendix and, if appropriate, adjusts it by rule 
at least every 2 years.

[43 FR 30549, July 17, 1978]

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

[[Page 224]]



Sec.575.105  Vehicle rollover.

    (a) Purpose and scope. This section requires manufacturers of 
utility vehicles to alert the drivers of those vehicles that they have a 
higher possibility of rollover than other vehicle types and to advise 
them of steps that can be taken to reduce the possibility of rollover 
and/or to reduce the likelihood of injury in a rollover.
    (b) Application. This section applies to utility vehicles.
    (c) Definitions.
    Utility vehicles means 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.
    (d) Required information--(1) Rollover Warning Label. (i) Except as 
provided in paragraph (d)(2) of this section, each vehicle must have a 
label permanently affixed to either side of the sun visor, at the 
manufacturer's option, at the driver's seating position. The label must 
conform in content, form and sequence to the label shown in Figure 1 of 
this section, and must comply with the following requirements:
    (A) The heading area must be yellow, with the text and the alert 
symbol in black.
    (B) The message area must be white with black text.
    (C) The pictograms must be black with a white background.
    (D) The label must be appropriately sized so that it is legible, 
visible and prominent to the driver.
    (ii) Vehicles manufactured on or after September 1, 1999 and before 
September 1, 2000. When the rollover warning label required by paragraph 
(d)(1)(i) of this section and the air bag warning label required by 
paragraph S4.5.1(b) of 49 CFR 571.208 are affixed to the same side of 
the driver side sun visor, either:
    (A) The rollover warning label must be affixed to the right (as 
viewed from the driver's seat) of the air bag warning label and the 
labels may not be contiguous; or
    (B) The pictogram of the air bag warning label must be separated 
from the pictograms of the rollover warning label by text, and
    (1) The labels must be located such that the shortest distance from 
any of the lettering or graphics on the rollover warning label to any of 
the lettering or graphics on the air bag warning label is not less than 
3 cm, or
    (2) If the rollover warning and air bag warning labels are each 
completely surrounded by a continuous solid-lined border, the shortest 
distance from the border of the rollover warning label to the border of 
the air bag warning label is not less than 1 cm.
    (iii) The manufacturer must select the option to which a vehicle is 
certified by the time the manufacturer certifies the vehicle and may not 
thereafter select a different option for that vehicle. If a manufacturer 
chooses to certify compliance with more than one compliance option, the 
vehicle must satisfy the requirements applicable to each of the options 
selected.
    (iv) Vehicles manufactured on or after September 1, 2000. When the 
rollover warning label required by paragraph (d)(1)(i) of this section 
and the air bag warning label required by paragraph S4.5.1(b) of 49 CFR 
571.208 are affixed to the same side of the driver side sun visor the 
pictogram of the air bag warning label must be separated from the 
pictograms of the rollover warning label by text and:
    (A) The labels must be located such that the shortest distance from 
any of the lettering or graphics on the rollover warning label to any of 
the lettering or graphics on the air bag warning label is not less than 
3 cm, or
    (B) If the rollover warning and air bag warning labels are each 
completely surrounded by a continuous solid-lined border, the shortest 
distance from the border of the rollover warning label to the border of 
the air bag warning label must be not less than 1 cm.
    (2) Alternate location for warning label. As an alternative to 
affixing the warning label required by paragraph (d)(1)(i) of this 
section to the driver's sun visor, a manufacturer may permanently affix 
the label to the lower rear corner of the forwardmost driver's side 
window. The label must be legible, visible and prominent to a person 
next to the exterior of the driver's door.
    (3) Rollover Alert Label. If the label required by paragraph (d)(1) 
of this section and affixed to the driver side sun visor is not visible 
when the sun visor

[[Page 225]]

is in the stowed position, an alert label must be permanently affixed to 
that visor so that the label is visible when the visor is in that 
position. The alert label must comply with the following requirements:
    (i) The label must read:

                            ROLLOVER WARNING

                             Flip Visor Over

    (ii) The label must be black with yellow text.
    (iii) The label must be no less than 20 square cm.
    (4) Owner's Manual. The owner's manual must include the following 
statements and discussions:
    (i) The statement ``Utility vehicles have a significantly higher 
rollover rate than other types of vehicles.''
    (ii) A discussion of the vehicle design features which cause this 
type of vehicles to be more likely to rollover (e.g., higher center of 
gravity);
    (iii) A discussion of the driving practices that can reduce the risk 
of a rollover (e.g., avoiding sharp turns at excessive speed); and
    (iv) The statement: ``In a rollover crash, an unbelted person is 
significantly more likely to die than a person wearing a seat belt.''
    (5) Combined Rollover and Air Bag Alert Warning. If the warnings 
required by paragraph (d)(1) of this section and paragraph S4.5.1(b) of 
49 CFR 571.208 to be affixed to the driver side sun visor are not 
visible when the sun visor is in the stowed position, a combined 
rollover and air bag alert label may be permanently affixed to that 
visor in lieu of the alert labels required by paragraph (d)(3) of this 
section and paragraph S4.5.1(c)(2) of 49 CFR 571.208. The combined 
rollover and air bag alert label must be visible when the visor is in 
the stowed position. The combined rollover and air bag alert warning 
must conform in content to the label shown in Figure 2 of this section, 
and must comply with the following requirements:
    (i) The label must read:

AIR BAG AND ROLLOVER WARNINGS
Flip Visor Over

    (ii) The message area must be black with yellow text. The message 
area must be no less than 20 square cm.
    (iii) The pictogram shall be black with a red circle and slash on a 
white background. The pictogram must be not less than 20 mm in diameter.
    (6) At the option of the manufacturer, the requirements in paragraph 
(d)(1)(i) for labels that are permanently affixed to specified parts of 
the vehicle may instead be met by permanent marking and molding of the 
required information.

[[Page 226]]

[GRAPHIC] [TIFF OMITTED] TR09MR99.056


[[Page 227]]


[GRAPHIC] [TIFF OMITTED] TR30AU99.020


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



Sec.575.106  Tire fuel efficiency consumer information program.

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

[[Page 228]]

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.
    Dealer means a person selling and distributing new motor vehicles or 
motor vehicle equipment primarily to purchasers that in good faith 
purchase the vehicle or equipment other than for resale.
    Distributor means a person primarily selling and distributing motor 
vehicles or motor vehicle equipment for resale.
    Lab alignment tires or LATs means the reference tires which the 
reference lab will test to be used to align other rolling resistance 
machines with the reference lab in accordance with the machine alignment 
procedure in ISO 28580 (incorporated by reference, see Sec.575.3), 
section 10.
    Light truck (LT) tire means a tire designated by its manufacturer as 
primarily intended for use on lightweight trucks or multipurpose 
passenger vehicles.
    Manufacturer means a person manufacturing or assembling motor 
vehicles or motor vehicle equipment, or importing motor vehicles or 
motor vehicle equipment for resale. This term includes any parent 
corporation, any subsidiary or affiliate, and any subsidiary or 
affiliate of a parent corporation of such a person.
    Passenger car tire means a tire intended for use on passenger cars, 
multipurpose passenger vehicles, and trucks, that have a gross vehicle 
weight rating (GVWR) of 10,000 pounds or less.
    Reference lab means the laboratory or laboratories that the National 
Highway Traffic Safety Administration designates and which maintains and 
operates a rolling resistance test machine to test LATs for rolling 
resistance so that other testing laboratories may correlate the results 
from its rolling resistance test machine in accordance with the machine 
alignment procedure in ISO 28580 (incorporated by reference, see Sec.
575.3), section 10.
    Replacement passenger car tire means any passenger car tire offered 
for sale to consumers, other than a passenger car tire sold as original 
equipment on a new vehicle.
    Size designation means the alpha-numeric designation assigned by a 
manufacturer that identifies a tire's size. This can include 
identifications of tire class, nominal width, aspect ratio, tire 
construction, and wheel diameter.
    Stock keeping unit or SKU means the alpha-numeric designation 
assigned by a manufacturer to uniquely identify a tire product. This 
term is sometimes referred to as a product code, a product identifier, 
or a part number.
    Tire line means the entire name used by a tire manufacturer to 
designate a tire product including all prefixes and suffixes as they 
appear on the sidewall of a tire.
    Tire retailer means a dealer or distributor of new replacement 
passenger car tires sold for use on passenger cars, multipurpose 
passenger vehicles, and trucks, that have a gross vehicle weight rating 
(GVWR) of 10,000 pounds or less.
    (e) Requirements--(1) Information--(i) Requirements for tire 
manufacturers. Subject to paragraph (e)(1)(iii) of this section, each 
manufacturer of tires, or in the case of tires marketed under a brand 
name, each brand name owner shall provide rating information for each 
tire of which it is the manufacturer or brand name owner in the manner 
set forth in paragraphs (e)(1)(i)(A) through (C) of this section. The 
ratings for each tire shall be only those specified in paragraph (e)(2) 
of this section. For the purposes of this section, each tire of a 
different SKU is to be rated separately. Each tire shall be able to 
achieve the level of performance represented by each rating.
    (A) Ratings. Each tire shall be rated with the words, letters, 
symbols, and figures specified in paragraph (e)(2) of this section.
    (B) Tire label. [Reserved]
    (C) Reporting requirements. The information collection requirements 
contained in this section 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 are awaiting an assigned OMB Control Number.
    (1) Subject to paragraph (e)(1)(iii) of this section, manufacturers 
of tires or, in the case of tires marketed under a brand name, brand 
name owners of

[[Page 229]]

tires subject to this section shall submit to NHTSA, either directly or 
through an agent, the following data for each rated replacement 
passenger car tire:
    (i) Manufacturer or Brand name owner.
    (ii) Tire line.
    (iii) SKU.
    (iv) Tire size.
    (v) Rolling resistance rating, as determined in paragraph (e)(2)(i) 
of this section.
    (vi) Wet traction rating, as determined in paragraph (e)(2)(ii) of 
this section.
    (vii) Treadwear rating, as determined in paragraph (e)(2)(iii) of 
this section.
    (2) Format of data submitted. The information required under 
paragraph (e)(1)(i)(C)(1) of this section may be submitted to NHTSA by 
mail, by facsimile, or by email. Submissions by mail must be addressed 
to the Associate Administrator for Rulemaking, National Highway Traffic 
Safety Administration, Attention: Consumer Standards Division (NVS-131), 
1200 New Jersey Avenue SE., Washington, DC 20590. Submissions by 
facsimile must be addressed to the Associate Administrator for 
Rulemaking and transmitted to (202) 366-7002. Submissions by email must 
be sent to [email protected].
    (3) Exempted tires.
    (i) Each manufacturer of tires or, in the case of tires marketed 
under a brand name, brand name owner of tires subject to this section 
shall submit to NHTSA all tire lines, size designations, and stock 
keeping units for deep tread, winter-type snow tires and limited 
production tires that it manufactures which are exempt from this section 
(Sec.575.106) under paragraph (c) of this section.
    (ii) Where a manufacturer or brand name owner is required to report 
ratings under this section, the information required in paragraph 
(e)(1)(i)(C)(3)(i) of this section may be submitted with the ratings 
information reported in accordance with paragraph (e)(1)(i)(C)(1) of 
this section.
    (iii) Where a tire manufacturer or, in the case of tires marketed 
under a brand name, brand name owner only manufactures tires that are 
exempt from this section under paragraph (c) of this section, that 
manufacturer or brand name owner shall submit a statement listing the 
information specified in paragraph (e)(1)(i)(C)(3)(i) of this section 
and certifying that none of the tires it manufactures are required to be 
rated under this section.
    (4) New ratings information.
    (i) Whenever a tire manufacturer or, in the case of tires marketed 
under a brand name, a brand name owner introduces a new tire for sale, 
the tire manufacturer or brand name owner shall submit either the 
information required under paragraph (e)(1)(i)(C)(1) of this section or 
the information required under paragraph (e)(1)(i)(C)(3) of this section 
for the tire to NHTSA on or before the date 30 calendar days before the 
tire is first introduced for sale.
    (ii) Whenever a tire manufacturer or, in the case of tires marketed 
under a brand name, a brand name owner makes a design change to a tire 
that would result in new or different information required under either 
paragraph (e)(1)(i)(C)(1) or paragraph (e)(1)(i)(C)(3) of this section 
for the tire, the tire manufacturer or brand name owner shall submit the 
new or different information to NHTSA on or before the date 30 calendar 
days before the redesigned tire is first introduced for sale.
    (iii) Whenever a tire manufacturer or, in the case of tires marketed 
under a brand name, a brand name owner receives information that would 
determine new or different information required under either paragraph 
(e)(1)(i)(C)(1) or paragraph (e)(1)(i)(C)(3) of this section for a tire, 
the tire manufacturer or brand name owner shall submit the new or 
different information to NHTSA on or before the date 120 calendar days 
after the receipt of the new information by the tire 26manufacturer or 
brand name owner.
    (5) Voluntary submission of data. Manufacturers of tires or, in the 
case of tires marketed under a brand name, brand name owners of tires 
not subject to this section may submit to NHTSA data meeting the 
requirements of paragraphs (e)(1) and (2) of this section for any tire 
they wish to have included in the database of information available to 
consumers on NHTSA's Web site.

[[Page 230]]

    (ii) Requirements for tire retailers. Subject to paragraph 
(e)(1)(iii) of this section, each tire retailer shall provide rating 
information for each passenger car tire offered for sale in the manner 
set forth in this section.
    (iii) Date for compliance. The requirements of paragraphs (e)(1)(i) 
and (e)(1)(ii) of this section will be implemented as indicated in a 
forthcoming final rule. These dates will be announced in the Federal 
Register.
    (2) Performance--(i) Fuel efficiency. [Reserved]
    (ii) Traction. [Reserved]
    (iii) Treadwear. [Reserved]
    (f) Fuel efficiency rating conditions and procedures--(1) 
Conditions. (i) Measurement of rolling resistance force under the test 
procedure specified in paragraph (f)(2) of this section shall be made 
using either the force or the torque method.
    (ii) The test procedure specified in paragraph (f)(2) of this 
section shall be carried out on an 80-grit roadwheel surface.
    (iii) The machine alignment procedure specified in section 10 of the 
test procedure specified in paragraph (f)(2) of this section shall be 
conducted using pairs of the LATs specified in paragraph (f)(1)(iv) of 
this section, and tested by the reference lab.
    (iv) Lab alignment tires. The LATs to be used in the machine 
alignment procedure in section 10 of the test procedure specified in 
paragraph (f)(2) of this section will be specified in this section in a 
forthcoming final rule.
    (v) Break-in procedure for bias ply tires. Before starting the 
rolling resistance testing under the test procedure specified in 
paragraph (f)(2) of this section on a bias ply replacement passenger car 
tire, the tire shall be broken in by running it for one (1) hour with 
the speed, loading, and inflation pressure as specified in paragraphs 
(f)(1)(v)(A), (f)(1)(v)(B), and (f)(1)(v)(C) of this section. After the 
one hour break-in, allow the tire to cool for two (2) hours and re-
adjust to the required ISO 28580 (incorporated by reference, see Sec.
575.3) test inflation pressure, and verify 10 minutes after the 
adjustment is made. After break-in, the bias ply tire should follow the 
30 minute warm-up procedure of ISO 28580 (incorporated by reference, see 
Sec.575.3).
    (A) Speed. The speed shall be 80 kilometer per hour (kph).
    (B) Loading. The tire loading shall be 80 percent of the maximum 
tire load capacity.
    (C) Inflation pressure. The inflation pressure shall be 210 
kilopascals (kPa) for standard load tires, or 250 kPA for reinforced or 
extra load tires.
    (2) Procedure. The test procedure shall be as specified in ISO 28580 
(incorporated by reference, see Sec.575.3), except that the conditions 
specified in paragraph (f)(1) of this section shall be used.
    (g) Traction rating conditions and procedures. (1) Conditions. Test 
conditions are as specified in Sec.575.104(f)(1), subject to the 
changes in paragraphs (g)(1)(i) through (g)(1)(iii) of this section to 
additionally measure the peak coefficient of friction.
    (i) The sampling rate of the data acquisition is to be no less than 
100 Hertz in accordance with Section 6.6.1.8 of ASTM E 1337 
(incorporated by reference, see Sec.575.3).
    (ii) The rate of brake application shall be sufficient to control 
the time interval between initial brake application and peak 
longitudinal force to be between 0.3 and 0.5 seconds, and shall be 
determined in accordance with Section 6.3.2 of ASTM E 1337 (incorporated 
by reference, see Sec.575.3).
    (iii) The peak coefficient of friction (or peak braking coefficient) 
shall be determined in accordance with Section 12 of ASTM E 1337 
(incorporated by reference, see Sec.575.3) for each dataset.
    (iv) The slide coefficient of friction will be determined in 
accordance with Sec.575.104(f)(2)(iii).
    (2) Procedure. (i) Prepare two standard tires as specified in Sec.
575.104(f)(2)(i).
    (ii) Mount the tires on the test apparatus described in Sec.
575.104(f)(1)(iv) and load each tire to 1,085 pounds.
    (iii) Tow the trailer on the asphalt test surface specified in Sec.
575.104(f)(1)(i) at a speed of 40 mph, lock one trailer wheel, and 
record the slide and peak coefficient of friction on the tire associated 
with that wheel.
    (iv) Repeat the test on the concrete surface, locking the same 
wheel.

[[Page 231]]

    (v) Repeat the tests specified in paragraphs (g)(2)(iii) and (iv) of 
this section for a total of 10 measurements on each test surface.
    (vi) Repeat the procedures specified in paragraphs (g)(2)(iii) 
through (v) of this section, locking the wheel associated with the other 
standard tire.
    (vii) Average the 20 measurements taken on the asphalt surface to 
find the standard tire average peak coefficient of friction for the 
asphalt surface. Average the 20 measurements taken on the concrete 
surface to find the standard tire average peak coefficient of friction 
for the concrete surface. The standard tire average peak coefficient of 
friction so determined may be used in the computation of adjusted peak 
coefficients of friction for more than one candidate tire.
    (viii) Average the 20 measurements taken on the asphalt surface to 
find the standard tire average slide coefficient of friction for the 
asphalt surface. Average the 20 measurements taken on the concrete 
surface to find the standard tire average slide coefficient of friction 
for the concrete surface. The standard tire average slide coefficient of 
friction so determined may be used in the computation of adjusted slide 
coefficients of friction for more than one candidate tire.
    (ix) Prepare two candidate tires of the same SKU in accordance with 
paragraph (g)(2)(i) of this section, mount them on the test apparatus, 
and test one of them according to the procedures of paragraphs 
(g)(2)(ii) through (v) of this section, except load each tire to 85 
percent 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 peak coefficient and adjusted 
slide coefficient of friction within a single three-hour period. Average 
the 10 measurements taken on the asphalt surface to find the candidate 
tire average peak coefficient and average slide coefficient of friction 
for the asphalt surface. Average the 10 measurements taken on the 
concrete surface to find the candidate tire average peak coefficient of 
friction for the concrete surface. Average the 10 measurements taken on 
the concrete surface to find the candidate tire average slide 
coefficient of friction for the concrete surface.
    (x) Repeat the procedures specified in paragraph (g)(2)(viii) of 
this section, using the second candidate tire as the tire being tested.
    (h) Treadwear rating conditions and procedures--(1) Conditions. Test 
conditions are as specified in Sec.575.104(e)(1).
    (2) Procedure. Test procedure is as specified in Sec.
575.104(e)(2).

[75 FR 15944, Mar. 30, 2010, as amended at 76 FR 79121, Dec. 21, 2011]



    Subpart C_Transportation Recall Enhancement, Accountability, and 
                 Documentation Act; Consumer Information



Sec.575.201  Child restraint performance.

    The National Highway Traffic Safety Administration has established a 
program for rating the performance of child restraints. The agency makes 
the information developed under this rating program available through a 
variety of means, including postings on its Web site, http://
www.nhtsa.dot.gov.

[67 FR 67494, Nov. 5, 2002]



 Subpart D_Safe, Accountable, Flexible, Efficient Transportation Equity 
       Act: A Legacy for Users (SAFETEA	LU); Consumer Information

    Source: 71 FR 53585, Sept. 12, 2006, unless otherwise noted.



Sec.575.301  Vehicle labeling of safety rating information 
(applicable unless a vehicle is subject to Sec.575.302).

    (a) Purpose and Scope. The purpose of this section is to aid 
potential purchasers in the selection of new passenger motor vehicles by 
providing them with safety rating information developed by NHTSA in its 
New Car Assessment Program (NCAP) testing. Manufacturers of passenger 
motor vehicles described in paragraph (b) of this

[[Page 232]]

section are required to include this information on the Monroney label. 
Although NHTSA also makes the information available through means such 
as postings at http://www.safercar.gov and http://www.nhtsa.dot.gov, the 
additional Monroney label information is intended to provide consumers 
with relevant information at the point of sale.
    (b) Application. This section applies to automobiles with a GVWR of 
10,000 pounds or less, manufactured on or after September 1, 2007, that 
are required by the Automobile Information Disclosure Act, 15 U.S.C. 
1231-1233, to have price sticker labels (Monroney labels), e.g., 
passenger vehicles, station wagons, passenger vans, and sport utility 
vehicles, except for vehicles that are subject to Sec.575.302. Model 
Year 2012 or later vehicles manufactured prior to January 31, 2012 may 
be labeled according to the provisions of Sec.575.302 instead of this 
section provided the ratings placed on the safety rating label are 
derived from vehicle testing conducted by the National Highway Traffic 
Safety Administration under the enhanced NCAP testing and rating 
program.
    (c) Definitions. (1) Monroney label means the label placed on new 
automobiles with the manufacturer's suggested retail price and other 
consumer information, as specified at 15 U.S.C. 1231-1233.
    (2) Safety rating label means the label with NCAP safety rating 
information, as specified at 15 U.S.C. 1232(g). The safety rating label 
is part of the Monroney label.
    (d) Required Label. (1) Except as specified in paragraph (f) of this 
section, each vehicle must have a safety rating label that is part of 
its Monroney label, meets the requirements specified in paragraph (e) of 
this section, and conforms in content, format and sequence to the sample 
label depicted in Figure 1 of this section. If NHTSA has not provided a 
safety rating for any category of vehicle performance for a vehicle, the 
manufacturer may use the smaller label specified in paragraph (f) of 
this section.
    (2) The label must depict the star ratings for that vehicle as 
reported to the vehicle manufacturer by NHTSA.
    (3) Whenever NHTSA informs a manufacturer in writing of a new safety 
rating for a specified vehicle or the continued applicability of an 
existing safety rating for a new model year, including any safety 
concerns, the manufacturer shall include the new or continued safety 
rating on vehicles manufactured on or after the date 30 calendar days 
after receipt by the manufacturer of the information.
    (4) If, for a vehicle that has an existing safety rating for a 
category, NHTSA informs the manufacturer in writing that it has approved 
an optional NCAP test that will cover that category, the manufacturer 
may depict vehicles manufactured on or after the date of receipt of the 
information as ``Not Rated'' or ``To Be Rated'' for that category.
    (5) The text ``Frontal Crash,'' ``Side Crash,'' ``Rollover,'' 
``Driver,'' ``Passenger,'' ``Front Seat,'' ``Rear Seat'' and where 
applicable, ``Not Rated'' or ``To Be Rated,'' the star graphic 
indicating each rating, as well as any text in the header and footer 
areas of the label, must have a minimum font size of 12 point. All 
remaining text and symbols on the label (including the star graphic 
specified in paragraph (e)(8)(i)(A) of this section, must have a minimum 
font size of 8 point.
    (e) Required Information and Format--(1) Safety Rating Label Border. 
The safety rating label must be surrounded by a solid dark line that is 
a minimum of 3 points in width.
    (2) Safety Rating Label Size and Legibility. The safety rating label 
must be presented in a legible, visible, and prominent fashion that 
covers at least 8 percent of the total area of the Monroney label (i.e., 
including the safety rating label) or an area with a minimum of 4\1/2\ 
inches in length and 3\1/2\ inches in height on the Monroney label, 
whichever is larger.
    (3) Heading Area. The words ``Government Safety Ratings'' must be in 
boldface, capital letters that are light in color and centered. The 
background must be dark.
    (4) Frontal Crash Area. (i) The frontal crash area must be placed 
immediately below the heading area and must have dark text and a light 
background. Both

[[Page 233]]

the driver and the right front passenger frontal crash test ratings must 
be displayed with the maximum star ratings achieved.
    (ii) The words ``Frontal Crash'' must be in boldface, cover two 
lines, and be aligned to the left side of the label.
    (iii) The word ``Driver'' must be on the same line as the word 
``Frontal'' in ``Frontal Crash,'' and be left justified, horizontally 
centered and vertically aligned at the top of the label. The achieved 
star rating for ``Driver'' must be on the same line, left justified, and 
aligned to the right side of the label.
    (iv) If NHTSA has not released the star rating for the ``Driver'' 
position, the text ``Not Rated'' must be used in boldface. However, as 
an alternative, the words ``To Be Rated'' (in boldface) may be used if 
the manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Driver'', left justified, and aligned to the right 
side of the label.
    (v) The word ``Passenger'' must be on the same line as the word 
``Crash'' in ``Frontal Crash,'' below the word ``Driver,'' and be left 
justified, horizontally centered and vertically aligned at the top of 
the label. The achieved star rating for ``Passenger'' must be on the 
same line, left justified, and aligned to the right side of the label.
    (vi) If NHTSA has not released the star rating for ``Passenger,'' 
the words ``Not Rated'' must be used in boldface. However, as an 
alternative, the words ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Passenger'', left justified, and aligned to the right 
side of the label.
    (vii) The words ``Star ratings based on the risk of injury in a 
frontal impact.'', followed (on the next line) by the statement 
``Frontal ratings should ONLY be compared to other vehicles of similar 
size and weight.'' must be placed at the bottom of the frontal crash 
area.
    (5) Side Crash Area. (i) The side crash area must be immediately 
below the frontal crash area, separated by a dark line that is a minimum 
of three points in width. The text must be dark against a light 
background. Both the driver and the rear seat passenger side crash test 
rating must be displayed with the maximum star rating achieved.
    (ii) The words ``Side Crash'' must cover two lines, and be aligned 
to the left side of the label in boldface.
    (iii) The words ``Front seat'' must be on the same line as the word 
``Side'' in ``Side Crash'' and be left justified, horizontally centered 
and vertically aligned in the middle of the label. The achieved star 
rating for ``Front seat'' must be on the same line, left justified, and 
aligned to the right side of the label.
    (iv) If NHTSA has not released the star rating for ``Front Seat,'' 
the words ``Not Rated'' must be used in boldface. However, as an 
alternative, the words ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Front seat'', left justified, and aligned to the 
right side of the label.
    (v) The words ``Rear seat'' must be on the same line as the word 
``Crash'' in ``Side Crash,'' below the word ``Front seat,'' and be left 
justified, horizontally centered and vertically aligned in the middle of 
the label. The achieved star rating for ``Rear seat'' must be on the 
same line, left justified, and aligned to the right side of the label.
    (vi) If NHTSA has not released the star rating for ``Rear Seat,'' 
the text ``Not Rated'' must be used in boldface. However, as an 
alternative, the text ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Rear seat'', left justified, and aligned to the right 
side of the label.
    (vii) The words: ``Star ratings based on the risk of injury in a 
side impact.'' must be placed at the bottom of the side crash area.

[[Page 234]]

    (6) Rollover Area. (i) The rollover area must be immediately below 
the side crash area, separated by a dark line that is a minimum of three 
points in width. The text must be dark against a light background. The 
rollover test rating must be displayed with the maximum star rating 
achieved.
    (ii) The word ``Rollover'' must be aligned to the left side of the 
label in boldface. The achieved star rating must be on the same line, 
aligned to the right side of the label.
    (iii) If NHTSA has not tested the vehicle, the words ``Not Rated'' 
must be used in boldface. However, as an alternative, the words ``To Be 
Rated'' (in boldface) may be used if the manufacturer has received 
written notification from NHTSA that the vehicle has been chosen for 
NCAP testing. Both texts must be on the same line as the text 
``Rollover'', left justified, and aligned to the right side of the 
label.
    (iv) The words: ``Star ratings based on the risk of rollover in a 
single vehicle crash.'' must be placed at the bottom of the rollover 
area.
    (7) Graphics. The star graphic is depicted in Figure 3 and the 
safety concern graphic is depicted in Figure 4.
    (8) General Information Area. (i) The general information area must 
be immediately below the rollover area, separated by a dark line that is 
a minimum of three points in width. The text must be dark and the 
background must be light. The text must state the following, in the 
specified order, on separate lines:
    (A) `` Star ratings range from 1 to 5 stars 
([starf][starf][starf][starf][starf]), with 5 being the highest.'' and
    (B) ``Source: National Highway Traffic Safety Administration 
(NHTSA)''
    (9) Footer Area. The text ``www.safercar.gov or 1-888-327-4236'' 
must be provided in boldface letters that are light in color, and be 
centered. The background must be dark.
    (10) Safety Concern. For vehicle tests for which NHTSA reports a 
safety concern as part of the star rating, the label must:
    (i) Depict, as a superscript to the star rating, the related symbol, 
as depicted in Figure 4 of this section, at \2/3\ the font size of the 
base star, and
    (ii) Include at the bottom of the relevant area (i.e., frontal crash 
area, side crash area, rollover area), as the last line of that area, 
the related symbol, as depicted in Figure 4 of this section, as a 
superscript of the rest of the line, and the text ``Safety Concern: 
Visit www.safercar.gov or call 1-888-327-4236 for more details.''
    (11) No additional information may be provided in the safety rating 
label area. The specified information provided in a language other than 
English is not considered to be additional information.
    (f) Smaller Safety Rating Label for Vehicles with No Ratings. (1) If 
NHTSA has not released a safety rating for any category for a vehicle, 
the manufacturer may use a smaller safety rating label that meets 
paragraphs (f)(2) through (f)(5) of this section. A sample label is 
depicted in Figure 2.
    (2) The label must be at least 4\1/2\ inches in width and 1\1/2\ 
inches in height, and must be surrounded by a solid dark line that is a 
minimum of 3 points in width.
    (3) Heading Area. The text must read ``Government Safety Ratings'' 
and be in 14-point boldface, capital letters that are light in color, 
and be centered. The background must be dark.
    (4) General Information. The general information area must be below 
the header area. The text must be dark and the background must be light. 
The text must state the following, in at least 12-point font, be left-
justified, and aligned to the left side of the label, in the specified 
order:
    (i) ``This vehicle has not been rated by the government for frontal 
crash, side crash, or rollover risk.''
    (ii) ``Source: National Highway Traffic Safety Administration 
(NHTSA).''
    (5) Footer Area. The text ``www.safercar.gov or 1-888-327-4236'' 
must be provided in 14-point boldface letters that are light in color, 
and be centered.The background must be dark.
    (6) No additional information may be provided in the smaller safety 
rating label area. The specified information provided in a language 
other than English is not considered to be additional information.

[[Page 235]]

    (g) Labels for alterers. (1) If, pursuant to 49 CFR 567.7, a person 
is required to affix a certification label to a vehicle, and the vehicle 
has a safety rating label with one or more safety ratings, the alterer 
must also place another label on that vehicle as specified in this 
paragraph.
    (2) The additional label (which does not replace the one required by 
49 CFR 567.7) must read: ``This vehicle has been altered. The stated 
star ratings on the safety rating label may no longer be applicable.''
    (3) The label must be placed adjacent to the Monroney label or as 
close to it as physically possible.

[[Page 236]]

[GRAPHIC] [TIFF OMITTED] TR12SE06.002


[[Page 237]]


[GRAPHIC] [TIFF OMITTED] TR12SE06.003

[GRAPHIC] [TIFF OMITTED] TR12SE06.004


[71 FR 53585, Sept. 12, 2006, as amended at 72 FR 45176, Aug. 13, 2007; 
76 FR 45466, July 29, 2011]



Sec.575.302  Vehicle labeling of safety rating information 
(compliance required for model year 2012 and later vehicles
manufactured on or after January 31, 2012).
          

    (a) Purpose and scope. The purpose of this section is to aid 
potential purchasers in the selection of new passenger motor vehicles by 
providing them with safety rating information developed by NHTSA in its 
New Car Assessment Program (NCAP) testing. Manufacturers of passenger 
motor vehicles described in paragraph (b) of this section are required 
to include this information on the Monroney label. Although NHTSA also 
makes the information available through means such as postings at http:/
/www.safercar.gov and http://www.nhtsa.dot.gov, the additional Monroney 
label information is intended to provide consumers with relevant 
information at the point of sale.
    (b) Application. This section applies to automobiles with a GVWR of 
10,000 pounds or less, manufactured on or after January 31, 2012 that 
have vehicle identification numbers that identify the vehicles to be 
model year 2012 or later and that are required by the Automobile 
Information Disclosure Act, 15 U.S.C. 1231-1233, to have price sticker 
labels (Monroney labels), (e.g., passenger vehicles, station wagons, 
passenger vans, and sport utility vehicles). Model Year 2012 or later 
vehicles manufactured prior to January 31, 2012, at the manufacturer's 
option, may be labeled according to the provisions of this Sec.575.302 
provided the ratings placed on the safety rating label are derived from 
vehicle testing conducted by the National Highway Traffic Safety 
Administration under the enhanced NCAP testing and rating program.
    (c) Definitions.
    (1) Monroney label means the label placed on new automobiles with 
the manufacturer's suggested retail price and other consumer 
information, as specified at 15 U.S.C. 1231-1233.
    (2) Safety rating label means the label with NCAP safety rating 
information, as specified at 15 U.S.C. 1232(g). The safety rating label 
is part of the Monroney label.
    (d) Required label.
    (1) Except as specified in paragraph (f) of this section, each 
vehicle must have a safety rating label that is part

[[Page 238]]

of its Monroney label, meets the requirements specified in paragraph (e) 
of this section, and conforms in content, format and sequence to the 
sample label depicted in Figure 1 of this section. If NHTSA has not 
provided a safety rating for any category of vehicle performance for a 
vehicle, the manufacturer may use the smaller label specified in 
paragraph (f) of this section.
    (2) The label must depict the star ratings for that vehicle as 
reported to the vehicle manufacturer by NHTSA.
    (3) Whenever NHTSA informs a manufacturer in writing of a new safety 
rating for a specified vehicle or the continued applicability of an 
existing safety rating for a new model year, including any safety 
concerns, the manufacturer shall include the new or continued safety 
rating on vehicles manufactured on or after the date 30 calendar days 
after receipt by the manufacturer of the information.
    (4) If, for a vehicle that has an existing safety rating for a 
category, NHTSA informs the manufacturer in writing that it has approved 
an optional NCAP test that will cover that category, the manufacturer 
may depict vehicles manufactured on or after the date of receipt of the 
information as ``Not Rated'' or ``To Be Rated'' for that category.
    (5) The text ``Overall Vehicle Score,'' ``Frontal Crash,'' ``Side 
Crash,'' ``Rollover,'' ``Driver,'' ``Passenger,'' ``Front Seat,'' ``Rear 
Seat'' and where applicable, ``Not Rated'' or ``To Be Rated,'' the star 
graphic indicating each rating, as well as any text in the header and 
footer areas of the label, must have a minimum font size of 12 point. 
All remaining text and symbols on the label (including the star graphic 
specified in paragraph (e)(9)(i) of this section), must have a minimum 
font size of 8 point.
    (e) Required information and format.
    (1) Safety rating label border. The safety rating label must be 
surrounded by a solid dark line that is a minimum of 3 points in width.
    (2) Safety rating label size and legibility. The safety rating label 
must be presented in a legible, visible, and prominent fashion that 
covers at least 8 percent of the total area of the Monroney label (i.e., 
including the safety rating label) or an area with a minimum of 4\1/2\ 
inches in length and 3\1/2\ inches in height on the Monroney label, 
whichever is larger.
    (3) Heading area. The words ``Government 5-Star Safety Ratings'' 
must be in boldface, capital letters that are light in color and 
centered. The background must be dark.
    (4) Overall vehicle score area.
    (i) The overall vehicle score area must be placed immediately below 
the heading area and must have dark text and a light background. The 
overall vehicle score rating must be displayed with the maximum star 
rating achieved.
    (ii) The words ``Overall Vehicle Score'' must be in boldface aligned 
to the left side of the label. The achieved star rating must be on the 
same line and be aligned to the right side of the label and left 
justified.
    (iii) The words ``Based on the combined ratings of frontal, side and 
rollover'' followed by the statement ``Should ONLY be compared to other 
vehicles of similar size and weight'' (on the following line) must be 
placed at the bottom of the overall vehicle score area and left 
justified.
    (iv) If NHTSA has not released the star rating for the ``Frontal 
Crash,'' ``Side Crash,'' or ``Rollover'' area, the text ``Not Rated'' 
must be used in boldface. However, as an alternative, the words ``To Be 
Rated'' (in boldface) may be used if the manufacturer has received 
written notification from NHTSA that the vehicle has been chosen for the 
NCAP frontal, side, and/or rollover testing such that there will be 
ratings in all three areas.
    (5) Frontal crash area.
    (i) The frontal crash area must be placed immediately below the 
overall vehicle score area, separated by a dark line that is a minimum 
of three points in width. The text must be dark against a light 
background. Both the driver and the right front seat passenger frontal 
crash test ratings must be displayed with the maximum star ratings 
achieved.
    (ii) The words ``Frontal Crash'' must be in boldface, cover two 
lines, and be aligned to the left side of the label.

[[Page 239]]

    (iii) The word ``Driver'' must be on the same line as the word 
``Frontal'' in ``Frontal Crash,'' and be horizontally centered, left 
justified and vertically aligned to the top of the frontal crash area. 
The achieved star rating for ``Driver'' must be on the same line and be 
aligned to the right side of the label and left justified.
    (iv) If NHTSA has not released the star rating for the ``Driver'' 
position, the text ``Not Rated'' must be used in boldface. However, as 
an alternative, the words ``To Be Rated'' (in boldface) may be used if 
the manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Driver'' and be aligned to the right side of the 
label and left justified.
    (v) The word ``Passenger'' must be on the same line as the word 
``Crash'' in ``Frontal Crash,'' below the word ``Driver,'' and be 
horizontally centered, left justified and vertically aligned to the top 
of the frontal crash area. The achieved star rating for ``Passenger'' 
must be on the same line and be aligned to the right side of the label 
and left justified.
    (vi) If NHTSA has not released the star rating for ``Passenger,'' 
the words ``Not Rated'' must be used in boldface. However, as an 
alternative, the words ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Passenger'' and be aligned to the right side of the 
label and left justified.
    (vii) The words ``Based on the risk of injury in a frontal impact.'' 
followed (on the next line) by the statement ``Should ONLY be compared 
to other vehicles of similar size and weight.'' must be placed at the 
bottom of the frontal crash area and left justified.
    (6) Side crash area.
    (i) The side crash area must be immediately below the frontal crash 
area, separated by a dark line that is a minimum of three points in 
width. The text must be dark against a light background. Both the driver 
and the rear seat passenger side crash test rating must be displayed 
with the maximum star rating achieved.
    (ii) The words ``Side Crash'' must cover two lines, and be aligned 
to the left side of the label in boldface.
    (iii) The words ``Front seat'' must be on the same line as the word 
``Side'' in ``Side Crash'' and be horizontally centered, left justified 
and vertically aligned to the top of the side crash area. The achieved 
star rating for ``Front seat'' must be on the same line as the words 
``Front seat'' and be aligned to the right side of the label and left 
justified.
    (iv) If NHTSA has not released the star rating for ``Front Seat,'' 
the words ``Not Rated'' must be used in boldface. However, as an 
alternative, the words ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Front seat'' and be aligned to the right side of the 
label and left justified.
    (v) The words ``Rear seat'' must be on the same line as the word 
``Crash'' in ``Side Crash,'' below the word ``Front seat,'' and be 
horizontally centered, left justified and vertically aligned to the top 
of the side crash area. The achieved star rating for ``Rear seat'' must 
be on the same line as the text ``Rear seat'' and be aligned to the 
right side of the label and left justified.
    (vi) If NHTSA has not released the star rating for ``Rear Seat,'' 
the text ``Not Rated'' must be used in boldface. However, as an 
alternative, the text ``To Be Rated'' (in boldface) may be used if the 
manufacturer has received written notification from NHTSA that the 
vehicle has been chosen for NCAP testing. Both texts must be on the same 
line as the text ``Rear seat'' and be aligned to the right side of the 
label and left justified.
    (vii) The words ``Based on the risk of injury in a side impact.'' 
must be placed at the bottom of the side crash area and left justified.
    (7) Rollover area.
    (i) The rollover area must be immediately below the side crash area, 
separated by a dark line that is a minimum of three points in width. The 
text must be dark against a light background.

[[Page 240]]

The rollover test rating must be displayed with the maximum star rating 
achieved.
    (ii) The word ``Rollover'' must be aligned to the left side of the 
label in boldface. The achieved star rating must be on the same line and 
be aligned to the right side of the label and left justified.
    (iii) If NHTSA has not tested the vehicle, the words ``Not Rated'' 
must be used in boldface. However, as an alternative, the words ``To Be 
Rated'' (in boldface) may be used if the manufacturer has received 
written notification from NHTSA that the vehicle has been chosen for 
NCAP testing. Both texts must be on the same line as the text 
``Rollover'' and be aligned to the right side of the label and left 
justified.
    (iv) The words ``Based on the risk of rollover in a single-vehicle 
crash.'' must be placed at the bottom of the rollover area and left 
justified.
    (8) Graphics. The star graphic is depicted in Figure 3 and the 
safety concern graphic is depicted in Figure 4.
    (9) Footer area. The footer area must be placed at the bottom of the 
label; the text must be in boldface letters that are light in color and 
centered. The background must be dark. The text must state the 
following, in the specified order, on separate lines:
    (i) ``Star ratings range from 1 to 5 stars ([starf] [starf] [starf] 
[starf] [starf]) with 5 being the highest.''
    (ii) ``Source: National Highway Traffic Safety Administration 
(NHTSA).''
    (iii) ``www.safercar.gov or 1-888-327-4236.''
    (10) Safety concern. For vehicle tests for which NHTSA reports a 
safety concern as part of the safety rating, and for overall vehicle 
scores that are derived from vehicle tests for at least one of which 
NHTSA reports a safety concern as part of the safety rating, the label 
must:
    (i) In both the rating area in which the safety concern was 
identified and in the overall vehicle score area, depict, as a 
superscript to the star rating, the safety concern symbol, as depicted 
in Figure 4 of this section, at \2/3\ the font size of the base star, 
and
    (ii) Include at the bottom of the overall vehicle score area only as 
the last line of that area, in no smaller than 8 point type, the related 
symbol, as depicted in Figure 4 of this section, as a superscript of the 
rest of the line, and the text ``Safety Concern: Visit www.safercar.gov 
or call 1-888-327-4236 for more details.''
    (11) No additional information may be provided in the safety rating 
label area. The specified information provided in a language other than 
English is not considered to be additional information.
    (f) Smaller safety rating label for vehicles with no ratings.
    (1) If NHTSA has not released a safety rating for any category for a 
vehicle, the manufacturer may use a smaller safety rating label that 
meets paragraphs (f)(2) through (f)(5) of this section. A sample label 
is depicted in Figure 2.
    (2) The label must be at least 4\1/2\ inches in width and 1\1/2\ 
inches in height, and must be surrounded by a solid dark line that is a 
minimum of 3 points in width.
    (3) Heading area. The text must read ``Government 5-Star Safety 
Ratings'' and be at least in 14-point boldface, capital letters that are 
light in color, and be centered. The background must be dark.
    (4) General information. The general information area must be below 
the header area. The text must be dark and the background must be light. 
The text must state the following, in at least 12-point font and be left 
justified: ``This vehicle has not been rated by the government for 
overall vehicle score, frontal crash, side crash, or rollover risk.''
    (5) Footer area. The footer area must be placed at the bottom of the 
label; the text must be at least in 12-point boldface letters that are 
light in color, and centered. The background must be dark. The text must 
state the following, in the specified order, on separate lines:
    (i) ``Source: National Highway Traffic Safety Administration 
(NHTSA)'' and
    (ii) ``www.safercar.gov or 1-888-327-4236''.
    (6) No additional information may be provided in the smaller safety 
rating label area. The specified information provided in a language 
other than

[[Page 241]]

English is not considered to be additional information.
    (g) Labels for alterers.
    (1) If, pursuant to 49 CFR 567.7, a person is required to affix a 
certification label to a vehicle, and the vehicle has a safety rating 
label with one or more safety ratings, the alterer must also place 
another label on that vehicle as specified in this paragraph.
    (2) The additional label (which does not replace the one required by 
49 CFR 567.7) must read: ``This vehicle has been altered. The stated 
star ratings on the safety rating label may no longer be applicable.''
    (3) The label must be placed adjacent to the Monroney label or as 
close to it as physically possible.

[GRAPHIC] [TIFF OMITTED] TR29JY11.000


[[Page 242]]


[GRAPHIC] [TIFF OMITTED] TR29JY11.001

[GRAPHIC] [TIFF OMITTED] TR29JY11.002


[76 FR 45466, July 29, 2011, as amended at 76 FR 74724, Dec. 1, 2011]



  Subpart E_Energy Independence and Security Act; Consumer Information

    Source: 76 FR 39577, July 6, 2011, unless otherwise noted.

[[Page 243]]



Sec.575.401  Vehicle labeling of fuel economy, greenhouse gas,
and other pollutant emissions information.

    (a) Purpose and scope. The purpose of this section is to aid 
potential purchasers in the selection of new passenger cars and light 
trucks by providing them with information about vehicles' performance in 
terms of fuel economy, greenhouse gas (GHG), and other air pollutant 
emissions. Manufacturers of passenger cars and light trucks are required 
to include this information on the label described in this section. 
Although this information will also be available through means such as 
postings at http://www.fueleconomy.gov, the additional label information 
is intended to provide consumers with this information at the point of 
sale, and to help them compare between vehicles.
    (b) Application. This section applies to passenger cars and light 
trucks manufactured in model year 2013 and later. Manufacturers may 
optionally comply with this section during model year 2012.
    (c) Definitions.
    (1) Data element means a piece of information required or permitted 
to be included on the fuel economy and environment label.
    (2) Fuel economy and environment label means the label with 
information about automobile performance in terms of fuel economy, 
greenhouse gases, and other emissions and with rating systems for fuel 
economy, greenhouse gases, and other emissions that also indicate the 
automobile(s) with the highest fuel economy and lowest greenhouse gas 
emissions, as specified at 49 U.S.C. 32908(g).
    (3) Miles per gasoline gallon equivalent (MPGe) is a measure of 
distance traveled per unit of energy consumed, and functions as a 
recognizable equivalent to, e.g., kilowatt-hours per mile (kW-hr/mile).
    (4) Monroney label means the label placed on new automobiles with 
the manufacturer's suggested retail price and other consumer 
information, as specified at 15 U.S.C. 1231-1233 (also known as the 
``Automobile Information Disclosure Act label'').
    (5) Other air pollutants or other emissions means those tailpipe 
emissions, other than carbon dioxide (CO2), for which 
manufacturers must provide EPA with emissions rates for all new light 
duty vehicles each model year under EPA's Tier 2 light duty vehicle 
emissions standards requirements (40 CFR Part 86, Subpart S) or the 
parallel requirements for those vehicles certified instead to the 
California emissions standards. These air pollutants include non-methane 
organic gases (NMOG), nitrogen oxides (NOX), particulate 
matter (PM), carbon monoxide (CO), and formaldehyde (HCHO).
    (6) Slider bar means a horizontal rating scale with a minimum value 
at one end and a maximum value at the other end that can accommodate a 
designation of a specific value between those values with a box or 
arrow. The actual rating value would be printed (displayed) at the 
proper position on the scale representing the vehicle's actual rating 
value relative to the two end values.
    (d) Required label. Prior to being offered for sale, each 
manufacturer must affix or cause to be affixed and each dealer must 
maintain or cause to be maintained on each passenger car or light truck 
a label that meets the requirements specified in this section, and 
conforms in content, format, and sequence to the sample labels depicted 
in the appendix to this section. The manufacturer must have the fuel 
economy label affixed in such a manner that appearance and legibility 
are maintained until after the vehicle is delivered to the ultimate 
consumer.
    (e) Required label information and format--general provisions--(1) 
Location. It is preferable that the fuel economy and environment label 
information be incorporated into the Monroney label, provided that the 
prominence and legibility of the fuel economy and environment label is 
maintained. If the fuel economy and environment label is incorporated 
into the Monroney label, it must be placed on a separate section in the 
Monroney label and must not be intermixed with that label information, 
except for vehicle descriptions as noted in 40 CFR 600.302-08(d)(1). If 
the fuel economy and environment label is not incorporated into the 
Monroney label, it must be located on a side window, and as close as 
possible to the

[[Page 244]]

Monroney label. If the window is not large enough to accommodate both 
the Monroney label and the fuel economy and environment label, the 
latter must be located on another window as close as physically possible 
to the Monroney label.
    (2) Size and legibility. The fuel economy and environment label must 
be readily visible from the exterior of the vehicle and presented in a 
legible and prominent fashion. The label must be rectangular in shape 
with a minimum height of 4.5 inches (114 mm) and a minimum length of 7.0 
inches (177 mm) as specified in the appendix to this section.
    (3) Basic appearance. Fuel economy and environment labels must be 
printed on white or very light paper with the color specified in this 
section; any label markings for which a color is not specified here must 
be in black and white. The label can be divided into three separate 
fields outlined by a continuous border, as described in the appendix to 
this section. Manufacturers must make a good faith effort to conform to 
the formats illustrated in the appendix to this section. Label templates 
are available for download at http://www.nhtsa.gov/fuel-economy/.
    (4) Border. Create a continuous black border to outline the label 
and separate the three information fields. Include the following 
information in the upper and lower portions of the border:
    (i) Upper border, label name. (A) In the left portion of the upper 
border, the words ``EPA'' and ``DOT'' must be in boldface, capital 
letters that are light in color and left-justified, with a horizontal 
line in between them as shown in the appendix to this section.
    (B) Immediately to the right of the agency names, the heading ``Fuel 
Economy and Environment'' must be in boldface letters that are light in 
color.
    (ii) Upper border, vehicle fuel type. In the right portion of the 
upper border, identify the vehicle's fuel type in black font on a blue-
colored field as follows:
    (A) For vehicles designed to operate on a single fuel, identify the 
appropriate fuel. For example, identify the vehicle with the words 
``Gasoline Vehicle,'' ``Diesel Vehicle,'' ``Compressed Natural Gas 
Vehicle,'' ``Hydrogen Fuel Cell Vehicle,'' etc. This includes hybrid 
electric vehicles that do not have plug-in capability. Include a logo 
corresponding to the fuel to the left of this designation as follows:
    (1) For gasoline, include a fuel pump logo.
    (2) For diesel fuel, include a fuel pump logo with a ``D'' inscribed 
in the base of the fuel pump.
    (3) For natural gas, include the established CNG logo.
    (4) For hydrogen fuel cells, include the expression 
``H2.''
    (B) Identify dual-fueled (``flexible-fueled'') vehicles with the 
words ``Flexible-Fuel Vehicle Gasoline-Ethanol (E85),'' ``Flexible-Fuel 
Vehicle Diesel-Natural Gas,'' etc. Include a fuel pump logo or a 
combination of logos to the left of this designation as appropriate. For 
example, for vehicles that operate on gasoline or ethanol, include a 
fuel pump logo and the designation ``E85,'' as shown in the appendix to 
this section.
    (C) Identify plug-in hybrid electric vehicles with the words ``Plug-
In Hybrid Vehicle Electricity-Gasoline'' or ``Plug-In Hybrid Vehicle 
Electricity-Diesel.'' Include a fuel pump logo to the lower left of this 
designation and an electric plug logo to the upper left of this 
designation.
    (D) Identify electric vehicles with the words ``Electric Vehicle.'' 
Include an electric plug logo to the left of this designation.
    (iii) Lower border, left side: (A) In the upper left portion of the 
lower border, include the statement ``Actual results will vary for many 
reasons, including driving conditions and how you drive and maintain 
your vehicle. The average new vehicle gets a MPG and costs $b to fuel 
over 5 years. Cost estimates are based on c miles per year at $d per 
gallon. MPGe is miles per gasoline gallon equivalent. Vehicle emissions 
are a significant cause of climate change and smog.'' For the value of 
a, insert the average new vehicle combined MPG value for that model year 
established by EPA. For the value of b, insert the estimated five year 
fuel cost value established by EPA for the average new vehicle in that 
model year. For the value of c, insert the annual mileage rate 
established by EPA. For the value

[[Page 245]]

of d, insert the estimated cost per gallon established by EPA for 
gasoline or diesel fuel, as appropriate. See paragraphs (f) through (j) 
below for alternate statements that apply for vehicles that use a fuel 
other than gasoline or diesel fuel.
    (B) In the lower left portion of the lower border, include the Web 
site reference, ``fueleconomy.gov,'' and include the following 
statement: ``Calculate personalized estimates and compare vehicles'' 
beneath it.
    (iv) Lower border, right side: Include a field in the right-most 
portion of the lower border to allow for accessing interactive 
information with mobile electronic devices as set forth in 40 CFR 
600.302-12(b)(6).
    (v) Lower border, center: Along the lower edge of the lower border, 
to the left of the field described in paragraph (e)(4)(iv) of this 
section, include the logos for the Environmental Protection Agency, the 
Department of Transportation, and the Department of Energy as shown in 
the appendix to this section.
    (5) Fuel economy performance and fuel cost values. To the left side 
in the white field at the top of the label, include the following 
elements for vehicles that run on gasoline or diesel fuel with no plug-
in capability:
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (iii) A fuel pump logo to the left of the combined fuel economy 
value (for diesel fuel, include a fuel pump logo with a ``D'' inscribed 
in the base of the fuel pump).
    (iv) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (A) Include the word ``MPG'' to the upper right of the combined fuel 
economy value.
    (B) Include the value for the city and highway fuel economy 
determined as set forth in 40 CFR 600.210-12(a) and (b) to the right of 
the combined fuel economy value in smaller font, and below the word 
``MPG.'' Include the expression ``city'' in smaller font below the city 
fuel economy value, and the expression ``highway'' in smaller font below 
the highway fuel economy value.
    (v) Below the fuel economy performance values set forth in 
paragraphs (e)(5)(ii) and (iv) of this section, include the value for 
the fuel consumption rate required by EPA and determined as set forth in 
40 CFR 600.302-12(c)(1).
    (vi) To the right of the word ``MPG'' described in paragraph 
(e)(5)(iv)(A) of this section, include the information about the range 
of fuel economy of comparable vehicles as required by EPA and set forth 
in 40 CFR 600.302-12(c)(2) and below that information, include the 
expression ``The best vehicle rates 99 MPGe.''
    (6) Comparative five-year fuel costs/savings. To the right side in 
the white field at the top of the label, include the information 
required by EPA at 40 CFR 600.302-12(c)(3).
    (7) Annual fuel cost value. In the field in the lower left portion 
of the label, include the information on annual fuel cost as required by 
EPA and set forth in 40 CFR 600.302-12(d).
    (8) Fuel economy and environment slider bar ratings. In the field in 
the lower right portion of the label,
    (i) Include the heading ``Fuel Economy & Greenhouse Gas Rating 
(tailpipe only)'' in the top left corner of the field.
    (ii) Include a slider bar in the left portion of the field as shown 
in the appendix to this section to characterize the vehicle's fuel 
economy and CO2 emission rating relative to the range of fuel 
economy and CO2 emission rates for all vehicles. Position a 
black box with a downward-pointing wedge above the slider bar positioned 
to show where that vehicle's fuel economy and CO2 emission 
rating falls relative to the total range. Include the vehicle's fuel 
economy and CO2 emission rating determined as set forth in 40 
CFR 600.311-12(d) inside the box in white text. If the fuel economy and 
CO2 emission ratings are different, the black box with a 
downward-pointing wedge above the slider bar must contain the fuel 
economy rating, with a second upward-pointing wedge below the slider bar 
containing the CO2 emission rating. Include the number ``1'' 
in white text in

[[Page 246]]

the black border at the left end of the slider bar, and include the 
number ``10'' in white text in the black border at the right end of the 
slider bar, with the expression ``Best'' in black text under the slider 
bar directly below the ``10.'' Add color to the slider bar such that it 
is blue at the left end of the range, white at the right end of the 
range, and shaded continuously across the range.
    (iii) Include the heading ``Smog Rating (tailpipe only)'' in the top 
right corner of the field.
    (iv) Include a slider bar in the right portion of the field to 
characterize the vehicle's level of emission control for other air 
pollutants relative to that of all vehicles. Position a black box with a 
downward-pointing wedge above the slider bar positioned to show where 
that vehicle's emission rating falls relative to the total range. 
Include the vehicle's emission rating determined as set forth in 40 CFR 
600.311-12(g) inside the box in white text. Include the number ``1'' in 
white text in the black border at the left end of the slider bar, and 
include the number ``10'' in white text in the black border at the right 
end of the slider bar, with the expression ``Best'' in black text under 
the slider bar directly below the ``10.'' Add color to the slider bar 
such that it is blue at the left end of the range, white at the right 
end of the range, and shaded continuously across the range.
    (v) Below the slider bars described in paragraphs (e)(8)(ii) and 
(e)(8)(iv) to this section, include the statement, ``This vehicle emits 
e grams CO2 per mile. The best emits 0 grams per mile 
(tailpipe only). Producing and distributing fuel also creates emissions; 
learn more at fueleconomy.gov.'' For the value of e, insert the 
vehicle's specific tailpipe CO2 emission rating determined as 
set forth in 40 CFR 600.210-12(d).
    (9) Rounding. Round all numerical values identified in this section 
to the nearest whole number unless otherwise specified.
    (10) Other label information required by EPA. Manufacturers must 
include any additional labeling information required by EPA at 40 CFR 
600.302-12 on the fuel economy and environment label.
    (f) Required label information and format--flexible-fuel vehicles. 
(1) Fuel economy and environment labels for flexible-fuel vehicles must 
meet the specifications described in paragraph (e) of this section, with 
the exceptions and additional specifications described in this paragraph 
(f). This section describes how to label vehicles with gasoline engines. 
If the vehicle has a diesel engine, all the references to ``gas'' or 
``gasoline'' in this section are understood to refer to ``diesel'' or 
``diesel fuel,'' respectively.
    (2) For qualifying vehicles, include the following additional 
expression in the statement identified in paragraph (e)(iv)(3)(A) of 
this section as shown in the appendix to this section: ``This is a dual 
fueled automobile.''
    (3) Include the following elements instead of the information 
identified in paragraph (e)(5) of this section:
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) The vehicle's combined fuel economy as set forth in 40 CFR 
600.210-12(c) in large font, with the words ``combined city/hwy'' below 
the number in smaller font.
    (iii) A fuel pump logo and other logos as specified in paragraph 
(e)(4)(ii)(A) of this section to the left of the combined fuel economy 
value.
    (iv) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (A) Include the word ``MPG'' to the upper right of the combined fuel 
economy value.
    (B) Include the value for the city and highway fuel economy 
determined as set forth in 40 CFR 600.210-12(a) and (b) to the right of 
the combined fuel economy value in smaller font, and below the word 
``MPG.'' Include the expression ``city'' in smaller font below the city 
fuel economy value, and the expression ``highway'' in smaller font below 
the highway fuel economy value.
    (v) Below the fuel economy performance value set forth in paragraph 
(f)(iii)(2) of this section, include the value for the fuel consumption 
rate required by EPA and determined as set forth in 40 CFR 600.302-
12(c)(1).
    (vi) To the right of the word ``MPG'' described in paragraph 
(e)(5)(iv)(A) of

[[Page 247]]

this section, include the information about the range of fuel economy of 
comparable vehicles as required by EPA and set forth in 40 CFR 600.302-
12(c)(2), and below that information, include the expression ``The best 
vehicle rates 99 MPGe. Values are based on gasoline and do not reflect 
performance and ratings based on E85.'' Adjust this statement as 
appropriate for vehicles designed to operate on different fuels.
    (vii) Below the combined fuel economy value, the manufacturer may 
include information on the vehicle's driving range as shown in the 
appendix to this section, with the sub-heading ``Driving Range,'' and 
with range bars below this sub-heading as required by EPA and set forth 
in 40 CFR 600.303-12(b)(6).
    (g) Required label information and format--special requirements for 
hydrogen fuel cell vehicles. (1) Fuel economy and environment labels for 
hydrogen fuel cell vehicles must meet the specifications set forth in 
paragraph (e) of this section, with the exceptions and additional 
specifications described in this paragraph (g).
    (2) Include the following statement in the upper left portion of the 
lower border instead of the statement specified in paragraph 
(e)(4)(iii)(A) of this section: ``Actual results will vary for many 
reasons, including driving conditions and how you drive and maintain 
your vehicle. The average new vehicle gets a MPG and costs $b to fuel 
over 5 years. Cost estimates are based on c miles per year at $d per 
kilogram of hydrogen. MPGe is miles per gasoline gallon equivalent. 
Vehicle emissions are a significant cause of climate change and smog.'' 
For the value of a, insert the average new vehicle combined MPG value 
for that model year established by EPA. For the value of b, insert the 
estimated five year fuel cost value established by EPA for the average 
new vehicle in that model year. For the value of c, insert the annual 
mileage rate established by EPA. For the value of d, insert the 
estimated cost per kilogram established by EPA for hydrogen.
    (3) Include the following elements instead of the information 
identified above in paragraph (e)(5) of this section:
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (iii) The ``H2'' logo as specified in paragraph 
(e)(4)(ii)(A) of this section to the left of the combined fuel economy 
value.
    (iv) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (A) Include the word ``MPGe'' to the upper right of the combined 
fuel economy value.
    (B) Include the value for the city and highway fuel economy 
determined as set forth in 40 CFR 600.311-12(a) and (b) to the right of 
the combined fuel economy value in smaller font, and below the word 
``MPG.'' Include the expression ``city'' in smaller font below the city 
fuel economy value, and the expression ``highway'' in smaller font below 
the highway fuel economy value.
    (v) To the right of the fuel economy performance values set forth in 
paragraph (iv)(B) of this section, include the value for the fuel 
consumption rate required by EPA and determined as set forth in 40 CFR 
600.302-12(c)(1).
    (vi) To the right of the word ``MPGe'' described in paragraph 
(g)(3)(iv)(A) of this section, include the information about the range 
of fuel economy of comparable vehicles as required by EPA and set forth 
in 40 CFR 600.302-12(c)(2) and below that information, include the 
expression ``The best vehicle rates 99 MPGe.''
    (vii) Below the combined fuel economy value, include information on 
the vehicle's driving range as shown in the appendix to this section, as 
required by EPA and set forth in 40 CFR 600.304-12(b)(6)
    (h) Required label information and format--special requirements for 
compressed natural gas vehicles. (1) Fuel economy and environment labels 
for compressed natural gas vehicles must meet the specifications 
described in paragraph (e) of this section, with the exceptions

[[Page 248]]

and additional specifications described in this paragraph (h).
    (2) Include the following statement in the upper left portion of the 
lower border instead of the statement specified in paragraph 
(e)(4)(iii)(A) of this section: ``Actual results will vary for many 
reasons, including driving conditions and how you drive and maintain 
your vehicle. The average new vehicle gets a MPG and costs $b to fuel 
over 5 years. Cost estimates are based on c miles per year at $d per 
gasoline gallon equivalent. MPGe is miles per gasoline gallon 
equivalent. Vehicle emissions are a significant cause of climate change 
and smog.'' For the value of a, insert the average new vehicle combined 
MPG value for that model year established by EPA. For the value of b, 
insert the estimated five year fuel cost value established by EPA for 
the average new vehicle in that model year. For the value of c, insert 
the annual mileage rate established by EPA. For the value of d, insert 
the estimated cost per gasoline gallon equivalent established by EPA for 
natural gas.
    (3) Include the following elements instead of the information 
identified in paragraph (e)(5) of this section:
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (iii) The compressed natural gas logo as specified in paragraph 
(e)(4)(ii)(A) of this section to the left of the combined fuel economy 
value.
    (iv) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (A) Include the word ``MPGe'' to the upper right of the combined 
fuel economy value.
    (B) Include the value for the city and highway fuel economy 
determined as set forth in 40 CFR 600.311-12(a) and (b) to the right of 
the combined fuel economy value in smaller font, and below the word 
``MPGe.'' Include the expression ``city'' in smaller font below the city 
fuel economy value, and the expression ``highway'' in smaller font below 
the highway fuel economy value.
    (v) To the right of the fuel economy performance values described in 
paragraph (h)(3)(iv)(B) of this section, include the value for the fuel 
consumption rate required by EPA and determined as set forth in 40 CFR 
600.302-12(c)(1).
    (vi) To the right of the word ``MPGe'' described in paragraph 
(g)(3)(iv)(A) of this section, include the information about the range 
of fuel economy of comparable vehicles as required by EPA and set forth 
in 40 CFR 600.302-12(c)(2), and below that information, include the 
expression ``The best vehicle rates 99 MPGe.''
    (vii) Below the combined fuel economy value, include information on 
the vehicle's driving range as shown in the appendix to this section, as 
required by EPA and set forth in 40 CFR 600.306-12(b)(6).
    (i) Required label information and format--special requirements for 
plug-in hybrid electric vehicles. (1) Fuel economy and environment 
labels for plug-in hybrid electric vehicles must meet the specifications 
described in paragraph (e) of this section, with the exceptions and 
additional specifications described in this paragraph (i). This 
paragraph (i) describes how to label vehicles equipped with gasoline 
engines. If a vehicle has a diesel engine, all the references to ``gas'' 
or ``gasoline'' in this section are understood to refer to ``diesel'' or 
``diesel fuel,'' respectively.
    (2) Include the following statement in the upper left portion of the 
lower border instead of the statement specified in paragraph 
(e)(4)(iii)(A) of this section: ``Actual results will vary for many 
reasons, including driving conditions and how you drive and maintain 
your vehicle. The average new vehicle gets a MPG and costs $b to fuel 
over 5 years. Cost estimates are based on c miles per year at $d per 
gallon and $e per kW-hr. This is a dual fueled automobile. MPGe is miles 
per gasoline gallon equivalent. Vehicle emissions are a significant 
cause of climate change and smog.'' For the value of a, insert the 
average new vehicle combined MPG value for that model year established 
by EPA. For the value of b, insert the estimated five year fuel cost 
value established by EPA for the average new vehicle in that model year. 
For the

[[Page 249]]

value of c, insert the annual mileage rate established by EPA. For the 
value of d, insert the estimated cost per gallon established by EPA for 
gasoline. For the value of e, insert the estimated cost per kW-hr of 
electricity established by EPA.
    (3) Include the following elements instead of the information 
identified above in paragraph (e)(5):
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) An outlined box below the heading with the following 
information:
    (A) The sub-heading ``Electricity'' if the vehicle's engine starts 
only after the battery is fully discharged, or the sub-heading 
``Electricity + Gasoline'' if the vehicle uses combined power from the 
battery and the engine before the battery is fully discharged.
    (B) The expression ``Charge Time: x hours (240 V),'' as required by 
EPA and as set forth in 40 CFR 600.308-12(b)(2)(ii).
    (C) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (D) An electric plug logo as specified in paragraph (e)(4)(ii)(A) of 
this section to the left of the combined fuel economy value. For 
vehicles that use combined power from the battery and the engine before 
the battery is fully discharged, also include the fuel pump logo as 
shown in the appendix to this section.
    (E) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (1) Include the word ``MPGe'' to the upper right of the combined 
fuel economy value.
    (2) If the vehicle's engine starts only after the battery is fully 
discharged, identify the vehicle's electricity consumption rate as 
required by EPA and determined as set forth in set forth in 40 CFR 
600.308-12(b)(2)(v).
    (3) If the vehicle uses combined power from the battery and the 
engine before the battery is fully discharged, identify the vehicle's 
gasoline and electricity consumption rates as required by EPA and 
determined as set forth in 40 CFR 600.308-12(b)(2)(v).
    (iii) A second outlined box to the right of the box described in 
paragraph (i)(3)(ii) of this section with the following information:
    (A) The sub-heading ``Gasoline Only.''
    (B) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (C) A fuel pump logo to the left of the combined fuel economy value.
    (D) The units identifier and consumption values to the right of the 
combined fuel economy value as follows:
    (1) Include the word ``MPGe'' to the upper right of the combined 
fuel economy value.
    (2) Identify the vehicle's gasoline consumption rate required by EPA 
and determined as set forth in 40 CFR 600.308-12(b)(3).
    (iv) Below the boxes specified in paragraphs (i)(3)(ii) and (iii) of 
this section, include information on the vehicle's driving range as 
shown in the appendix to this section, as required by EPA and as set 
forth in 40 CFR 600.308-12(b)(4).
    (v) To the right of the heading ``Fuel Economy'' described in 
paragraph (i)(3)(i) of this section, include the information about the 
range of fuel economy of comparable vehicles as required by EPA and set 
forth in 40 CFR 600.302-12(c)(2) and to the right of that information, 
include the expression ``The best vehicle rates 99 MPGe.''
    (4) Include the following statement instead of the statement 
identified in paragraph (e)(8)(v) of this section: ``This vehicle emits 
f grams CO2 per mile. The best emits 0 grams per mile 
(tailpipe only). Producing and distributing fuel & electricity also 
creates emissions; learn more at fueleconomy.gov.'' For the value of f, 
insert the vehicle's specific tailpipe CO2 emission rating 
determined as set forth in 40 CFR 600.210-12(d).
    (j) Required label information and format--special requirements for 
electric vehicles. (1) Fuel economy and environment labels for electric 
vehicles must meet the specifications described in paragraph (e) of this 
section, with the exceptions and additional specifications described in 
this section.

[[Page 250]]

    (2) Include the following statement in the upper left portion of the 
lower border instead of the statement specified above in paragraph 
(e)(4)(iii)(A) of this section: ``Actual results will vary for many 
reasons, including driving conditions and how you drive and maintain 
your vehicle. The average new vehicle gets a MPG and costs $b to fuel 
over 5 years. Cost estimates are based on c miles per year at $e per kW-
hr. MPGe is miles per gasoline gallon equivalent. Vehicle emissions are 
a significant cause of climate change and smog.'' For the value of a, 
insert the average new vehicle combined MPG value for that model year 
established by EPA. For the value of b, insert the estimated five year 
fuel cost value established by EPA for the average new vehicle in that 
model year. For the value of c, insert the annual mileage rate 
established by EPA. For the value of e, insert the estimated cost per 
kW-hr of electricity established by EPA.
    (3) Include the following elements instead of the information 
identified in paragraph (e)(5) of this section:
    (i) The heading ``Fuel Economy'' near the top left corner of the 
field.
    (ii) The vehicle's combined fuel economy determined as set forth in 
40 CFR 600.210-12(c) in large font, with the words ``combined city/hwy'' 
below the number in smaller font.
    (iii) The electric plug logo as specified in paragraph (e)(4)(ii)(A) 
of this section to the left of the combined fuel economy value.
    (iv) The units identifier and specific fuel economy values to the 
right of the combined fuel economy value as follows:
    (A) Include the word ``MPGe'' to the upper right of the combined 
fuel economy value.
    (B) Include the value for the city and highway fuel economy 
determined as set forth in 40 CFR 600.311-12(a) and (b) to the right of 
the combined fuel economy value in smaller font, and below the word 
``MPGe.'' Include the expression ``city'' in smaller font below the city 
fuel economy value, and the expression ``highway'' in smaller font below 
the highway fuel economy value.
    (v) To the right of the fuel economy performance values described in 
paragraph (iv)(B) of this section, include the value for the fuel 
consumption rate required by EPA and determined as set forth in 40 CFR 
600.310-12(b)(5).
    (vi) Below the combined fuel economy value, include information on 
the vehicle's driving range as shown in the appendix to this section, as 
required by EPA and as set forth in 40 CFR 600.310-12(b)(6).
    (vii) Below the driving range information and left-justified, 
include information on the vehicle's charge time, as required by EPA and 
as set forth in 40 CFR 600.310-12(b)(7).
    (4) Include the following statement instead of the statement 
identified in paragraph (e)(8)(v) of this section: ``This vehicle emits 
0 grams CO2 per mile. The best emits 0 grams per mile 
(tailpipe only). Does not include emissions from generating electricity; 
learn more at fueleconomy.gov.''

                        Appendix to Sec.575.401

[[Page 251]]

[GRAPHIC] [TIFF OMITTED] TR06JY11.058

[GRAPHIC] [TIFF OMITTED] TR06JY11.059


[[Page 252]]


[GRAPHIC] [TIFF OMITTED] TR06JY11.060

[GRAPHIC] [TIFF OMITTED] TR06JY11.061


[[Page 253]]


[GRAPHIC] [TIFF OMITTED] TR06JY11.062

[GRAPHIC] [TIFF OMITTED] TR06JY11.063


[[Page 254]]


[GRAPHIC] [TIFF OMITTED] TR06JY11.064

[GRAPHIC] [TIFF OMITTED] TR06JY11.065


[[Page 255]]


[GRAPHIC] [TIFF OMITTED] TR06JY11.066

[GRAPHIC] [TIFF OMITTED] TR06JY11.067


[[Page 256]]





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.
576.7 Retention.
576.8 Malfunctions covered.

    Authority: 49 U.S.C. 322(a), 30117, 30120(g), 30141-30147; 
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 
manufacturers of motor vehicles and of motor vehicle equipment, of 
claims, complaints, reports, and other records concerning alleged and 
proven motor vehicle or motor vehicle equipment defects and malfunctions 
that may be related to motor vehicle safety.

[67 FR 45872, July 10, 2002]



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 on or after August 16, 
1969, and to all manufacturers of motor vehicle equipment, with respect 
to all records in their possession, generated or acquired on or after 
August 9, 2002.

[67 FR 45873, July 10, 2002]



Sec.576.4  Definitions.

    All terms in this part that are defined in 49 U.S.C. 30102 and part 
579 of this chapter are used as defined therein.

[67 FR 45873, July 10, 2002]



Sec.576.5  Basic requirements.

    (a) Each manufacturer of motor vehicles, child restraint systems, 
and tires shall retain, as specified in Sec.576.7 of this part, all 
records described in Sec.576.6 of this part for a period of five 
calendar years from the date on which they were generated or acquired by 
the manufacturer.
    (b) Each manufacturer of motor vehicles and motor vehicle equipment 
shall retain, as specified in Sec.576.7 of this part, all the 
underlying records on which the information reported under part 579 of 
this chapter is based, for a period of five calendar years from the date 
on which they were generated or acquired by the manufacturer, except as 
provided in paragraph (c) of this section.
    (c) Manufacturers need not retain copies of documents transmitted to 
NHTSA pursuant to parts 573, 577, and 579 of this chapter.

[67 FR 45873, July 10, 2002]



Sec.576.6  Records.

    Records to be maintained 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, reports and other documents, including material generated or 
communicated by computer, telefax or other electronic means, that are 
related to work performed under warranties; and any lists, compilations, 
analyses, or discussions of such malfunctions contained in internal or 
external correspondence of the manufacturer, including communications 
transmitted electronically.

[67 FR 45873, July 10, 2002]



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,

[[Page 257]]

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.
577.11 Reimbursement notification.
577.12 Notification pursuant to an accelerated remedy program.
577.13 Notification to dealers and distributors.
577.14 Labeling for owner notification letter envelope.

    Authority: 49 U.S.C. 30102, 30103, 30116-121, 30166; delegation of 
authority at 49 CFR 1.95 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 manufacturer notification to 
owners, dealers, and distributors of motor vehicles and items of 
replacement equipment about a defect that relates to motor vehicle 
safety or a noncompliance with a Federal motor vehicle safety standard.

[69 FR 34959, June 23, 2004]



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. It is also to ensure 
that dealers and distributors of motor vehicles and items of replacement 
equipment are made aware of the existence of defects and noncompliances 
and of their rights and responsibilities with regard thereto.

[41 FR 56816, Dec. 30, 1976, as amended at 69 FR 34959, June 23, 2004]



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

[[Page 258]]

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 the manufacturer contains a defect that relates to motor 
vehicle safety, or fails to conform to an applicable Federal motor 
vehicle safety standard, or the manufacturer files a defect or 
noncompliance information report under 49 CFR part 573, the manufacturer 
shall provide notification in accordance with Sec.577.7(a), unless the 
manufacturer is exempted by the Administrator (pursuant to 49 U.S.C. 
30118(d) or 30120(h)) 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. Except as 
authorized by the Administrator, the manufacturer shall submit a copy of 
its proposed owner notification letter, including any provisions or 
attachments related to reimbursement, to NHTSA's Recall Management 
Division (NVS-215) no fewer than five (5) Federal Government business 
days before it intends to begin mailing it to owners. The manufacturer 
shall mark the outside of each envelope in which it sends an owner 
notification letter with a notation that includes the phrase ``SAFETY 
RECALL NOTICE,'' all in capital letters and in a 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. It shall also imprint on the 
outside of this envelope a label in accordance with Sec.577.14. Except 
where the format of the envelope has been previously approved by NHTSA's 
Recall Management Division (NVS-215), each manufacturer must submit the 
envelope format it intends to use to that division at least five (5) 
Federal Government business days before mailing the notification to 
owners. Submission of envelopes and proposed owner notification letters 
shall be made by the means identified in 49 CFR 573.9. Notification sent 
to an owner whose address is in the Commonwealth of Puerto Rico shall be 
written in both English and Spanish.
    (b) At the top of the notification, there must be the statement 
``IMPORTANT SAFETY RECALL,'' in all capital letters and in a type size 
that is larger than that used in the remainder of the letter. Then 
immediately below, for vehicle recalls, there must be the statement 
``This notice applies to your vehicle, (manufacturer to insert VIN for 
the particular vehicle).'' If VIN placement is not possible in this 
location, the VIN must then be placed in another conspicuous location 
within the notification. Immediately below the foregoing, there must be 
the opening statement: ``This notice is sent to you in accordance with 
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.

[[Page 259]]

    (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 to be remedied 
without charge, and whether such remedy will be by repair, replacement, 
or refund of the purchase price (in the case of remedy of a vehicle, 
less depreciation).
    (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
    (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 a remedy of a vehicle by refund of purchase 
price, the

[[Page 260]]

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, 1200 New Jersey Ave., SE., Washington, DC 20590; or call 
the toll-free Vehicle Safety Hotline at 1-888-327-4236 (TTY: 1-800-424-
9153); or go to http://www.safercar.gov, 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.

(Authority: 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; 68 FR 18142, Apr. 15, 2003; 70 FR 35557, June 21, 2005; 72 FR 
32016, June 11, 2007; 78 FR 51422, Aug. 20, 2013; 79 FR 43678, July 28, 
2014; 80 FR 55037, Sept. 14, 2015]



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 
Sec. Sec.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:

[[Page 261]]

    (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 will select either repair, 
replacement with an equivalent vehicle or item of replacement equipment, 
or refund of the purchase price (in the case of remedy of a vehicle, 
less depreciation); 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 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;

[[Page 262]]

    (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; 80 
FR 55037, Sept. 14, 2015]



Sec.577.7  Time and manner of notification.

    (a) The notification required by Sec.577.5 shall--
    (1) Be furnished no later than 60 days from the date the 
manufacturer files its defect or noncompliance information report under 
part 573. In the event that the remedy for the defect or noncompliance 
is not available at the time of notification, the manufacturer shall 
issue a second notification within a reasonable time and in accordance 
with the requirements of this part once that remedy is available. 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

[[Page 263]]

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.
    (c) The notification required by Sec.577.13 shall--
    (1) Be furnished within a reasonable time after the manufacturer 
decides that a defect that relates to motor vehicle safety or a 
noncompliance exists. In the case of defects or noncompliances that 
present an immediate and substantial threat to motor vehicle safety, the 
manufacturer shall transmit this notice to dealers and distributors 
within three business days of its transmittal of the Defect and 
Noncompliance Information Report under 49 CFR 573.6 to NHTSA, except 
that when the manufacturer transmits the notice by other than electronic 
means, the manufacturer shall transmit this notice to dealers and 
distributors within five business days of its transmittal of the Defect 
and Noncompliance Information Report to NHTSA. In all other cases, the 
notification shall be provided in accordance with the schedule submitted 
to the agency pursuant to Sec.573.6(c)(8)(ii), unless that schedule is 
modified by the Administrator. The Administrator may direct a 
manufacturer to send the notification to dealers on a specific date if 
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; the time frame 
in which the defect or noncompliance may manifest itself; availability 
of an interim remedial action by the owner; whether a dealer inspection 
would identify vehicles or items of equipment that contain the defect or 
noncompliance; and the time frame in which the manufacturer plans to 
provide the notification and the remedy to its dealers.
    (2) Be accomplished--
    (i) In the case of a notification required to be sent by a motor 
vehicle manufacturer, by certified mail, verifiable electronic means 
such as receipts or logs from electronic mail or satellite distribution 
system, or other more expeditious and verifiable means to all dealers 
and distributors of the vehicles that contain the defect or 
noncompliance.
    (ii) In the case of a notification required to be sent by a 
manufacturer of replacement equipment or tires, by certified mail, 
verifiable electronic means such as receipts or logs from

[[Page 264]]

electronic mail or satellite distribution system, or other more 
expeditious and verifiable means to all dealers and distributors of the 
product that are known to the manufacturer.
    (iii) In those cases where a manufacturer of motor vehicles or items 
of motor vehicle equipment provided the recalled product(s) to a group 
of dealers or distributors through a central office, notification to 
that central office will be deemed to be notice to all dealers and 
distributors within that group.
    (iv) In those cases in which a manufacturer of motor vehicles or 
items of motor vehicle equipment has provided the recalled product to 
independent dealers through independent distributors, the manufacturer 
may satisfy its notification responsibilities by providing the 
information required under this section to its distributors. In such 
cases, the manufacturer must also instruct those distributors to 
transmit a copy of the manufacturer's notification to known distributors 
and retail outlets along the distribution chain within five working days 
from its receipt.
    (d) Notwithstanding paragraph (c)(1) of this section, where the 
recall is being conducted pursuant to an order issued by the 
Administrator under 49 U.S.C. 30118(b), notification required by Sec.
577.13 shall be given on or before the date prescribed in the 
Administrator's order.

[41 FR 56816, Dec. 30, 1976, as amended at 60 FR 17271, Apr. 5, 1995; 69 
FR 34959, June 23, 2004; 70 FR 38814, July 6, 2005; 78 FR 51422, Aug. 
20, 2013; 79 FR 43678, July 28, 2014]



Sec.577.8  Disclaimers.

    (a) A notification sent pursuant to Sec. Sec.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 Sec. Sec.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]



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.573.7 
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;

[[Page 265]]

    (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, as amended at 68 FR 18142, Apr. 15, 2003]



Sec.577.11  Reimbursement notification.

    (a) Except as otherwise provided in paragraph (e) of this section, 
when a manufacturer of motor vehicles or replacement equipment is 
required to provide notice in accordance with Sec. Sec.577.5 or 577.6, 
in addition to complying with other sections of this part, the 
manufacturer shall notify owners that they may be eligible to receive 
reimbursement for the cost of obtaining a pre-notification remedy of a 
problem associated with a defect or noncompliance consistent with the 
manufacturer's reimbursement plan submitted to NHTSA pursuant to 
Sec. Sec.573.6(c)(8)(i) and 573.13 of this chapter.
    (b) The manufacturer's notification shall include a statement, 
following the items required by Sec.577.5 or Sec.577.6, that
    (1) Refers to the possible eligibility for reimbursement for the 
cost of repair or replacement; and
    (2) Describes how a consumer may obtain information about 
reimbursement from the manufacturer;
    (c) The information referred to in Sec.577.11(b)(2) of this part 
shall be provided in one of the following ways:
    (1) In an enclosure to the notification under Sec.577.5 or Sec.
577.6 that provides the information described in Sec.577.11(d), 
consistent with the manufacturer's reimbursement plan; or
    (2) Through a toll-free telephone number (with TTY capability) 
identified in the notification that provides the information described 
in Sec.577.11(d), consistent with the manufacturer's reimbursement 
plan.
    (3) For notifications of defects or noncompliances in item of motor 
vehicle equipment that are in a form other than a letter to a specific 
owner or purchaser, if the manufacturer does not otherwise maintain a 
toll-free telephone number for the use of consumers, the manufacturer 
may refer claimants to a non-toll-free telephone number (with TTY 
capability) if it also specifies a mailing address at which owners can 
obtain the relevant information regarding the manufacturer's 
reimbursement plan.
    (d) The information to be provided under paragraph (c) of this 
section must:
    (1) Identify the vehicle and/or equipment that is the subject of the 
recall and the underlying problem;
    (2) State that the manufacturer has a program for reimbursing pre-
notification remedies and identify the type of remedy eligible for 
reimbursement;
    (3) Identify any limits on the time period in which the repair or 
replacement of the recalled vehicle or equipment must have occurred;
    (4) Identify any restrictions on eligibility for reimbursement that 
the manufacturer is imposing (as limited by Sec.573.13 (d) of this 
chapter);
    (5) Specify all necessary documentation that must be submitted to 
obtain reimbursement;

[[Page 266]]

    (6) Explain how to submit a claim for reimbursement of a pre-
notification remedy; and
    (7) Identify the office and address of the manufacturer where a 
claim can be submitted by mail and any authorized dealers or facilities 
where a claimant may submit a claim for reimbursement.
    (e) The manufacturer is not required to provide notification 
regarding reimbursement under this section if NHTSA finds, based upon a 
written request by a manufacturer accompanied by supporting information, 
views, and arguments, that all covered vehicles are under warranty or 
that no person would be eligible for reimbursement under Sec.573.13 of 
this chapter.

[67 FR 64065, Oct. 17, 2002]



Sec.577.12  Notification pursuant to an accelerated remedy program.

    (a) When the Administrator requires a manufacturer to accelerate its 
remedy program under Sec.573.14 of this chapter, or when a 
manufacturer agrees with a request from the Administrator that it 
accelerate its remedy program in advance of being required to do so, in 
addition to complying with other sections of this part, the manufacturer 
shall provide notification in accordance with this section.
    (b) Except as provided elsewhere in this section or when the 
Administrator determines otherwise, the notification under this section 
shall be sent to the same recipients as provided by Sec.577.7. If no 
notification has been provided to owners pursuant to this part, the 
provisions required by this section may be combined with the 
notification under Sec. Sec.577.5 or 577.6. A manufacturer need only 
provide a notification under this section to owners of vehicles or items 
of equipment for which the defect or noncompliance has not been 
remedied.
    (c) The manufacturer's notification shall include the following:
    (1) If there was a prior notification, a statement that identifies 
that notification and states that this notification supplements it;
    (2) When the accelerated remedy program has been required by the 
Administrator, a statement that the National Highway Traffic Safety 
Administration has required the manufacturer to accelerate its remedy 
program;
    (3) A statement of how the program has been accelerated (e.g., by 
expanding the sources of replacement parts and/or expanding the number 
of authorized repair facilities);
    (4) Where applicable, a statement that the owner may elect to obtain 
the recall remedy using designated service facilities other than those 
that are owned or franchised by the manufacturer or are the 
manufacturer's authorized dealers, and an explanation of how the owner 
may arrange for service at those other facilities;
    (5) Where applicable, a statement that the owner may elect to obtain 
the recall remedy using specified replacement parts or equipment from 
sources other than the manufacturer;
    (6) Where applicable, a statement indicating whether the owner will 
be required to pay an alternative facility and/or parts supplier, 
subject to reimbursement by the manufacturer; and
    (7) If an owner will be required to pay an alternative facility and/
or parts supplier, a statement that the owner will be eligible to have 
those expenditures reimbursed by the manufacturer, and a description of 
how a consumer may obtain information about reimbursement from the 
manufacturer consistent with Sec.577.11(b)(2), (c) and (d).

[67 FR 72393, Dec. 5, 2002]



Sec.577.13  Notification to dealers and distributors.

    (a) The notification to dealers and distributors of a safety-related 
defect or a noncompliance with a Federal motor vehicle safety standard 
shall contain a clear statement that identifies the notification as 
being a safety recall notice, an identification of the motor vehicles or 
items of motor vehicle equipment covered by the recall, a description of 
the defect or noncompliance, and a brief evaluation of the risk to motor 
vehicle safety related to the defect or noncompliance. The notification 
shall also include a complete description of the recall remedy, and the 
estimated date on which the remedy will be available. Information 
required by this paragraph that is not available at the time of the 
original notification

[[Page 267]]

shall be provided as it becomes available.
    (b) The notification shall also include an advisory stating that it 
is a violation of Federal law for a dealer to deliver a new motor 
vehicle or any new or used item of motor vehicle equipment (including a 
tire) covered by the notification under a sale or lease until the defect 
or noncompliance is remedied.
    (c) The manufacturer shall, upon request of the Administrator, 
demonstrate that it sent the required notification to each of its known 
dealers and distributors and the date of such notification.

[69 FR 34960, June 23, 2004, as amended at 70 FR 38815, July 6, 2005]



Sec.577.14  Labeling for owner notification letter envelope.

    (a) Purpose and scope--The purpose of this section is to supply 
vehicle and equipment manufacturers, including manufacturers of tires 
and child safety seats, with the label required to be shown on the 
envelopes of safety recall notification letters mailed to owners 
pursuant to Sec.577.5. This label shall not be used for any purpose 
other than compliance with Sec.577.5 by any entity outside of the 
Department of Transportation.
    (b) Required label information and format. (1) The label depicted in 
this section must be printed on the front of the safety recall owner 
notification envelope. The content, format, and sequence of this label 
are depicted in Figure 1 of this section. A Spanish version of this 
label, for owners located in the Commonwealth of Puerto Rico or the 
Canal Zone, can be found in Figure 2 of this section.
    (2) The text ``IMPORTANT SAFETY RECALL INFORMATION'' must be printed 
in capital letters, have a minimum font size of 10 point, and be printed 
in white text on a red background. Also, this text must be centered 
horizontally and located near the top of the label. The text ``Issued in 
Accordance With Federal Law'' must have a minimum font size of 10 point, 
be printed in black text on a white background, and be located directly 
beneath the preceding text, also centered horizontally within the label.
    (3) The logo of the U.S. Department of Transportation must be 
located at the bottom, left-hand corner of the label. The logo of the 
National Highway Traffic Safety Administration must be located at the 
bottom, right-hand corner of the label. Each logo should be printed in 
black color with a white background.
    (c) Required label size--The label depicted in this paragraph must 
be 1 inch in height and 3 inches in length.

[[Page 268]]

[GRAPHIC] [TIFF OMITTED] TR28JY14.000


[79 FR 43678, July 28, 2014]



PART 578_CIVIL AND CRIMINAL 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.
578.7 Criminal safe harbor provision.
578.8 Civil penalty factors under 49 U.S.C. Chapter 301.

    Authority: Pub. L. 101-410, 104 Stat. 890; Pub. L. 104-134, 110 
Stat. 1321; Pub. L. 109-59, 119 Stat. 1144; Pub. L. 114-74, 129 Stat. 
584; Pub. L. 114-94, 129 Stat. 1312; 49 U.S.C. 30165, 30170, 30505, 
32308, 32309, 32507, 32709, 32710, 32902, 32912, and 33115; delegation 
of authority at 49 CFR 1.81, 1.95.

    Source: 62 FR 5169, Feb. 4, 1997, unless otherwise noted.



Sec.578.1  Scope

    This part specifies the civil penalties for violations of statutes 
and regulations administered by the National Highway Traffic Safety 
Administration (NHTSA), as adjusted for inflation. This part also sets 
forth NHTSA's interpretation of the civil penalty factors listed in 49 
U.S.C. 30165(c). In addition, this part sets forth the requirements 
regarding the reasonable time and the manner of correction for a person 
seeking safe harbor protection from criminal liability under 49 U.S.C. 
30170(a).

[81 FR 10527, Mar. 1, 2016]



Sec.578.2  Purpose.

    One purpose of this part is to effectuate the remedial impact of 
civil penalties and to foster compliance with the law by specifying the 
civil penalties for statutory and regulatory violations, as adjusted for 
inflation. Another purpose of this part is to set forth NHTSA's 
interpretation of the civil penalty factors listed in 49 U.S.C. 
30165(c). A third purpose of this part is to set forth the requirements 
regarding

[[Page 269]]

the reasonable time and the manner of correction for a person seeking 
safe harbor protection from criminal liability under 49 U.S.C. 30170(a).

[81 FR 10527, Mar. 1, 2016]



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 
or a regulation prescribed thereunder. This part applies to civil 
penalty factors under section 30165(c) of Title 49 of the United States 
Code. This part also applies to the criminal penalty safe harbor 
provision of section 30170 of Title 49 of the United States Code.

[81 FR 10527, Mar. 1, 2016]



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 non-criminal 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.
    Person means any individual, corporation, company, limited liability 
company, trust, association, firm, partnership, society, joint stock 
company, or any other entity.
    Respondent means any person charged with liability for a civil 
penalty for a violation of sections 30112, 30115, 30117 through 30122, 
30123(a), 30125(c), 30127, 30141 through 30147, or 30166 of Title 49 of 
the United States Code or a regulation prescribed under any of those 
sections.

[62 FR 5169, Feb. 4, 1997, as amended at 65 FR 81419, Dec. 26, 2000; 81 
FR 10528, Mar. 1, 2016]



Sec.578.5  Inflationary adjustment of civil penalties.

    The civil penalties set forth in this part continue in effect until 
adjusted by the Administrator. The Administrator shall review the amount 
of these civil penalties annually and will, if appropriate, adjust them 
by rule.

[83 FR 60753, Nov. 27, 2018]



Sec.578.6  Civil penalties for violations of specified provisions 
of Title 49 of the United States Code.

    (a) Motor vehicle safety--(1) In general. A person who violates any 
of sections 30112, 30115, 30117 through 30122, 30123(a), 30125(c), 
30127, or 30141 through 30147 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 $22,329 
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 
$111,642,265.
    (2) School buses. (i) Notwithstanding paragraph (a)(1) of this 
section, a person who:
    (A) Violates section 30112(a)(1) of Title 49 United States Code by 
the manufacture, sale, offer for sale, introduction or delivery for 
introduction into interstate commerce, or importation of a school bus or 
school bus equipment (as those terms are defined in 49 U.S.C. 30125(a)); 
or
    (B) Violates section 30112(a)(2) of Title 49 United States Code, 
shall be subject to a civil penalty of not more than $12,695 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 this section. The maximum penalty under this 
paragraph for a related series of violations is $19,042,502.
    (3) Section 30166. A person who violates Section 30166 of Title 49 
of the United States Code or a regulation prescribed under that section 
is liable to the United States Government for a civil penalty for 
failing or refusing to allow or perform an act required under

[[Page 270]]

that section or regulation. The maximum penalty under this paragraph is 
$22,329 per violation per day. The maximum penalty under this paragraph 
for a related series of daily violations is $111,642,265.
    (4) False and misleading reports. A person who knowingly and 
willfully submits materially false or misleading information to the 
Secretary, after certifying the same information as accurate under the 
certification process established pursuant to Section 30166(o), shall be 
subject to a civil penalty of not more than $5,466 per day. The maximum 
penalty under this paragraph for a related series of daily violations is 
$1,093,233.
    (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 $1,783 for each 
violation.
    (c) Bumper standards. (1) A person that violates 49 U.S.C. 32506(a) 
is liable to the United States Government for a civil penalty of not 
more than $2,924 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 (c) for a related 
series of violations is $3,256,233.
    (d) Consumer information--(1) Crash-worthiness and damage 
susceptibility. A person who violates 49 U.S.C. 32308(a), regarding 
crashworthiness and damage susceptibility, is liable to the United 
States Government for a civil penalty of not more than $2,924 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 $1,594,890.
    (2) Consumer tire information. Any person who fails to comply with 
the national tire fuel efficiency program under 49 U.S.C. 32304A is 
liable to the United States Government for a civil penalty of not more 
than $60,518 for each violation.
    (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 $1,783 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 $10,932 for each violation. A separate violation occurs for 
each motor vehicle or device involved in the violation. The maximum 
civil penalty under this paragraph for a related series of violations is 
$1,093,233.
    (2) A person that violates 49 U.S.C. Chapter 327 or a regulation 
prescribed or order issued thereunder, with intent to defraud, is liable 
for three times the actual damages or $10,932, 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 $2,402 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 for a related series of violations 
is $600,388.
    (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 $178,338 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 $42,530 for each violation. A separate

[[Page 271]]

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.
    (i) Medium- and heavy-duty vehicle fuel efficiency. The maximum 
civil penalty for a violation of the fuel consumption standards of 49 
CFR part 535 is not more than $41,882 per vehicle or engine. The maximum 
civil penalty for a related series of violations shall be determined by 
multiplying $41,882 times the vehicle or engine production volume for 
the model year in question within the regulatory averaging set.

[81 FR 43528, July 5, 2016, as amended at 83 FR 60753, Nov. 27, 2018; 84 
FR 36034, July 26, 2019; 84 FR 37078, July 31, 2019]



Sec.578.7  Criminal safe harbor provision.

    (a) Scope. This section sets forth the requirements regarding the 
reasonable time and the manner of correction for a person seeking safe 
harbor protection from criminal liability under 49 U.S.C. 30170(a)(2), 
which provides that a person described in 49 U.S.C. 30170(a)(1) is not 
subject to criminal penalties thereunder if:
    (1) At the time of the violation, such person does not know that the 
violation would result in an accident causing death or serious bodily 
injury; and
    (2) The person corrects any improper reports or failure to report, 
with respect to reporting requirements of 49 U.S.C. 30166, within a 
reasonable time.
    (b) Reasonable time. A correction is considered to have been 
performed within a reasonable time if the person seeking protection from 
criminal liability makes the correction to any improper (i.e., 
incorrect, incomplete, or misleading) report not more than thirty (30) 
calendar days after the date of the report to the agency and corrects 
any failure to report not more than thirty (30) calendar days after the 
report was due to be sent to or received by the agency, as the case may 
be, pursuant to 49 U.S.C. 30166, including a regulation, requirement, 
request or order issued thereunder. In order to meet these reasonable 
time requirements, all submissions required by this section must be 
received by NHTSA within the time period specified in this paragraph, 
and not merely mailed or otherwise sent within that time period.
    (c) Sufficient manner of correction. Each person seeking safe harbor 
protection from criminal penalties under 49 U.S.C. 30170(a)(2) must 
comply with the following with respect to each improper report and 
failure to report for which safe harbor protection is sought:
    (1) Sign and submit to NHTSA a dated document identifying:
    (i) Each previous improper report (e.g., informational statement and 
document submission), and each failure to report as required under 49 
U.S.C. 30166, including a regulation, requirement, request or order 
issued thereunder, for which protection is sought, and
    (ii) The specific predicate under which the improper or omitted 
report should have been provided (e.g., the report was required by a 
specified regulation, NHTSA Information Request, or NHTSA Special 
Order).
    (2) Submit the complete and correct information that was required to 
be submitted but was improperly submitted or was not previously 
submitted, including relevant documents that were not previously 
submitted, or, if the person cannot do so, provide a detailed 
description of that information and/or the content of those documents 
and the reason why the individual cannot provide them to NHTSA (e.g., 
the information or documents are not in the individual's possession or 
control).
    (3) For a corporation, the submission must be signed by an 
authorized person (ordinarily, the individual officer or employee who 
submitted the improper report or who should have provided the

[[Page 272]]

report that the corporation failed to submit on behalf of the company, 
or someone in the company with authority to make such a submission).
    (4) Submissions must be made by a means which permits the sender to 
verify promptly that the report was in fact received by NHTSA and the 
day it was received by NHTSA.
    (5) Submit the report to Chief Counsel (NCC-10), National Highway 
Traffic Safety Administration, Room 5219, 400 Seventh Street, SW., 
Washington, DC 20590.

[65 FR 81419, Dec. 26, 2000, as amended at 66 FR 38384, July 24, 2001]



Sec.578.8  Civil penalty factors under 49 U.S.C. Chapter 301.

    (a) General civil penalty factors. This subsection interprets the 
terms nature, circumstances, extent, and gravity of the violation 
consistent with the factors in 49 U.S.C. 30165(c).
    (1) Nature of the violation means the essential, fundamental 
character or constitution of the violation. It includes but is not 
limited to the nature of a safety-related defect or noncompliance. It 
also includes what the violation involves.
    (2) Circumstances of the violation means the context, facts, and 
conditions having bearing on the violation.
    (3) Extent of the violation means the range of inclusiveness over 
which the violation extends including the scope, time frame and/or the 
degree of the violation. This includes the number of violations and 
whether the violations are related or unrelated.
    (4) Gravity of the violation means the importance, significance, 
and/or seriousness of the violation.
    (b) Discretionary civil penalty factors. Paragraph (b) of this 
section interprets the nine discretionary factors in 49 U.S.C. 
30165(c)(1) through (9) that NHTSA may apply in making civil penalty 
amount determinations.
    (1) The nature of the defect or noncompliance means the essential, 
fundamental characteristic or constitution of the defect or 
noncompliance. ``Defect'' is as defined in 49 U.S.C. 30102(a)(2). 
``Noncompliance'' under this factor includes a noncompliance with a 
Federal Motor Vehicle Safety Standard (``FMVSS''), as well as other 
violations subject to penalties under 49 U.S.C. 30165. When considering 
the nature of a safety-related defect or noncompliance with an FMVSS, 
NHTSA may examine the conditions or circumstances under which the defect 
or noncompliance arises, the performance problem, and actual and 
probable consequences of the defect or noncompliance. When considering 
the nature of the noncompliance with the Safety Act or a regulation 
promulgated thereunder, NHTSA may also examine the circumstances 
surrounding the violation.
    (2) Knowledge by the respondent of its obligations under this 
chapter means all knowledge, legal and factual, actual, presumed and 
constructive, of the respondent of its obligations under 49 U.S.C. 
Chapter 301. If a respondent is other than a natural person, including 
but not limited to a corporation or a partnership, then the knowledge of 
an employee or employees of that non-natural person may be imputed to 
that non-natural person. The knowledge of an agent may be imputed to a 
principal. A person, such as a corporation, with multiple employees may 
be charged with the knowledge of each employee, regardless of whether 
the employees have communicated that knowledge among each other, or to a 
decision maker for the non-natural person.
    (3) The severity of the risk of injury means the gravity of exposure 
to potential injury and includes the potential for injury or death of 
drivers, passengers, other motorists, pedestrians, and others. The 
severity of the risk includes the likelihood of an injury occurring and 
the population group exposed.
    (4) The occurrence or absence of injury means whether injuries or 
deaths have occurred as a result of a defect, noncompliance, or other 
violation of 49 U.S.C. Chapter 301 or Chapter 5 of Title 49 of the Code 
of Federal Regulations. NHTSA may also take into consideration 
allegations of death or injury. The absence of deaths or injuries shall 
not be dispositive of manufacturer's liability for civil penalties.
    (5) The number of motor vehicles or items of motor vehicle equipment 
distributed with the defect or noncompliance

[[Page 273]]

means the total number of vehicles or items of motor vehicle equipment 
distributed with the defect or noncompliance with an FMVSS or the 
percentage of vehicles or items of motor vehicle equipment of the 
subject population with the defect or noncompliance with an FMVSS. If 
multiple make, model and model years of motor vehicles are affected by 
the defect or noncompliance with an FMVSS, NHTSA may also consider the 
percentage of motor vehicles that contain the defect or noncompliance 
with an FMVSS as a percentage of the manufacturer's total annual 
production of vehicles. NHTSA may choose to make distinction between 
those defective or noncompliant products distributed in commerce that 
consumers received, and those defective or noncompliant products 
distributed in commerce that consumers have not received.
    (6) Actions taken by the respondent to identify, investigate, or 
mitigate the condition means actions actually taken, the time frame when 
those actions were taken, what those actions involved and how they 
ameliorated or otherwise related to the condition, what remained after 
those actions were taken, and the speed with which the actions were 
taken. A failure to act may also be considered. NHTSA may also consider 
whether the respondent has set up processes to facilitate timely and 
accurate reporting and timely investigation of potential safety issues, 
whether it has audited such processes, whether it has provided training 
to employees on the processes, and whether such processes were followed.
    (7) The appropriateness of such penalty in relation to the size of 
the business of the respondent, including the potential for undue 
adverse economic impacts. NHTSA takes the Small Business Regulatory 
Enforcement Fairness Act of 1996 into account. Upon a showing that a 
violator is a small entity, NHTSA may include, but is not limited to, 
requiring the small entity to correct the violation within a reasonable 
correction period, considering whether the violation was discovered 
through the participation by the small entity in a compliance assistance 
program sponsored by the agency, considering whether the small entity 
has been subject to multiple enforcement actions by the agency, 
considering whether the violations involve willful or criminal conduct, 
considering whether the violations pose serious health, safety or 
environmental threats, and requiring a good faith effort to comply with 
the law. NHTSA may also consider the effect of the penalty on ability of 
the person to continue to operate. NHTSA may consider a person's ability 
to pay, including in installments over time, any effect of a penalty on 
the respondent's ability to continue to do business, and relevant 
financial factors such as liquidity, solvency, and profitability. NHTSA 
may also consider whether the business has been deliberately 
undercapitalized.
    (8) Whether the respondent has been assessed civil penalties under 
this section during the most recent 5 years means whether the respondent 
has been assessed civil penalties, including a settlement agreement 
containing a penalty, a consent order or a lawsuit involving a penalty 
or payment of a civil penalty in the most recent 5 years from the date 
of the alleged violation, regardless of whether there was any admission 
of a violation or of liability, under 49 U.S.C. 30165.
    (9) Other appropriate factors means other factors not identified 
above, including but not limited to aggravating and mitigating factors 
relating to the violation, such as whether there is a history of 
violations, whether a person benefitted economically from a violation, 
the effect of the respondent's conduct on the integrity of programs 
administered by NHTSA, and whether there was a failure to respond in a 
complete and timely manner to requests for information or remedial 
action.

[81 FR 10528, Mar. 1, 2016]



PART 579_REPORTING OF INFORMATION AND COMMUNICATIONS ABOUT POTENTIAL
DEFECTS--Table of Contents



                            Subpart A_General

Sec.
579.1 Scope.
579.2 Purpose.
579.3 Application.
579.4 Terminology.

[[Page 274]]

579.5 Notices, bulletins, customer satisfaction campaigns, consumer 
          advisories, and other communications.
579.6 Address for submitting reports and other information.
579.7-579.10 [Reserved]

  Subpart B_Reporting of Safety Recalls and Other Safety Campaigns in 
                            Foreign Countries

579.11 Reporting responsibilities.
579.12 Contents of reports.
579.13-579.20 [Reserved]

            Subpart C_Reporting of Early Warning Information

579.21 Reporting requirements for manufacturers of 5,000 or more light 
          vehicles annually.
579.22 Reporting requirements for manufacturers of 100 or more buses, 
          manufacturers of 500 or more emergency vehicles and 
          manufacturers of 5,000 or more medium-heavy vehicles (other 
          than buses and emergency vehicles) annually.
579.23 Reporting requirements for manufacturers of 5,000 or more 
          motorcycles annually.
579.24 Reporting requirements for manufacturers of 5,000 or more 
          trailers annually.
579.25 Reporting requirements for manufacturers of child restraint 
          systems.
579.26 Reporting requirements for manufacturers of tires.
579.27 Reporting requirements for manufacturers of fewer than 100 buses 
          annually, for manufacturers of fewer than 500 emergency 
          vehicles annually, for manufacturers of fewer than 5,000 light 
          vehicles, medium-heavy vehicles (other than buses and 
          emergency vehicles), motorcycles or trailers annually, for 
          manufacturers of original equipment, and for manufacturers of 
          replacement equipment other than child restraint systems and 
          tires.
579.28 Due date of reports and other miscellaneous provisions.
579.29 Manner of reporting.

    Authority: 49 U.S.C. 30102-103, 30112, 30117-121, 30166-167; 
delegation of authority at 49 CFR 1.95 and 49 CFR 501.8.

    Source: 67 FR 45873, July 10, 2002, unless otherwise noted.



                            Subpart A_General



Sec.579.1  Scope.

    This part sets forth requirements for reporting information and 
submitting documents that may help identify defects related to motor 
vehicle safety and noncompliances with Federal motor vehicle safety 
standards, including reports of foreign safety recalls and other safety-
related campaigns conducted outside the United States under 49 U.S.C. 
30166(l), early warning information under 49 U.S.C. 30166(m), and copies 
of communications about defects and noncompliances under 49 U.S.C. 
30166(f).



Sec.579.2  Purpose.

    The purpose of this part is to enhance motor vehicle safety by 
specifying information and documents that manufacturers of motor 
vehicles and motor vehicle equipment must provide to NHTSA with respect 
to possible safety-related defects and noncompliances in their products, 
including the reporting of safety recalls and other safety campaigns 
that the manufacturer conducts outside the United States.

[67 FR 63310, Oct. 11, 2002]



Sec.579.3  Application.

    (a) This part applies to all manufacturers of motor vehicles and 
motor vehicle equipment with respect to all motor vehicles and motor 
vehicle equipment that have been offered for sale, sold, or leased in 
the United States by the manufacturer, including any parent corporation, 
any subsidiary or affiliate of the manufacturer, or any subsidiary or 
affiliate of any parent corporation, and with respect to all motor 
vehicles and motor vehicle equipment that have been offered for sale, 
sold, or leased in a foreign country by the manufacturer, including any 
parent corporation, any subsidiary or affiliate of the manufacturer, or 
any subsidiary or affiliate of any parent corporation, and are identical 
or substantially similar to any motor vehicles or motor vehicle 
equipment that have been offered for sale, sold, or leased in the United 
States.
    (b) In the case of any report required under subpart B of this part, 
compliance by the fabricating manufacturer, the importer, the brand name 
owner, or a parent or subsidiary of such fabricator, importer, or brand 
name owner of the motor vehicle or motor vehicle equipment that is 
identical or substantially similar to that covered by the

[[Page 275]]

foreign recall or other safety campaign, shall be considered compliance 
by all persons.
    (c) In the case of any report required under subpart C of this part, 
compliance by the fabricating manufacturer, the importer, the brand name 
owner, or a parent or United States subsidiary of such fabricator, 
importer, or brand name owner of the motor vehicle or motor vehicle 
equipment, shall be considered compliance by all persons.
    (d) With regard to any information required to be reported under 
subpart C of this part, an entity covered under paragraph (a) of this 
section need only review information and systems where information 
responsive to subpart C of this part is kept in the usual course of 
business.

[43 FR 38833, Aug. 31, 1978, as amended at 67 FR 63310, Oct. 11, 2002]



Sec.579.4  Terminology.

    (a) Statutory terms. The terms dealer, defect, distributor, motor 
vehicle, motor vehicle equipment, and State are used as defined in 49 
U.S.C. 30102.
    (b) Regulatory terms. The term Vehicle Identification Number (VIN) 
is used as defined in Sec.565.3(o) of this chapter. The terms bus, 
Gross Vehicle Weight Rating (GVWR), motorcycle, multipurpose passenger 
vehicle, passenger car, trailer, and truck are used as defined in Sec.
571.3(b) of this chapter. The term Booster seat is used as defined in S4 
of Sec.571.213 of this chapter. The term Tire Identification Number 
(TIN) is the ``tire identification number'' described in Sec.574.5 of 
this chapter. The term Limited production tire is used as defined in 
Sec.575.104(c)(2) of this chapter.
    (c) Other terms. The following terms apply to this part:
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration (NHTSA), or the Administrator's delegate.
    Affiliate means, in the context of an affiliate of or person 
affiliated with a specified person, a person that directly, or 
indirectly through one or more intermediates, controls or is controlled 
by, or is under common control with, the person specified. The term 
person usually is a corporation.
    Air bag means an air bag or other automatic occupant restraint 
device (other than a ``seat belt'' as defined in this subpart) installed 
in a motor vehicle that restrains an occupant in the event of a vehicle 
crash without requiring any action on the part of the occupant to obtain 
the benefit of the restraint. This term includes inflatable restraints 
(front and side air bags), knee bolsters, and any other automatic 
restraining device that may be developed that does not include a 
restraining belt or harness. This term also includes all air bag-related 
components, such as the inflator assembly, air bag module, control 
module, crash sensors and all hardware and software associated with the 
air bag. This term includes all associated switches, control units, 
connective elements (such as wiring harnesses, hoses, piping, etc.), and 
mounting elements (such as brackets, fasteners, etc.).
    Automatic brake controls means systems and devices for automatic 
control of the braking system, including but not limited to, brake-
assist components (vacuum booster, hydraulic modulator, etc.), antilock 
braking systems, traction control systems, and enhanced braking systems. 
The term includes all associated switches, control units, connective 
elements (such as wiring harnesses, hoses, piping, etc.), and mounting 
elements (such as brackets, fasteners, etc.).
    Backover prevention system means a system that has a visual image of 
the area directly behind a vehicle that is provided in a single location 
to the vehicle operator and by means of indirect vision.
    Base means the detachable bottom portion of a child restraint system 
that may remain in the vehicle to provide a base for securing the system 
to a seat in a motor vehicle.
    Bead means all the materials in a tire below the sidewalls in the 
rim contact area, including bead rubber components, the bead bundle and 
rubber coating if present, the body ply and its turn-up including the 
rubber coating, rubber, fabric, or metallic reinforcing materials, and 
the inner-liner rubber under the bead area.
    Brand name owner means a person that markets a motor vehicle or 
motor vehicle equipment under its own trade

[[Page 276]]

name whether or not it is the fabricator or importer of the vehicle or 
equipment.
    Buckle and restraint harness means the components of a child 
restraint system that are intended to restrain a child seated in such a 
system, including the belt webbing, buckles, buckle release mechanism, 
belt adjusters, belt positioning devices, and shields.
    Child restraint system means any system that meets, or is offered 
for sale in the United States as meeting, any definition in S4 of Sec.
571.213 of this chapter, or that is offered for sale as a child 
restraint system in a foreign country.
    Claim means a written request or written demand for relief, 
including money or other compensation, assumption of expenditures, or 
equitable relief, related to a motor vehicle crash, accident, the 
failure of a component or system of a vehicle or an item of motor 
vehicle equipment, or a fire originating in or from a motor vehicle or a 
substance that leaked from a motor vehicle. Claim includes, but is not 
limited to, a demand in the absence of a lawsuit, a complaint initiating 
a lawsuit, an assertion or notice of litigation, a settlement, covenant 
not to sue or release of liability in the absence of a written demand, 
and a subrogation request. A claim exists regardless of any denial or 
refusal to pay it, and regardless of whether it has been settled or 
resolved in the manufacturer's favor. The existence of a claim may not 
be conditioned on the receipt of anything beyond the document(s) stating 
a claim. Claim does not include demands related to asbestos exposure, to 
emissions of volatile organic compounds from vehicle interiors, or to 
end-of-life disposal of vehicles, parts or components of vehicles, 
equipment, or parts or components of equipment.
    Common green tires means tires that are produced to the same 
internal specifications but that have, or may have, different external 
characteristics and may be sold under different tire line names.
    Compressed natural gas (CNG) means a system that uses compressed 
natural gas to propel a motor vehicle.
    Compression ignition fuel (CIF) means a system that uses diesel or 
any diesel-based fuels to propel a motor vehicle. This includes 
biodiesel.
    Consumer complaint means a communication of any kind made by a 
consumer (or other person) to or with a manufacturer addressed to the 
company, an officer thereof or an entity thereof that handles consumer 
matters, a manufacturer website that receives consumer complaints, a 
manufacturer electronic mail system that receives such information at 
the corporate level, or that are otherwise received by a unit within the 
manufacturer that receives consumer inquiries or complaints, including 
telephonic complaints, expressing dissatisfaction with a product, or 
relating the unsatisfactory performance of a product, or any actual or 
potential defect in a product, or any event that allegedly was caused by 
any actual or potential defect in a product, but not including a claim 
of any kind or a notice involving a fatality or injury.
    Control (including the terms controlling, controlled by, and under 
common control with) means the possession, direct or indirect, of the 
power to direct or cause the direction of the management and policies of 
a person, whether through the ownership of voting securities, by 
contract, or otherwise.
    Customer satisfaction campaign, consumer advisory, recall, or other 
activity involving the repair or replacement of motor vehicles or motor 
vehicle equipment means any communication by a manufacturer to, or made 
available to, more than one dealer, distributor, lessor, lessee, other 
manufacturer, or owner, whether in writing or by electronic means, 
relating to repair, replacement, or modification of a vehicle, component 
of a vehicle, item of equipment, or a component thereof, the manner in 
which a vehicle or child restraint system is to be maintained or 
operated (excluding promotional and marketing materials, customer 
satisfaction surveys, and operating instructions or owner's manuals that 
accompany the vehicle or child restraint system at the time of first 
sale); or advice or direction to a dealer or distributor to cease the 
delivery or sale of specified models of vehicles or equipment.

[[Page 277]]

    Dealer field report means a field report from a dealer or authorized 
service facility of a manufacturer of motor vehicles or motor vehicle 
equipment.
    Electric battery power (EBP) means a system that uses only batteries 
to power an electric motor to propel a motor vehicle.
    Electrical system means any electrical or electronic component of a 
motor vehicle that is not included in one of the other reporting 
categories enumerated in subpart C of this part, and specifically 
includes the battery, battery cables, alternator, fuses, and main body 
wiring harnesses of the motor vehicle and the ignition system, including 
the ignition switch and starter motor. The term also includes all 
associated switches, control units, connective elements (such as wiring 
harnesses, hoses, piping, etc.), and mounting elements (such as 
brackets, fasteners, etc.).
    Electronic stability control system for light vehicles is used as 
defined in S4. of Sec.571.126 of this chapter.
    Electronic stability control system for buses, emergency vehicles, 
and medium/heavy vehicles means a system that has all the following 
attributes:
    (i) Augments vehicle directional stability by applying and adjusting 
the vehicle brake torques individually at each wheel position on at 
least one front and at least one rear axle of the vehicle to induce 
correcting yaw moment to limit vehicle oversteer and to limit vehicle 
understeer;
    (ii) Enhances rollover stability by applying and adjusting the 
vehicle brake torques individually at each wheel position on at least 
one front and at least one rear axle of the vehicle to reduce lateral 
acceleration of a vehicle;
    (iii) Is computer-controlled with the computer using a closed-loop 
algorithm to induce correcting yaw moment and enhance rollover 
stability;
    (iv) Has a means to determine the vehicle's lateral acceleration;
    (v) Has a means to determine the vehicle's yaw rate and to estimate 
its side slip or side slip derivative with respect to time;
    (vi) Has a means to estimate vehicle mass or, if applicable, 
combination vehicle mass;
    (vii) Has a means to monitor driver steering input;
    (viii) Has a means to modify engine torque, as necessary, to assist 
the driver in maintaining control of the vehicle and/or combination 
vehicle; and
    (ix) Can provide brake pressure to automatically apply on a truck 
tractor and modulate the brake torques of a towed semi-trailer.
    Engine and engine cooling means the component (e.g., motor) of a 
motor vehicle providing motive power to the vehicle, and includes the 
exhaust system (including the exhaust emission system), the engine 
control unit, engine lubrication system, and the underhood cooling 
system for that engine. This term also includes all associated switches, 
control units, connective elements (such as wiring harnesses, hoses, 
piping, etc.), and mounting elements (such as brackets, fasteners, 
etc.).
    Equipment comprises original and replacement equipment: (i) Original 
equipment means an item of motor vehicle equipment (other than a tire) 
that was installed in or on a motor vehicle at the time of its delivery 
to the first purchaser if 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 the item of equipment was installed by the dealer 
or distributor with the express authorization of the motor vehicle 
manufacturer.
    (ii) Replacement equipment means motor vehicle equipment other than 
original equipment, and tires.
    Exterior lighting mean all the exterior lamps (including any 
interior-mounted center highmounted stop lamp if mounted in the interior 
of a vehicle), lenses, reflectors, and associated equipment of a motor 
vehicle, including all associated switches, control units, connective 
elements (such as wiring harnesses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Field report means a communication in writing, including 
communications in electronic form, from an employee or representative of 
a manufacturer of

[[Page 278]]

motor vehicles or motor vehicle equipment, a dealer or authorized 
service facility of such manufacturer, or an entity known to the 
manufacturer as owning or operating a fleet, to the manufacturer 
regarding the failure, malfunction, lack of durability, or other 
performance problem of a motor vehicle or motor vehicle equipment, or 
any part thereof, produced for sale by that manufacturer and transported 
beyond the direct control of the manufacturer, regardless of whether 
verified or assessed to be lacking in merit, but does not include any 
document covered by the attorney-client privilege or the work product 
exclusion.
    Fire means combustion or burning of material in or from a vehicle as 
evidenced by flame. The term also includes, but is not limited to, 
thermal events and fire-related phenomena such as smoke and melt, but 
does not include events and phenomena associated with a normally 
functioning vehicle such as combustion of fuel within an engine or 
exhaust from an engine.
    Fleet means more than ten motor vehicles of the same make, model, 
and model year.
    Foreign country means a country other than the United States.
    Foreign government means the central government of a foreign country 
as well as any political subdivision of that country.
    Forward collision avoidance system means
    (i) A system that:
    (A) Has an algorithm or software to determine distance and relative 
speed of an object or another vehicle directly in the forward lane of 
travel; and
    (B) Provides an audible, visible, and/or haptic warning to the 
driver of a potential collision with an object in the vehicle's forward 
travel lane.
    (ii) The system may also include a feature that:
    (A) Pre-charges the brakes prior to, or immediately after, a warning 
is issued to the driver;
    (B) Closes all windows, retracts the seat belts, and/or moves 
forward any memory seats in order to protect the vehicle's occupants 
during or immediately after a warning is issued; or
    (C) Applies any type of braking assist or input during or 
immediately after a warning is issued.
    Foundation brake system means all components of the service braking 
system of a motor vehicle intended for the transfer of braking 
application force from the operator to the wheels of a vehicle, 
including components such as the brake pedal, master cylinder, fluid 
lines and hoses, brake calipers, wheel cylinders, brake discs, brake 
drums, brake pads, brake shoes, and other related equipment installed in 
a motor vehicle in order to comply with FMVSS Nos. 105, 121, 122, or 135 
(except equipment relating specifically to the parking brake). The term 
includes all associated switches, control units, connective elements 
(such as wiring harnesses, hoses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Fuel and/or propulsion system type means the variety of fuel and/or 
propulsion systems used in a motor vehicle, as follows: compressed 
natural gas (CNG); compression ignition fuel (CIF); electric battery 
power (EBP); fuel-cell power (FCP); hybrid electric vehicle (HEV); 
hydrogen combustion power (HCP); plug-in hybrid (PHV); spark ignition 
fuel (SIF); other (OTH), and unknown (UNK).
    Fuel-cell power (FCP) means a system that uses fuel cells to 
generate electricity to power an electric motor to propel a motor 
vehicle.
    Fuel system means all components of a motor vehicle used to receive 
and store fuel, and to transfer fuel between the vehicle's fuel storage, 
engine, or fuel emission systems. This term includes, but is not limited 
to, the fuel tank and filler cap, neck, and pipe, along with associated 
piping, hoses, and clamps, the fuel pump, fuel lines, connectors from 
the fuel tank to the engine, the fuel injection/carburetion system 
(including fuel injector rails and injectors), and the fuel vapor 
recovery system(s), canister(s), and vent lines. The term also includes 
all associated switches, control units, connective elements (such as 
wiring harnesses, hoses, piping, etc.), and mounting elements (such as 
brackets, fasteners, etc.).

[[Page 279]]

    Good will means the repair or replacement of a motor vehicle or item 
of motor vehicle equipment, including labor, paid for by the 
manufacturer, at least in part, when the repair or replacement is not 
covered under warranty, or under a safety recall reported to NHTSA under 
part 573 of this chapter.
    Handle means any element of a child restraint system that is 
designed to facilitate carrying the restraint outside a motor vehicle, 
other than an element of the seat shell.
    Hybrid electric vehicle (HEV) means a system that uses a combination 
of an electric motor and internal combustion engine to propel a motor 
vehicle but is not capable of recharging its batteries by plugging in to 
an external electric current.
    Hydrogen combustion power (HCP) means a system that uses hydrogen to 
propel a vehicle through means other than a fuel cell.
    Incomplete light vehicle means an incomplete vehicle as defined in 
Sec.568.3 of this chapter which, when completed, will be a light 
vehicle.
    Integrated child restraint system means a factory-installed built-in 
child restraint system as defined in S4 of Sec.571.213 of this chapter 
and includes any factory-authorized built-in child restraint system.
    Lane departure prevention system means
    (i) A system that:
    (A) Has an algorithm or software to determine the vehicle's position 
relative to the lane markers and the vehicle's projected direction; and
    (B) Provides an audible, visible, and/or haptic warning to the 
driver of unintended departure from a travel lane.
    (ii) The system may also include a feature that:
    (A) Applies the vehicle's stability control system to assist the 
driver to maintain lane position during or immediately after the warning 
is issued;
    (B) Applies any type of steering input to assist the driver to 
maintain lane position during or immediately after the warning is 
issued; or
    (C) Applies any type of braking pressure or input to assist the 
driver to maintain lane position during or immediately after the warning 
is issued.
    Latch means a latching, locking, or linking system of a motor 
vehicle and all its components fitted to a vehicle's exterior doors, 
rear hatch, liftgate, tailgate, trunk, or hood. This term also includes, 
but is not limited to, devices for the remote operation of a latching 
device such as remote release cables (and associated components), 
electric release devices, or wireless control release devices, and 
includes all components covered in FMVSS No. 206. This term also 
includes all associated switches, control units, connective elements 
(such as wiring harnesses, hoses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Light vehicle means any motor vehicle, except a bus, motorcycle, or 
trailer, with a GVWR of 10,000 lbs or less.
    Make means a name that a manufacturer applies to a group of 
vehicles.
    Manufacturer means a person manufacturing or assembling motor 
vehicles or motor vehicle equipment, or importing motor vehicles or 
motor vehicle equipment for resale. This term includes any parent 
corporation, any subsidiary or affiliate, and any subsidiary or 
affiliate of a parent corporation of such a person.
    Medium-heavy vehicle means any motor vehicle, except a trailer, with 
a GVWR greater than 10,000 lbs.
    Minimal specificity means:
    (i) For a vehicle, the make, model, and model year,
    (ii) For a child restraint system, the manufacturer and the model 
(either the model name or model number),
    (iii) For a tire, the manufacturer, tire line, and tire size, and
    (iv) For other motor vehicle equipment, the manufacturer and, if 
there is a model or family of models identified on the item of 
equipment, the model name or model number.
    Model means a name that a manufacturer of motor vehicles applies to 
a family of vehicles within a make which have a degree of commonality in 
construction, such as body, chassis or cab type. For equipment other 
than child restraint systems, it means the name that the manufacturer 
uses to designate it. For child restraint systems, it means the name 
that the manufacturer uses to identify child restraint systems with the 
same seat shell,

[[Page 280]]

buckle, base (if so equipped) and restraint system.
    Model year means the year that a manufacturer uses to designate a 
discrete model of vehicle, irrespective of the calendar year in which 
the vehicle was manufactured. If the manufacturer has not assigned a 
model year, it means the calendar year in which the vehicle was 
manufactured.
    Notice means a document, other than a media article, that does not 
include a demand for relief, and that a manufacturer receives from a 
person other than NHTSA.
    Other safety campaign means an action in which a manufacturer 
communicates with owners and/or dealers in a foreign country with 
respect to conditions under which motor vehicles or equipment should be 
operated, repaired, or replaced that relate to safety (excluding 
promotional and marketing materials, customer satisfaction surveys, and 
operating instructions or owner's manuals that accompany the vehicle or 
child restraint system at the time of first sale); or advice or 
direction to a dealer or distributor to cease the delivery or sale of 
specified models of vehicles or equipment.
    Parking brake means a mechanism installed in a motor vehicle which 
is designed to prevent the movement of a stationary motor vehicle, 
including all associated switches, control units, connective elements 
(such as wiring harnesses, hoses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Platform means the basic structure of a vehicle including, but not 
limited to, the majority of the floorpan or undercarriage, and elements 
of the engine compartment. The term includes a structure that a 
manufacturer designates as a platform. A group of vehicles sharing a 
common structure or chassis shall be considered to have a common 
platform regardless of whether such vehicles are of the same type, are 
of the same make, or are sold by the same manufacturer.
    Plug-in hybrid (PHV) means a system that combines an electric motor 
and an internal combustion engine to propel a motor vehicle and is 
capable of recharging its batteries by plugging in to an external 
electric current.
    Power train means the components or systems of a motor vehicle which 
transfer motive power from the engine to the wheels, including the 
transmission (manual and automatic), gear selection devices and 
associated linkages, clutch, constant velocity joints, transfer case, 
driveline, differential(s), and all driven axle assemblies. This term 
includes all associated switches, control units, connective elements 
(such as wiring harnesses, hoses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Product evaluation report means a field report prepared by, and 
containing the observations or comments of, a manufacturer's employee 
who submitted the report concerning the operation or performance of a 
vehicle or child restraint system as part of the employee's personal use 
of the vehicle or child restraint system under a manufacturer's program 
authorizing such use, but does not include a report by an employee who 
has been granted personal use of a vehicle or child restraint system for 
the specific purpose of facilitating the employee's technical or 
engineering evaluation of a known or suspected problem with that vehicle 
or child restraint system.
    Production year means, for equipment and tires, the calendar year in 
which the item was produced.
    Property damage means physical injury to tangible property.
    Property damage claim means a claim for property damage, excluding 
that part of a claim, if any, pertaining solely to damage to a component 
or system of a vehicle or an item of equipment itself based on the 
alleged failure or malfunction of the component, system, or item, and 
further excluding matters addressed under warranty.
    Rear-facing infant seat means a child restraint system that is 
designed to position a child to face only in the direction opposite to 
the normal direction of travel of the motor vehicle.
    Reporting period means a calendar quarter of a year, unless 
otherwise stated.
    Roll stability control system means a system that:
    (i) Enhances rollover stability by applying and adjusting the 
vehicle brake

[[Page 281]]

torques to reduce lateral acceleration of a vehicle;
    (ii) Is computer-controlled with the computer using a closed-loop 
algorithm to enhance rollover stability;
    (iii) Has a means to determine the vehicle's lateral acceleration;
    (iv) Has a means to determine the vehicle mass or, if applicable, 
combination vehicle mass;
    (v) Has a means to modify engine torque, as necessary, to assist the 
driver in maintaining rollover stability of the vehicle and/or 
combination vehicle; and
    (vi) Can provide brake pressure to automatically apply on a truck 
tractor and modulate the brake torques of a towed semi-trailer.
    Rollover means a single-vehicle crash in which a motor vehicle 
rotates on its longitudinal axis to at least 90 degrees, regardless of 
whether it comes to rest on its wheels.
    Safety recall means an offer by a manufacturer to owners of motor 
vehicles or equipment in a foreign country to provide remedial action to 
address a defect that relates to motor vehicle safety or a failure to 
comply with an applicable safety standard or guideline, whether or not 
the manufacturer agrees to pay the full cost of the remedial action.
    Seats means all components of a motor vehicle that are subject to 
FMVSS Nos. 202, 207, and 209, including all electrical and electronic 
components within the seat that are related to seat positioning, 
heating, and cooling. This term also includes all associated switches, 
control units, connective elements (such as wiring harnesses, hoses, 
piping, etc.), and mounting elements (such as brackets, fasteners, 
etc.).
    Seat belts means any belt system, other than an air bag, that may or 
may not require the occupant to latch, fasten, or secure the components 
of the seat belt/webbing based restraint system to ready its use for 
protection of the occupant in the event of a vehicle crash. This term 
includes the webbing, buckle, anchorage, retractor, belt pretensioner 
devices, load limiters, and all components, hardware and software 
associated with an automatic or manual seat belt system addressed by 
FMVSS No. 209 or 210. This term also includes integrated child restraint 
systems in vehicles, and includes any device (and all components of that 
device), installed in a motor vehicle in accordance with FMVSS No. 213, 
which is designed for use as a safety restraint device for a child too 
small to use a vehicle's seat belts. This term includes all vehicle 
components installed in accordance with FMVSS No. 225. This term also 
includes all associated switches, control units, connective elements 
(such as wiring harnesses, hoses, piping, etc.), and mounting elements 
(such as brackets, fasteners, etc.).
    Seat shell means the portion of a child restraint system that 
provides the structural shape, form and support for the system, and for 
other components of the system such as belt attachment points, and 
anchorage points to allow the system to be secured to a passenger seat 
in a motor vehicle, but not including a shield.
    Service brake system means all components of the service braking 
system of a motor vehicle intended for the transfer of braking 
application force from the operator to the wheels of a vehicle, 
including the foundation braking system, such as the brake pedal, master 
cylinder, fluid lines and hoses, braking assist components, brake 
calipers, wheel cylinders, brake discs, brake drums, brake pads, brake 
shoes, and other related equipment installed in a motor vehicle in order 
to comply with FMVSS Nos. 105, 121, 122, or 135 (except equipment 
relating specifically to a parking brake). This term also includes 
systems and devices for automatic control of the brake system such as 
antilock braking, traction control, and enhanced braking, but does not 
include systems or devices necessary only for electronic stability 
control, or roll stability control. The term includes all associated 
switches, control units, connective elements (such as wiring harnesses, 
hoses, piping, etc.), and mounting elements (such as brackets, 
fasteners, etc.).
    Sidewall means the area of a tire between the tread and the bead 
area, including the sidewall rubber components, the body ply and its 
coating rubber under the side area, and the inner-

[[Page 282]]

liner rubber under the body ply in the side area.
    Spark ignition fuel (SIF) means, in the context of reporting fuel 
and/or propulsion system type, a system that uses gasoline, ethanol, or 
methanol based fuels to propel a motor vehicle.
    SKU (Stock Keeping Unit) means the alpha-numeric designation 
assigned by a manufacturer to uniquely identify a tire product. This 
term is sometimes referred to as a product code, a product ID, or a part 
number.
    Steering system means all steering control system components, 
including the steering system mechanism and its associated hardware, the 
steering wheel, steering column, steering shaft, linkages, joints 
(including tie-rod ends), steering dampeners, and power steering assist 
systems. This term includes a steering control system as defined by 
FMVSS No. 203 and any subsystem or component of a steering control 
system, including those components defined in FMVSS No. 204. This term 
also includes all associated switches, control units, connective 
elements (such as wiring harnesses, hoses, piping, etc.), and mounting 
elements (such as brackets, fasteners, etc.).
    Structure means any part of a motor vehicle that serves to maintain 
the shape and size of the vehicle, including the frame, the floorpan, 
the body, bumpers, doors, tailgate, hatchback, trunk lid, hood, and 
roof. The term also includes all associated mounting elements (such as 
brackets, fasteners, etc.).
    Suspension system means all components and hardware associated with 
a motor vehicle suspension system, including the associated control 
arms, steering knuckles, spindles, joints, bushings, ball joints, 
springs, shock absorbers, stabilizer (anti sway) bars, and bearings that 
are designed to minimize the impact on the vehicle chassis of shocks 
from road surface irregularities that may be transmitted through the 
wheels, and to provide stability when the vehicle is being operated 
through a range of speed, load, and dynamic conditions. The term also 
includes all electronic control systems and mechanisms for active 
suspension control, as well as all associated components such as 
switches, control units, connective elements (such as wiring harnesses, 
hoses, piping, etc.), and mounting elements (such as brackets, 
fasteners, etc.).
    Tire means an item of motor vehicle equipment intended to interface 
between the road and a motor vehicle. The term includes all the tires of 
a vehicle, including the spare tire. For purposes of Sec. Sec.579.21 
through 579.24 and Sec.579.27 of this part, this term also includes 
the tire inflation valves, tubes, and tire pressure monitoring and 
regulating systems, as well as all associated switches, control units, 
connective elements (such as wiring harnesses, hoses, piping, etc.), and 
mounting elements (such as brackets, fasteners, etc.).
    Tire line means the entire name used by a tire manufacturer to 
designate a tire product including all prefixes and suffixes as they 
appear on the sidewall of a tire.
    Trailer hitch means all coupling systems, devices, and components 
thereof, designed to join or connect any two motor vehicles. This term 
also includes all associated switches, control units, connective 
elements (such as wiring harnesses, hoses, piping, etc.), and mounting 
elements (such as brackets, fasteners, etc.).
    Tread (also known as crown) means all materials in the tread area of 
a tire including the rubber that makes up the tread, the sub-base 
rubber, when present, between the tread base and the top of the belts, 
the belt material, either steel and/or fabric, and the rubber coating of 
the same including any rubber inserts, the body ply and its coating 
rubber under the tread area of the tire, and the inner-liner rubber 
under the tread.
    Type means, in the context of a light vehicle, a vehicle certified 
by its manufacturer pursuant to Sec.567.4(g)(7) of this chapter as a 
passenger car, multipurpose passenger vehicle, or truck, or a vehicle 
identified by its manufacturer as an incomplete vehicle pursuant to 
Sec.568.4 of this chapter. In the context of a medium heavy vehicle 
and bus, it means one of the following categories: Truck, tractor, 
transit bus, school bus, coach, recreational vehicle, emergency vehicle, 
or other. In the context of a trailer, it means one of the following

[[Page 283]]

categories: Recreational trailers, van trailers, flatbed trailer, 
trailer converter dolly, lowbed trailer, dump trailer, tank trailer, dry 
bulk trailer, livestock trailer, boat trailer, auto transporter, or 
other. In the context of a child restraint system, it means the category 
of child restraint system selected from one of the following: rear-
facing infant seat, booster seat, or other.
    Vehicle speed control means the systems and components of a motor 
vehicle that control vehicle speed either by command of the operator or 
by automatic control, including, but not limited, to the accelerator 
pedal, linkages, cables, springs, speed control devices (such as cruise 
control) and speed limiting devices. This term includes, but is not 
limited to the items addressed by FMVSS No. 124 and all associated 
switches, control units, connective elements (such as wiring harnesses, 
hoses, piping, etc.), and mounting elements (such as brackets, 
fasteners, etc.).
    Visibility means the systems and components of a motor vehicle 
through which a driver views the surroundings of the vehicle including 
windshield, side windows, back window, and rear view mirrors, and 
systems and components used to wash and wipe windshields and back 
windows. This term includes those vehicular systems and components that 
can affect the ability of the driver to clearly see the roadway and 
surrounding area, such as the systems and components identified in FMVSS 
Nos. 103, 104, and 111. This term also includes the defogger, defroster 
system, the heater core, blower fan, windshield wiper systems, mirrors, 
windows and glazing material, heads-up display (HUD) systems, and 
exterior view-based television systems for medium-heavy vehicles, but 
does not include exterior view-based television systems for light 
vehicles which are defined under ``Backover prevention system'' and 
exterior lighting systems which are defined under ``Lighting.'' This 
term includes all associated switches, control units, connective 
elements (such as wiring harnesses, hoses, piping, etc.), and mounting 
elements (such as brackets, fasteners, etc.).
    Warranty means any written affirmation of fact or written promise 
made in connection with the sale or lease of a motor vehicle or motor 
vehicle equipment by a manufacturer to a buyer or lessee that relates to 
the nature of the material or workmanship and affirms or promises that 
such material or workmanship is defect free or will meet a specified 
level of performance over a specified period of time (including any 
extensions of such specified period of time), or any undertaking in 
writing in connection with the sale or lease by a manufacturer of a 
motor vehicle or item of motor vehicle equipment to refund, repair, 
replace, or take other remedial action with respect to such product in 
the event that such product fails to meet the specifications set forth 
in the undertaking.
    Warranty adjustment means any payment or other restitution, such as, 
but not limited to, replacement, repair, credit, or cash refund, made by 
a tire manufacturer to a consumer or to a dealer, in reimbursement for 
payment or other restitution to a consumer, pursuant to a warranty 
program offered by the manufacturer or goodwill.
    Warranty claim means any claim paid by a manufacturer, including 
provision of a credit, pursuant to a warranty program, an extended 
warranty program, or good will. It does not include claims for 
reimbursement for costs or related expenses for work performed to remedy 
a safety-related defect or noncompliance reported to NHTSA under part 
573 of this chapter, or in connection with a motor vehicle emissions-
related recall under the Clean Air Act or in accordance with State law 
as authorized under 42 U.S.C. 7543(b) or 7507.
    Wheel means the assembly or component of a motor vehicle to which a 
tire is mounted. The term includes any item of motor vehicle equipment 
used to attach the wheel to the vehicle, including inner cap nuts and 
the wheel studs, bolts, and nuts.
    Work product means a document in the broad sense of the word, 
prepared in anticipation of litigation where there is a reasonable 
prospect of litigation and not for some other purpose such as a business 
practice, and prepared or requested by an attorney or an agent for an 
attorney.

[[Page 284]]

    (d) Identical or substantially similar motor vehicle, item of motor 
vehicle equipment, or tire. (1) A motor vehicle sold or in use outside 
the United States is identical or substantially similar to a motor 
vehicle sold or offered for sale in the United States if--
    (i) Such a vehicle has been sold in Canada or has been certified as 
complying with the Canadian Motor Vehicle Safety Standards;
    (ii) Such a vehicle is listed in the VSP or VSA columns of appendix 
A to part 593 of this chapter;
    (iii) Such a vehicle is manufactured in the United States for sale 
in a foreign country; or
    (iv) Such a vehicle uses the same vehicle platform as a vehicle sold 
or offered for sale in the United States.
    (2) An item of motor vehicle equipment sold or in use outside the 
United States is identical or substantially similar to equipment sold or 
offered for sale in the United States if such equipment and the 
equipment sold or offered for sale in the United States have one or more 
components or systems that are the same, and the component or system 
performs the same function in vehicles or equipment sold or offered for 
sale in the United States, regardless of whether the part numbers are 
identical.
    (3) A tire sold or in use outside the United States is substantially 
similar to a tire sold or offered for sale in the United States if it 
has the same size, speed rating, load index, load range, number of plies 
and belts, and similar ply and belt construction and materials, 
placement of components, and component materials, irrespective of plant 
of manufacture or tire line.

[43 FR 38833, Aug. 31, 1978, as amended at 67 FR 63310, Oct. 11, 2002; 
68 FR 4113, Jan. 28, 2003; 68 FR 18142, Apr. 15, 2003; 68 FR 35142, June 
11, 2003; 69 FR 20557, Apr. 16, 2004; 72 FR 29443, May 29, 2007; 74 FR 
47757, Sept. 17, 2009; 78 FR 51423, Aug. 20, 2013; 79 FR 43679, July 28, 
2014]



Sec.579.5  Notices, bulletins, customer satisfaction campaigns, 
consumer advisories, and other communications.

    (a) Each manufacturer shall furnish to NHTSA's Early Warning 
Division (NVS-217) 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 
communiqu[eacute]s and product improvement bulletins) other than those 
required to be submitted pursuant to Sec.573.6(c)(10) of this chapter, 
sent to more than one manufacturer, distributor, dealer, lessor, lessee, 
owner, or purchaser, in the United States, 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.
    (b) Each manufacturer shall furnish to NHTSA a copy of each 
communication relating to a customer satisfaction campaign, consumer 
advisory, recall, or other safety activity involving the repair or 
replacement of motor vehicles or equipment, that the manufacturer issued 
to, or made available to, more than one dealer, distributor, lessor, 
lessee, other manufacturer, owner, or purchaser, in the United States.
    (c) If a notice or communication is required to be submitted under 
both paragraphs (a) and (b) of this section, it need only be submitted 
once.
    (d) Each copy shall be in readable form and shall be submitted not 
later than five working days after the end of the month in which it is 
issued. However, a document described in paragraph (b) of this section 
and issued before July 1, 2003, need not be submitted.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18142, Apr. 15, 2003; 
68 FR 35147, June 11, 2003; 69 FR 49823, Aug. 12, 2004; 72 FR 32017, 
June 11, 2007]



Sec.579.6  Address for submitting reports and other information.

    (a) Except as provided by paragraph (b) of this section, 
information, reports, and documents required to be submitted to NHTSA 
pursuant to this part may be submitted by mail, by facsimile, or by e-
mail. If submitted by mail, they must be addressed to the Associate 
Administrator for Enforcement, National Highway Traffic Safety 
Administration, Attention: Early Warning Division (NVS-217), 1200 New

[[Page 285]]

Jersey Avenue, SE., Washington, DC 20590. If submitted by facsimile, 
they must be addressed to the Associate Administrator for Enforcement 
and transmitted to (202) 366-7882. If submitted by e-mail, submissions 
under subpart B of this part must be submitted to [email protected] and 
submissions under Sec.579.5 must be submitted to [email protected].
    (b)(1) Information, documents and reports that are submitted to 
NHTSA's early warning data repository must be submitted in accordance 
with Sec.579.29 of this part. Submissions must be made by a means that 
permits the sender to verify that the report was in fact received by 
NHTSA and the day it was received by NHTSA.
    (2) The annual list of substantially similar vehicles submitted 
pursuant to Sec.579.11(e) of this part shall be submitted to NHTSA's 
early warning data repository identified on NHTSA's Web page http://www-
odi.nhtsa.dot.gov/ewr/ewr.cfm. A manufacturer shall use the template 
provided at the early warning Web site, also identified on NHTSA's Web 
page http://www-odi.nhtsa.dot.gov/ewr/xls.cfm, for submitting the list.

[68 FR 4113, Jan. 28, 2003, as amended at 72 FR 32017, June 11, 2007; 78 
FR 51424, Aug. 20, 2013]



Sec. Sec.579.7-579.10  [Reserved]



  Subpart B_Reporting of Safety Recalls and Other Safety Campaigns in 
                            Foreign Countries

    Source: 67 FR 63310, Oct. 11, 2002, unless otherwise noted.



Sec.579.11  Reporting responsibilities.

    (a) Determination by a manufacturer. Not later than 5 working days 
after a manufacturer determines to conduct a safety recall or other 
safety campaign in a foreign country covering a motor vehicle, item of 
motor vehicle equipment, or tire that is identical or substantially 
similar to a vehicle, item of equipment, or tire sold or offered for 
sale in the United States, the manufacturer shall report the 
determination to NHTSA. For purposes of this paragraph, this period is 
determined by reference to the general business practices of the office 
in which such determination is made, and the office reporting to NHTSA.
    (b) Determination by a foreign government. Not later than 5 working 
days after a manufacturer receives written notification that a foreign 
government has determined that a safety recall or other safety campaign 
must be conducted in its country with respect to a motor vehicle, item 
of motor vehicle equipment, or tire that is identical or substantially 
similar to a vehicle, item of equipment, or tire sold or offered for 
sale in the United States, the manufacturer shall report the 
determination to NHTSA. For purposes of this paragraph, this period is 
determined by reference to the general business practices of the office 
where the manufacturer receives such notification, the manufacturer's 
international headquarters office (if involved), and the office 
reporting to NHTSA.
    (c) One-time historical reporting. Not later than 30 calendar days 
after November 12, 2002, a manufacturer that has made a determination to 
conduct a recall or other safety campaign in a foreign country, or that 
has received written notification that a foreign government has 
determined that a safety recall or other safety campaign must be 
conducted in its country in the period between November 1, 2000 and 
November 12, 2002, and that has not reported such determination or 
notification of determination to NHTSA in a report that identified the 
model(s) and model year(s) of the vehicles, equipment, or tires that 
were the subject of the foreign recall or other safety campaign, the 
model(s) and model year(s) of the vehicles, equipment, or tires that 
were identical or substantially similar to the subject of the recall or 
campaign, and the defect or other condition that led to the foreign 
recall or campaign, as of November 12, 2002, shall report such 
determination or notification of determination to NHTSA if the safety 
recall or other safety campaign covers a motor vehicle, item of motor 
vehicle equipment, or tire that is identical or substantially similar to 
a vehicle, item of equipment, or tire sold or offered for sale in the 
United States. However, a report need not be resubmitted under this 
paragraph if the original report identified the

[[Page 286]]

model(s) and model year(s) of the vehicles, equipment, or tires that 
were the subject of the foreign recall or other safety campaign, 
identified the model(s) and model year(s) of the identical or 
substantially similar products in the United States, and identified the 
defect or other condition that led to the foreign recall or other safety 
campaign.
    (d) Exemptions from reporting. Notwithstanding paragraphs (a), (b), 
and (c) of this section a manufacturer need not report a foreign safety 
recall or other safety campaign to NHTSA if:
    (1) The manufacturer has determined that for the same or 
substantially similar reasons relating to motor vehicle safety that it 
is conducting a safety recall or other safety campaign in a foreign 
country, a safety-related defect or noncompliance with a Federal motor 
vehicle safety standard exists in identical or substantially similar 
motor vehicles, motor vehicle equipment, or tires sold or offered for 
sale in the United States, and has filed a defect or noncompliance 
information report pursuant to part 573 of this chapter, provided that 
the scope of the foreign recall or campaign is not broader than the 
scope of the recall campaign in the United States;
    (2) The component or system that gave rise to the foreign recall or 
other campaign does not perform the same function in any substantially 
similar vehicles or equipment sold or offered for sale in the United 
States; or
    (3) The sole subject of the foreign recall or other campaign is a 
label affixed to a vehicle, item of equipment, or a tire.
    (e) Annual list of substantially similar vehicles. Not later than 
November 1 of each year, each manufacturer of motor vehicles that sells 
or offers a motor vehicle for sale in the United States shall submit to 
NHTSA a document that identifies both each model of motor vehicle that 
the manufacturer sells or plans to sell during the following year in a 
foreign country that the manufacturer believes is identical or 
substantially similar to a motor vehicle sold or offered for sale in the 
United States (or to a motor vehicle that is planned for sale in the 
United States in the following year), and each such identical or 
substantially similar motor vehicle sold or offered for sale in the 
United States. Not later than 30 days after January 28, 2003, each 
manufacturer to which this paragraph applies shall submit an initial 
annual list of vehicles for calendar year 2003 that meets the 
requirements of this paragraph.

[67 FR 63310, Oct. 11, 2002, as amended at 68 FR 4113, Jan. 28, 2003]



Sec.579.12  Contents of reports.

    (a) Each report made pursuant to Sec.579.11 of this part must be 
dated and must include the information specified in Sec.573.6(c)(1), 
(c)(2), (c)(3), and (c)(5) of this chapter. Each such report must also 
identify each foreign country in which the safety recall or other safety 
campaign is being conducted, state whether the foreign action is a 
safety recall or other safety campaign, state whether the determination 
to conduct the recall or campaign was made by the manufacturer or by a 
foreign government, describe the manufacturer's program for remedying 
the defect or noncompliance (if the action is a safety recall), specify 
the date of the determination and the date the recall or other campaign 
was commenced or will commence in each foreign country, and identify all 
motor vehicles, equipment, or tires that the manufacturer sold or 
offered for sale in the United States that are identical or 
substantially similar to the motor vehicles, equipment, or tires covered 
by the foreign recall or campaign. If a determination has been made by a 
foreign government, the report must also include a copy of the 
determination in the original language and, if the determination is in a 
language other than English, a copy translated into English.
    (b) Information required by paragraph (a) of this section that is 
not available within the 5-working day period specified in Sec.579.11 
of this part shall be submitted as it becomes available.

[[Page 287]]



Sec. Sec.579.13-579.20  [Reserved]



            Subpart C_Reporting of Early Warning Information



Sec.579.21  Reporting requirements for manufacturers of 5,000 or more 
light vehicles annually.

    For each reporting period, a manufacturer whose aggregate number of 
light vehicles manufactured for sale, sold, offered for sale, introduced 
or delivered for introduction in interstate commerce, or imported into 
the United States, during the calendar year of the reporting period or 
during each of the prior two calendar years is 5,000 or more shall 
submit the information described in this section. For paragraphs (a) and 
(c) of this section, the manufacturer shall submit information 
separately with respect to each make, model, and model year of light 
vehicle manufactured during the reporting period and the nine model 
years prior to the earliest model year in the reporting period, 
including models no longer in production.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the make, the 
model, the model year, the type, the platform, the fuel and/or 
propulsion system type coded as follows: CNG (compressed natural gas), 
CIF (compression ignition fuel), EBP (electric battery power), FCP 
(fuel-cell power), HEV (hybrid electric vehicle), HCP (hydrogen 
combustion power), PHV (plug-in hybrid), SIF (spark ignition fuel), OTH 
(Other), and UNK (unknown) and the number of vehicles produced. The 
production shall be stated as either the cumulative production of the 
current model year to the end of the reporting period, or the total 
model year production for each model year for which production has 
ceased.
    (b) Information on incidents involving death or injury. For all 
light vehicles manufactured during a model year covered by the reporting 
period and the nine model years prior to the earliest model year in the 
reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is identified in a claim 
against and received by the manufacturer or in a notice received by the 
manufacturer which notice alleges or proves that the death or injury was 
caused by a possible defect in the manufacturer's vehicle, together with 
each incident involving one or more deaths occurring in a foreign 
country that is identified in a claim against and received by the 
manufacturer involving the manufacturer's vehicle, if that vehicle is 
identical or substantially similar to a vehicle that the manufacturer 
has offered for sale in the United States. The report shall be submitted 
as a report on light vehicles and organized such that incidents are 
reported alphabetically by make, within each make alphabetically by 
model, and within each model chronologically by model year.
    (2) For each incident described in paragraph (b)(1) of this section, 
the manufacturer shall separately report the make, model, model year, 
the type, the fuel and/or propulsion system type (as specified in 
paragraph (a)), and VIN of the vehicle, the incident date, the number of 
deaths, the number of injuries for incidents occurring in the United 
States, the State or foreign country where the incident occurred, each 
system or component of the vehicle that allegedly contributed to the 
incident, and whether the incident involved a fire or rollover, coded as 
follows: 01 steering system, 02 suspension system, 03 foundation brake 
system, 04 automatic brake controls, 05 parking brake, 06 engine and 
engine cooling system, 07 fuel system, 10 power train, 11 electrical 
system, 12 exterior lighting, 13 visibility, 14 air bags, 15 seat belts, 
16 structure, 17 latch, 18 vehicle speed control, 19 tires, 20 wheels, 
22 seats, 23 fire, 24 rollover, 25 electronic stability control system, 
26 forward collision avoidance system, 27 lane departure prevention 
system, 28 backover prevention system, 98 where a system or component 
not covered by categories 01 through 22 or 25 through 28, is specified 
in the claim or notice, and 99 where no system or component of the 
vehicle is specified in the claim or notice. If an incident involves 
more than one such code, each shall be reported separately in the report 
with a limit of five codes to be included. If a vehicle manufacturer is 
unaware of the vehicle type at the time it receives the

[[Page 288]]

incident, the manufacturer shall use the abbreviation ``UN'' in its 
report to indicate that the vehicle type is unknown.
    (c) Numbers of property damage claims, consumer complaints, warranty 
claims, and field reports. Separate reports on the numbers of those 
property damage claims, consumer complaints, warranty claims, and field 
reports which involve the systems and components that are specified in 
codes 01 through 22, or 25 through 28 in paragraph (b)(2) of this 
section, or a fire (code 23), or rollover (code 24). Each such report 
shall state, separately by each such code, the number of such property 
damage claims, consumer complaints, warranty claims, or field reports, 
respectively, that involves the systems or components or fire or 
rollover indicated by the code. If an underlying property damage claim, 
consumer complaint, warranty claim, or field report involves more than 
one such code, each shall be reported separately in the report with no 
limit on the number of codes to be included. No reporting is necessary 
if the system or component involved is not specified in such codes, and 
the incident did not involve a fire or rollover. For each report, the 
manufacturer shall separately state the vehicle type and fuel and/or 
propulsion system type if the manufacturer stated more than one vehicle 
type or fuel and/or propulsion system type for a particular make, model, 
model year in paragraph (a) of this section. For each report, the 
manufacturer shall separately state the vehicle type and fuel and/or 
propulsion system type if the manufacturer stated more than one vehicle 
type or fuel and/or propulsion system type for a particular make, model, 
model year in paragraph (a) of this section. If a vehicle manufacturer 
is unaware of the vehicle type at the time it receives the property 
damage claim, consumer complaint, warranty claim or field report, the 
manufacturer shall use the abbreviation ``UN'' in its report to indicate 
that the vehicle type is unknown.
    (d) Copies of field reports. For all light vehicles manufactured 
during a model year covered by the reporting period and the nine model 
years prior to the earliest model year in the reporting period, a copy 
of each field report (other than a dealer report or a product evaluation 
report) involving one or more of the systems or components identified in 
paragraph (b)(2) of this section, or fire, or rollover, containing any 
assessment of an alleged failure, malfunction, lack of durability, or 
other performance problem of a motor vehicle or item of motor vehicle 
equipment (including any part thereof) that is originated by an employee 
or representative of the manufacturer and that the manufacturer received 
during a reporting period. These documents shall be submitted 
alphabetically by make, within each make alphabetically by model, and 
within each model chronologically by model year. For purposes of this 
paragraph, if a field report refers to more than one make or model of 
light vehicle produced by a manufacturer on a particular platform, the 
manufacturer shall submit the report alphabetically by platform rather 
than by make or model. If such a field report refers to more than one 
platform, separate copies shall be submitted for each such platform. If 
a field report refers to more than one model year of a specified make/
model or platform, the manufacturer shall submit it by the earliest 
model year to which it refers.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18142, Apr. 15, 2003; 
68 FR 35142, June 11, 2003; 72 FR 29443, May 29, 2007; 74 FR 47757, 
Sept. 17, 2009; 78 FR 51424, Aug. 20, 2013; 79 FR 43679, July 28, 2014]



Sec.579.22  Reporting requirements for manufacturers of 100 or more
 buses, manufacturers of 500 or more emergency vehicles and 
manufacturers of 5,000 or more medium-heavy vehicles (other than
buses and emergency vehicles) annually.
          

    For each reporting period, a manufacturer whose aggregate number of 
buses manufactured for sale, sold, offered for sale, introduced or 
delivered for introduction in interstate commerce, or imported into the 
United States, during the calendar year of the reporting period or 
during either of the prior two calendar years is 100 or more shall 
submit the information described in this section. For each reporting 
period, a manufacturer whose aggregate number of emergency vehicles 
(ambulances and fire trucks) manufactured

[[Page 289]]

for sale, sold, offered for sale, introduced or delivered for 
introduction in interstate commerce, or imported into the United States, 
during the calendar year of the reporting period or during either of the 
prior two calendar years is 500 or more shall submit the information 
described in this section. For each reporting period, a manufacturer 
whose aggregate number of medium-heavy vehicles (a sum that does not 
include buses or emergency vehicles) manufactured for sale, sold, 
offered for sale, introduced or delivered for introduction in interstate 
commerce, or imported into the United States, during the calendar year 
of the reporting period or during either of the prior two calendar years 
is 5,000 or more shall submit the information described in this section. 
For paragraphs (a) and (c) of this section, the manufacturer shall 
submit information separately with respect to each make, model, and 
model year of bus, emergency vehicle and/or medium-heavy vehicle 
manufactured during the reporting period and the nine model years prior 
to the earliest model year in the reporting period, including models no 
longer in production.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the make, the 
model, the model year, the type, and the production. The production 
shall be stated as either the cumulative production of the current model 
year to the end of the reporting period, or the total model year 
production for each model year for which production has ceased. For each 
model that is manufactured and available with more than one type of fuel 
system (i.e., gasoline, diesel, or other (including vehicles that can be 
operated using more than one type of fuel, such as gasoline and 
compressed natural gas)), the information required by this subsection 
shall be reported separately by each of the three fuel system types. For 
each model that is manufactured and available with more than one type of 
service brake system (i.e., hydraulic or air), the information required 
by this subsection shall be reported by each of the two brake types. If 
the service brake system in a vehicle is not readily characterized as 
either hydraulic or air, the vehicle shall be considered to have 
hydraulic service brakes.
    (b) Information on incidents involving death or injury. For all 
buses, emergency vehicles and medium heavy vehicles manufactured during 
a model year covered by the reporting period and the nine model years 
prior to the earliest model year in the reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is identified in a claim 
against and received by the manufacturer or in a notice received by the 
manufacturer which notice alleges or proves that the death or injury was 
caused by a possible defect in the manufacturer's vehicle, together with 
each incident involving one or more deaths occurring in a foreign 
country that is identified in a claim against and received by the 
manufacturer involving the manufacturer's vehicle, if that vehicle is 
identical or substantially similar to a vehicle that the manufacturer 
has offered for sale in the United States. The report shall be submitted 
as a report on medium-heavy vehicles and buses and organized such that 
incidents are reported alphabetically by make, within each make 
alphabetically by model, and within each model chronologically by model 
year.
    (2) For each incident described in paragraph (b)(1) of this section, 
the manufacturer shall separately report the make, model, model year, 
and VIN of the bus, emergency vehicle or medium-heavy vehicle, the 
incident date, the number of deaths, the number of injuries for 
incidents occurring in the United States, the State or foreign country 
where the incident occurred, each system or component of the vehicle 
that allegedly contributed to the incident, and whether the incident 
involved a fire or rollover, coded as follows: 01 steering system, 02 
suspension system, 03 service brake system, hydraulic, 04 service brake 
system, air, 05 parking brake, 06 engine and engine cooling system, 07 
fuel system, gasoline, 08 fuel system, diesel, 09 fuel system, other, 10 
power train, 11 electrical, 12 exterior lighting, 13 visibility, 14 air 
bags, 15 seat belts, 16 structure, 17 latch, 18 vehicle speed control, 
19 tires, 20 wheels, 21 trailer hitch, 22

[[Page 290]]

seats, 23 fire, 24 rollover, 25 electronic stability control system and/
or roll stability control system, 98 where a system or component not 
covered by categories 01 through 22 or 25 is specified in the claim or 
notice, and 99 where no system or component of the vehicle is specified 
in the claim or notice. If an incident involves more than one such code, 
each shall be reported separately in the report with a limit of five 
codes to be included.
    (c) Numbers of property damage claims, consumer complaints, warranty 
claims, and field reports. Separate reports on the numbers of those 
property damage claims, consumer complaints, warranty claims, and field 
reports which involve the systems and components that are specified in 
codes 01 through 22, or 25 in paragraph (b)(2) of this section, or a 
fire (code 23), or rollover (code 24). Each such report shall state, 
separately by each such code, the number of such property damage claims, 
consumer complaints, warranty claims, or field reports, respectively, 
that involves the systems or components or fire or rollover indicated by 
the code. If an underlying property damage claim, consumer complaint, 
warranty claim, or field report involves more than one such code, each 
shall be reported separately in the report with no limit on the number 
of codes to be included. No reporting is necessary if the system or 
component involved is not specified in such codes, and the incident did 
not involve a fire or rollover.
    (d) Copies of field reports. For all buses, emergency vehicles and 
medium-heavy vehicles manufactured during a model year covered by the 
reporting period and the nine model years prior to the earliest model 
year in the reporting period, a copy of each field report (other than a 
dealer report or a product evaluation report) involving one or more of 
the systems or components identified in paragraph (b)(2) of this 
section, or fire, or rollover, containing any assessment of an alleged 
failure, malfunction, lack of durability, or other performance problem 
of a motor vehicle or item of motor vehicle equipment (including any 
part thereof) that is originated by an employee or representative of the 
manufacturer and that the manufacturer received during a reporting 
period. These documents shall be submitted alphabetically by make, 
within each make alphabetically by model, and within each model 
chronologically by model year. For purposes of this paragraph, if a 
field report refers to more than one make or model of vehicle produced 
by a manufacturer on a particular platform, the manufacturer shall 
submit the report alphabetically by platform rather than by make or 
model. If such a field report refers to more than one platform, separate 
copies shall be submitted for each such platform. If a field report 
refers to more than one model year of a specified make/model or 
platform, the manufacturer shall submit it by the earliest model year to 
which it refers.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18142, Apr. 15, 2003; 
68 FR 35143, June 11, 2003; 72 FR 29443, May 29, 2007; 74 FR 47757, 
Sept. 17, 2009; 78 FR 51425, Aug. 20, 2013]



Sec.579.23  Reporting requirements for manufacturers of 5,000 or 
more motorcycles annually.

    For each reporting period, a manufacturer whose aggregate number of 
motorcycles manufactured for sale, sold, offered for sale, introduced or 
delivered for introduction in interstate commerce, or imported into the 
United States, during the calendar year of the reporting period or 
during either of the prior two calendar years is 5,000 or more shall 
submit the information described in this section. For paragraphs (a) and 
(c) of this section, the manufacturer shall submit information 
separately with respect to each make, model, and model year of 
motorcycle manufactured during the reporting period and the nine model 
years prior to the earliest model year in the reporting period, 
including models no longer in production.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the make, the 
model, the model year, and the production. The production shall be 
stated as either the cumulative production of the current model year to 
the end of the reporting period, or the total model year production for 
each model year for which production has ceased.

[[Page 291]]

    (b) Information on incidents involving death or injury. For all 
motorcycles manufactured during a model year covered by the reporting 
period and the nine model years prior to the earliest model year in the 
reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is identified in a claim 
against and received by the manufacturer or in a notice received by the 
manufacturer which notice alleges or proves that the death or injury was 
caused by a possible defect in the manufacturer's motorcycle, together 
with each incident involving one or more deaths occurring in a foreign 
country that is identified in a claim against and received by the 
manufacturer involving the manufacturer's motorcycle, if that motorcycle 
is identical or substantially similar to a motorcycle that the 
manufacturer has offered for sale in the United States. The report shall 
be submitted as a report on motorcycles and organized such that 
incidents are reported alphabetically by make, within each make 
alphabetically by model, and within each model chronologically by model 
year.
    (2) For each incident described in paragraph (b)(1) of this section, 
the manufacturer shall separately report the make, model, model year, 
and VIN of the motorcycle, the incident date, the number of deaths, the 
number of injuries for incidents occurring in the United States, the 
State or foreign country where the incident occurred, each system or 
component of the motorcycle that allegedly contributed to the incident, 
and whether the incident involved a fire, coded as follows: 01 steering, 
02 suspension, 03 service brake system, 06 engine and engine cooling, 07 
fuel system, 10 power train, 11 electrical, 12 exterior lighting, 16 
structure,18 vehicle speed control, 19 tires, 20 wheels, 23 fire, 98 
where a system or component not covered by categories 01 through 20 is 
specified in the claim or notice, and 99 where no system or component of 
the vehicle is specified in the claim or notice. If an incident involves 
more than one such code, each shall be reported separately in the report 
with a limit of five codes to be included.
    (c) Numbers of property damage claims, consumer complaints, warranty 
claims, and field reports. Separate reports on the numbers of those 
property damage claims, consumer complaints, warranty claims, and field 
reports which involve the systems and components that are specified in 
codes 01 through 20 in paragraph (b)(2) of this section, or a fire (code 
23). Each such report shall state, separately by each such code, the 
number of such property damage claims, consumer complaints, warranty 
claims, or field reports, respectively, that involves the systems or 
components or fire indicated by the code. If an underlying property 
damage claim, consumer complaint, warranty claim, or field report 
involves more than one such code, each shall be reported separately in 
the report with no limit on the number of codes to be included. No 
reporting is necessary if the system or component involved is not 
specified in such codes, and the incident did not involve a fire.
    (d) Copies of field reports. For all motorcycles manufactured during 
a model year covered by the reporting period and the nine model years 
prior to the earliest model year in the reporting period, a copy of each 
field report (other than a dealer report or a product evaluation report) 
involving one or more of the systems or components identified in 
paragraph (b)(2) of this section or fire, containing any assessment of 
an alleged failure, malfunction, lack of durability, or other 
performance problem of a motorcycle or item of motor vehicle equipment 
(including any part thereof) that is originated by an employee or 
representative of the manufacturer and that the manufacturer received 
during a reporting period. These documents shall be submitted 
alphabetically by make, within each make alphabetically by model, and 
within each model chronologically by model year. For purposes of this 
paragraph, if a field report refers to more than one make or model of 
motorcycle produced by a manufacturer on a particular platform, the 
manufacturer shall submit the report alphabetically by platform rather 
than by make or model. If such a field report refers to more than one 
platform, separate copies shall be submitted for each such platform. If 
a

[[Page 292]]

field report refers to more than one model year of a specified make/
model or platform, the manufacturer shall submit it by the earliest 
model year to which it refers.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18142, Apr. 15, 2003; 
68 FR 35143, June 11, 2003; 72 FR 29443, May 29, 2007; 74 FR 47758, 
Sept. 17, 2009]



Sec.579.24  Reporting requirements for manufacturers of 5,000 or more
trailers annually.

    For each reporting period, a manufacturer whose aggregate number of 
trailers manufactured for sale, sold, offered for sale, introduced or 
delivered for introduction in interstate commerce, or imported into the 
United States, during the calendar year of the reporting period or 
during either of the prior two calendar years is 5,000 or more shall 
submit the information described in this section. For paragraphs (a) and 
(c) of this section, the manufacturer shall submit information with 
respect to each make, model and model year of trailer manufactured 
during the reporting period and the nine model years prior to the 
earliest model year in the reporting period, including models no longer 
in production.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the make, the 
model, the model year, the type, and the production. The production 
shall be stated as either the cumulative production of the current model 
year to the end of the reporting period, or the total model year 
production for each model year for which production has ceased. For each 
model that is manufactured and available with more than one type of 
service brake system (i.e., hydraulic and air), the information required 
by this subsection shall be reported by each of the two brake types 
(i.e., ``H'' for hydraulic, ``A'' for air). If the service brake system 
in a trailer is not readily characterized as either hydraulic or air, 
the trailer shall be considered to have hydraulic service brakes. If a 
model has no brake system, it shall be reported as ``N,'' for none.
    (b) Information on incidents involving death or injury. For all 
trailers manufactured during a model year covered by the reporting 
period and the nine model years prior to the earliest model year in the 
reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is identified in a claim 
against and received by the manufacturer or in a notice received by the 
manufacturer which notice alleges or proves that the death or injury was 
caused by a possible defect in the manufacturer's trailer, together with 
each incident involving one or more deaths occurring in a foreign 
country that is identified in a claim against and received by the 
manufacturer involving the manufacturer's trailer, if that trailer is 
identical or substantially similar to a trailer that the manufacturer 
has offered for sale in the United States. The report shall be submitted 
as a report on trailers and organized such that incidents are reported 
alphabetically by make, with each make alphabetically by model, and 
within each model chronologically by model year.
    (2) For each incident described in paragraph (b)(1) of this section, 
the manufacturer shall separately report the make, model, model year, 
and VIN of the trailer, the incident date, the number of deaths, the 
number of injuries for incidents occurring in the United States, the 
State or foreign country where the incident occurred, each system or 
component of the trailer that allegedly contributed to the incident, and 
whether the incident involved a fire, coded as follows: 02 suspension, 
03 service brake system, hydraulic, 04 service brake system, air, 05 
parking brake, 11 electrical, 12 exterior lighting, 16 structure, 17 
latch, 19 tires, 20 wheels, 21 trailer hitch, 23 fire, 98 where a system 
or component not covered by categories 02 through 21 is specified in the 
claim or notice, and 99 where no system or component of the trailer is 
specified in the claim or notice. If an incident involves more than one 
such code, each shall be reported separately in the report with a limit 
of five codes to be included.
    (c) Numbers of property damage claims, consumer complaints, warranty 
claims, and field reports. Separate reports on the numbers of those 
property damage claims, consumer complaints, warranty

[[Page 293]]

claims, and field reports which involve the systems and components that 
are specified in codes 02 through 21 in paragraph (b)(2) of this 
section, or a fire (code 23). Each such report shall state, separately 
by each such code, the number of such property damage claims, consumer 
complaints, warranty claims, or field reports, respectively, that 
involves the systems or components or fire indicated by the code. If an 
underlying property damage claim, consumer complaint, warranty claim, or 
field report involves more than one such code, each shall be reported 
separately in the report with no limit on the number of codes to be 
included. No reporting is necessary if the system or component involved 
is not specified in such codes, and the incident did not involve a fire.
    (d) Copies of field reports. For all trailers manufactured during a 
model year covered by the reporting period and the nine model years 
prior to the earliest model year in the reporting period, a copy of each 
field report (other than a dealer report or a product evaluation report) 
involving one or more of the systems or components identified in 
paragraph (b)(2) of this section or fire, containing any assessment of 
an alleged failure, malfunction, lack of durability, or other 
performance problem of a trailer or item of motor vehicle equipment 
(including any part thereof) that is originated by an employee or 
representative of the manufacturer and that the manufacturer received 
during a reporting period. These documents shall be submitted 
alphabetically by make, within each make alphabetically by model, and 
within each model chronologically by model year. For purposes of this 
paragraph, if a field report refers to more than one make or model of 
trailer produced by a manufacturer on a particular platform, the 
manufacturer shall submit the report alphabetically by platform rather 
than by make or model. If such a field report refers to more than one 
platform, separate copies shall be submitted for each such platform. If 
a field report refers to more than one model year of a specified make/
model or platform, the manufacturer shall submit it by the earliest 
model year to which it refers.

[67 FR 45873, July 10, 2003, as amended at 68 FR 18143, Apr. 15, 2003; 
68 FR 35143, June 11, 2003; 72 FR 29443, May 29, 2007; 74 FR 47758, 
Sept. 17, 2009]



Sec.579.25  Reporting requirements for manufacturers of child 
restraint systems.

    For each reporting period, a manufacturer who has manufactured for 
sale, sold, offered for sale, introduced or delivered for introduction 
in interstate commerce, or imported child restraint systems into the 
United States, shall submit the information described in this section. 
For paragraphs (a) and (c) of this section, the manufacturer shall 
submit information separately with respect to each make, model, and 
production year of child restraint system manufactured during the 
reporting period and the four production years prior to the earliest 
production year in the reporting period, including models no longer in 
production. For paragraph (c) of this section, if any consumer 
complaints or warranty claims regarding a model of child restraint 
system do not specify the production year of the system, the 
manufacturer shall submit information for ``unknown'' production year in 
addition to the up-to-five production years for which the manufacturer 
must otherwise report the number of such consumer complaints/warranty 
claims.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the make, the 
model, the production year, the type, and the production. The production 
shall be stated as either the cumulative production of the current model 
year to the end of the reporting period, or the total calendar year 
production for each calendar year for which production has ceased.
    (b) Information on incidents involving death or injury. For all 
child restraint systems manufactured during a production year covered by 
the reporting period and the four production years prior to the earliest 
production year in the reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is

[[Page 294]]

identified in a claim against and received by the manufacturer or in a 
notice received by the manufacturer which notice alleges or proves that 
the death or injury was caused by a possible defect in the 
manufacturer's child restraint system, together with each incident 
involving one or more deaths occurring in a foreign country that is 
identified in a claim against and received by the manufacturer involving 
the manufacturer's child restraint system, if the child restraint system 
is identical or substantially similar to a child restraint system that 
the manufacturer has offered for sale in the United States. The report 
shall be submitted as a report on child restraint systems and organized 
such that incidents are reported alphabetically by make, within each 
make alphabetically by model, and within each model chronologically by 
production year.
    (2) For each such incident described in paragraph (b)(1) of this 
section, the manufacturer shall separately report the make, model, and 
production year of the child restraint system, the incident date, the 
number of deaths, the number of injuries for incidents occurring in the 
United States, the State or foreign country where the incident occurred, 
and each system or component of the child restraint system that 
allegedly contributed to the incident, coded as follows: 51 buckle and 
restraint harness, 52 seat shell, 53 handle, 54 base, 98 where a system 
or component not covered by categories 51 through 54 is specified in the 
claim or notice, and 99 where no system or component of the child 
restraint system is specified in the claim or notice. If an incident 
involves more than one such code, each shall be reported separately in 
the report. If the production year of the child restraint system is 
unknown, the manufacturer shall specify the number ``9999'' in the field 
for production year.
    (c) Numbers of consumer complaints and warranty claims, and field 
reports. Separate reports on the numbers of those consumer complaints 
and warranty claims, and field reports, which involve the systems and 
components that are specified in codes 51 through 54 in paragraph (b)(2) 
of this section. Each such report shall state, separately by each such 
code, the number of such consumer complaints and warranty claims, or 
field reports, respectively, that involves the systems or components 
indicated by the code. If an underlying consumer complaint and warranty 
claim, or field report, involves more than one such code, each shall be 
counted separately in the report with no limit on the number of codes to 
be included. No reporting is necessary if the system or component 
involved is not specified in such codes.
    (d) Copies of field reports. For all child restraint systems 
manufactured during a production year covered by the reporting period 
and the four production years prior to the earliest production year in 
the reporting period, a copy of each field report (other than a dealer 
report or a product evaluation report) involving one or more of the 
systems or components identified in paragraph (b)(2) of this section, 
containing any assessment of an alleged failure, malfunction, lack of 
durability, or other performance problem of a child restraint system 
(including any part thereof) that is originated by an employee or 
representative of the manufacturer and that the manufacturer received 
during a reporting period. These documents shall be submitted 
alphabetically by make, within each make alphabetically by model, and 
within each model chronologically by production year. For purposes of 
this paragraph, if a field report refers to more than one make or model 
of child restraint system produced by a manufacturer, the manufacturer 
shall submit the report under the first such model in alphabetical 
order. If a field report refers to more than one production year of a 
specified make/model, the manufacturer shall submit it by the earliest 
production year to which it refers.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18143, Apr. 15, 2003; 
68 FR 35144, June 11, 2003; 72 FR 29444, May 29, 2007]



Sec.579.26  Reporting requirements for manufacturers of tires.

    For each reporting period, a manufacturer (including a brand name 
owner) who has manufactured for sale, sold, offered for sale, introduced 
or delivered for introduction in interstate

[[Page 295]]

commerce, or imported tires in the United States shall submit the 
information described in this section. For purposes of this section, an 
importer of motor vehicles for resale is deemed to be the manufacturer 
of the tires on and in the vehicle at the time of its importation if the 
manufacturer of the tires is not required to report under this section. 
For paragraphs (a) and (c) of this section, the manufacturer shall 
submit information separately with respect to each tire line, size, SKU, 
plant where manufactured, and model year of tire manufactured during the 
reporting period and the four calendar years prior to the reporting 
period, including tire lines no longer in production. For each group of 
tires with the same SKU, plant where manufactured, and year for which 
the volume produced or imported is less than 15,000, or are deep tread, 
winter-type snow tires, space-saver or temporary use spare tires, tires 
with nominal rim diameters of 12 inches or less, or are not passenger 
car tires, light truck tires, or motorcycle tires, the manufacturer need 
only report information on incidents involving a death or injury, as 
specified in paragraph (b) of this section. For purposes of this 
section, the two- or three-character DOT alphanumeric code for 
production plants located in the United States assigned by NHTSA in 
accordance with Sec. Sec.574.5 and 574.6 of this chapter may be used 
to identify ``plant where manufactured. '' If the production plant is 
located outside the United States, the full plant name must be provided.
    (a) Production information. Information that states the 
manufacturer's name, the quarterly reporting period, the tire line, the 
tire size, the tire type code or manufacturer's code, the SKU, the plant 
where manufactured, whether the tire is approved for use as original 
equipment on a motor vehicle, if so, the make, model, and model year of 
each vehicle for which it is approved, the production year, the 
cumulative warranty production, and the cumulative total production 
through the end of the reporting period. If the manufacturer knows that 
a particular group of tires is not used as original equipment on a motor 
vehicle, it shall state ``N'' in the appropriate field, and if the 
manufacturer is not certain, it shall state ``U'' in that field.
    (b) Information on incidents involving death or injury. For all 
tires manufactured during a production year covered by the reporting 
period and the four production years prior to the earliest production 
year in the reporting period:
    (1) A report on each incident involving one or more deaths or 
injuries occurring in the United States that is identified in a claim 
against and received by the manufacturer or in a notice received by the 
manufacturer which notice alleges or proves that the death or injury was 
caused by a possible defect in the manufacturer's tire, together with 
each incident involving one or more deaths occurring in a foreign 
country that is identified in a claim against and received by the 
manufacturer involving the manufacturer's tire, if that tire is 
identical or substantially similar to a tire that the manufacturer has 
offered for sale in the United States. The report shall be submitted as 
a report on tires and organized such that incidents are reported 
alphabetically by tire line, within each tire line by tire size, and 
within each tire size chronologically by production year.
    (2) For each such incident described in paragraph (b)(1) of this 
section, the manufacturer shall separately report the tire line, size, 
and production year of the tire, the TIN, the incident date, the number 
of deaths, the number of injuries for incidents occurring in the United 
States, the State or foreign country where the incident occurred, the 
make, model, and model year of the vehicle on which the tire was 
installed, and each component of the tire that allegedly contributed to 
the incident, coded as follows: 71 tread, 72 sidewall, 73 bead, 98 where 
a component not covered by categories 71 through 73 is specified in the 
claim or notice, and 99 where no component of the tire is specified in 
the claim or notice. If an incident involves more than one such code, 
each shall be reported separately in the report.
    (c) Numbers of property damage claims and warranty adjustments. 
Separate reports on the numbers of those property

[[Page 296]]

damage claims and warranty adjustments which involve the components that 
are specified in codes 71 through 73, and 98, in paragraph (b)(2) of 
this section. Each such report shall state, separately by each such 
code, the numbers of such property damage claims and warranty 
adjustments, respectively, that involve the components indicated by the 
code. If an underlying property damage claim or warranty adjustment 
involves more than one such code, each shall be reported separately in 
the report with no limit on the number of codes to be included. No 
reporting is necessary if the system or component involved is not 
specified in such codes, or if the TIN is not specified in any property 
damage claim.
    (d) Common green tire reporting. With each quarterly report, each 
manufacturer of tires shall provide NHTSA with a list of common green 
tires. For each specific common green tire grouping, the list shall 
provide all relevant tire lines, tire type codes or manufacturer's code, 
SKU numbers, brand names, and brand name owners.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18143, Apr. 15, 2003; 
68 FR 35144, June 11, 2003; 80 FR 19564, Apr. 13, 2015]



Sec.579.27  Reporting requirements for manufacturers of fewer than 100
buses annually, for manufacturers of fewer than 500 emergency vehicles
annually, for manufacturers of fewer than 5,000 light vehicles, medium
-heavy vehicles (other than buses and emergency vehicles),motorcycles
or trailers annually, for manufacturers of original equipment, and for
manufacturers of replacement equipment other than child restraint 
systems and tires.

    (a) Applicability. This section applies to all manufacturers of 
vehicles with respect to vehicles that are not covered by reports on 
light vehicles, medium-heavy vehicles and buses, motorcycles, or 
trailers submitted pursuant to Sec. Sec.579.21 through 579.24 of this 
part, to all manufacturers of original equipment, to all manufacturers 
of replacement equipment other than manufacturers of tires and child 
restraint systems, and to registered importers registered under 49 
U.S.C. 30141(c).
    (b) Information on incidents involving deaths. For each reporting 
period, a manufacturer to which this section applies shall submit a 
report, pertaining to vehicles and/or equipment manufactured or sold 
during the calendar year of the reporting period and the nine calendar 
years prior to the reporting period (four calendar years for equipment), 
including models no longer in production, on each incident involving one 
or more deaths occurring in the United States that is identified in a 
claim against and received by the manufacturer or in a notice received 
by the manufacturer which notice alleges or proves that the death was 
caused by a possible defect in the manufacturer's vehicle or equipment, 
together with each incident involving one or more deaths occurring in a 
foreign country that is identified in a claim against and received by 
the manufacturer involving the manufacturer's vehicle or equipment, if 
it is identical or substantially similar to a vehicle or item of 
equipment that the manufacturer has offered for sale in the United 
States. The report shall be organized such that incidents are reported 
alphabetically by make, within each make alphabetically by model, and 
within each model chronologically by model year. If a manufacturer has 
not received such a claim or notice during a reporting period, the 
manufacturer need not submit a report to NHTSA for that reporting 
period.
    (c) For each incident described in paragraph (b) of this section, 
the manufacturer shall separately report the make, model, and model year 
of the vehicle or equipment, the VIN (for vehicles only), the incident 
date, the number of deaths, the number of injuries for incidents 
occurring in the United States, the State or foreign country where the 
incident occurred, each system or component of the vehicle or equipment 
that allegedly contributed to the incident, and whether the incident 
involved a fire or rollover, as follows:
    (1) For light vehicles, the system or component involved, and the 
existence of a fire or rollover, shall be identified and coded as 
specified in Sec.579.21(b)(2) of this part.
    (2) For medium-heavy vehicles and buses, the system or component 
involved, and the existence of a fire or

[[Page 297]]

rollover, shall be identified and coded as specified in Sec.
579.22(b)(2) of this part.
    (3) For motorcycles, the system or component involved, and the 
existence of a fire, shall be identified and coded as specified in Sec.
579.23(b)(2) of this part.
    (4) For trailers, the system or component involved, and the 
existence of a fire, shall be identified and coded as specified in Sec.
579.24(b)(2) of this part.
    (5) For original and replacement equipment, a written identification 
of each component of the equipment that was allegedly involved, and 
whether there was a fire, in the manufacturer's own words.
    (6) For original and replacement equipment, if the production year 
of the equipment is unknown, the manufacturer shall specify the number 
``9999'' in the field for model or production year.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18143, Apr. 15, 2003; 
68 FR 35144, June 11, 2003; 74 FR 47758, Sept. 17, 2009]



Sec.579.28  Due date of reports and other miscellaneous provisions.

    (a) Initial submission of reports. Except as provided in paragraph 
(n) of this section, the first calendar quarter for which reports are 
required under Sec. Sec.579.21 through 579.27 of this subpart is the 
third calendar quarter of 2003.
    (b) Due date of reports. Except as provided in subsection (n) of 
this section, each manufacturer of motor vehicles and motor vehicle 
equipment shall submit each report that is required by this subpart not 
later than 60 days after the last day of the reporting period. Except as 
provided in Sec.579.27(b), if a manufacturer has not received any of 
the categories of information or documents during a quarter for which it 
is required to report pursuant to Sec. Sec.579.21 through 579.26, the 
manufacturer's report must indicate that no relevant information or 
documents were received during that quarter. If the due date for any 
report is a Saturday, Sunday or a Federal holiday, the report shall be 
due on the next business day.
    (c) One-time reporting of historical information. (1) No later than 
January 15, 2004:
    (i) Each manufacturer of vehicles covered by Sec. Sec.579.21 
through 579.24 of this part shall file separate reports providing 
information on the numbers of warranty claims recorded in the 
manufacturer's warranty system, and field reports, that it received in 
each calendar quarter from July 1, 2000, to June 30, 2003, for vehicles 
manufactured in model years 1994 through 2003 (including any vehicle 
designated as a 2004 model);
    (ii) Each manufacturer of child restraint systems covered by Sec.
579.25 of this part shall file separate reports covering the numbers of 
warranty claims recorded in the manufacturer's warranty system and 
consumer complaints (added together), and field reports, that it 
received in each calendar quarter from July 1, 2000, to June 30, 2003, 
for child restraint systems manufactured from July 1, 1998, to June 30, 
2003, and
    (iii) Each manufacturer of tires covered by Sec.579.26 of this 
part shall file separate reports covering the numbers of warranty 
adjustments recorded in the manufacturer's warranty adjustment system 
for tires that it received in each calendar quarter from July 1, 2000, 
to June 30, 2003, for tires manufactured from July 1, 1998, to June 30, 
2003.
    (2) Each report filed under paragraph (c)(1) of this section shall 
include production data, as specified in paragraph (a) of 579.21 through 
579.26 of this part and shall identify the alleged system or component 
covered by warranty claim, warranty adjustment, or field report as 
specified in paragraph (c) of 579.21 through 579.26 of this part.
    (d) Minimal specificity. A claim or notice involving death, a claim 
or notice involving injury, a claim involving property damage, a 
consumer complaint, a warranty claim or warranty adjustment, or a field 
report need not be reported if it does not identify the vehicle or 
equipment with minimal specificity. If a manufacturer initially receives 
a claim, notice, complaint, warranty claim, warranty adjustment, or 
field report in which the vehicle or equipment is not identified with 
minimal specificity and subsequently obtains information that provides 
the requisite information needed to identify the product with minimal 
specificity, the claim, etc. shall be deemed to have been received when 
the additional information is received. If a

[[Page 298]]

manufacturer receives a claim or notice involving death or injury in 
which the vehicle or equipment is not identified with minimal 
specificity and the matter is being handled by legal counsel retained by 
the manufacturer, the manufacturer shall attempt to obtain the missing 
minimal specificity information from such counsel.
    (e) Claims received by registered agents. A claim received by any 
registered agent of a manufacturer under the laws of any State, or the 
agent that any manufacturer offering motor vehicles or motor vehicle 
equipment for import has designated pursuant to 49 U.S.C. 30164(a), 
shall be deemed received by the manufacturer.
    (f) Updating of information required in reports. (1) Except as 
specified in this subsection, a manufacturer need not update its reports 
under this subpart.
    (2) With respect to each report of an incident submitted under 
paragraph (b) of Sec. Sec.579.21 through 579.26 of this part:
    (i) If a vehicle manufacturer is not aware of the VIN, or a tire 
manufacturer is not aware of the TIN, at the time the incident is 
initially reported, the manufacturer shall submit an updated report of 
such incident in its report covering the reporting period in which the 
VIN or TIN is identified. A manufacturer need not submit an updated 
report if the VIN or TIN is identified by the manufacturer in a 
reporting period that is more than one year later than the initial 
report to NHTSA.
    (ii) If a manufacturer indicated code 99 in its report because a 
system or component had not been identified in the claim or notice that 
led to the report, and the manufacturer becomes aware during a 
subsequent calendar quarter that one or more of the specified systems or 
components allegedly contributed to the incident, the manufacturer shall 
submit an updated report of such incident in its report covering the 
reporting period in which the involved specified system(s) or 
component(s) is (are) identified. A manufacturer need not submit an 
updated report if the system(s) or component(s) is(are) identified by 
the manufacturer in a reporting period that is more than one year later 
than the initial report to NHTSA.
    (iii) If one or more systems or components is identified in a 
manufacturer's report of an incident, the manufacturer need not submit 
an updated report to reflect additional systems or components allegedly 
involved in the incident that it becomes aware of in a subsequent 
reporting period.
    (iv) If the report is of an incident involving an injury and an 
injured person dies after a manufacturer has reported the injury to 
NHTSA, the manufacturer need not submit an updated report to NHTSA 
reflecting that death.
    (g) When a report involving a death is not required. A report on 
incident(s) involving one or more deaths occurring in a foreign country 
that is identified in claim(s) against a manufacturer of motor vehicles 
or motor vehicle equipment involving a vehicle or equipment that is 
identical or substantially similar to equipment that the manufacturer 
has offered for sale in the United States need not be furnished if the 
claim specifically alleges that the death was caused by a possible 
defect in a component other than one that is common to the vehicle or 
equipment that the manufacturer has offered for sale in the United 
States.
    (h) When a report involving a claim or notice is not required. If a 
manufacturer has reported a claim or notice relating to an incident 
involving death or injury, the manufacturer need not:
    (1) Report a claim or notice arising out of the incident by a person 
who was not injured physically, and
    (2) Include in its number of property damage claims a property 
damage claim arising out of the incident.
    (i) Reporting on behalf of other manufacturers. Whenever a 
fabricating manufacturer or importer submits a report on behalf of one 
or more other manufacturers (including a brand name owner), as 
authorized under Sec.579.3(b) of this part, the submitting 
manufacturer must identify each such other manufacturer. Whenever a 
brand name owner submits a report on its own behalf, it must identify 
the fabricating manufacturer of each separate product on which it is 
reporting.
    (j) Abbreviations. Whenever a manufacturer is required to identify a 
State in which an incident occurred, the manufacturer shall use the two-
letter

[[Page 299]]

abbreviations established by the United States Postal Service (e.g., AZ 
for Arizona). Whenever a manufacturer is required to identify a foreign 
country in which an incident occurred, the manufacturer shall use the 
English-language name of the country in non-abbreviated form.
    (k) Claims of confidentiality. If a manufacturer claims that any of 
the information, data, or documents that it submits is entitled to 
confidential treatment, it must make such claim in accordance with part 
512 of this chapter.
    (l) Additional related information that NHTSA may request. In 
addition to information required periodically under this subpart, NHTSA 
may request other information that may help identify a defect related to 
motor vehicle safety.
    (m) Use of the plural. As used in this part, the plural includes the 
singular and the singular includes the plural to bring within the scope 
of reporting that which might otherwise be construed to be without the 
scope.
    (n) Submission of copies of field reports. Copies of field reports 
required under this subpart shall be submitted not later than 15 days 
after reports are due pursuant to paragraph (b) of this section.

[67 FR 45873, July 10, 2002, as amended at 68 FR 18143, Apr. 15, 2003; 
68 FR 20225, Apr. 24, 2003; 68 FR 35144, 35148, June 11, 2003; 68 FR 
64569, Nov. 14, 2003; 69 FR 57869, Sept. 28, 2004; 70 FR 2023, Jan. 12, 
2005; 72 FR 29444, May 29, 2007]



Sec.579.29  Manner of reporting.

    (a) Submission of reports. (1) Except as provided in this paragraph, 
each report required under paragraphs (a) through (c) of Sec. Sec.
579.21 through 579.26 of this part must be submitted to NHTSA's early 
warning data repository identified on NHTSA's Internet homepage 
(www.nhtsa.dot.gov). A manufacturer must use templates provided at the 
early warning website, also identified on NHTSA's homepage, for 
submitting reports. For data files smaller than the size limit of the 
Internet e-mail server of the Department of Transportation, a 
manufacturer may submit a report as an attachment to an e-mail message 
to [email protected], using the same templates.
    (2) Each report required under Sec.579.27 of this part may be 
submitted to NHTSA's early warning data repository as specified in 
paragraph (a)(1) of this section or by manually filling out an 
interactive form on NHTSA's early warning website.
    (3) For each report required under paragraphs (a) through (c) of 
Sec. Sec.579.21 through 579.26 of this part and submitted in the 
manner provided in paragraph (a)(1) of this section, a manufacturer must 
state the make, model and model year of each motor vehicle or item of 
motor vehicle equipment in terms that are identical to the statement of 
the make, model, model year of each motor vehicle or item of motor 
vehicle equipment provided in the manufacturer's previous report.
    (b) Submission of documents. A copy of each document required under 
paragraph (d) of Sec. Sec.579.21 through 579.26 of this part may be 
submitted in digital form using a graphic compression protocol, approved 
by NHTSA, to the NHTSA data repository, or as an attachment to an e-mail 
message, as specified in paragraph (a)(1) of this section. Any digital 
image provided by a manufacturer shall be not less than 200 or more than 
300 dpi (dots per inch) resolution. Such documents may also be submitted 
in paper form. Each document shall be identified in accordance with the 
templates provided at NHTSA's early warning Web site, which is 
identified in paragraph (a)(1) of this section.
    (c) Designation of manufacturer contacts. Not later than 30 days 
prior to the date of its first quarterly submission, each manufacturer 
must provide the names, office telephone numbers, postal and street 
mailing addresses, and electronic mail addresses of two employees (one 
primary and one back-up) whom NHTSA may contact for resolving issues 
that may arise concerning the submission of information and documents 
required by this part.
    (d) Manufacturer reporting identification and password. Not later 
than 30 days prior to the date of its first quarterly submission, each 
manufacturer must request a manufacturer identification number and a 
password.
    (e) Graphic compression protocol. Not later than 30 days prior to 
the date of

[[Page 300]]

its first quarterly submission, each manufacturer which wishes to submit 
a copy of a document in digital form, as provided in paragraph (b) of 
this section, must obtain approval from NHTSA for the use of such 
protocol.
    (f) Information and requests submitted under paragraphs (c), (d), 
and (e) of this section shall be provided in writing to the Director, 
Office of Defects Investigation, NHTSA, Attention: Early Warning 
Division (NVS-217), 1200 New Jersey Avenue, SE., Washington, DC 20590.

[67 FR 45873, July 10, 2002, as amended at 68 FR 35145, June 11, 2003; 
72 FR 32017, June 11, 2007; 74 FR 47758, Sept. 17, 2009]



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; 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 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,

[[Page 301]]

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 Sec. Sec.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 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

[[Page 302]]

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 Sec. Sec.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 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

[[Page 303]]

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 Sec. Sec.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 Sec.
580.5, Sec.580.7, or Sec.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 
Sec.580.5, Sec.580.7, or Sec.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 Sec.580.5, Sec.580.7 or Sec.580.13(f), as 
applicable, of this part until such time as the NHTSA approves 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.

[[Page 304]]

    (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 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

[[Page 305]]

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.
    (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]

[[Page 306]]



Sec.580.15  Certification by person exercising powers of attorney.

    (a) A person who exercises a power of attorney under both Sec. Sec.
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 
Sec. Sec.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 his 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 Sec. Sec.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 was manufactured in a model year beginning at 
least ten years before January 1 of the calendar year in which the 
transfer occurs; or

    Example to paragraph (a)(3): For vehicle transfers occurring during 
calendar year 1998, model year 1988 or older vehicles are exempt.

    (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; 63 FR 52632, Oct. 1, 1998]



Sec. 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 307]]

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.



         Sec. 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)



          Sec. 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)



     Sec. 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 308]]

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______________________________________________________



     Sec. 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) _____.

    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

[[Page 309]]

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.
581.8 Exemptions.

    Authority: 49 U.S.C. 32502; 322, 30111, 30115, 30117 and 30166; 
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 and low-speed vehicles as defined in 49 
CFR part 571.3(b).

[63 FR 33217, June 17, 1998]



Sec.581.4  Definitions.

    All terms defined in 49 U.S.C. 32101 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.

[42 FR 24059, May 12, 1977, as amended at 64 FR 2862, Jan. 19, 1999]



Sec.581.5  Requirements.

    (a) Each vehicle shall meet the damage criteria of Sec. Sec.
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 S5.3.1.1 of Standard No. 108 
(Sec.571.108 of this chapter). The aim

[[Page 310]]

of each headlamp installed on the vehicle shall be adjustable to within 
the beam aim inspection limits specified in Table 1 of SAE Recommended 
Practice J599 AUG97, measured with the aiming method appropriate for 
that headlamp.
    (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; 64 FR 16360, Apr. 
5, 1999; 64 FR 49092, Sept. 10, 1999]



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 311]]

necessary to the movement of the vehicle are not operating during 
impact.

(Authority: 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
    

[[Page 312]]



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



Sec.581.8  Exemptions.

    A manufacturer of a passenger motor vehicle to which a bumper 
standard issued under this part applies may apply to the Administrator:
    (a) For rulemaking as provided in part 552 of this chapter to exempt 
a class of passenger motor vehicles from all or any part of a bumper 
standard issued under this part on the basis that the class of vehicles 
has been manufactured for a special use and that compliance with the 
standard would unreasonably interfere with the special use of the class 
of vehicle; or
    (b) To exempt a make or model of passenger motor vehicle on the 
basis set forth in paragraph (a) of this section or part 555 of this 
chapter.
    (c) An application filed for exemption on the basis of paragraph (a) 
of this section shall contain the information specified in Sec.555.5 
of this chapter, and set forth data, views, and arguments in support 
that the vehicle has been manufactured for a special use and that 
compliance with the bumper standard would interfere unreasonably with 
the special use of the vehicle.
    (d) An application filed for exemption under part 555 of this 
chapter shall be filed in accordance with the requirements of that part.
    (e) The NHTSA shall process exemption applications in accordance 
with Sec.555.7 of this chapter. An exemption granted a manufacturer on 
the basis of paragraph (a) of this section is indefinite in length but 
expires when the manufacturer ceases production of the exempted vehicle, 
or when the exempted vehicle as produced has been so modified from its 
original design that the Administrator decides that it is no longer 
manufactured for the special use upon which the application for its 
exemption was based. The Administrator may terminate an exemption in the 
manner set forth in Sec. Sec.555.8(c) and 555.8(f) of this chapter, 
and for the reasons set forth in Sec.555.8(d) of this chapter. An 
exempted vehicle shall be labeled in accordance with Sec.555.9 of this 
chapter. Information relating to an application shall be available to 
the public in the manner specified in Sec.555.10 of this chapter.

[64 FR 2862, Jan. 19, 1999]



PART 582_INSURANCE COST INFORMATION REGULATION--Table of Contents



Sec.
582.1 Scope.
582.2 Purpose.
582.3 Definitions.
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.

[[Page 313]]

    (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 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.

[[Page 314]]

    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 and rollover ratings 
are available from NHTSA's New Car Assessment Program (NCAP). NCAP test 
results demonstrate relative frontal and side crash protection in new 
vehicles, and relative rollover resistance. Information on vehicles that 
NHTSA has tested in the NCAP program can be obtained from http://
www.safercar.gov or by calling NHTSA's toll-free Vehicle Safety Hotline 
at 1-888-327-4236 (TTY: 1-800-424-9153).

[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, as amended at 70 FR 35557, June 21, 2005]



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 Sec. Sec.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 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

[[Page 315]]

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. 
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.

[59 FR 37330, July 21, 1994, as amended at 64 FR 40780, July 28, 1999]



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

[[Page 316]]

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 (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 (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) %

    Note: Parts content does not include final assembly, distribution, 
or other non-parts costs.

    For this vehicle:

Final Assembly Point: (city, state, country)
Country of Origin:
Engine: (name of country)
Transmission: (name of country)

    (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 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

[[Page 317]]

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;
    (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) Carlines assembled in more than one assembly plant. (1) If a 
carline is assembled in more than one assembly plant, the manufacturer 
may, at its option, add the following additional information at the end 
of the explanatory note specified in paragraph (a)(6) of this section, 
with the specified information inserted in the places indicated:

    Two or more assembly plants produce the vehicles in this carline. 
The vehicles assembled at the plant where this vehicle was assembled 
have a U.S./Canadian parts content of [_]%.

    (2) A manufacturer selecting this option shall divide the carline 
for purposes of this additional information into portions representing 
each assembly plant.
    (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.

[59 FR 37330, July 21, 1994, as amended at 60 FR 14229, Mar. 16, 1995; 
60 FR 47893, Sept. 15, 1995; 64 FR 40780, July 28, 1999]



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. This determination shall be made 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

[[Page 318]]

final assembly costs, is excluded from the calculation of U.S./Canadian 
parts content. The country of origin of nuts, bolts, clips, screws, 
pins, braces, gasoline, oil, blackout, phosphate rinse, windshield 
washer fluid, fasteners, tire assembly fluid, rivets, adhesives, 
grommets, and wheel weights, used in final assembly of the vehicle, is 
considered to be the country where final assembly of the vehicle takes 
place.
    (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) To otherwise have the actual percent of its value added in the 
United States and/or Canada, rounded to the nearest five percent.
    (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) To otherwise have the actual percent of its value added in the 
United States and/or Canada, rounded to the nearest five percent.
    (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 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

[[Page 319]]

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) 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;
    (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;
    (iii) The manufacturer or allied supplier may determine that 
particular value is added in the United States and/or Canada 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

[[Page 320]]

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; 64 FR 40780, July 28, 1999]



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. The country of origin of nuts, bolts, 
clips, screws, pins, braces, gasoline, oil, blackout, phosphate rinse, 
windshield washer fluid, fasteners, tire assembly fluid, rivets, 
adhesives, grommets, and wheel weights, used in final assembly of the 
vehicle, is considered to be the country where final assembly of the 
vehicle takes place.
    (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.

[[Page 321]]

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; 
64 FR 40781, July 28, 1999]



Sec.583.8  Procedure for determining country of origin for engines 
and transmissions (for purposes of determining the information 
specified by Sec. Sec.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 first 
adding 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. The assembly and labor 
costs incurred for the final assembly of the engine/transmission are 
then added to determine the value of the engine or transmission.
    (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 the total value of all of the components installed in that 
engine/transmission which originated in that country. For the country 
where final assembly of the engine/transmission takes place, the 
assembly and labor costs incurred for such final assembly are also 
added.
    (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

[[Page 322]]

U.S. and Canada are treated separately).

[59 FR 37330, July 21, 1994, as amended at 60 FR 47895, Sept. 15, 1995; 
64 FR 40781, July 28, 1999]



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,
    (i) The country of origin of the equipment, determined under Sec.
583.7(c); and
    (ii) The percent of its value added in the United States and Canada, 
to the nearest 5 percent, determined under Sec.583.6(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.)
    (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.

[59 FR 37330, July 21, 1994, as amended at 64 FR 40781, July 28, 1999]

[[Page 323]]



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.
    (c) [Reserved]
    (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.
    (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

[[Page 324]]

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 Sec. Sec.583.10 and 583.11.



Sec.583.13  Supplier certification and certificates.

    Each supplier shall certify the information on each certificate 
provided under Sec. Sec.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 Sec. Sec.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 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.

[[Page 325]]



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 
Sec. Sec.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_PHASE-IN REPORTING REQUIREMENTS--Table of Contents



                            Subpart A_General

Sec.
585.1 Definitions.
585.2 Phase-in reports.
585.3 Vehicles produced by more than one manufacturer.
585.4 Petitions to extend period to file report.

       Subpart B_Advanced Air Bag Phase-in Reporting Requirements

585.11 Scope.
585.12 Purpose.
585.13 Applicability.
585.14 Definitions.
585.15 Reporting requirements.
585.16 Records.

Subpart C_Rear Inboard Lap/Shoulder Belt Phase-in Reporting Requirements

585.21 Scope.
585.22 Purpose.
585.23 Applicability.
585.24 Reporting requirements.
585.25 Records.

 Subpart D_Appendix A	1 of FMVSS No. 208 Phase-in Reporting Requirements

585.31 Scope.
585.32 Purpose.
585.33 Applicability.
585.34 Definitions.
585.35 Response to inquiries.
585.36 Reporting requirements.
585.37 Records.

     Subpart E_Fuel System Integrity Phase-in Reporting Requirements

585.41 Scope.
585.42 Purpose.
585.43 Applicability.
585.44 Response to inquiries.
585.45 Reporting requirements.
585.46 Records.

Subpart F_Tires for Motor Vehicles with a GVWR of 10,000 Pounds or Less 
                     Phase-in Reporting Requirements

585.51 Scope.
585.52 Purpose.
585.53 Applicability.
585.54 Response to inquiries.
585.55 Reporting requirements.
585.56 Records.

      Subpart G_Tire Pressure Monitoring System Phase-in Reporting 
                              Requirements

585.61 Scope.
585.62 Purpose.
585.63 Applicability.
585.64 Definitions.
585.65 Response to inquiries.
585.66 Reporting requirements.
585.67 Records.
585.68 Petition to extend period to file report.

    Subpart H_Side Impact Protection Phase-in Reporting Requirements

585.71 Scope.

[[Page 326]]

585.72 Purpose.
585.73 Applicability.
585.74 Definitions.
585.75 Response to inquiries.
585.76 Reporting requirements.
585.77 Records.

    Subpart I_Electronic Stability Control System Phase-In Reporting 
                              Requirements

585.81 Scope.
585.82 Purpose.
585.83 Applicability.
585.84 Definitions.
585.85 Response to inquiries.
585.86 Reporting requirements.
585.87 Records.
585.88 Petition to extend period to file report.

        Subpart J_Head Restraints Phase-in Reporting Requirements

585.91 Scope.
585.92 Purpose.
585.93 Applicability.
585.94 Definitions.
585.95 Response to inquiries.
585.96 Reporting requirements.
585.97 Records.

      Subpart K_Ejection Mitigation Phase-in Reporting Requirements

585.100 Scope.
585.101 Purpose.
585.102 Applicability.
585.103 Definitions.
585.104 Response to inquiries.
585.105 Reporting requirements.
585.106 Records.

     Subpart L_Roof Crush Resistance Phase-in Reporting Requirements

585.111 Scope.
585.112 Purpose.
585.113 Applicability.
585.114 Definitions.
585.115 Response to inquiries.
585.116 Reporting requirements.
585.117 Records.

      Subpart M_Rear Visibility Improvements Reporting Requirements

585.121 Scope.
585.122 Purpose.
585.123 Applicability.
585.124 Definitions.
585.125 Response to inquiries.
585.126 Reporting requirements.
585.127 Records.

 Subpart N_Minimum Sound Requirements for Hybrid and Electric Vehicles 
                         Reporting Requirements

585.128 Scope.
585.129 Purpose.
585.130 Applicability.
585.131 Definitions.
585.132 Response to inquiries.
585.133 Reporting requirements.
585.134 Records.

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, and 30166; delegation 
of authority at 49 CFR 1.95.

    Source: 69 FR 70916, Dec. 8, 2004, unless otherwise noted.



                            Subpart A_General



Sec.585.1  Definitions.

    (a) All terms defined in 49 U.S.C. 30102 are used in accordance with 
their statutory meaning.
    (b) The terms bus, gross vehicle weight rating or GVWR, motor 
vehicle, 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, unless 
otherwise specified.



Sec.585.2  Phase-in reports.

    Each report submitted to NHTSA under this part shall:
    (a) Identify the manufacturer;
    (b) State the full name, title, and address of the official 
responsible for preparing the report;
    (c) Identify the production year being reported on;
    (d) Contain a statement regarding whether or not the manufacturer 
complied with the requirements of the Federal motor vehicle safety 
standard addressed by the report, for the period covered by the report, 
and the basis for that statement;
    (e) Be written in the English language; and
    (f) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590.

[[Page 327]]



Sec.585.3  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 a Federal Motor 
Vehicle Safety Standard subject to the reporting requirements of this 
part shall:
    (a) 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.
    (b) Report the number of vehicles covered by each contract in each 
production year.



Sec.585.4  Petitions to extend period to file report.

    A petition for extension of the time to submit a report required 
under this part shall be received not later than 15 days before the 
report is due. The petition shall 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.



       Subpart B_Advanced Air Bag Phase-in Reporting Requirements



Sec.585.11  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars and trucks, buses, and multipurpose passenger vehicles with a GVWR 
of 3,855 kg or less and an unloaded vehicle weight of 2,495 kg or less 
to submit reports, and maintain records related to the reports, 
concerning the number and identification of such vehicles that are 
certified as complying with the advanced air bag requirements of 
Standard No. 208, Occupant crash protection (49 CFR 571.208).



Sec.585.12  Purpose.

    The purpose of these reporting requirements is to aid the National 
Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the advanced air bag requirements of 
Standard No. 208 during the phase-ins of those requirements.



Sec.585.13  Applicability.

    This subpart applies to manufacturers of passenger cars and trucks, 
buses, and multipurpose passenger vehicles with a GVWR of 3,855 kg or 
less and an unloaded vehicle weight of 2,495 kg or less. However, this 
subpart does not apply to any manufacturers whose production consists 
exclusively of walk-in vans, vehicles designed to be sold exclusively to 
the U.S. Postal Service, 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. In addition, this subpart does 
not apply to manufacturers whose production of motor vehicles for the 
United States market is less than 5,000 vehicles in a production year.



Sec.585.14  Definitions.

    For the purposes of this subpart,
    (a) Phase one of the advanced air bag requirements of Standard No. 
208 refers to the requirements set forth in S14.1, S14.2, S14.5.1(a), 
S14.5.2, S15.1, S15.2, S17, S19, S21, S23, and S25 of Federal Motor 
Vehicle Safety Standard No. 208, 49 CFR 571.208.
    (b) Phase two of the advanced air bag reporting requirements of 
Standard No. 208 refers to the requirements set forth in S14.3, S14.4, 
S14.5.1(b), S14.5.2, S15.1, S15.2, S17, S19, S21, S23, and S25 of 
Federal Motor Vehicle Safety Standard No. 208, 49 CFR 571.208.
    (c) Phase three of the advanced air bag reporting requirements of 
Standard No. 208 refers to the requirements set forth in S14.6 and S14.7 
of Federal Motor Vehicle Safety Standard No. 208, 49 CFR 571.208.
    (d) Vehicles means passenger cars and trucks, buses, and 
multipurpose passenger vehicles with a GVWR of 3,855 kg or less and an 
unloaded vehicle weight of 2,495 kg or less manufactured for sale in the 
United States whose production of motor vehicles for sale in the United 
States is equal to or greater than 5,000 vehicles in a production year, 
and does not mean walk-in vans, vehicles designed to be sold exclusively 
to the U.S. Postal Service, vehicles

[[Page 328]]

manufactured in two or more stages, and vehicles that are altered after 
previously having been certified in accordance with part 567 of this 
chapter.

[69 FR 70916, Dec. 8, 2004, as amended at 71 FR 51779, Aug. 31, 2006]



Sec.585.15  Reporting requirements.

    (a) Advanced credit phase-in reporting requirements. (1) Within 60 
days after the end of production years ending August 31, 2000, August 
31, 2001, August 31, 2002, and August 31, 2003, each manufacturer 
choosing to certify vehicles manufactured during any of those production 
years as complying with phase one of the advanced air bag requirements 
of Standard No. 208 shall submit a report to the National Highway 
Traffic Safety Administration providing the information specified in 
paragraph (c) of this section and in Sec.585.2 of this part.
    (2) Within 60 days after the end of the production year ending 
August 31, 2007, each manufacturer choosing to certify vehicles 
manufactured during that production year as complying with phase two of 
the advanced air bag requirements of Standard No. 208 shall submit a 
report to the National Highway Traffic Safety Administration providing 
the information specified in paragraph (c) of this section and in Sec.
585.2 of this part.
    (3) Within 60 days after the end of the production year ending 
August 31, 2009, each manufacturer choosing to certify vehicles 
manufactured during that production year as complying with phase three 
of the advanced air bag requirements of Standard No. 208 shall submit a 
report to the National Highway Traffic Safety Administration providing 
the information specified in paragraph (c) of this section and in Sec.
585.2 of this part.
    (b) Phase-in reporting requirements. (1) Within 60 days after the 
end of the production years ending August 31, 2004, August 31, 2005, and 
August 31, 2006, each manufacturer shall submit a report to the National 
Highway Traffic Safety Administration regarding its compliance with 
phase one of the advanced air bag requirements of Standard No. 208 for 
its vehicles produced in that production year. The report shall provide 
the information specified in paragraph (d) of this section and in Sec.
585.2 of this part. Each report shall also specify the number of advance 
credit vehicles, if any, which are being applied to the production year 
being reported on.
    (2) Within 60 days after the end of production years ending August 
31, 2008, August 31, 2009, and August 31, 2010, each manufacturer shall 
submit a report to the National Highway Traffic Safety Administration 
regarding its compliance with phase two of the advanced air bag 
requirements of Standard No. 208 for its vehicles produced in that 
production year. The report shall provide the information specified in 
paragraph (d) of this section and in Sec.585.2 of this part. Each 
report shall also specify the number of advance credit vehicles, if any, 
which are being applied to the production year being reported on.
    (3) Within 60 days after the end of the production years ending 
August 31, 2010, August 31, 2011, and August 31, 2012, each manufacturer 
shall submit a report to the National Highway Traffic Safety 
Administration regarding its compliance with phase three of the advanced 
air bag requirements of Standard No. 208 for its vehicles produced in 
that production year. The report shall provide the information specified 
in paragraph (d) of this section and in Sec.585.2 of this part.
    (c) Advanced credit phase-in report content. (1) With respect to the 
reports identified in section 585.15(a)(1), each manufacturer shall 
report for the production year for which the report is filed the number 
of vehicles, by make and model year, that meet the applicable advanced 
air bag requirements of Standard No. 208, and to which advanced air bag 
requirements the vehicles are certified.
    (2) With respect to the report identified in section 585.15(a)(2), 
each manufacturer shall report the number of vehicles, by make and model 
year, that meet the applicable advanced air bag requirements of Standard 
No. 208, and to which the advanced air bag requirements the vehicles are 
certified.
    (3) With respect to the report identified in section 585.15(a)(3), 
each manufacturer shall report the number of vehicles, by make and model 
year, that meet the applicable advanced air bag

[[Page 329]]

requirements of Standard No. 208, and to which the advanced air bag 
requirements the vehicles are certified.
    (d) Phase-in report content--(1) Basis for phase-in production 
requirements. For production years ending August 31, 2003, August 31, 
2004, August 31, 2005, August 31, 2007, August 31, 2008, August 31, 
2009, August 31, 2010, and August 31, 2011, each manufacturer shall 
provide the number of vehicles manufactured in the current production 
year, or, at the manufacturer's option, for the current production year 
and each of the prior two production years if the manufacturer has 
manufactured vehicles during both of the two production years prior to 
the year for which the report is being submitted.
    (2) Production of complying vehicles. Each manufacturer shall report 
for the production year for which the report is filed the number of 
vehicles, by make and model year, that meet the applicable advanced air 
bag requirements of Standard No. 208, and to which advanced air bag 
requirements the vehicles are certified. Provide this information 
separately for phase two and phase three of the advanced air bag 
reporting requirements.

[69 FR 70916, Dec. 8, 2004, as amended at 71 FR 51779, Aug. 31, 2006; 72 
FR 62142, Nov. 2, 2007]



Sec.585.16  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number of each vehicle for which information is reported 
under Sec.585.15(c) until December 31, 2011. Each manufacturer shall 
maintain records of the Vehicle Identification Number of each vehicle 
for which information is reported under Sec.585.15(d)(2) until 
December 31, 2013.

[72 FR 62142, Nov. 2, 2007]



Subpart C_Rear Inboard Lap/Shoulder Belt Phase-In Reporting Requirements



Sec.585.21  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars and for trucks, buses, and multipurpose passenger vehicles with a 
GVWR of 4,536 kg (10,000 lb) or less to submit reports, and maintain 
records related to the reports, concerning the number and identification 
of such vehicles that are certified as complying with the Type 2 seat 
belt requirements for rear seating positions of Standard No. 208, 
Occupant crash protection (49 CFR 571.208).



Sec.585.22  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the Type 2 seat belt requirements for 
rear seating positions of Standard No. 208.



Sec.585.23  Applicability.

    This subpart applies to manufacturers of passenger cars and trucks, 
buses, and multipurpose passenger vehicles with a GVWR of 4,536 kg or 
less. However, this subpart does not apply to any manufacturers whose 
production consists exclusively of walk-in vans, vehicles designed to be 
sold exclusively to the U.S. Postal Service, 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. In 
addition, this subpart does not apply to manufacturers that produce 
fewer than 5,000 vehicles annually for sale in the United States.

[72 FR 62142, Nov. 2, 2007]



Sec.585.24  Reporting requirements.

    (a) Advanced credit phase-in reporting requirements. Within 60 days 
after the end of the production year ending August 31, 2005, each 
manufacturer choosing to certify vehicles manufactured during that 
production year as complying with the Type 2 seat belt for each rear 
designated seating position requirements of Standard No. 208 shall 
submit a report to the National Highway Traffic Safety Administration 
providing the information specified in paragraph (c) of this section and 
in Sec.585.2 of this part.
    (b) Phase-in reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2006, and August 31, 2007, each 
manufacturer shall submit a report to the National

[[Page 330]]

Highway Traffic Safety Administration regarding its compliance with the 
Type 2 seat belt for each rear designated seating position requirements 
of Standard No. 208 for its vehicles produced in that production year. 
The report shall provide the information specified in paragraph (d) of 
this section and in Sec.585.2 of this part. Each report shall also 
specify the number of advance credit vehicles, if any, which are being 
applied to the production year being reported on.
    (c) Advanced credit phase-in report content. With respect to the 
reports identified in section 585.24(a), each manufacturer shall report 
for the production year for which the report is filed the number of 
vehicles, by make and model year, that meet the applicable Type 2 seat 
belt for each rear designated seating position requirements of Standard 
No. 208.
    (d) Phase-in report content. (1) Basis for phase-in production 
requirements. For production years ending August 31, 2006, and August 
31, 2007, each manufacturer shall provide the number of vehicles 
manufactured in the current production year, or, at the manufacturer's 
option, for the current production year and each of the prior two 
production years if the manufacturer has manufactured vehicles during 
each production year prior to the year for which the report is being 
submitted.
    (2) Production of complying vehicles. Each manufacturer shall report 
for the production year for which the report is filed the number of 
vehicles, by make and model year, that meet the applicable Type 2 seat 
belt for each rear designated seating position requirements of Standard 
No. 208.



Sec.585.25  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number of each vehicle for which information is reported 
under Sec.585.24(c) and (d)(2) until December 31, 2008.



 Subpart D_Appendix A	1 of FMVSS No. 208 Phase-in Reporting Requirements

    Source: 73 FR 66801, Nov. 12, 2008, unless otherwise noted.



Sec.585.31  Scope.

    This part establishes requirements for manufacturers of passenger 
cars, and of trucks, buses and multipurpose passenger vehicles with a 
gross vehicle weight rating (GVWR) of 3,856 kilograms (kg) (8,500 pounds 
(lb)) or less, to submit a report, and maintain records related to the 
report, concerning the number of such vehicles that are certified as 
complying with S19, S21, and S23 of FMVSS No. 208 (49 CFR 571.208) when 
using the child restraint systems specified in Appendix A-1 of this 
standard.



Sec.585.32  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the requirements of Standard No. 208 when 
using the child restraint systems specified in Appendix A-1 of that 
standard.



Sec.585.33  Applicability.

    This part applies to manufacturers of passenger cars, and of trucks, 
buses and multipurpose passenger vehicles with a GVWR of 3,856 kg (8,500 
lb) or less.



Sec.585.34  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.
    (d) Limited line manufacturer means a manufacturer that sells three 
or fewer carlines, as that term is defined in 49 CFR 583.4, in the 
United States during a production year.



Sec.585.35  Response to inquiries.

    At any time during the production year ending August 31, 2010, each 
manufacturer shall, upon request from the Office of Vehicle Safety 
Compliance, provide information identifying the vehicles (by make, model 
and vehicle

[[Page 331]]

identification number) that have been certified as complying with the 
requirements of Standard No. 208 when using the child restraint systems 
specified in Appendix A-1 of that standard. The manufacturer's 
designation of a vehicle as a certified vehicle is irrevocable.



Sec.585.36  Reporting Requirements.

    (a) Phase-in reporting requirements. Within 60 days after the end of 
the production year ending August 31, 2010, each manufacturer shall 
submit a report to the National Highway Traffic Safety Administration 
concerning its compliance with requirements of Standard No. 208 when 
using the child restraint systems specified in Appendix A-1 of that 
standard for its vehicles produced in that year. Each report shall 
provide the information specified in paragraph (b) of this section and 
in section 585.2 of this part.
    (b) Phase-in report content--
    (1) Basis for phase-in production goals. Each manufacturer shall 
provide the number of vehicles manufactured in the current production 
year, or, at the manufacturer's option, in each of the three previous 
production years. A new manufacturer that is, for the first time, 
manufacturing passenger cars, trucks, multipurpose passenger vehicles or 
buses for sale in the United States must report the number of passenger 
cars, trucks, multipurpose passenger vehicles or buses manufactured 
during the current production year.
    (2) Production of complying vehicles. Each manufacturer shall report 
on the number of vehicles that meet the requirements of Standard No. 208 
when using the child restraint systems specified in Appendix A-1 of that 
standard.



Sec.585.37  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.36 until December 31, 2013.



     Subpart E_Fuel System Integrity Phase-In Reporting Requirements



Sec.585.41  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars, multipurpose passenger vehicles, trucks, and buses with a GVWR of 
4,536 kg (10,000 lb) or less to respond to NHTSA inquiries, to submit 
reports, and to maintain records related to the reports, concerning the 
number of such vehicles that meet the upgraded requirements of Standard 
No. 301, Fuel systems integrity (49 CFR 571.301).



Sec.585.42  Purpose.

    The purpose of these requirements is to assist the National Highway 
Traffic Safety Administration in determining whether a manufacturer has 
complied with the upgraded requirements of Standard No. 301.



Sec.585.43  Applicability.

    This subpart applies to manufacturers of passenger cars, 
multipurpose passenger vehicles, trucks and buses with a GVWR of 4,536 
or less. However, this subpart does not apply to manufacturers that 
produce fewer than 5,000 vehicles annually for sale in the United 
States.

[72 FR 62142, Nov. 2, 2007]



Sec.585.44  Response to inquiries.

    During the production years ending August 31, 2007, August 31, 2008, 
and August 31, 2009, each manufacturer shall, upon request from the 
Office of Vehicle Safety Compliance, provide information identifying the 
vehicles (by make, model, and vehicle identification number) that have 
been certified as complying with the requirements of S6.2(b) of Standard 
No. 301. The manufacturer's designation of a vehicle as a certified 
vehicle is irrevocable.



Sec.585.45  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2007, August 31, 2008 and August 
31, 2009, each manufacturer shall submit a report to the National 
Highway Traffic Safety Administration concerning its compliance with 
S6.2(b) of Standard No. 301 for its passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a GVWR of less than 4,536 kg 
produced in that year. Each report shall provide the information 
specified

[[Page 332]]

in paragraph (b) of this section and in section 585.2 of this part.
    (b) Report content. (1) Basis for statement of compliance. Each 
manufacturer shall provide the number of passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a GVWR of 4,536 kg 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 
previous production year. A new manufacturer that has not previously 
manufactured these vehicles 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, 
multipurpose passenger vehicles, trucks, and buses with a GVWR of 4,536 
kg or less that meet S6.2(b) or S6.3(b) of Standard No. 301.



Sec.585.46  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.45(b)(2) until December 31, 2010.



Subpart F_Tires for Motor Vehicles with a GVWR of 10,000 Pounds or Less 
                     Phase-In Reporting Requirements



Sec.585.51  Scope.

    This subpart establishes requirements for manufacturers of new 
pneumatic tires for motor vehicles with a GVWR of 4,536 kg (10,000 lb) 
or less to respond to NHTSA inquiries, to submit reports, and to 
maintain records related to the reports, concerning the number of such 
tires that meet the requirements of Standard No. 139, New pneumatic 
tires for light vehicles (49 CFR 571.139).



Sec.585.52  Purpose.

    The purpose of these requirements is to assist the National Highway 
Traffic Safety Administration in determining whether a manufacturer has 
complied with the requirements of Standard No. 139.



Sec.585.53  Applicability.

    This subpart applies to manufacturers of tires for motor vehicles 
with a GVWR of 4,536 kg or less.



Sec.585.54  Response to inquiries.

    Each manufacturer shall, upon request from the Office of Vehicle 
Safety Compliance, provide information identifying the tires (by make, 
model, brand and tire identification number) that have been certified as 
complying with the requirements of Standard No. 139. The manufacturer's 
designation of a tire as a certified tire is irrevocable.



Sec.585.55  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2006 and August 31, 2007, each 
manufacturer shall submit a report to the National Highway Traffic 
Safety Administration concerning its compliance with Standard No. 139 
for its tires produced in that year for motor vehicles with a GVWR of 
4,536 kg or less. Each report shall provide the information specified in 
paragraph (b) of this section and in section 585.2 of this part.
    (b) Report content. (1) Basis for statement of compliance. Each 
manufacturer shall provide the number of tires for motor vehicles with a 
GVWR of 4,536 kg 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 production year for which the report is filed. A new 
manufacturer that has not previously manufactured these tires for sale 
in the United States shall report the number of such tires 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 new pneumatic tires for 
motor vehicles with a GVWR of 4,536 kg or less that meet Standard No. 
139.



Sec.585.56  Records.

    Each manufacturer shall maintain records of the tire identification 
number for each vehicle for which information is reported under Sec.
585.55(b)(2) until December 31, 2008.

[[Page 333]]



      Subpart G_Tire Pressure Monitoring System Phase-in Reporting 
                              Requirements

    Source: 70 FR 18190, Apr. 8, 2005, unless otherwise noted.



Sec.585.61  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars, multipurpose passenger vehicles, trucks, and buses with a gross 
vehicle weight rating of 4,536 kilograms (10,000 pounds) or less, except 
those vehicles with dual wheels on an axle, to submit a report, and 
maintain records related to the report, concerning the number of such 
vehicles that meet the requirements of Standard No. 138, Tire pressure 
monitoring systems (49 CFR 571.138).



Sec.585.62  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with Standard No. 138.



Sec.585.63  Applicability.

    This subpart applies to manufacturers of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 4,536 kilograms (10,000 pounds) or less, except those 
vehicles with dual wheels on an axle. However, this subpart does not 
apply to manufacturers whose production consists exclusively of vehicles 
manufactured in two or more stages, and vehicles that are altered after 
previously having been certified in accordance with part 567 of the 
chapter. In addition, this subpart does not apply to manufacturers whose 
production of motor vehicles for the United States market is less than 
5,000 vehicles in a production year.



Sec.585.64  Definitions.

    Production year means the 12-month period between September 1 of one 
year and August 31 of the following year, inclusive.



Sec.585.65  Response to inquiries.

    At any time prior to August 31, 2007, each manufacturer must, upon 
request from the Office of Vehicle Safety Compliance, provide 
information identifying the vehicles (by make, model, and vehicle 
identification number) that have been certified as complying with 
Standard No. 138. The manufacturer's designation of a vehicle as a 
certified vehicle is irrevocable. Upon request, the manufacturer also 
must specify whether it intends to utilize either carry-forward or 
carry-backward credits, and the vehicles to which those credits relate.



Sec.585.66  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2006 and August 31, 2007, each 
manufacturer must submit a report to the National Highway Traffic Safety 
Administration concerning its compliance with Standard No. 138 (49 CFR 
571.138) for its passenger cars, multipurpose passenger vehicles, 
trucks, and buses with a gross vehicle weight rating of less than 4,536 
kilograms (10,000 pounds) produced in that year. Each report must--
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the requirements of Standard No. 138 (49 CFR 571.138) for 
the period covered by the report and the basis for that statement;
    (5) Provide the information specified in paragraph (b) of this 
section;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590.
    (b) Report content--(1) Basis for statement of compliance. Each 
manufacturer must provide the number of passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a gross vehicle weight rating 
of 4,536 kilograms (10,000 pounds) or less, except those vehicles with 
dual wheels on an axle, manufactured for sale in the United States for 
each reporting period as follows:

[[Page 334]]

    (i) Period from October 5, 2005 to August 31, 2006. The number shall 
be either the manufacturer's average annual production of vehicles 
manufactured on or after September 1, 2002, and before October 5, 2005, 
or, at the manufacturer's option, it shall be the manufacturer's 
production on or after October 5, 2005 and before September 1, 2006. A 
new manufacturer that has not previously manufactured these vehicles for 
sale in the United States must report the number of such vehicles 
manufactured during the production period on or after October 5, 2005 
and before September 1, 2006.
    (ii) Period from September 1, 2006 to August 31, 2007. The number 
shall be either the manufacturer's average annual production of vehicles 
manufactured on or after September 1, 2003, and before September 1, 
2006, or, at the manufacturer's option, it shall be the manufacturer's 
production on or after September 1, 2006 and before September 1, 2007. A 
new manufacturer that has not previously manufactured these vehicles for 
sale in the United States must report the number of such vehicles 
manufactured during the production period on or after September 1, 2006 
and before September 1, 2007.
    (2) Production. Each manufacturer must report for the production 
period for which the report is filed: the total number of passenger 
cars, multipurpose passenger vehicles, trucks, and buses with a gross 
vehicle weight rating of 4,536 kilograms (10,000 pounds) or less that 
meet Standard No. 138 (49 CFR 571.138).
    (3) Statement regarding compliance. Each manufacturer must provide a 
statement regarding whether or not the manufacturer complied with the 
TPMS requirements as applicable to the period covered by the report, and 
the basis for that statement. This statement must include an explanation 
concerning the use of any carry-forward and/or carry-backward credits.
    (4) 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 S7.5.2 of Standard No. 138 
(49 CFR 571.138) must:
    (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.

[70 FR 18190, Apr. 8, 2005, as amended at 70 FR 53101, Sept. 7, 2005]



Sec.585.67  Records.

    Each manufacturer must maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.66(b)(2) until December 31, 2009.



Sec.585.68  Petition to extend period to file report.

    A manufacturer may petition for extension of time to submit a report 
under this Part. A petition will be granted only if the petitioner shows 
good cause for the extension and if the extension is consistent with the 
public interest. The petition must be received not later than 15 days 
before expiration of the time stated in Sec.585.66(a). The filing of a 
petition does not automatically extend the time for filing a report. The 
petition must be submitted to: Administrator, National Highway Traffic 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.



    Subpart H_Side Impact Protection Phase-in Reporting Requirements

    Source: 72 FR 51972, Sept. 11, 2007, unless otherwise noted.



Sec.585.71  Scope.

    This part establishes requirements for manufacturers of passenger 
cars, and of trucks, buses and multipurpose passenger vehicles with a 
gross vehicle weight rating (GVWR) of 4,536 kilograms (kg) (10,000 
pounds) or less, to submit a report, and maintain records related to the 
report, concerning the number of such vehicles that meet the moving 
deformable barrier test requirements of S7 of Standard No. 214, Side 
impact protection (49 CFR 571.214), and the vehicle-to-pole test 
requirements of S9 of that standard.

[[Page 335]]



Sec.585.72  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the requirements of Standard No. 214, 
Side Impact Protection (49 CFR 571.214).



Sec.585.73  Applicability.

    This part applies to manufacturers of passenger cars, and of trucks, 
buses and multipurpose passenger vehicles with a GVWR of 4,536 kg 
(10,000 lb) or less. However, this part does not apply to vehicles 
excluded by S2 and S5 of Standard No. 214 (49 CFR 571.214) from the 
requirements of that standard.



Sec.585.74  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.
    (d) Limited line manufacturer means a manufacturer that sells three 
or fewer carlines, as that term is defined in 49 CFR 583.4, in the 
United States during a production year.



Sec.585.75  Response to inquiries.

    At any time during the production years ending August 31, 2011, 
August 31, 2012, August 31, 2013, and August 31, 2014, each manufacturer 
shall, upon request from the Office of Vehicle Safety Compliance, 
provide information identifying the vehicles (by make, model and vehicle 
identification number) that have been certified as complying with the 
moving deformable barrier test with advanced test dummies (S7.2) or the 
vehicles (by make, model and vehicle identification number) that have 
been certified as complying with the vehicle-to-pole test requirements 
(S9.1) of FMVSS No. 214 (49 CFR 571.214). The manufacturer's designation 
of a vehicle as a certified vehicle that meets S7.2 or S9.1 is 
irrevocable.

[73 FR 32485, June 9, 2008]



Sec.585.76  Reporting requirements.

    (a) Advanced credit phase-in reporting requirements. (1) Within 60 
days after the end of the production years ending August 31, 2008, 
through August 31, 2014, each manufacturer choosing to certify vehicles 
manufactured during any of those production years as complying with the 
upgraded moving deformable barrier (S7.2 of Standard No. 214)(49 CFR 
571.214) or vehicle-to-pole requirements (S9) of Standard No. 214 shall 
submit a report to the National Highway Traffic Safety Administration 
providing the information specified in paragraph (c) of this section and 
in Sec.585.2 of this part.
    (2) [Reserved]
    (b) Phase-in reporting requirements. Within 60 days after the end of 
each of the production years ending August 31, 2011, August 31, 2012, 
August 31, 2013, and August 31, 2014, each manufacturer shall submit a 
report to the National Highway Traffic Safety Administration concerning 
its compliance with the moving deformable barrier requirements of S7 of 
Standard No. 214 and with the vehicle-to-pole requirements of S9 of that 
Standard for its vehicles produced in that year. Each report shall 
provide the information specified in paragraph (c) of this section and 
in section 585.2 of this part.
    (c) Advanced credit phase-in report content--(1) Production of 
complying vehicles. With respect to the reports identified in Sec.
585.76(a), each manufacturer shall report for the production year for 
which the report is filed the number of vehicles, by make and model 
year: That are certified as meeting the moving deformable barrier test 
requirements of S7.2 of Standard No. 214, Side impact protection (49 CFR 
571.214), and that are certified as meeting the vehicle-to-pole test 
requirements of S9 of Standard No. 214.
    (2) [Reserved]
    (d) Phase-in report content--(1) Basis for phase-in production 
goals. Each manufacturer shall provide the number of vehicles 
manufactured in the current production year, or, at the manufacturer's 
option, in each of the three previous production years. A new 
manufacturer that is, for the first time, manufacturing passenger cars 
for sale in the United States must report the

[[Page 336]]

number of passenger cars manufactured during the current production 
year.
    (2) Production of complying vehicles. Each manufacturer shall report 
for the production year being reported on, and each preceding production 
year, to the extent that vehicles 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 vehicles 
that meet the moving deformable barrier test requirements of S7 of 
Standard No. 214, Side Impact Protection (49 CFR 571.214), and the 
number of vehicles that meet the vehicle-to-pole test requirements of S9 
of that standard.

[72 FR 51972, Sept. 11, 2007, as amended at 73 FR 32485, June 9, 2008]



Sec.585.77  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.76 until December 31, 2018.

[73 FR 32485, June 9, 2008]



    Subpart I_Electronic Stability Control System Phase-In Reporting 
                              Requirements

    Source: 72 FR 17316, Apr. 6, 2007, unless otherwise noted.



Sec.585.81  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars, multipurpose passenger vehicles, trucks, and buses with a gross 
vehicle weight rating of 4,536 kilograms (10,000 pounds) or less to 
submit a report, and maintain records related to the report, concerning 
the number of such vehicles that meet the requirements of Standard No. 
126, Electronic stability control systems (49 CFR 571.126).



Sec.585.82  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with Standard No. 126 (49 CFR 571.126).



Sec.585.83  Applicability.

    This subpart applies to manufacturers of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 4,536 kilograms (10,000 pounds) or less. However, this 
subpart does not apply to manufacturers whose production consists 
exclusively of 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. In addition, this subpart does not apply 
to manufacturers whose production of motor vehicles for the United 
States market is less than 5,000 vehicles in a production year.



Sec.585.84  Definitions.

    For the purposes of this subpart:
    Production year means the 12-month period between September 1 of one 
year and August 31 of the following year, inclusive.



Sec.585.85  Response to inquiries.

    At any time prior to August 31, 2011, each manufacturer must, upon 
request from the Office of Vehicle Safety Compliance, provide 
information identifying the vehicles (by make, model, and vehicle 
identification number) that have been certified as complying with 
Standard No. 126 (49 CFR 571.126). The manufacturer's designation of a 
vehicle as a certified vehicle is irrevocable. Upon request, the 
manufacturer also must specify whether it intends to utilize carry-
forward credits, and the vehicles to which those credits relate.



Sec.585.86  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2009, August 31, 2010, and August 
31, 2011, each manufacturer must submit a report to the National Highway 
Traffic Safety Administration concerning its compliance with Standard 
No. 126 (49 CFR 571.126) for its passenger cars, multipurpose passenger 
vehicles, trucks, and buses with a gross vehicle weight rating of less 
than 4,536 kilograms (10,000 pounds) produced in that year. Each report 
must--
    (1) Identify the manufacturer;

[[Page 337]]

    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the requirements of Standard No. 126 (49 CFR 571.126) for 
the period covered by the report and the basis for that statement;
    (5) Provide the information specified in paragraph (b) of this 
section;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 400 Seventh Street, SW., Washington, DC 20590.
    (b) Report content--(1) Basis for statement of compliance. Each 
manufacturer must provide the number of passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a gross vehicle weight rating 
of 4,536 kilograms (10,000 pounds) 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 these vehicles for 
sale in the United States must report the number of such vehicles 
manufactured during the current production year.
    (2) Production. Each manufacturer must report for the production 
year for which the report is filed: the number of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 4,536 kilograms (10,000 pounds) or less that meet 
Standard No. 126 (49 CFR 571.126).
    (3) Statement regarding compliance. Each manufacturer must provide a 
statement regarding whether or not the manufacturer complied with the 
ESC requirements as applicable to the period covered by the report, and 
the basis for that statement. This statement must include an explanation 
concerning the use of any carry-forward credits.
    (4) 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 S8.6.2 of Standard No. 126 
(49 CFR 571.126) must:
    (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.



Sec.585.87  Records.

    Each manufacturer must maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.86(b)(2) until December 31, 2013.



Sec.585.88  Petition to extend period to file report.

    A manufacturer may petition for extension of time to submit a report 
under this Part. A petition will be granted only if the petitioner shows 
good cause for the extension and if the extension is consistent with the 
public interest. The petition must be received not later than 15 days 
before expiration of the time stated in Sec.585.86(a). The filing of a 
petition does not automatically extend the time for filing a report. The 
petition must be submitted to: Administrator, National Highway Traffic 
Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.



        Subpart J_Head Restraints Phase-in Reporting Requirements

    Source: 72 FR 25523, May 4, 2007, unless otherwise noted.



Sec.585.91  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars, multipurpose passenger vehicles, trucks and buses with a GVWR of 
4,536 kg or less to submit a report, and maintain records related to the 
report, concerning the number of vehicles that meet the requirements of 
Standard No. 202a.



Sec.585.92  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration

[[Page 338]]

in determining whether a manufacturer has complied with Standard No. 
202a.



Sec.585.93  Applicability.

    This subpart applies to manufacturers of passenger cars, 
multipurpose passenger vehicles, trucks and buses with a GVWR of 4,536 
kg or less. However, it does not apply to manufacturers whose production 
consists exclusively of vehicles that are manufactured in two or more 
stages or that are altered (within the meaning of 49 CFR 567.7) after 
having previously been certified in accordance with part 567 of this 
chapter.



Sec.585.94  Definitions.

    Production year means the 12-month period between September 1 of one 
year and August 31 of the following year, inclusive.



Sec.585.95  Response to inquiries.

    (a) Production year ending August 31, 2010. At any time during the 
production year, each manufacturer must, upon request from the Office of 
Vehicle Safety Compliance, provide information identifying the vehicles 
(by make, model and vehicle identification number) that have been 
certified as complying with Sec.571.202a without regard to any option 
to comply with the standard in Sec.571.202 or with the European 
regulations referenced in S4.3(a) of Sec.571.202.
    (b) Production year ending August 31, 2011. At any time during the 
production year, each manufacturer must, upon request from the Office of 
Vehicle Safety Compliance, provide information identifying the vehicles 
(by make, model and vehicle identification number) that have been 
certified as complying with the requirements specified in Sec.571.202a 
for rear head restraints.



Sec.585.96  Reporting requirements.

    (a) Production year ending August 31, 2010--(1) General reporting 
requirements. Within 60 days after the end of the production year ending 
August 31, 2010, each manufacturer must submit a report to the National 
Highway Traffic Safety Administration concerning its compliance with the 
head restraint requirements specified in Sec.571.202a, without regard 
to any option to comply with the standard in Sec.571.202 or with the 
European regulations referenced in S4.3(a) of Sec.571.202, for its 
passenger cars, trucks, buses and multipurpose passenger vehicles 
produced in that year. The report must provide the information specified 
in paragraph (2) of this section and in Sec.585.2 of this part.
    (2) Report content--(i) Basis for phase-in production goals. Each 
manufacturer must provide the number of passenger cars and multipurpose 
passenger vehicles, trucks and buses with a GVWR of 4,536 kg or less 
manufactured for sale in the United States. The number must be either 
the manufacturer's average annual production of vehicles manufactured on 
or after September 1, 2007 and before September 1, 2010, or, at the 
manufacturer's option, the manufacturer's production on or after 
September 1, 2009 and before September 1, 2010. A new manufacturer that 
has not previously manufactured these vehicles for sale in the United 
States must report the number of such vehicles manufactured during the 
production period beginning on or after September 1, 2009 and before 
September 1, 2010.
    (ii) Production. Each manufacturer must report for the production 
year ending August 31, 2010: The total number of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 4,536 kg or less that meet Sec.571.202a, without 
regard to any option to comply with the standard in Sec.571.202 or 
with the European regulations referenced in S4.3(a) of Sec.571.202.
    (b) Production year ending August 31, 2011--(1) General reporting 
requirements. Within 60 days after the end of the production year ending 
August 31, 2011, each manufacturer must submit a report to the National 
Highway Traffic Safety Administration concerning its compliance with the 
rear head restraint requirements specified in Sec.571.202a. The report 
must provide the information specified in paragraph (2) of this section 
and in Sec.585.2 of this part.
    (2) Report content--(i) Basis for phase-in production goals. Each 
manufacturer must provide the number of passenger cars and multipurpose 
passenger vehicles, trucks and buses with a GVWR of

[[Page 339]]

4,536 kg or less manufactured for sale in the United States with rear 
head restraints. The number must be either the manufacturer's average 
annual production of vehicles with rear head restraints manufactured on 
or after September 1, 2008 and before September 1, 2011, or, at the 
manufacturer's option, the manufacturer's production on or after 
September 1, 2010 and before September 1, 2011. A new manufacturer that 
has not previously manufactured these vehicles for sale in the United 
States must report the number of such vehicles manufactured during the 
production period on or after September 1, 2010 and before September 1, 
2011.
    (ii) Production. Each manufacturer must report for the production 
year ending August 31, 2011: The total number of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 4,536 kg or less that meet the rear head restraint 
requirements of Sec.571.202a.



Sec.585.97  Records.

    Each manufacturer must maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.96 until December 31, 2007.



      Subpart K_Ejection Mitigation Phase-in Reporting Requirements

    Source: 76 FR 3304, Jan. 19, 2011, unless otherwise noted.



Sec.585.100  Scope.

    This part establishes requirements for manufacturers of passenger 
cars, and of trucks, buses and multipurpose passenger vehicles with a 
gross vehicle weight rating (GVWR) of 4,536 kilograms (kg) (10,000 
pounds (lb)) or less, to submit a report, and maintain records related 
to the report, concerning the number of such vehicles that meet the 
ejection mitigation requirements of Standard No. 226, Ejection 
Mitigation (49 CFR 571.226).



Sec.585.101  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the requirements of Standard No. 226, 
Ejection Mitigation (49 CFR 571.226).



Sec.585.102  Applicability.

    This part applies to manufacturers of passenger cars, and of trucks, 
buses and multipurpose passenger vehicles with a GVWR of 4,536 kg 
(10,000 lb) or less. However, this subpart does not apply to vehicles 
excluded by Standard No. 226 (49 CFR 571.226) from the requirements of 
that standard. This subpart does not apply to manufacturers whose 
production consists exclusively of vehicles manufactured in two or more 
stages, to manufacturers whose production of motor vehicles for the 
United States market is less than 5,000 vehicles in a production year, 
and to limited line manufacturers.



Sec.585.103  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.
    (d) Limited line manufacturer means a manufacturer that sells three 
or fewer carlines, as that term is defined in 49 CFR 583.4, in the 
United States during a production year.



Sec.585.104  Response to inquiries.

    At anytime during the production years ending August 31, 2014, 
August 31, 2015, August 31, 2016, and August 31, 2017, each manufacturer 
shall, upon request from the Office of Vehicle Safety Compliance, 
provide information identifying the vehicles (by make, model and vehicle 
identification number) that have been certified as complying with the 
ejection mitigation requirements of Standard No. 226, Ejection 
mitigation (49 CFR 571.226). The manufacturer's designation of a vehicle 
as a certified vehicle is irrevocable.



Sec.585.105  Reporting requirements.

    (a) Advanced credit phase-in reporting requirements. (1) Within 60 
days after

[[Page 340]]

the end of the production years ending August 31, 2011, through August 
31, 2017, each manufacturer certifying vehicles manufactured during any 
of those production years as complying with the ejection mitigation 
requirements of Standard No. 226 (49 CFR 571.226) shall submit a report 
to the National Highway Traffic Safety Administration providing the 
information specified in paragraph (c) of this section and in Sec.
585.2 of this part.
    (b) Phase-in reporting requirements. Within 60 days after the end of 
each of the production years ending August 31, 2014, through August 31, 
2017, each manufacturer shall submit a report to the National Highway 
Traffic Safety Administration concerning its compliance with the 
ejection mitigation requirements of Standard No. 226 (49 CFR 571.226) 
for its vehicles produced in that year. Each report shall provide the 
information specified in paragraph (d) of this section and in Sec.
585.2 of this part.
    (c) Advanced credit phase-in report content--(1) Production of 
complying vehicles. With respect to the reports identified in Sec.
585.105(a), each manufacturer shall report for the production year for 
which the report is filed the number of vehicles, by make and model 
year, that are certified as meeting the ejection mitigation requirements 
of Standard No. 226 (49 CFR 571.226).
    (d) Phase-in report content--
    (1) Basis for phase-in production goals. Each manufacturer shall 
provide the number of passenger cars, multipurpose passenger vehicles, 
trucks, and buses, with a gross vehicle weight rating of 4,536 kilograms 
(10,000 pounds) or less, manufactured in the current production year, 
or, at the manufacturer's option, in each of the three previous 
production years. A new manufacturer that is, for the first time, 
manufacturing these vehicles for sale in the United States must report 
the number of these vehicles manufactured during the current production 
year.
    (2) Production of complying vehicles. Each manufacturer shall report 
for the production year being reported on information on the number of 
passenger cars, multipurpose passenger vehicles, trucks, and buses, with 
a gross vehicle weight rating of 4,536 kilograms (10,000 pounds) or less 
that meet the ejection mitigation requirements of Standard No. 226 (49 
CFR 571.226). The manufacturer shall report the vehicles produced during 
the preceding years for which the manufacturer is claiming credits as 
having been produced during the production year being reported on.



Sec.585.106  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.105 until December 31, 2020.



     Subpart L_Roof Crush Resistance Phase-in Reporting Requirements

    Source: 74 FR 22387, May 12, 2009, unless otherwise noted.



Sec.585.111  Scope.

    This subpart establishes requirements for manufacturers of passenger 
cars, multipurpose passenger vehicles, trucks, and buses with a gross 
vehicle weight rating of 2,722 kilograms (6,000 pounds) or less to 
submit a report, and maintain records related to the report, concerning 
the number of such vehicles that meet the requirements of Standard No. 
216a; Roof crush resistance; Upgraded standard (49 CFR 571.216a).



Sec.585.112  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with Standard No. 216a (49 CFR 571.216a).



Sec.585.113  Applicability.

    This subpart applies to manufacturers of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 2,722 kilograms (6,000 pounds) or less. However, this 
subpart does not apply to manufacturers whose production consists 
exclusively of 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. In addition, this subpart does not apply 
to manufacturers whose production of motor vehicles for the United 
States

[[Page 341]]

market is less than 5,000 vehicles in a production year.



Sec.585.114  Definitions.

    For the purposes of this subpart:
    Production year means the 12-month period between September 1 of one 
year and August 31 of the following year, inclusive.



Sec.585.115  Response to inquiries.

    At any time prior to August 31, 2018, each manufacturer must, upon 
request from the Office of Vehicle Safety Compliance, provide 
information identifying the vehicles (by make, model, and vehicle 
identification number) that have been certified as complying with 
Standard No. 216a (49 CFR 571.216a). The manufacturer's designation of a 
vehicle as a certified vehicle is irrevocable. Upon request, the 
manufacturer also must specify whether it intends to utilize carry-
forward credits, and the vehicles to which those credits relate.



Sec.585.116  Reporting requirements.

    (a) General reporting requirements. Within 60 days after the end of 
the production years ending August 31, 2013, August 31, 2014, and August 
31, 2015, each manufacturer must submit a report to the National Highway 
Traffic Safety Administration concerning its compliance with Standard 
No. 216a (49 CFR 571.216a) for its passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a gross vehicle weight rating 
of less than 2,722 kilograms (6,000 pounds) produced in that year. Each 
report must --
    (1) Identify the manufacturer;
    (2) State the full name, title, and address of the official 
responsible for preparing the report;
    (3) Identify the production year being reported on;
    (4) Contain a statement regarding whether or not the manufacturer 
complied with the requirements of Standard No. 216a (49 CFR 571.216a) 
for the period covered by the report and the basis for that statement;
    (5) Provide the information specified in paragraph (b) of this 
section;
    (6) Be written in the English language; and
    (7) Be submitted to: Administrator, National Highway Traffic Safety 
Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
    (b) Report content--(1) Basis for statement of compliance. Each 
manufacturer must provide the number of passenger cars, multipurpose 
passenger vehicles, trucks, and buses with a gross vehicle weight rating 
of 2,722 kilograms (6,000 pounds) 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 these vehicles for 
sale in the United States must report the number of such vehicles 
manufactured during the current production year.
    (2) Production. Each manufacturer must report for the production 
year for which the report is filed: the number of passenger cars, 
multipurpose passenger vehicles, trucks, and buses with a gross vehicle 
weight rating of 2,722 kilograms (6,000 pounds) or less that meet 
Standard No. 216a (49 CFR 571.216a).
    (3) Statement regarding compliance. Each manufacturer must provide a 
statement regarding whether or not the manufacturer complied with the 
requirements of Standard No. 216a (49 CFR 571.216a) as applicable to the 
period covered by the report, and the basis for that statement. This 
statement must include an explanation concerning the use of any carry-
forward credits.
    (4) 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 S8.6.2 of Standard No. 
216a (49 CFR 571.216a) must:
    (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.



Sec.585.117  Records.

    Each manufacturer must maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.116(b)(2) until December 31, 2018.

[[Page 342]]



      Subpart M_Rear Visibility Improvements Reporting Requirements

    Source: 79 FR 19249, Apr. 7, 2014, unless otherwise noted.



Sec.585.121  Scope.

    This part establishes requirements for manufacturers of passenger 
cars, of trucks, buses, multipurpose passenger vehicles and low-speed 
vehicles with a gross vehicle weight rating (GVWR) of 4,536 kilograms 
(kg) (10,000 pounds (lb)) or less, to submit a report, and maintain 
records related to the report, concerning the number of such vehicles 
that meet the rear visibility requirements in paragraphs S5.5 and S6.2 
of Standard No. 111, Rear visibility (49 CFR 571.111).



Sec.585.122  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the rear visibility requirements in 
paragraphs S5.5 and S6.2 of Standard No. 111, Rear visibility (49 CFR 
571.111).



Sec.585.123  Applicability.

    This part applies to manufacturers of passenger cars, of trucks, 
buses, multipurpose passenger vehicles and low-speed vehicles with a 
gross vehicle weight rating (GVWR) of 4,536 kilograms (kg) (10,000 
pounds (lb)) or less.



Sec.585.124  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, low-speed vehicle, 
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 May 1 of one 
year and April 30 of the following year, inclusive.



Sec.585.125  Response to inquiries.

    At anytime during the production years ending April 30, 2017, and 
April 30, 2018, each manufacturer shall, upon request from the Office of 
Vehicle Safety Compliance, provide information identifying the vehicles 
(by make, model and vehicle identification number) that have been 
certified as complying with the rear visibility requirements in 
paragraphs S5.5 and S6.2 of Standard No. 111, Rear visibility (49 CFR 
571.111). The manufacturer's designation of a vehicle as a certified 
vehicle is irrevocable.



Sec.585.126  Reporting requirements.

    (a) Phase-in reporting requirements. Within 60 days after the end of 
each of the production years ending April 30, 2017 and April 30, 2018, 
each manufacturer shall submit a report to the National Highway Traffic 
Safety Administration concerning its compliance with the rear visibility 
requirements in paragraphs S5.5 and S6.2 of Standard No. 111 (49 CFR 
571.111) for its vehicles produced in that year. Each report shall 
provide the information specified in paragraph (b) of this section and 
in Sec.585.2 of this part.
    (b) Phase-in report content-- (1) Basis for phase-in production 
goals. Each manufacturer shall provide the number of vehicles 
manufactured in the current production year, or, at the manufacturer's 
option, in each of the three previous production years. A new 
manufacturer that is, for the first time, manufacturing vehicles for 
sale in the United States must report the number of vehicles 
manufactured during the current production year.
    (2) Production of complying vehicles. Each manufacturer shall 
report, for the production year being reported on, information on the 
number of vehicles that meet the rear visibility requirements in 
paragraphs S5.5 and S6.2 of Standard No. 111 (49 CFR 571.111).



Sec.585.127  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.126 until April 30, 2022.

[[Page 343]]



 Subpart N_Minimum Sound Requirements for Hybrid and Electric Vehicles 
                         Reporting Requirements

    Source: 81 FR 90521, Dec. 14, 2016, unless otherwise noted.



Sec.585.128  Scope.

    This subpart establishes requirements for manufacturers of hybrid 
and electric passenger cars, trucks, buses, multipurpose passenger 
vehicles, and low-speed vehicles to submit a report, and maintain 
records related to the report, concerning the number of such vehicles 
that meet minimum sound requirements of Standard No. 141, Minimum Sound 
Requirements for Hybrid and Electric Vehicles (49 CFR 571.141).



Sec.585.129  Purpose.

    The purpose of these reporting requirements is to assist the 
National Highway Traffic Safety Administration in determining whether a 
manufacturer has complied with the minimum sound requirements of 
Standard No. 141, Minimum Sound for Hybrid and Electric Vehicles (49 CFR 
571.141).



Sec.585.130  Applicability.

    This subpart applies to manufacturers of hybrid and electric 
passenger cars, trucks, buses, multipurpose passenger vehicles, and low-
speed vehicles subject to the phase-in requirements of Sec.571.141, 
S9.1 Hybrid and Electric Vehicles manufactured on or after September 1, 
2019, and before September 1, 2020.

[83 FR 8197, Feb. 26, 2018]



Sec.585.131  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, low-speed vehicle, 
multipurpose passenger vehicle, passenger car, truck, and motorcycle 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.
    (d) Electric Vehicle, and hybrid vehicle are used as defined in 
Sec.571.141 of this chapter.



Sec.585.132  Response to inquiries.

    At any time during the production year ending August 31, 2019, each 
manufacturer shall, upon request from the Office of Vehicle Safety 
Compliance, provide information identifying the vehicles (by make, model 
and vehicle identification number) that have been certified as complying 
with the requirements of Standard No. 141, Minimum Sound Requirements 
for Hybrid and Electric Vehicles (49 CFR 571.141). The manufacturer's 
designation of a vehicle as a certified vehicle is irrevocable.

[83 FR 8197, Feb. 26, 2018]



Sec.585.133  Reporting requirements.

    (a) Phase-in reporting requirements. Within 60 days after the end of 
the production year ending August 31, 2019, each manufacturer shall 
submit a report to the National Highway Traffic Safety Administration 
concerning its compliance with the requirements of Standard No. 141 
Minimum Sound Requirements for Hybrid and Electric Vehicles (49 CFR 
571.141) for its vehicles produced in that year. Each report shall 
provide the information specified in paragraph (b) of this section and 
in Sec.585.2 of this part.
    (b) Phase-in report content--
    (1) Basis for phase-in production goals. Each manufacturer shall 
provide the number of hybrid vehicles and electric vehicles manufactured 
in the current production year or, at the manufacturer's option, in each 
of the three previous production years. A manufacturer that is, for the 
first time, manufacturing vehicles for sale in the United States must 
report the number of vehicles manufactured during the current production 
year.
    (2) Production of complying vehicles--
    Each manufacturer shall report for the production year being 
reported on, and each preceding production year, to the extent that 
vehicles produced during the preceding years are treated under Standard 
No. 141 as having been produced during the production year being 
reported on, information on the

[[Page 344]]

number of vehicles that meet the requirements of Standard No. 141, 
Minimum Sound Requirements for Hybrid and Electric Vehicles (49 CFR 
571.141).

[81 FR 90521, Dec. 14, 2016, as amended at 83 FR 8198, Feb. 26, 2018]



Sec.585.134  Records.

    Each manufacturer shall maintain records of the Vehicle 
Identification Number for each vehicle for which information is reported 
under Sec.585.133 until December 31, 2024.

[83 FR 8198, Feb. 26, 2018]

                           PART 586 [RESERVED]



PART 587_DEFORMABLE BARRIERS--Table of Contents



                            Subpart A_General

Sec.
587.1 Scope.
587.2 Purpose.
587.3 Application.

             Subpart B_Side Impact Moving Deformable Barrier

587.4 Definitions.
587.5 Incorporated materials.
587.6 General description.
587.7-587.10 [Reserved]

                   Subpart C_Offset Deformable Barrier

587.11 [Reserved]
587.12 Incorporation by reference.
587.13 General description.
587.14 Deformable face component dimensions and material specifications.
587.15 Verification of aluminum honeycomb crush strength.
587.16 Adhesive bonding procedure.
587.17 Construction.
587.18 Dimensions of fixed rigid barrier.
587.19 Mounting.

Figures to Subpart C of Part 587

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

    Source: 55 FR 45779, Oct. 30, 1990, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 587 appear at 69 FR 
18803, Apr. 9, 2004.



                            Subpart A_General



Sec.587.1  Scope.

    This part describes deformable impact barriers that are to be used 
for testing compliance of motor vehicles with motor vehicle safety 
standards.

[65 FR 17198, Mar. 31, 2000]



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  Application.

    This part does not in itself impose duties or liabilities on any 
person. It is a description of tools that are used in compliance tests 
to measure the performance of occupant protection systems required by 
the safety standards that refer to these tools. It is designed to be 
referenced by, and become part of, the test procedures specified in 
motor vehicle safety standards such as Standard No. 208, Occupant Crash 
Protection, and Standard No. 214, Side Impact Protection.

[65 FR 17199, Mar. 31, 2000]



             Subpart B_Side Impact Moving Deformable Barrier



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

[[Page 345]]

this volume of the Code of Federal Regulations.
    (b) The drawings and specifications 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 
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 
June 2002.
    (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; 68 FR 44472, July 29, 2003]



Sec. Sec.587.7-587.10  [Reserved]



                   Subpart C_Offset Deformable Barrier

    Source: 65 FR 17199, Mar. 31, 2000, unless otherwise noted.



Sec.587.11  [Reserved]



Sec.587.12  Incorporation by reference.

    Society of Automotive Engineers (SAE) Recommended Practice J211/1 
Rev. MAR 95, Instrumentation for Impact Tests-Part 1--Electronic 
Instrumentation, is incorporated by reference in Sec.587.15 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

[[Page 346]]

at NHTSA's Docket Section, 400 Seventh Street, S.W., room 5109, 
Washington, DC, or at the National Archives and Records Administration 
(NARA). For information on the availability of this material at NARA, 
call 202-741-6030, or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.



Sec.587.13  General description.

    The offset deformable barrier is comprised of two elements: a fixed 
rigid barrier and a deformable face (Figure 1). The fixed rigid barrier 
is adequate to not deflect or displace more than 10 mm during the 
vehicle impact. The deformable face consists of aluminum honeycomb and 
aluminum covering.



Sec.587.14  Deformable face component dimensions and material 
specifications.

    The dimensions of the deformable face are illustrated in Figure 1 of 
this subpart. The dimensions and materials of the individual components 
are listed separately below. All dimensions allow a tolerance of 2.5 mm (0.1 in) unless otherwise specified.
    (a) Main honeycomb block.
    (1) Dimensions. The main honeycomb block has a height of 650 mm 
(25.6 in) (in the direction of honeycomb ribbon axis), a width of 1,000 
mm (39.4 in), and a depth of 450 mm (17.7 in)(in the direction of 
honeycomb cell axis).
    (2) Material. The main honeycomb block is constructed of the 
following material. The honeycomb is manufactured out of aluminum 3003, 
with a foil thickness of 0.076 mm (0.003 in) 0.004 
mm (0.002 in) a cell size of 19.14 mm (0.75 in), a density of 28.6 kg/
m\3\ (1.78 lb/ft\3\) 2kg/m\3\ (0.25 1b/ft\3\), and 
a crush strength of 0.342 MPa (49.6 psi) + 0%-10%, measured in 
accordance with the certification procedure described in Sec.587.15.
    (b) Bumper element honeycomb.
    (1) Dimensions. The bumper element honeycomb has a height of 330 mm 
(13 in)(in the direction of honeycomb ribbon axis), a width of 1,000 mm 
(39.4 in), and a depth of 90 mm (3.5 in) (in the direction of honeycomb 
cell axis).
    (2) Material. The bumper element honeycomb is constructed of the 
following material. The honeycomb is manufactured out of aluminum 3003, 
with a foil thickness of 0.076 mm (0.003 in) 0.004 
mm (0.0002 in), a cell size of 6.4 mm (0.25 in) 1 
mm (0.040 in), a density of 82.6 kg/m\3\ (5.15 lb/ft\3\) 3 kg/m\3\ (0.19 lb/ft\3\), and a crush strength of 1.711 
MPa (248 psi) + 0% -10%, measured in accordance with the certification 
procedure described in Sec.587.14.
    (c) Backing sheet.
    (1) Dimensions. The backing sheet has a height of 800 mm (31.5 in), 
a width of 1,000 mm (39.4 in), and a thickness of 2.0 mm (0.08 in) 
0.1 mm (0.004 in).
    (2) Material. The backing sheet is manufactured out of aluminum 
5251/5052.
    (d) Cladding sheet.
    (1) Dimensions. The cladding sheet of the main honeycomb block has a 
total length of 1,700 mm (66.9 in), a width of 1,000 mm (39.4 in), and a 
thickness of 0.81 mm (0.03 in) 0.07 mm (0.003 in). 
It is shaped as indicated in Figure 1.
    (2) Material. The cladding sheet of the main honeycomb block is 
manufactured out of aluminum 5251/5052.
    (e) Bumper element honeycomb facing sheet.
    (1) Dimensions. The bumper facing sheet has a height of 330 mm (13 
in), a width of 1,000 mm (39.4 in), and a thickness of 0.81 mm (0.03 in) 
0.07 mm (0.003 in).
    (2) Material. The bumper element honeycomb facing sheet is 
manufactured out of aluminum 5251/5052.
    (f) Adhesive. The adhesive used throughout is a two-part 
polyurethane. (such as Ciba-Geigy XB5090/1 resin with XB5304 hardener, 
or equivalent).



Sec.587.15  Verification of aluminum honeycomb crush strength.

    The following procedure is used to ascertain the crush strength of 
the main honeycomb block and the bumper element honeycomb, as specified 
in Sec. Sec.587.14(a)(2) and 587.14(b)(2).
    (a) Sample locations. To ensure uniformity of crush strength across 
the whole of the deformable face, 8 samples are taken from 4 locations 
evenly spaced across the honeycomb material. Seven of these 8 samples 
must meet the crush strength requirements when tested in accordance with 
the following sections. The location of the samples

[[Page 347]]

depends on the size of the honeycomb material being tested. Four 
samples, each measuring 300 mm (11.8 in) x 300 mm (11.8 in) x 25 mm (1 
in) thick are cut from the honeycomb material. (See Figure 2 for how to 
locate these samples on two different sizes of honeycomb material.) Each 
of these larger samples is cut into samples of the size specified in 
Sec.587.15(b). Verification is based on the testing of two samples 
from each of the four locations. The other two samples are retained for 
future verification, if necessary.
    (b) Sample size. Samples of the following size are used for testing. 
The length is 150 mm (5.9 in) 6 mm (0.24 in), the 
width is 150 mm (5.9 in) 6 mm (0.24 in), and the 
thickness is 25 mm (1 in) 2 mm (0.08 in). The 
walls of incomplete cells around the edge of the sample are trimmed as 
follows (See Figure 3). In the width (``W'') direction, the fringes 
(``f'') are no greater than 1.8 mm (0.07 in); in the length (``L'') 
direction, the fringes (``e'') are at least half the length of one 
bonded cell wall (``d'') (in the ribbon direction).
    (c) Area measurement. The length of the sample is measured in three 
locations, 12.7 mm (0.5 in) from each end and in the middle, and 
recorded as L1, L2, and L3 (Figure 3). In the same manner, the width is 
measured and recorded as W1, W2, and W3 (Figure 3). These measurements 
are taken on the centerline of the thickness. The crush area is then 
calculated as:
[GRAPHIC] [TIFF OMITTED] TR31MR00.013

    (d) Crush rate and distance. The sample is crushed at a rate of not 
less than 5.1 mm/min (0.2 in/ min) and not more than 7.6 mm/min (0.29 
in/min). The minimum crush distance is 16.5 mm (0.65 in). Force versus 
deflection data are collected in either analog or digital form for each 
sample tested. If analog data are collected, a means of converting the 
data to digital data must be made available. All digital data are 
collected at a rate consistent with SAE Recommended Practice J211/1 Rev. 
MAR 95 (see Sec.587.12).
    (e) Crush strength determination. Ignore all data prior to 6.4 mm 
(0.25 in) of crush and after 16.5 mm (0.65 in) of crush. Divide the 
remaining data into three sections or displacement intervals (n = 1, 2, 
3) (see Figure 4) as follows. Interval one is from 6.4-9.7 mm (0.25-0.38 
in) deflection, inclusive. Interval two is from 9.7-13.2 mm (0.38-0.52 
in) deflection, exclusive. Interval three is from 13.2-16.5 mm (0.52-
0.65 in) deflection, inclusive. Find the average for each section as 
follows:
[GRAPHIC] [TIFF OMITTED] TR31MR00.014

where m represents the number of data points measured in each of the 
          three intervals. Calculate the crush strength of each section 
          as follows:
          [GRAPHIC] [TIFF OMITTED] TR31MR00.015
          
    (f) Sample crush strength specification. For a honeycomb sample to 
meet crush strength requirements, the following condition must be met. 
For the 0.342 MPa (49.6 psi) material, the strength must be equal to or 
greater than 0.308 MPa (45 psi) but less than or equal to 0.342 MPa 
(49.6 psi) for all three compression intervals. For the 1.711 MPa (248 
psi) material the strength must be equal to or greater than 1.540 MPa 
(223 psi) but less than or equal to 1.711 MPa (248 psi) for all three 
compression intervals.
    (g) Testing hardware. (1) The hardware used to verify crush strength 
is capable of applying a load of 13.3 kN (3,000 lb), over at least a 
16.5 mm (0.65 in) stroke. The crush rate is constant and known. To 
ensure that the load is applied to the entire sample, the top and bottom 
crush plates are no smaller than 165 mm by 165 mm (6.5 in x 6.5 in). The 
engaging surfaces of the crush plates have a roughness approximately 
equivalent to 60 grit sandpaper. The bottom crush plate is marked to 
ensure that the applied load is centered on the sample.
    (2) The crush plate assemblies have an average angular rigidity 
(about axes normal to the direction of crush) of at least 1017 Nm/deg 
(750 ft-lb/deg), over the range of 0 to 203 Nm (0 to 150 ft-lb) applied 
torque.



Sec.587.16  Adhesive bonding procedure.

    Immediately before bonding, aluminum sheet surfaces to be bonded are

[[Page 348]]

thoroughly cleaned using a suitable solvent, such as 1-1-1 
Trichloroethane. This is carried out at least twice and more often if 
required to eliminate grease or dirt deposits. The cleaned surfaces are 
abraded using 120 grit abrasive paper. Metallic/silicon carbide abrasive 
paper is not to be used. The surfaces are thoroughly abraded and the 
abrasive paper changed regularly during the process to avoid clogging, 
which could lead to a polishing effect. Following abrading, the surfaces 
are thoroughly cleaned again, as above. In total, the surfaces are 
solvent-cleaned at least four times. All dust and deposits left as a 
result of the abrading process are removed, as these can adversely 
affect bonding. The adhesive is applied to one surface only, using a 
ribbed rubber roller. In cases where honeycomb is to be bonded to 
aluminum sheet, the adhesive is applied to the aluminum sheet only. A 
maximum pressure of 0.5 kg/m\2\ (11.9 lb/ft\2\) is applied evenly over 
the surface, giving a maximum film thickness of 0.5 mm (0.02 in).



Sec.587.17  Construction.

    (a) The main honeycomb block is bonded to the backing sheet with 
adhesive such that the cell axes are perpendicular to the sheet. The 
cladding sheet is adhesively bonded to the front surface of the main 
honeycomb block. The top and bottom surfaces of the cladding sheet are 
not bonded to the main honeycomb block but are positioned close to it. 
The cladding sheet is adhesively bonded to the backing sheet at the 
mounting flanges. The bumper element honeycomb is adhesively bonded to 
the front of the cladding sheet such that the cell axes are 
perpendicular to the sheet. The bottom of the bumper element honeycomb 
is flush with the bottom surface of the cladding sheet. The bumper 
facing sheet is adhesively bonded to the front of the bumper element 
honeycomb.
    (b) The bumper element honeycomb is divided into three equal 
sections by means of two horizontal slots. These slots are cut through 
the entire depth of the bumper element and extend the whole width of the 
bumper. The slots are cut using a saw; their width is the width of the 
blade used which do not exceed 4.0 mm (0.16 in).
    (c) Clearance holes for mounting the deformable face are drilled in 
the cladding sheet mounting flanges (shown in Figure 5). The holes are 
20 mm (0.79 in) in diameter. Five holes are drilled in the top flange at 
a distance of 40 mm (1.57 in) from the top edge of the flange and five 
holes in the bottom flange at a distance of 40 mm (1.6 in) from the 
bottom edge of the flange. The holes are spaced at 100 mm (3.9 in), 300 
mm (11.8 in), 500 mm (19.7 in), 700 mm (27.5 in), 900 mm (35.4 in) 
horizontally, from either edge of the barrier. All holes are drilled 
within 1 mm (0.04 in) of the nominal distances.



Sec.587.18  Dimensions of fixed rigid barrier.

    (a) The fixed rigid barrier has a mass of not less than 7 x 10\4\ kg 
(154,324 lb).
    (b) The height of the fixed rigid barrier is at least as high as the 
highest point on the vehicle at the intersection of the vertical 
transverse plane tangent to the forwardmost point of both front tires, 
when the tires are parallel to the longitudinal centerline of the 
vehicle, and the vertical plane through the longitudinal centerline of 
the vehicle.



Sec.587.19  Mounting.

    (a) The deformable face is rigidly attached to the edge of the fixed 
rigid barrier or to some rigid structure attached thereto. The front of 
the fixed rigid barrier to which the deformable face is attached is flat 
(continuous over the height and width of the face and vertical 1 degree and perpendicular 1 
degree to the axis of the run-up track). The edge of the deformable face 
is aligned with the edge of the fixed rigid barrier appropriate for the 
side of the vehicle to be tested.
    (b) The deformable face is attached to the fixed rigid barrier by 
means of ten bolts, five in the top mounting flange and five in the 
bottom, such that the bottom of the bumper element honeycomb is 200 mm 
(7.8 in) 15 mm (0.6 in) from the ground. These 
bolts are at least 8 mm (0.3 in) in diameter. Steel clamping strips are 
used for both the top and bottom mounting flanges (Figure 1). These 
strips are 60 mm (2.4 in) high and 1000 mm (39.4 in) wide and have 
thickness of at least 3 mm (0.12

[[Page 349]]

in). Five clearance holes of 20 mm (0.8 in) diameter are drilled in both 
strips to correspond with those in the mounting flange on the deformable 
face cladding sheet (see Sec.586.17(c)).



                  Sec. Figures to Subpart C of Part 587
[GRAPHIC] [TIFF OMITTED] TR31MR00.003


[[Page 350]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.004


[[Page 351]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.005


[[Page 352]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.006


[[Page 353]]


[GRAPHIC] [TIFF OMITTED] TR31MR00.007



PART 588_CHILD RESTRAINT SYSTEMS RECORDKEEPING REQUIREMENTS--
Table of Contents



Sec.
588.1 Scope.
588.2 Purpose.
588.3 Applicability.
588.4 Definitions.
588.5 Records.
588.6 Record retention.

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, and 30166; 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.



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.

[[Page 354]]



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, mailing addresses, and if collected, 
se-mail addresses of the owners, and the model name or number and date 
of manufacture (month, year) of the owner's child restraint systems.

[70 FR 53579, Sept. 9, 2005]



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.

                        PARTS 589	590 [RESERVED]



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 for 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, 30141-30147; 
delegation of authority at 49 CFR 1.95.

    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

[[Page 355]]

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.
    Reconstructed motor vehicle means a motor vehicle whose body is less 
than 25 years old and which is mounted on a chassis or frame that is not 
its original chassis or frame and that is less than 25 years old.
    Salvage motor vehicle means a motor vehicle, whether or not 
repaired, which has been:
    (1) Wrecked, destroyed, or damaged, to the extent that the total 
estimated or actual cost of parts and labor to rebuild or reconstruct 
the motor vehicle to its pre-accident condition and for legal operation 
on the streets, roads, or highways, exceeds 75 percent of its retail 
value at the time it was wrecked, destroyed, or damaged; or
    (2) Wrecked, destroyed, or damaged, to which an insurance company 
acquires ownership pursuant to a damage settlement (other than a damage 
settlement in connection with a recovered theft vehicle unless such 
motor vehicle sustained sufficient damage to meet the 75 percent 
threshold specified in the first sentence); or
    (3) Voluntarily designated as such by its owner, without regard to 
the extent of the motor vehicle's damage and repairs.

[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; 69 FR 52092, Aug. 24, 2004]



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 importer files a declaration and documentation, in a 
paper or electronic format accepted by U.S. Customs and Border 
Protection, 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.

[[Page 356]]

    (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; and
    (3) The vehicle is not a salvage motor vehicle or a reconstructed 
motor vehicle.
    (g) (For importations for personal use only) The vehicle was 
certified by its original manufacturer as complying with all applicable 
Canadian motor vehicle safety standards and its original manufacturer 
has informed NHTSA that it complies with all applicable Federal motor 
vehicle safety, bumper, and theft prevention standards, or that it 
complies with all such standards except for the labeling requirements of 
Federal Motor Vehicle Safety Standards Nos. 101 and 110 or 120, and/or 
the specifications of Federal Motor Vehicle Safety Standard No. 108 
relating to daytime running lamps. The vehicle is not a salvage motor 
vehicle, a repaired salvage motor vehicle, or a reconstructed motor 
vehicle.
    (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 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

[[Page 357]]

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 solely for the purpose of:
    (i) Research;
    (ii) Investigations;
    (iii) Show or display;
    (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.
    (l) The vehicle does not conform to all applicable Federal Motor 
Vehicle Safety and Bumper Standards (but does conform to applicable 
Federal Theft Prevention Standards) but the importer is eligible to 
import it because:
    (1) The importer has registered with NHTSA pursuant to part 592 of 
this chapter, and such registration has not been revoked or suspended;
    (2) The importer has informed NHTSA in writing that (s)he intends to 
submit, or has already submitted, a petition requesting that NHTSA 
determine whether the vehicle is eligible for importation; and
    (3) The importer has:
    (i) Submitted to the Administrator a letter requesting permission to 
import the vehicle for the purpose of preparing an import eligibility 
petition; and
    (ii) Received written permission from the Administrator to import 
the vehicle.

[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; 64 FR 
37882, July 14, 1999; 69 FR 52092, Aug. 24, 2004; 76 FR 53078, Aug. 25, 
2011; 80 FR 53013, Sept. 2, 2015]



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, 
filed either on paper or electronically, as applicable:
    (a) A declaration made pursuant to Sec.591.5(a) shall be 
accompanied by a written or electronic 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 written or electronic document meeting 
the requirements of Sec.568.4 of Part 568 of this chapter.
    (2) (For an item of motor vehicle equipment) a written or electronic 
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 (f) of Sec.591.5, and 
under a bond for the entry of a single vehicle, shall be accompanied by 
a written or

[[Page 358]]

electronic image of a bond in the form shown in appendix A to this part, 
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 written or electronic image of a bond in the form shown in appendix 
B to this part, 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 vehicles to the 
Secretary of Homeland Security for 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 paper or 
electronic 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 paper or electronic version 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)(1)(i), (ii), (iv), 
or (v) and (j)(2)(i) shall be accompanied by a paper copy of the 
Administrator's permission letter, or for electronic reporting by 
entering the unique identifying number of the Administrator's permission 
letter into a U.S. Customs and Border Protection electronic data 
collection system, authorizing importation pursuant to Sec.
591.5(j)(1)(i), (ii), (iv), or (v) and (j)(2)(i). Any person seeking to 
import a motor vehicle or motor vehicle equipment pursuant to these 
sections shall submit, in advance of such importation, a written request 
to the Administrator containing a full and complete statement 
identifying the vehicle or equipment, 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. If use on the public 
roads is an integral part of the purpose for which the vehicle or 
equipment 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 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 after completion of the purposes for which it 
is imported. The request shall be addressed to: Director, Office of 
Vehicle Safety Compliance, Fourth Floor, Room W43-481, Mail Code NVS-
220, 1200 New Jersey Avenue SE., Washington, DC 20590.
    (2) A declaration made pursuant to Sec.591.5(j)(1)(iii) and 
(j)(2)(i) shall be accompanied by a paper copy of the Administrator's 
permission letter, or for electronic reporting by entering the unique 
identifying number of the Administrator's permission letter into a U.S. 
Customs and Border Protection electronic data collection system, 
authorizing importation pursuant to Sec.591.5(j)(1)(iii) and 
(j)(2)(i). Any person seeking to import a motor vehicle or motor vehicle 
equipment pursuant to those sections shall submit, in advance of such 
importation, a written request to the Administrator containing a full 
and complete statement identifying the equipment item or the vehicle and 
its make, model, model year or date of manufacture, VIN, and mileage at 
the time the request is made. The importer's written request to the 
Administrator shall explain why the vehicle or equipment item is of 
historical or technological interest. The importer shall also state that 
until the vehicle is not less than 25 years old, (s)he shall not sell, 
or transfer possession of, or title to, the vehicle, and shall not 
license it for use, or operate it on the public roads, except under such 
terms and conditions as the Administrator may authorize. If the importer 
wishes to operate the vehicle on the public roads, the request to the 
Administrator shall include a description of the purposes for which 
(s)he wishes to use it on the

[[Page 359]]

public roads, a copy of an insurance policy or a contract to acquire an 
insurance policy, which contains as a condition thereof that the vehicle 
will not accumulate mileage of more than 2,500 miles in any 12-month 
period and a statement that the importer shall maintain such policy in 
effect until the vehicle is not less than 25 years old, a statement that 
the importer will allow the Administrator to inspect the vehicle at any 
time after its importation to verify that the accumulated mileage of the 
vehicle is not more than 2,500 miles in any 12-month period, and a 
statement that the vehicle will not be used on the public roads unless 
it is in compliance with the regulations of the Environmental Protection 
Agency.
    (3) A declaration made pursuant to Sec.591.5(j)(2)(ii) shall be 
accompanied by the importer's written statement, or by entering in 
electronic format information contained in the statement, into the U.S. 
Customs and Border Protection electronic data collection system, 
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.
    (g) A declaration made pursuant to Sec.591.5(l) shall be 
accompanied by the following documentation:
    (1) A paper copy of the Administrator's permission letter, or for 
electronic reporting by entering the unique identifying number of the 
Administrator's permission letter into a U.S. Customs and Border 
Protection electronic data collection system, authorizing importation 
pursuant to Sec.591.5(l). A Registered Importer seeking to import a 
motor vehicle pursuant to this section must submit, in advance of such 
importation, a written request to the Administrator containing a full 
and complete statement identifying the vehicle, its original 
manufacturer, model, model year (if assigned), date of manufacture, and 
VIN. The statement must also declare that the specific purpose of 
importing this vehicle is to prepare a petition to the Administrator 
requesting a determination whether the vehicle is eligible for 
importation pursuant to Part 593 and that the importer has filed, or 
intends to file within 180 days of the vehicle's entry date, a petition 
pursuant to Sec.593.5. The request must be addressed to: Director, 
Office of Vehicle Safety Compliance, Fourth Floor, Room W43-481, Mail 
Code NVS-220, 1200 New Jersey Avenue SE., Washington, DC 20590.
    (2) [Reserved]

[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; 64 FR 37883, July 14, 
1999; 69 FR 52092, Aug. 24, 2004; 76 FR 53078, Aug. 25, 2011; 80 FR 
53013, Sept. 2, 2015]



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

[[Page 360]]

declaration made pursuant to Sec.591.5(j)(2)(i) shall not sell, or 
transfer possession of, or title to, the vehicle, and shall not license 
it for use, or operate it on the public roads, except under such terms 
and conditions as the Administrator may authorize in writing. 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 for on-road use under 
Sec.591.5(j), or a change of status under paragraph (e) of this 
section, including a failure to allow inspection upon request to verify 
that the accumulated mileage of the vehicle is not more than 2,500 miles 
in any 12-month period, shall be considered a violation of 49 U.S.C. 
30112(a) for which a civil penalty may be imposed. Such a violation will 
also act to void the authorization and require the exportation of the 
vehicle. With respect to importations under Sec.591.6(f)(2) or a 
change of status to an importation for show or display as provided under 
paragraph (e) of this section, if the Administrator has reason to 
believe that a violation has occurred, the Administrator may tentatively 
conclude that a term of entry has been violated, but shall make no final 
conclusion until the importer or owner has been afforded an opportunity 
to present data, views, and arguments as to why there is no violation or 
why a penalty should not be imposed.
    (e) If the importer of a vehicle under Sec.591.5(f)(2)(ii) has 
been notified in writing by the Registered Importer with which it has 
executed a contract or other agreement that the registration of the 
Registered Importer has been suspended (for other than the first time) 
or revoked, pursuant to Sec.592.7 of this chapter, and that it has not 
affixed a certification label on the vehicle and/or filed a 
certification of conformance with the Administrator as required by Sec.
592.6 of this chapter, and that it therefore may not release the vehicle 
for the importer, the importer shall execute a contract or other 
agreement with another Registered Importer for the certification of the 
vehicle and submission of the certification of conformance to the 
Administrator. The Administrator shall toll the 120-day period for 
submission of a certification to the Administrator pursuant to Sec.
592.6(d) of this chapter during the period from the date of the 
Registered Importer's notification to the importer until the date of the 
contract with the substitute Registered Importer.
    (f) If a vehicle has entered the United States under a declaration 
made pursuant to Sec.591.5(l) and:
    (1) If the Administrator of NHTSA dismisses the petition or decides 
that the vehicle is not eligible for importation, or if the importer 
withdraws the petition or fails to submit a petition covering the 
vehicle within 180 days from the date of entry, the importer must 
deliver the vehicle, unless it is destroyed (with destruction documented 
by proof), to the Secretary of Homeland Security for export, or abandon 
the vehicle to the United States, within 30 days from the date of the 
dismissal, denial, or withdrawal of the importer's petition, as 
appropriate, or within 210 days from the date of entry if the importer 
fails to submit a petition covering the vehicle, and furnish NHTSA with 
documentary proof of the vehicle's exportation, abandonment, or 
destruction within 15 days from the date of such action; or
    (2) If the Administrator grants the petition, the importer must:
    (i) Furnish a bond, in an amount equal to 150 percent of the entered 
value of the vehicle as determined by the Secretary of the Treasury, 
within 15 days from the date the importer is notified that the petition 
has been granted, unless the vehicle has been destroyed, and bring the 
vehicle into conformity with all applicable Federal motor vehicle safety 
and bumper standards within 120 days from the date the petition is 
granted; or,
    (ii) Deliver the vehicle to the Secretary of Homeland Security for 
export within 30 days from the date the importer is notified that the 
petition has been granted; or
    (iii) Abandon the vehicle to the United States within 30 days from 
the date the importer is notified that the petition has been granted; or

[[Page 361]]

    (iv) Destroy the vehicle within 30 days from the date the importer 
is notified that the petition has been granted; and
    (v) Furnish NHTSA with documentary proof of the vehicle's 
exportation, abandonment, or destruction within 15 days from the date of 
such action.

[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; 64 FR 37883, July 14, 1999; 69 FR 52092, Aug. 24, 2004; 76 FR 
53078, Aug. 25, 2011]



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 Bureau 
of Customs and Border Protection, or the withdrawal 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 
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 the 
number of days after the date of entry that the Administrator has 
established for such vehicle (to wit, 120 days);
    (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 
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 
the certification, and that 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 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 and bumper standards, and 
written demand that the vehicle be abandoned to the United States, or 
delivered to the Secretary of Homeland Security for export (at no cost 
to the United States), or 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 Bureau of Customs and Border Protection at the port of 
entry listed above, or to any other port of entry, and to secure

[[Page 362]]

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 prior 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; 
69 FR 52092, Aug. 24, 2004]



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, 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]

[[Page 363]]



 Sec. 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 FEDERAL 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 (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), as 
surety, are held and firmly bound unto the UNITED STATES OF AMERICA in 
the sum of (bond amount in words) dollars ($ (bond amount in numbers)), 
which represents 150% of the entered value of the following described 
motor vehicle, as determined by the Bureau of Customs and Border 
Protection: (make, model, model year, and VIN) for the payment of which 
we bind ourselves, our heirs, executors, and assigns (jointly and 
severally), firmly bound by these presents.

WITNESS our hands and seals this___day of___, 20__.

WHEREAS, motor vehicles may be entered under the provisions of 49 U.S.C. 
Chapters 301 and 325; and DOT Form HS-7 ``Declaration;''

WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under the 
provisions of 49 U.S.C. Chapter 301, the above-bounden principal desires 
to import permanently the motor vehicle described above, which is a 
motor vehicle that was not originally manufactured to conform to the 
Federal motor vehicle safety or bumper standards; and

WHEREAS, pursuant to 49 CFR part 592, a regulation promulgated under the 
provisions of 49 U.S.C. Chapter 301, the above-bounden principal has 
been granted the status of Registered Importer of motor vehicles not 
originally manufactured to conform to the Federal motor vehicle safety 
and bumper standards (or, if not a Registered Importer, has a contract 
with a Registered Importer covering the vehicle described above); and

WHEREAS, pursuant to 49 CFR part 593, a regulation promulgated under 49 
U.S.C. Chapter 301, the Administrator of the National Highway Traffic 
Safety Administration has decided 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___, 20__;

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

[[Page 364]]

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 Homeland Security 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 Bureau of Customs and Border Protection 
at 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

                  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; 
69 FR 52093, Aug. 24, 2004]



Sec. Appendix B to Part 591--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 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 
Federal motor vehicle safety and bumper standards)

    Know All Men 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) as 
surety, are held and firmly bound unto the UNITED STATES OF AMERICA in 
the sum of (bond amount in words) dollars ($ (bond amount in numbers)), 
which represents 150% of the entered value of the following described 
motor vehicle, as determined by the Bureau of Customs and Border 
Protection (make, model, model year, and VIN of each vehicle) for the 
payment of which we bind ourselves, our heirs, executors, and assigns 
(jointly and severally), firmly bound by these presents.

WITNESS our hands and seals this ___ day of ___, 20__.

WHEREAS, motor vehicles may be entered under the provisions of 49 U.S.C. 
Chapters 301 and 325; and DOT Form HS-7 ``Declaration,''

WHEREAS, pursuant to 49 CFR part 591, a regulation promulgated under the 
provisions of 49 U.S.C. Chapter 301, the above-bounden principal desires 
to import permanently the motor vehicles described above, which are 
motor vehicles that were not originally manufactured to conform to the 
Federal motor vehicle safety, or bumper, or theft prevention standards; 
and

WHEREAS, pursuant to 49 CFR part 592, a regulation promulgated under the 
provisions of 49 U.S.C. Chapter 301, the above-bounden principal has 
been granted the status of Registered Importer of motor vehicles not 
originally manufactured to conform to the Federal motor vehicle safety, 
bumper, and theft prevention standards; and

WHEREAS, pursuant to 49 CFR part 593, a regulation promulgated under 49 
U.S.C. Chapter 301, the Administrator of the National Highway Traffic 
Safety Administration has decided that each motor vehicle described 
above is eligible for importation into the United States; and


[[Page 365]]


WHEREAS, the motor vehicles described above have been imported at the 
port of ___, and entered at said port for consumption on entry No. ____, 
dated _________ _, 20__;

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 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 Homeland Security 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 Bureau of Customs and Border 
Protection at 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 to 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 Bureau of Customs and Border Protection;
    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, as amended at 69 FR 52093, Aug. 24, 2004]



      Sec. 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

[[Page 366]]

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]



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 Suspension, revocation, and reinstatement of suspended 
          registration.
592.8 Inspection; release of vehicle and bond.
592.9 Forfeiture of bond.

    Authority: Pub. L. 100-562, 49 U.S.C. 322(a), 30117, 30141-30147; 
delegation of authority at 49 CFR 1.95.

    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 f 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.
    Convicted of a crime means receiving a criminal conviction in the 
United States or in a foreign jurisdiction, whether entered on a verdict 
or plea, including a plea of nolo contendere, for which sentence has 
been imposed.
    Independent insurance company means an entity that is registered 
with any State and authorized by that State to conduct an insurance 
business including the issuance or underwriting of a service insurance 
policy, none of whose

[[Page 367]]

affiliates, shareholders, officers, directors, or employees, or any 
person in affinity with such, is employed by, or has a financial 
interest in, or otherwise controls or participates in the business of, a 
Registered Importer to which it issues or underwrites a service 
insurance policy.
    NHTSA means the National Highway Traffic Safety Administration.
    Principal, with respect to a Registered Importer, means any officer 
of a corporation, a general partner of a partnership, or the sole 
proprietor of a sole proprietorship. The term includes a director of an 
incorporated Registered Importer, and any person whose ownership 
interest in a Registered Importer is 10% or more.
    Registered Importer means any person that the Administrator has 
registered as an importer pursuant to section 592.5(b).
    Safety recall means a notification and remedy campaign conducted 
pursuant to 49 U.S.C. 30118-30120 to address a noncompliance with a 
Federal motor vehicle safety standard or a defect that relates to motor 
vehicle safety.
    Service insurance policy means any policy issued or underwritten by 
an independent insurance company which covers a specific motor vehicle 
and guarantees that any noncompliance with a Federal motor vehicle 
safety standard or defect related to motor vehicle safety determined to 
exist in that vehicle will be remedied without charge to the owner of 
the vehicle.

[54 FR 40090, Sept. 29, 1989, as amended at 59 FR 52098, Oct. 14, 1994; 
69 FR 52094, Aug. 24, 2004; 76 FR 53079, Aug. 25, 2011]



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: Director, Office of 
Vehicle Safety Compliance, National Highway Traffic Safety 
Administration, Fourth Floor, Room W43-481, Mail Code NVS-220, 1200 New 
Jersey Avenue, SE., Washington, DC 20590.
    (2) Is written in the English language.
    (3) Sets forth the full name, street address, and title of the 
person preparing the application, and the full name, street address, e-
mail address (if any), and telephone and facsimile machine (if any) 
numbers in the United States of the person for whom application is made 
(the ``applicant'').
    (4) Specifies the form of the applicant's organization (i.e., sole 
proprietorship, partnership, or corporation) and the State under which 
it is organized, and:
    (i) If the applicant is an individual, the application must include 
the full name, street address, and date of birth of the individual.
    (ii) If the applicant is a partnership, the application must include 
the full name, street address, and date of birth of each partner; if one 
or more of the partners is a limited partnership, the application must 
include the names and street addresses of the general partners and 
limited partners; if one or more of the partners is a corporation, the 
application must include the information specified by either paragraph 
(a)(4)(iii) or (iv) of this section, as applicable;
    (iii) If the applicant is a non-public corporation, the application 
must include the full name, street address, and date of birth of each 
officer, director, manager, and person who is authorized to sign 
documents on behalf of the corporation. The application must also 
include the name of any person who owns or controls 10 percent or more 
of the corporation. The applicant must also provide a statement issued 
by the Office of the Secretary of State, or other responsible official 
of the State in which the applicant is incorporated, certifying that the 
applicant is a corporation in good standing;
    (iv) If the applicant is a public corporation, the applicant must 
include a copy of its latest 10-K filing with the Securities and 
Exchange Commission, and provide the name and address of any person who 
is authorized to sign documents on behalf of the corporation; and

[[Page 368]]

    (v) Identifies any shareholder, officer, director, employee, or any 
person in affinity with such, who has been previously affiliated with 
another Registered Importer in any capacity. If any such persons are 
identified, the applicant shall state the name of each such Registered 
Importer and the affiliation of any identified person.
    (5) Includes the following:
    (i) The street address and telephone number in the United States of 
each of its facilities for conformance, storage, and repair that the 
applicant will use to fulfill its duties as a Registered Importer and 
where the applicant will maintain the records it is required by this 
part to keep;
    (ii) The street address that the applicant designates as its mailing 
address (in addition, an applicant may list a post office box, provided 
that it is in the same city as the street address designated as its 
mailing address);
    (iii) A copy of the applicant's business license or other similar 
document issued by an appropriate State or local authority, authorizing 
it to do business as an importer, or modifier, or seller of motor 
vehicles, as applicable to the applicant and with respect to each 
facility that the applicant has identified pursuant to paragraph 
(a)(5)(i) of this section, or a statement by the applicant that it has 
made a bona fide inquiry and is not required by such State or local 
authority to have such a license or document;
    (iv) The name of each principal of the applicant whom the applicant 
authorizes to submit conformity certifications to NHTSA and the street 
address of the repair, storage, or conformance facility where each such 
principal will be located; and
    (v) If an applicant is a corporation not organized under the laws of 
a State of the United States, or is a sole proprietorship or partnership 
located outside the United States, the application must be accompanied 
by the applicant's designation of an agent for service of process in the 
form specified by Section 551.45 of this chapter.
    (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 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 complete descriptive information, views, and 
arguments sufficient to establish that the applicant:
    (i) Is technically able to modify any nonconforming motor vehicle to 
conform to all applicable Federal motor vehicle safety and bumper 
standards, including but not limited to the professional qualifications 
of the applicant and its employees at the time of the application (such 
as whether any such persons have been certified as mechanics), and a 
description of their experience in conforming and repairing vehicles;
    (ii) Owns or leases one or more facilities sufficient in nature and 
size to repair, conform, and store the vehicles for which it provides 
certification of conformance to NHTSA and which it imports and may hold 
pending release of conformance bonds, including a copy of a deed or 
lease evidencing ownership or tenancy for each such facility, still or 
video photographs of each such facility, the street address and 
telephone number of each such facility;
    (iii) Is financially and technically able to provide notification of 
and to

[[Page 369]]

remedy a noncompliance with a Federal motor vehicle safety standard or a 
defect related to motor vehicle safety determined to exist in the 
vehicles that it imports and/or for which it provides certification of 
conformity to NHTSA through repair, repurchase or replacement of such 
vehicles; and
    (iv) Is able to acquire and maintain information regarding the 
vehicles that it imported and the names and addresses of owners of the 
vehicles that it imported and/or for which it provided certifications of 
conformity to NHTSA in order to notify such owners when a noncompliance 
or a defect related to motor vehicle safety has been determined to exist 
in such vehicles.
    (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 the statement: ``I certify that I have read and 
understood the duties of a Registered Importer, as set forth in 49 CFR 
592.6, and that [name of applicant] will fully comply with each such 
duty. I further certify that all the information provided in this 
application is true and correct. I further certify that I understand 
that, in the event the registration for which it is applying is 
suspended or revoked, or lapses, [name of applicant] will remain 
obligated to notify owners and to remedy noncompliances or safety 
related defects, as required by 49 CFR 592.6(j), for each vehicle for 
which it has furnished a certificate of conformity to the 
Administrator.''
    (12) Has the applicant's signature acknowledged by a notary public.
    (b) If the application is incomplete, the Administrator notifies the 
applicant in writing of the information that is needed for the 
application to be complete and advises that no further action will be 
taken on the application until the applicant has furnished all the 
information needed.
    (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 the 
applicant has paid a sum representing the inspection component of the 
initial annual fee), the Administrator reviews the application and 
decides whether the applicant has complied with the requirements 
prescribed in paragraph (a) of this section. The Administrator shall 
base this decision on the application and upon any inspection NHTSA may 
have conducted of the applicant's conformance, storage, and 
recordkeeping facilities and any assessment of the applicant's 
personnel. If the Administrator decides that the applicant complies with 
the requirements, (s)he informs the applicant in writing and issues it a 
Registered Importer Number.
    (e)(1) The Administrator:
    (i) Shall deny registration to an applicant who (s)he decides does 
not comply with the requirements of paragraph (a) of this section;
    (ii) Shall deny registration to an applicant whose previous 
registration has been revoked;
    (iii) May deny registration to an applicant who has been convicted 
of, or whose business is directly or indirectly owned or controlled by, 
or under common ownership or control with, a person who has been 
convicted of, a crime related to the importation, purchase, or sale of a 
motor vehicle or motor vehicle equipment, including, but not limited to, 
offenses such as title fraud, odometer fraud, auto theft, or the sale of 
stolen vehicles; and
    (iv) May deny registration to an applicant that is or was owned or 
controlled by, or under common ownership or control with, or in affinity 
with, a Registered Importer whose registration has been revoked. In 
determining whether to deny an application, the Administrator may 
consider whether the applicant is comprised in whole or in part of 
relatives, employees, major shareholders, partners, or relatives of 
former partners or major shareholders of a Registered Importer whose 
registration has been revoked.

[[Page 370]]

    (2) If the Administrator denies an application, (s)he informs the 
applicant in writing of the reasons for denial and that the applicant is 
entitled to a refund of that component of the initial annual fee 
representing the remaining costs of administration of the registration 
program, but not those components of the initial annual fee representing 
the costs of processing the application, and, if applicable, the costs 
of conducting an inspection of the applicant's facilities.
    (3) Within 30 days from the date of the denial, the applicant may 
submit a petition for reconsideration. The applicant may submit 
information and/or documentation supporting its request. If the 
Administrator grants registration as a result of the request, (s)he 
notifies the applicant in writing and issues it a Registered Importer 
Number. If the Administrator denies registration, (s)he notifies the 
applicant in writing and refunds that component of the initial annual 
fee representing the remaining costs of administration of the 
registration program, but does not refund those components of the 
initial annual fee representing the costs of processing the application, 
and, if applicable, the costs of conducting an inspection.
    (f) In order to maintain its registration, a Registered Importer 
must:
    (1) Not be convicted of, or have any person associated with direct 
or indirect ownership or control of the registered importer's business 
or any person employed by or associated with the registered importer who 
is convicted of, a crime related to the importation, purchase, or sale 
of motor vehicles or motor vehicle equipment. These offenses include, 
but are not limited to, title fraud, odometer fraud, or the sale of 
stolen vehicles.
    (2) File an annual statement. The annual statement must be titled 
``Yearly Statement of Registered Importer'' and include the following 
written statements:
    (i)``I certify that I have read and understand the duties of a 
Registered Importer, as set forth in 49 CFR 592.6, and that [name of 
Registered Importer] continues to comply with the requirements for being 
a Registered Importer.''
    (ii) ``I certify that all information provided in each of my 
previous annual statements, submitted pursuant to Sec.592.6(q), or 
changed in any notification that [name of Registered Importer] may have 
provided to the Administrator in compliance with Sec.592.6(l), remains 
correct and that all the information provided in this annual statement 
is true and correct.''
    (iii) ``I certify that I understand that, in the event that its 
registration is suspended or revoked, or lapses, [name of Registered 
Importer] will remain obligated to notify owners and to remedy 
noncompliance issues or safety related defects, as required by 49 CFR 
592.6(j), for each vehicle for which [name of Registered Importer] has 
furnished a certificate of conformity to the Administrator.''
    (3) Include with its annual statement a current copy of the 
Registered Importer's service insurance policy. Such statements must be 
filed not later than September 30 of each year; and
    (4) Pay an annual fee and any other fee that is established under 
part 594 of this chapter. An annual fee must be paid not later than 
September 30 of any calendar year for the fiscal year that begins on 
October 1 of that calendar year. The Registered Importer must pay any 
other fee not later than 15 days after the date of the written notice 
from the Administrator.
    (g) A registration granted under this part is not transferable.
    (h) An applicant whose application is pending on September 30, 2004, 
and which has not provided the information required by paragraph (a) of 
this section, as amended, must provide all the information required by 
that subsection before the Administrator will give further consideration 
to the application.
    (i) The Administrator may deny registration renewal to any applicant 
who has been convicted of, or whose business is directly or indirectly 
owned or controlled by, or under common ownership or control with, a 
person who has been convicted of, a crime related to the importation, 
purchase, or sale of a motor vehicle or motor vehicle equipment, 
including, but not limited to,

[[Page 371]]

title fraud, odometer fraud, or the sale of stolen vehicles.

[54 FR 40090, Sept. 29, 1989, as amended at 54 FR 47088, Nov. 9, 1989; 
55 FR 37330, Sept. 11, 1990; 69 FR 52094, Aug. 24, 2004; 70 FR 57801, 
Oct. 4, 2005; 76 FR 53079, Aug. 25, 2011]



Sec.592.6  Duties of a registered importer.

    Each Registered Importer must:
    (a) With respect to each motor vehicle that it imports into the 
United States, assure that the Administrator has decided that the 
vehicle is eligible for importation pursuant to Part 593 of this chapter 
prior to such importation. The Registered Importer must also bring such 
vehicle into conformity with all applicable Federal motor vehicle safety 
standards prescribed under Part 571 of this chapter and the bumper 
standard prescribed under Part 581 of this chapter, if applicable, and 
furnish certification to the Administrator pursuant to paragraph (e) of 
this section, within 120 calendar days after such entry. For each motor 
vehicle, the Registered Importer must furnish to the Secretary of 
Homeland Security at the time of importation a bond in an amount equal 
to 150 percent of the dutiable value of the vehicle, as determined by 
the Secretary of Homeland Security, to ensure that such vehicle either 
will be brought into conformity with all applicable Federal motor 
vehicle safety and bumper standards or will be exported (at no cost to 
the United States) by the importer or the Secretary of Homeland Security 
or abandoned to the United States. However, if the Registered Importer 
has procured a continuous entry bond, it must furnish the Administrator 
with such bond, and must furnish the Secretary of Homeland Security 
(acting on behalf of the Administrator) with a paper or electronic copy, 
in a format accepted by U.S. Customs and Border Protection, of such bond 
at the time of importation of each motor vehicle.
    (b) Establish, maintain, and retain, for 10 years from the date of 
entry, at the facility in the United States it has identified in its 
application pursuant to Sec.592.5 (a)(5)(i), for each motor vehicle 
for which it furnishes a certificate of conformity, the following 
records, including correspondence and other documents, in hard copy 
format:
    (1) The declaration required by Sec.591.5 of this chapter.
    (2) All vehicle or equipment purchase or sales orders or agreements, 
conformance agreements between the Registered Importer and persons who 
import motor vehicles for personal use, and correspondence between the 
Registered Importer and the owner or purchaser of the vehicle.
    (3) The make, model, model year, odometer reading, and VIN of each 
vehicle that it imports and the last known name and address of the owner 
or purchaser of the vehicle.
    (4) Records, including photographs and other documents, sufficient 
to identify the vehicle and to substantiate that it has been brought 
into conformity with all Federal motor vehicle safety and bumper 
standards that apply to the vehicle, that the certification label has 
been affixed, and that either the vehicle is not subject to any safety 
recalls or that all noncompliances and safety defects covered by such 
recalls were remedied before the submission to the Administrator under 
paragraph (d) of this section. All photographs submitted shall be 
unaltered.
    (5) A copy of the certification submitted to the Administrator 
pursuant to paragraph (d) of this section.
    (6) The number that the issuer has assigned to the service insurance 
policy that will accompany the vehicle and the full corporate or other 
business name of the issuer of the policy, and substantiation that the 
Registered Importer has notified the issuer of the policy that the 
policy has been provided with the vehicle.
    (c) Take possession of the vehicle and perform all modifications 
necessary to conform the vehicle to all Federal motor vehicle safety and 
bumper standards that apply to the vehicle at a facility that it has 
identified to the Administrator pursuant to Sec.592.5(a)(5)(i), and 
permanently affix to the vehicle at that facility, upon completion of 
conformance modifications and remedy of all noncompliances and defects 
that are the subject of any pending safety recalls, a label that 
identifies the Registered Importer and states that the Registered 
Importer certifies that the vehicle complies with all Federal motor 
vehicle safety and

[[Page 372]]

bumper standards that apply to the vehicle, and contains all additional 
information required by Sec.567.4 of this chapter.
    (d) For each motor vehicle imported pursuant to part 591.5(f) of 
this chapter, certify to the Administrator:
    (1) Within 120 days of the importation that it has brought the motor 
vehicle into conformity with all applicable Federal motor vehicle safety 
and bumper standards in effect at the time the vehicle was manufactured 
by the fabricating manufacturer. Such certification shall state verbatim 
either that ``I know that the vehicle that I am certifying conforms with 
all applicable Federal motor vehicle safety and bumper standards because 
I personally witnessed each modification performed on the vehicle to 
effect compliance,'' or that ``I know that the vehicle I am certifying 
conforms with all applicable Federal motor vehicle safety and bumper 
standards because the person who performed the necessary modifications 
to the vehicle is an employee of [RI name] and has provided full 
documentation of the work that I have reviewed, and I am satisfied that 
the vehicle as modified complies.'' The Registered Importer shall also 
certify that it has destroyed or exported any noncompliant motor vehicle 
equipment items that were removed from an imported vehicle in the course 
of performing conformance modifications. The Registered Importer shall 
also certify, as appropriate, that either:
    (i) The vehicle is not required to comply with the parts marking 
requirements of the theft prevention standard (part 541 of this 
chapter); or
    (ii) The vehicle complies with those parts marking requirements as 
manufactured, or as modified prior to importation.
    (2) If the Registered Importer certifies that the vehicle was 
originally manufactured to comply with a standard that does not apply to 
the vehicle or that it has modified the vehicle to conform to such 
standard, or if the certification is incomplete, the Administrator may 
refuse to accept the certification. The Administrator shall refuse to 
accept a certification for a vehicle that has not been determined to be 
eligible for importation under part 593 of this chapter. If the 
Administrator does not accept a submission, (s)he shall return it to the 
Registered Importer. The costs associated with such a return will be 
charged to the Registered Importer. If the Administrator returns the 
submission as described above and the vehicle is eligible for 
importation, the 120-day period specified in paragraph (d)(1) of this 
section continues to run, but the 30-day period specified in paragraph 
(f) of this section does not begin to run until the Administrator has 
accepted the submission. If the vehicle is not eligible for importation, 
the importer must export it from, or abandon it to, the United States. 
If the Registered Importer certifies that it has modified the vehicle to 
bring it into compliance with a standard and has, in fact, not performed 
all required modifications, the Administrator will regard such 
certification as ``knowingly false'' within the meaning of 49 U.S.C. 
30115 and 49 U.S.C. 30141(c)(4)(B).
    (3) The certification must be signed and submitted by a principal of 
the Registered Importer designated in its registration application 
pursuant to Sec.592.5(a)(5)(iv), with an original hand-written 
signature and not with a signature that is stamped or mechanically 
applied.
    (4) The certification to the Administrator must specify the location 
of the facility where the vehicle was conformed, and the location where 
the Administrator may inspect the motor vehicle.
    (5) The certification to the Administrator must state and contain 
substantiation either that the vehicle is not subject to any safety 
recalls as of the time of such certification, or, alternatively, that 
all noncompliances and defects that are the subject of those safety 
recalls have been remedied.
    (6) When a Registered Importer certifies a make, model, and model 
year of a motor vehicle for the first time, its certification must 
include:
    (i) The make, model, model year and date of manufacture, odometer 
reading, VIN that complies with Sec.565.4(b), (c), and (g) of this 
chapter, and Customs Entry Number,
    (ii) A statement that it has brought the vehicle into conformity 
with all Federal motor vehicle safety and

[[Page 373]]

bumper standards that apply to the vehicle, and a description, with 
respect to each standard for which modifications were needed, of the 
modifications performed,
    (iii) A copy of the bond given at the time of entry to ensure 
conformance with the safety and bumper standards,
    (iv) The vehicle's vehicle eligibility number, as stated in appendix 
A to part 593 of this chapter,
    (v) A copy of the HS-7 Declaration form executed at the time of its 
importation if a Customs broker did not make an electronic entry for the 
vehicle with the Bureau of Customs and Border Protection,
    (vi) Unaltered front, side, and rear photographs of the vehicle,
    (vii) Unaltered photographs of the original manufacturer's 
certification label and the certification label of the Registered 
Importer affixed to the vehicle (and, if the vehicle is a motorcycle, a 
photograph or photocopy of the Registered Importer certification label 
before it has been affixed),
    (viii) Unaltered photographs and documentation sufficient to 
demonstrate conformity with all applicable Federal motor vehicle safety 
and bumper standards to which the vehicle was not originally 
manufactured to conform,
    (ix) The policy number of the service insurance policy furnished 
with the vehicle pursuant to paragraph (g) of this section, and the full 
corporate or other business name of the insurer that issued the policy, 
and
    (x) A statement that the submission is the Registered Importer's 
initial certification submission for the make, model, and model year of 
the vehicle covered by the certification.
    (7) Except as specified in this paragraph, a Registered Importer's 
second and subsequent certification submissions for a given make, model, 
and model year vehicle must contain the information required by 
paragraph (d)(6) of this section. If the Registered Importer conformed 
such a vehicle in the same manner as it stated in its initial 
certification submission, it may say so in a subsequent submission and 
it need not provide the description required by paragraph (d)(6)(ii) of 
this section.
    (e) With respect to each motor vehicle that it imports, not take any 
of the following actions until the bond referred to in paragraph (a) of 
this section has been released, unless 30 days have elapsed from the 
date the Administrator receives the Registered Importer's certification 
of compliance of the motor vehicle in accordance with paragraph (d) of 
this section (the 30-day period will be extended if the Administrator 
has made written demand to inspect the motor vehicle):
    (1) Operate the motor vehicle on the public streets, roads, and 
highways for any purpose other than:
    (i) Transportation to and from a franchised dealership of the 
vehicle's original manufacturer for remedying a noncompliance or safety-
related defect; or
    (ii) Mileage accumulation to stabilize the vehicle's catalyst and 
emissions control systems in preparation for pre-certification testing 
to obtain an Environmental Protection Agency (EPA) certificate of 
conformity, but only insofar as the vehicle has been imported by an 
Independent Commercial Importer (ICI) who holds a current certificate of 
conformity with the EPA, the ICI has imported the vehicle under an EPA 
Declaration form 3520-1 on which Code J is checked, and the EPA has 
granted the ICI written permission to operate the vehicle on public 
roads for that purpose.
    (2) Sell the motor vehicle or offer it for sale;
    (3) Store the motor vehicle on the premises of a motor vehicle 
dealer;
    (4) Title the motor vehicle in a name other than its own, or license 
or register it for use on public streets, roads, or highways; or
    (5) Release custody of the motor vehicle to a person for sale, or 
for license or registration for use on public streets, roads, and 
highways, or for titling in a name other than that of the Registered 
Importer who imported the vehicle.
    (f) Furnish with each motor vehicle for which it furnishes 
certification or information to the Administrator in accordance with 
paragraph (d) of this section, not later than the time it sells the 
vehicle, or releases custody of a vehicle to an owner who has imported 
it for personal use, a service insurance

[[Page 374]]

policy written or underwritten by an independent insurance company, in 
the amount of $2,000. The Registered Importer shall provide the 
insurance company with a monthly list of the VINs of vehicles covered by 
the policies of the insurance company, and shall retain a copy of each 
such list in its files.
    (g) Comply with the requirements of part 580 of this chapter, 
Odometer Disclosure Requirements, when the Registered Importer is a 
transferor of a vehicle as defined by Sec.580.3 of this chapter.
    (h) With respect to any motor vehicle it has imported and for which 
it has furnished a performance bond, deliver such vehicle to the 
Secretary of Homeland Security for export, or 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 
and bumper standards within 120 days from entry.
    (i)(1) With respect to any motor vehicle that it has imported or for 
which it has furnished a certificate of conformity or information to the 
Administrator as provided in paragraph (d) of this section, provide 
notification in accordance with part 577 of this chapter and a remedy 
without charge to the vehicle owner, after any notification under part 
573 of this chapter that a vehicle to which such motor vehicle is 
substantially similar contains a defect related to motor vehicle safety 
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 the Registered Importer of such vehicle demonstrates to 
the Administrator that the defect or noncompliance is not present in 
such vehicle, or that the defect or noncompliance was remedied before 
the submission of the certificate or the information to the 
Administrator, or that the original manufacturer of the vehicle will 
provide such notification and remedy.
    (2) If a Registered Importer becomes aware (from whatever source) 
that the manufacturer of a vehicle it has imported will not provide a 
remedy without charge for a defect or noncompliance that has been 
determined to exist in that vehicle, within 30 days thereafter, the 
Registered Importer must inform NHTSA and submit a copy of the 
notification letter that it intends to send to owners of the vehicle(s) 
in question.
    (3) Any notification to vehicle owners sent by a Registered Importer 
must contain the information specified in Sec.577.5 of this chapter, 
and must include the statement that if the Registered Importer's repair 
facility is more than 50 miles from the owner's mailing address, 
remedial repairs may be performed at no charge at a specific facility 
designated by the Registered Importer that is within 50 miles of the 
owner's mailing address, or, if no such facility is designated, that 
repairs may be performed anywhere, with the cost of parts and labor to 
be reimbursed by the Registered Importer.
    (4) Defect and noncompliance notifications by a Registered Importer 
must conform to the requirements of Sec. Sec.577.7 and 577.8 of this 
chapter, and are subject to Sec. Sec.577.9 and 577.10 of this chapter.
    (5) Except as provided in this paragraph, instead of the six 
quarterly reports required by Sec.573.7(a) of this chapter, the 
Registered Importer must submit to the Administrator two reports 
containing the information specified in Sec.573.7(b)(1) through (4) of 
this chapter. The reports shall cover the periods ending nine and 18 
months after the commencement of the owner notification campaign, and 
must be submitted within 30 days of the end of each period. However, the 
reporting requirements established by this paragraph shall not apply to 
any safety recall that a vehicle manufacturer conducts that includes 
vehicles for which the Registered Importer has submitted the information 
required by paragraph (d) of this section.
    (6) The requirement that the remedy be provided without charge does 
not apply if the motor vehicle was bought by its first purchaser from 
the Registered Importer (or, if imported for personal use, conformed 
pursuant to a contract with the Registered Importer) more than 10 
calendar years before the date the Registered Importer or the original 
manufacturer notifies the Administrator of the noncompliance or safety-
related defect pursuant to part 573 of this chapter.

[[Page 375]]

    (j) In order that the Administrator may determine whether the 
Registered Importer is meeting its statutory responsibilities, allow 
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 identified by the Registered Importer where any 
vehicle for which a Registered Importer has the responsibility of 
providing a certificate of conformity to the Administrator is being 
modified, repaired, tested, or stored, and any facility where any record 
or other document relating to the modification, repair, testing, or 
storage of these vehicles is kept;
    (2) Any part or aspect of activities relating to the modification, 
repair, testing, or storage of vehicles by the Registered Importer; and
    (3) Any motor vehicle for which the Registered Importer has provided 
a certification of conformity to the Administrator before the 
Administrator releases the conformance bond.
    (k) Provide an annual statement, certifying that the information 
therein is true and correct, and pay an annual fee as required by Sec.
592.5(f).
    (l) Except as noted in this paragraph, notify the Administrator in 
writing of any change that occurs in the information which was submitted 
in its registration application, not later than the 30th calendar day 
after such change. If a Registered Importer intends to use a facility 
that was not identified in its registration application, not later than 
30 days before it begins to use such facility, it must notify the 
Administrator of its intent to use such facility and provide a 
description of the intended use, a copy of the lease or deed evidencing 
the Registered Importer's ownership or tenancy of the facility, and a 
copy of the license or similar document issued by an appropriate state 
or municipal authority stating that the Registered Importer is licensed 
to do business at that facility as an importer and/or modifier and/or 
seller of motor vehicles (or a statement that it has made a bona fide 
inquiry and is not required by state or local law to have such a license 
or permission), and a sufficient number of unaltered photographs of that 
facility to fully depict the Registered Importer's intended use. If a 
Registered Importer intends to change its street address or telephone 
number or discontinue use of a facility that was identified in its 
registration application, it shall notify the Administrator not less 
than 10 days before such change or discontinuance of such use, and 
identify the facility, if any, that will be used instead.
    (m) Assure that at least one full-time employee of the Registered 
Importer is present at at least one of the Registered Importer's 
facilities in the United States during normal business hours.
    (n) Not co-utilize the same employee, or any repair or conformance 
facility, with any other Registered Importer. If a Registered Importer 
co-utilizes the same storage facility with another Registered Importer 
or another entity, the storage area of each Registered Importer must be 
clearly delineated, and the vehicles being stored by each Registered 
Importer may not be mingled with vehicles for which that Registered 
Importer is not responsible.
    (o) Make timely, complete, and accurate responses to any requests by 
the Administrator for information, whether by general or special order 
or otherwise, to enable the Administrator to decide whether the 
Registered Importer has complied or is complying with 49 U.S.C. Chapters 
301 and 325, and the regulations issued thereunder.
    (p) Pay all fees either by certified check, cashier's check, money 
order, credit card, or Electronic Funds Transfer System made payable to 
the Treasurer of the United States, in accordance with the invoice of 
fees incurred by the Registered Importer in the previous month that is 
provided by the Administrator. All such fees are due and payable not 
later than 15 days from the date of the invoice.
    (q) Not later than November 1, 2004, file with the Administrator all 
information required by Sec.592.5(a), as amended. If a Registered 
Importer has previously provided any item of information to the 
Administrator in its registration application, annual statement, or 
notification of change, it may incorporate that item by reference in

[[Page 376]]

the filing required under this subsection, provided that it clearly 
indicates the date, page, and entry of the previously-provided document.

[69 FR 52095, Aug. 24, 2004, as amended at 70 FR 57801, Oct. 4, 2005; 76 
FR 53079, Aug. 25, 2011; 79 FR 45376, Aug. 5, 2014; 80 FR 53014, Sept. 
2, 2015]



Sec.592.7  Suspension, revocation, and reinstatement of suspended 
registrations.

    This section specifies the acts and omissions that may result in 
suspensions and revocations of registrations issued to Registered 
Importers by NHTSA, the process for such suspensions and revocations, 
and the provisions applicable to the reinstatement of suspended 
registrations.
    (a) Automatic suspension of a registration. 49 U.S.C. 30141(c)(4)(B) 
explicitly authorizes NHTSA to automatically suspend a registration when 
a Registered Importer does not, in a timely manner, pay a fee required 
by part 594 of this chapter or knowingly files a false or misleading 
certification under 49 U.S.C. 30146. NHTSA also may automatically 
suspend a registration under other circumstances, as specified in 
paragraphs (3), (4) and (5) of this section.
    (1) If the Administrator has not received the annual fee from a 
Registered Importer by the close of business on October 10 of a year, 
or, if October 10 falls on a weekend or holiday, by the next business 
day thereafter, or has not received any other fee owed by a Registered 
Importer within 15 calendar days from the date of the Administrator's 
invoice, the Registered Importer's registration will be automatically 
suspended at the beginning of the next business day. The Administrator 
will promptly notify the Registered Importer in writing of the 
suspension. Such suspension shall remain in effect until reinstated 
pursuant to paragraph (c)(1) of this section.
    (2) If the Administrator decides that a Registered Importer has 
knowingly filed a false or misleading certification, (s)he shall 
promptly notify the Registered Importer in writing that its registration 
is automatically suspended. The notification shall inform the Registered 
Importer of the facts and conduct upon which the decision is based, and 
the period of suspension (which begins as of the date indicated in the 
Administrator's written notification). The notification shall afford the 
Registered Importer an opportunity to seek reconsideration of the 
decision by presenting data, views, and arguments in writing and/or in 
person, within 30 days. Not later than 30 days after the submission of 
data, views, and arguments, the Administrator, after considering all the 
information available, shall notify the Registered Importer in writing 
of his or her decision on reconsideration. Any suspension issued under 
this paragraph shall remain in effect until reinstated pursuant to 
paragraph (c)(2) of this section.
    (3) If mail is undeliverable to the Registered Importer at the 
official street address it has provided to the Administrator, or if the 
telephone has been disconnected at the telephone number specified by the 
Registered Importer, the Administrator may automatically suspend the 
Registered Importer's registration. Such suspension shall remain in 
effect until the registration is reinstated pursuant to paragraph (c)(3) 
of this section.
    (4) If a Registered Importer, not later than November 1, 2004, does 
not file with the Administrator all information required by Sec.
592.5(a), as required by Sec.592.6(q), the Administrator may 
automatically suspend the registration. The Administrator shall promptly 
notify the Registered Importer in writing of the suspension. Such a 
suspension shall remain in effect until the registration is reinstated 
pursuant to paragraph (c)(4) of this section.
    (5) If a Registered Importer releases one or more motor vehicles on 
the basis of a forged or falsified bond release letter, and the 
Administrator has not in fact issued such a letter, the Administrator 
may automatically suspend the registration. The Administrator shall 
promptly notify the Registered Importer in writing of the suspension.
    (6) The Administrator, in his or her sole discretion, may provide 
notice of a proposed automatic suspension or revocation for reasons 
specified in paragraphs (a)(1) through (a)(5) of this section.

[[Page 377]]

    (7) The notification shall afford the Registered Importer an 
opportunity to seek reconsideration of the decision by presenting data, 
views, and arguments in writing and/or in person, within 30 days of such 
notification, before a decision, as provided in paragraph (b)(2) of this 
section. Not later than 30 days after the submission of data, views, and 
arguments, the Administrator, after considering all the information 
available, shall notify the Registered Importer in writing of his or her 
decision on reconsideration. Any automatic suspension issued under this 
paragraph shall remain in effect until reinstated pursuant to paragraph 
(c)(2) of this section.
    (b) Non-automatic suspension or revocation of a registration. (1) 49 
U.S.C. 30141(c)(4)(A) authorizes NHTSA to revoke or suspend a 
registration if a Registered Importer does not comply with a requirement 
of 49 U.S.C. 30141-30147, or any of 49 U.S.C. 30112, 30115, 30117-30122, 
30125(c), 30127, or 30166, or any regulations issued under these 
sections. These regulations include, but are not limited to, parts 567, 
568, 573, 577, 591, 592, 593, and 594 of this chapter.
    (2) When the Administrator has reason to believe that a Registered 
Importer has violated one or more of the statutes or regulations cited 
in paragraph (b)(1) of this section and that suspension or revocation 
would be an appropriate sanction under the circumstances, (s)he shall 
notify the Registered Importer in writing of the facts giving rise to 
the allegation of a violation and the proposed length of a suspension, 
if applicable, or revocation. The notice shall afford the Registered 
Importer an opportunity to present data, views, and arguments, in 
writing and/or in person, within 30 days of the date of the notice, as 
to whether the violation occurred, why the registration ought not to be 
suspended or revoked, or whether the suspension should be shorter than 
proposed. If the Administrator decides, on the basis of the available 
information, that the Registered Importer has violated a statute or 
regulation, the Administrator may suspend or revoke the registration. 
The Administrator shall notify the Registered Importer in writing of the 
decision, including the reasons for it. A suspension or revocation is 
effective as of the date of the Administrator's written notification 
unless another date is specified therein. The Administrator shall state 
the period of any suspension in the notice to the Registered Importer. 
There shall be no opportunity to seek reconsideration of a decision 
issued under this paragraph.
    (c) Reinstatement of suspended registrations. (1) When a 
registration has been suspended under paragraph (a)(1) of this section, 
the Administrator will reinstate the registration when all fees owing 
are paid by wire transfer or certified check from a bank in the United 
States, together with a sum representing 10 percent of the amount of the 
fees that were not timely paid.
    (2) When a registration has been suspended under paragraph (a)(2) or 
(a)(5) of this section, the registration will be reinstated after the 
expiration of the period of suspension specified by the Administrator, 
or such earlier date as the Administrator may subsequently decide is 
appropriate.
    (3) When a registration has been suspended under paragraph (a)(3) of 
this section, the registration will be reinstated when the Administrator 
decides that the Registered Importer has provided a street address to 
which mail to it is deliverable and a telephone number in its name that 
is in service.
    (4) When a registration has been suspended under paragraph (a)(4) of 
this section, the registration will be reinstated when the Administrator 
decides that the Registered Importer has provided all relevant 
documentation and information required by Sec.592.6(q).
    (5) When a registration has been suspended under paragraph (b) of 
this section, the registration will be reinstated after the expiration 
of the period of suspension specified by the Administrator, or such 
earlier date as the Administrator may subsequently decide is 
appropriate.
    (6) When a suspended registration has been reinstated, NHTSA shall 
notify the Bureau of Customs and Border Protection promptly.
    (7) If a Registered Importer imports a motor vehicle on or after the 
date that its registration is suspended and before the date that the 
suspension ends, the

[[Page 378]]

Administrator may extend the suspension period by one day for each day 
that the Registered Importer has imported a motor vehicle during the 
time that its registration has been suspended.
    (d) Effect of suspension or revocation. (1) If a Registered 
Importer's registration is suspended or revoked, as of the date of 
suspension or revocation the entity will not be considered a Registered 
Importer, will not have the rights and authorities appertaining thereto, 
and must cease importing, and will not be allowed to import, vehicles 
for resale. The Registered Importer will not be refunded any annual or 
other fees it has paid for the fiscal year in which its registration is 
revoked. The Administrator shall notify the Bureau of Customs and Border 
Protection of any suspension or revocation of a registration not later 
than the first business day after such action is taken.
    (2) With respect to any vehicle for which it has not affixed a 
certification label and submitted a certificate of conformity to the 
Administrator under Sec.592.6(d) at the time it is notified that its 
registration has been suspended or revoked, the Registered Importer must 
affix a certification label and submit a certificate of conformity 
within 120 days from the date of entry.
    (3) When a registration has been revoked or suspended, the 
Registered Importer must export within 30 days of the effective date of 
the suspension or revocation all vehicles that it imported to which it 
has not affixed a certification label and furnished a certificate of 
conformity to the Administrator pursuant to Sec.592.6(d).
    (4) With respect to any vehicle imported pursuant to Sec.
591.5(f)(2)(ii) of this chapter that the Registered Importer has agreed 
to bring into compliance with all applicable standards and for which it 
has not certified and furnished a certificate of conformity to the 
Administrator, the Registered Importer must immediately notify the owner 
of the vehicle in writing that its registration has been suspended or 
revoked.
    (e) Continuing obligations. A Registered Importer whose registration 
is suspended or revoked remains obligated under Sec.592.6(i) to notify 
owners and to remedy noncompliances or safety related defects for each 
vehicle for which it has furnished a certificate of conformity to the 
Administrator.

[69 FR 52098, Aug. 24, 2004, as amended at 76 FR 53079, Aug. 25, 2011]



Sec.592.8  Inspection; release of vehicle and bond.

    (a) With respect to any motor vehicle for which it must provide a 
certificate of conformity to the Administrator as required by Sec.
592.6(d), a Registered Importer shall not obtain title, licensing, or 
registration of the motor vehicle for use on the public roads, or 
release custody of it for such titling, licensing, or 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 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 express 
delivery service to: Director, Office of Vehicle Safety Compliance, 
National Highway Traffic Safety Administration, Fourth Floor, Room W43-
481, Mail Code NVS-220, 1200 New Jersey Avenue, SE., Washington, DC 
20590 or delivered 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 receiving a 
complete certification under Sec.592.6(d), the Administrator may 
notify the Registered Importer in writing that an inspection of the 
vehicle is required to verify 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

[[Page 379]]

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 the Registered 
Importer to verify its certification of a motor vehicle before the end 
of the 30th calendar day after the date the Administrator receives a 
complete certification under Sec.592.6(d). 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 the Registered Importer has received no written notice from 
the Administrator by the end of the 30th calendar day after it has 
furnished a complete certification under section 592.6(d) of this 
chapter, the Registered Importer may release the vehicle from custody, 
sell or offer it for sale, or have it titled, 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; 69 FR 52100, Aug. 24, 2004; 76 FR 53080, 
Aug. 25, 2011]



Sec.592.9  Forfeiture of bond.

    A Registered Importer is required by Sec.591.6 of this chapter to 
furnish a bond with respect to each motor vehicle that it imports. The 
conditions of the bond are set forth in Sec.591.8 of this chapter. 
Failure to fulfill any one of these conditions may result in forfeiture 
of the bond. A bond may be forfeited if the Registered Importer:
    (a) Fails to bring the motor vehicle covered by the bond into 
compliance with all applicable standards issued under part 571 and part 
581 of this chapter within 120 days from the date of entry;
    (b) Fails to file with the Administrator a certificate that the 
motor vehicle complies with each Federal motor vehicle safety, bumper, 
and theft prevention standard in effect at the time the vehicle was 
manufactured and which applies to the vehicle;
    (c) Fails to cause a motor vehicle to be available for inspection if 
it has received written notice from the Administrator that an inspection 
is required;
    (d) Releases the motor vehicle before the Administrator accepts the 
certification and any modification thereof, if it has received written 
notice from the Administrator that there is reason to believe that the 
certification is false or contains a misrepresentation;
    (e) Before the bond is released, releases custody of the motor 
vehicle to any person for license or registration for use on public 
roads, streets, and highways, or licenses or registers the vehicle, 
including titling the vehicle in the name of another person, unless 30 
calendar days have elapsed after the Registered Importer has filed a 
complete certification under Sec.592.6(d), and the Registered Importer 
has not received written notice pursuant to paragraph (a)(3) or (a)(4) 
of this section. For purposes of this part, a vehicle is

[[Page 380]]

deemed to be released from custody if it is not located at a duly 
identified facility of the Registered Importer and the Registered 
Importer has not notified the Administrator in writing of the vehicle's 
location or, if written notice has been provided, if the Administrator 
is unable to inspect the vehicle, or if the Registered Importer has 
transferred title to any other person regardless of the vehicle's 
location; or
    (f) Fails to deliver the vehicle, or cause it to be delivered, to 
the custody of the Bureau of Customs and Border Protection at any port 
of entry, for export or abandonment to the United States, and to execute 
all documents necessary to accomplish such purposes, if the 
Administrator has furnished it written notice that the vehicle has been 
found not to comply with all applicable Federal motor vehicle safety 
standards along with a demand that the vehicle be delivered for export 
or abandoned to the United States.

[69 FR 52100, Aug. 24, 2004]



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.

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 1.95.

    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 (i.e., 
January 1 through December 31)

[[Page 381]]

in which manufacturing operations are completed on the vehicle at its 
place of main assembly.
    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.

[54 FR 40099, Sept. 29, 1989, as amended at 76 FR 53080, Aug. 25, 2011]



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: Director, Office of 
Vehicle Safety Compliance, National Highway Traffic Safety 
Administration, Fourth Floor, Room W43-481, Mail Code NVS-220, 1200 New 
Jersey Avenue, SE., Washington, DC 20590.
    (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; 
76 FR 53080, Aug. 25, 2011]



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, as well as the 
type classification, as defined by Sec.571.3 of this chapter, (e.g., 
passenger car, multipurpose passenger vehicle, bus, truck, motorcycle, 
trailer, low-speed vehicle) and the gross vehicle weight rating (GVWR) 
of the substantially similar 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, upon 
which the petition is based.
    (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

[[Page 382]]

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, as well as the type classification of 
the vehicle, as defined by Sec.571.3 of this chapter (e.g., passenger 
car, multipurpose passenger vehicle, bus, truck, motorcycle, trailer, 
low-speed vehicle) and the vehicle's gross vehicle weight rating (GVWR) 
as identified by the Registered Importer consistent with parts 567 and 
571 of this chapter.
    (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.

[54 FR 40099, Sept. 29, 1989, as amended at 76 FR 53080, Aug. 25, 2011]



Sec.593.7  Processing of petitions.

    (a) NHTSA will review each petition for sufficiency under Sec. Sec.
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.
    (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

[[Page 383]]

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 or confidential information in 
accordance with part 512 of this chapter.



Sec. Appendix A to Part 593--List of Vehicles Determined to be Eligible 
                             for Importation

    (a) Each vehicle on the following list is followed 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.
    (1) ``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.
    (2) ``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.
    (3) ``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 FMVSS.
    (b) Vehicles for which eligibility decisions have been made are 
listed alphabetically, first by make, then by model, then by model year.
    (c) All hyphens used in the Model Year column mean ``through'' (for 
example, ``1995-1999'' means ``1995 through 1999'').
    (d) The initials ``MC'' used in the Make column mean ``Motorcycle.''
    (e) The initials ``SWB'' used in the Model Type column mean ``Short 
Wheel Base.''

[[Page 384]]

    (f) The initials ``LWB'' used in the Model Type column mean ``Long 
Wheel Base.''
    (g) For vehicles with a European country of origin, the term ``Model 
Year'' ordinarily means calendar year in which the vehicle was produced.
    (h) All vehicles are left-hand-drive (LHD) vehicles unless noted as 
RHD. The initials ``RHD'' used in the Model Type column mean ``right-
hand-drive.''
    (i) For vehicle models that have been determined to be eligible for 
importation based on a petition submitted under Sec.593.5(a)(1), which 
establishes that a substantially similar U.S.-certified vehicle exists, 
and no specific body style(s) are listed, only the body style(s) of that 
vehicle model that were U.S.-certified by the original manufacturer are 
eligible for importation. For example, if the original manufacturer 
manufactured both sedan and wagon body styles for the described model, 
but only certified the sedan for the U.S. market, the wagon body style 
would not be eligible for importation under that determination.

 Vehicles Certified by Their Original Manufacturer as Complying With All
           Applicable Canadian Motor Vehicle Safety Standards
------------------------------------------------------------------------
 
------------------------------------------------------------------------
(a) All passenger cars less than 25 years old manufactured        VSA-80
 before September 1, 1996, that, as originally
 manufactured, are equipped with an automatic restraint
 system that complies with Federal Motor Vehicle Safety
 Standard (FMVSS) No. 208..................................
(b) All passenger cars manufactured on or after September
 1, 1996, and before September 1, 2002, that, as originally
 manufactured, are equipped with an automatic restraint
 system that complies with FMVSS No. 208, and that comply
 with FMVSS No. 214;
(c) All passenger cars manufactured on or after September
 1, 2002, and before September 1, 2007, that, as originally
 manufactured, are equipped with an automatic restraint
 system that complies with FMVSS No. 208, and that comply
 with FMVSS Nos. 201, 214, 225, and 401;
(d) All passenger cars manufactured on or after September
 1, 2007, and before September 1, 2008, that, as originally
 manufactured, comply with FMVSS Nos. 110, 118, 138, 201,
 208, 213, 214, 225, and 401;
(e) All passenger cars manufactured on or after September
 1, 2008 and before September 1, 2009 that, as originally
 manufactured, comply with FMVSS Nos. 110, 118, 138, 201,
 202a, 206, 208, 213, 214, 225, and 401;
(f) All passenger cars manufactured on or after September
 1, 2009 and before September 1, 2010 that, as originally
 manufactured, comply with FMVSS Nos. 118, 138, 201, 202a,
 206, 208, 213, 214, 225, and 401;
(g) All passenger cars manufactured on or after September
 1, 2010 and before September 1, 2011 that, as originally
 manufactured, comply with FMVSS Nos. 118, 138, 201, 202a,
 206, 208, 213, 214, and 225;
(h) All passenger cars manufactured on or after September
 1, 2011 and before September 1, 2017 that, as originally
 manufactured, comply with FMVSS Nos. 138, 201, 206, 208,
 213, 214, and 225.
(i) All passenger cars manufactured on or after September
 1, 2017, and before May 1, 2018, that as originally
 manufactured, comply with FMVSS Nos. 138, 201, 206, 208,
 213, 214, 225, and insofar as it is applicable, 226.
(j) All passenger cars manufactured on or after May 1,
 2018, and before September 1, 2022, that as originally
 manufactured, comply with FMVSS Nos. 111, 138, 201, 206,
 208, 213, 214, 225, and insofar as it is applicable, with
 FMVSS No. 226.
(a) All multipurpose passenger vehicles, trucks, and buses        VSA-81
 with a GVWR of 4,536 kg (10,000 lb) or less that were
 manufactured on and after September 1, 1991, and before
 September 1, 1993 and that, as originally manufactured,
 comply with FMVSS Nos. 202 and 208........................
(b) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less that were
 manufactured on or after September 1, 1993, and before
 September 1, 1998, and that, as originally manufactured,
 comply with FMVSS Nos. 202, 208, and 216;
(c) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less that were
 manufactured on or after September 1, 1998, and before
 September 1, 2002, and that, as originally manufactured,
 comply with FMVSS Nos. 202, 208, 214, and 216;
(d) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less that were
 manufactured on or after September 1, 2002, and before
 September 1, 2007, and that, as originally manufactured,
 comply with FMVSS Nos. 201, 202, 208, 214, and 216, and,
 insofar as it is applicable, with FMVSS No. 225;
(e) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2007 and before September 1,
 2008, that, as originally manufactured, comply with FMVSS
 Nos. 110, 118, 201, 202, 208, 213, 214, and 216, and
 insofar as they are applicable, with FMVSS Nos. 138 and
 225;
(f) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2008 and before September 1,
 2009, that, as originally manufactured, comply with FMVSS
 Nos. 110, 118, 201, 202a, 206, 208, 213, 214, and 216, and
 insofar as they are applicable, with FMVSS Nos. 138 and
 225;
(g) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2009 and before September 1,
 2011, that, as originally manufactured, comply with FMVSS
 Nos. 118, 201, 202a, 206, 208, 213, 214, and 216, and
 insofar as they are applicable, with FMVSS Nos. 138 and
 225;
(h) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2011 and before September 1,
 2012, that, as originally manufactured, comply with FMVSS
 Nos. 201, 202a, 206, 208, 213, 214, and 216, and insofar
 as they are applicable, with FMVSS Nos. 138 and 225;

[[Page 385]]

 
(i) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2012 and before September 1,
 2017, that, as originally manufactured, comply with FMVSS
 Nos. 201, 206, 208, 213, 214, and 216, and insofar as they
 are applicable, with FMVSS Nos. 138 222, and 225;
(j) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after September 1, 2017, and before May 1, 2018,
 that as originally manufactured, comply with FMVSS Nos.
 138, 201, 206, 208, 213, and 214, and insofar as they are
 applicable, with FMVSS Nos. 222, 225, and, 226;
(k) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR of 4,536 kg (10,000 lb) or less manufactured
 on or after May 1, 2018, and before September 1, 2022,
 that as originally manufactured, comply with FMVSS Nos.
 111, 138, 201, 206, 208, 213, and 214, and insofar as they
 are applicable, with FMVSS Nos. 222, 225, and 226.
(a) All multipurpose passenger vehicles, trucks, and buses        VSA-82
 with a GVWR greater than 4,536 kg (10,000 lb) manufactured
 before August 1, 2019.....................................
(b) All multipurpose passenger vehicles, trucks, and buses
 with a GVWR greater than 4,536 kg (10,000 lb) manufactured
 on or after August 1, 2019, and before September 1, 2022,
 that as originally manufactured, comply with FMVSS 136
 insofar as it is applicable.
All trailers and motorcycles less than 25 years old........       VSA-83
------------------------------------------------------------------------


                            Vehicles Manufactured for Other Than the Canadian Market
----------------------------------------------------------------------------------------------------------------
                                                                                Model
               Make                   Model type(s)         Body/chassis       years(s)       VSP         VCP
----------------------------------------------------------------------------------------------------------------
AHLM.............................  SPT 16-25 trailer..  ...................         2012  ..........          55
Alfa Romeo.......................  164................  ...................         1994         156
Alfa Romeo.......................  8C Spider..........  ...................         2010  ..........          61
Alfa Romeo.......................  8C SPIDER..........  ...................    2008-2009         580
Alpina...........................  B10 Series.........  ...................    1993-1996  ..........          54
Alpina...........................  B11................  Sedan..............    1993-1994  ..........          48
Alpina...........................  B12................  Coupe..............    1993-1996  ..........          43
Alpina...........................  B12 5.0............  Sedan..............    1993-1994  ..........          41
Alpina...........................  B5 series            ...................    2005-2007  ..........          53
                                    (manufactured
                                    before 9/1/06).
Al-Spaw..........................  EMA Mobile Stage     ...................         2009  ..........          42
                                    Trailer.
Aston Martin.....................  Vanquish...........  ...................    2002-2004         430
Aston Martin.....................  Vantage............  ...................    2006-2007         530
Aston Martin.....................  Vantage V8.........  ...................         2008         582
Audi.............................  100................  ...................         1993         244
Audi.............................  A4.................  ...................    1996-2000         352
Audi.............................  A4, RS4, S4........  8D.................    2000-2001         400
Audi.............................  A6.................  ...................    1998-1999         332
Audi.............................  A8.................  ...................         2000         424
Audi.............................  A8.................  ...................    1997-2000         337
Audi.............................  A8 Avant Quattro...  ...................         1996         238
Audi.............................  RS6 & RS Avant.....  ...................         2003         443
Audi.............................  S6.................  ...................         1996         428
Audi.............................  S8.................  ...................         2000         424
Audi.............................  TT.................  ...................    2000-2001         364
Bentley..........................  Arnage               ...................         2001         473
                                    (manufactured 1/1/
                                    01-12/31/01).
Bentley..........................  Azure (LHD & RHD)..  ...................         1998         485
Bentley..........................  Flying Spur........  4-door Saloon 2-            2014         588
                                                         door Continental.
Bimota (MC)......................  DB4................  ...................         2000         397
Bimota (MC)......................  SB6................  ...................    1994-1999         523
Bimota (MC)......................  SB8................  ...................    1999-2000         397
BMW..............................  3 Series...........  ...................         1998         462
BMW..............................  3 Series...........  ...................         1999         379
BMW..............................  3 Series...........  ...................         2000         356
BMW..............................  3 Series...........  ...................         2001         379
BMW..............................  3 Series...........  ...................    1993-1994         550
BMW..............................  3 Series...........  ...................    1995-1997         248
BMW..............................  3 Series...........  ...................    2003-2004         487
BMW..............................  325i...............  ...................    1993-1996         197
BMW..............................  5 Series...........  ...................         2000         345
BMW..............................  5 Series...........  ...................    1993-1995         194
BMW..............................  5 Series...........  ...................    1995-1997         249
BMW..............................  5 Series...........  ...................    1998-1999         314
BMW..............................  5 Series...........  ...................    2000-2002         414

[[Page 386]]

 
BMW..............................  5 Series...........  ...................    2003-2004         450
BMW..............................  5 Series             ...................    2005-2007         555
                                    (manufactured
                                    prior to 9/1/2006).
BMW..............................  7 Series...........  ...................    1993-1994         299
BMW..............................  7 Series...........  ...................    1995-1999         313
BMW..............................  7 Series...........  ...................    1999-2001         366
BMW..............................  760i...............  ...................         2004         559
BMW..............................  8 Series...........  ...................    1993-1995         361
BMW..............................  850 Series.........  ...................         1997         396
BMW..............................  M3.................  ...................    2006-2010         571
BMW..............................  M3 (manufactured     ...................         2006         520
                                    prior to 9/1/06).
BMW..............................  X5 (manufactured 1/  ...................    2003-2004         459
                                    1/03-12/31/04).
BMW..............................  Z3.................  ...................         2002         568
BMW..............................  Z3.................  ...................    1996-1998         260
BMW..............................  Z3 (European         ...................         1999         483
                                    market).
BMW..............................  Z4.................  ...................         2010         553
BMW..............................  Z8.................  ...................         2002         406
BMW..............................  Z8.................  ...................    2000-2001         350
BMW (MC).........................  C1.................  ...................    2000-2003  ..........          40
BMW (MC).........................  K1.................  ...................         1993         228
BMW (MC).........................  K1100, K1200.......  ...................    1993-1998         303
BMW (MC).........................  K1200 GT...........  ...................         2003         556
BMW (MC).........................  K75................  ...................         1996  ..........          36
BMW (MC).........................  K75S...............  ...................    1993-1995         229
BMW (MC).........................  R1100..............  ...................    1994-1997         231
BMW (MC).........................  R1100..............  ...................    1998-2001         368
BMW (MC).........................  R1100 S............  ...................         2002         557
BMW (MC).........................  R1100RS............  ...................         1994         177
BMW (MC).........................  R1150GS............  ...................         2000         453
BMW (MC).........................  R1200 GS Adventure   ...................         2013         592
                                    series.
BMW (MC).........................  R1200C.............  ...................    1998-2001         359
BMW (MC).........................  R80, R100..........  ...................    1993-1995         295
BMW (MC).........................  S1000RR............  ...................    2011-2012         563
Buell (MC).......................  1125R, Ulysses XB,   ...................         2009         579
                                    Lightning XB, and
                                    Blast.
Buell (MC).......................  All Models.........  ...................    1995-2002         399
Cadillac.........................  DeVille............  ...................    1994-1999         300
Cadillac.........................  DeVille              ...................         2000         448
                                    (manufactured 8/1/
                                    99-12/31/00).
Cadillac.........................  Escalade...........  ...................         2008         572
Cagiva (MC)......................  Gran Canyon 900....  ...................         1999         444
Carrocerias......................  Cimarron trailer...  ...................    2006-2007  ..........          37
Chevrolet........................  400SS..............  ...................         1995         150
Chevrolet........................  Astro Van..........  ...................         1997         298
Chevrolet........................  Blazer (plant code   ...................         1997         349
                                    of ``K'' or ``2''
                                    in the 11th
                                    position of the
                                    VIN).
Chevrolet........................  Blazer (plant code   ...................         2001         461
                                    of ``K'' or ``2''
                                    in the 11th
                                    position of the
                                    VIN).
Chevrolet........................  Camaro.............  ...................         1999         435
Chevrolet........................  Camaro.............  ...................         2010         591
Chevrolet........................  Cavalier...........  ...................         1997         369
Chevrolet........................  Corvette...........  Coupe..............         1999         419
Chevrolet........................  Corvette...........  ...................         2007         544
Chevrolet........................  Silverado..........  ...................         2008         590
Chevrolet........................  Suburban...........  ...................         2005         541
Chevrolet........................  Tahoe..............  ...................         2000         504
Chevrolet........................  Tahoe..............  ...................         2001         501
Chevrolet........................  Trailblazer          ...................         2007         514
                                    (manufactured
                                    prior to 9/1/07
                                    for sale in the
                                    Kuwaiti market).
Chevy............................  Impala.............  ...................         1996         561
Chrysler.........................  Grand Voyager......  ...................         1998         373
Chrysler.........................  LHS (Mexican         ...................         1996         276
                                    market).
Chrysler.........................  Town and Country...  ...................         1993         273
Dodge............................  Durango............  ...................         2007         534
Dodge............................  Ram................  ...................    1994-1995         135
Dodge............................  Ram 1500 Laramie     ...................         2009         535
                                    Crew Cab.
Ducati (MC)......................  600SS..............  ...................    1993-1996         241
Ducati (MC)......................  748................  ...................    1999-2003         421
Ducati (MC)......................  748 Biposto........  ...................    1996-1997         220

[[Page 387]]

 
Ducati (MC)......................  888................  ...................         1993         500
Ducati (MC)......................  900................  ...................         2001         452
Ducati (MC)......................  900SS..............  ...................    1993-1996         201
Ducati (MC)......................  916................  ...................    1999-2003         421
Ducati (MC)......................  996 Biposto........  ...................    1999-2001         475
Ducati (MC)......................  996R...............  ...................    2001-2002         398
Ducati (MC)......................  MH900E.............  ...................    2001-2002         524
Ducati (MC)......................  Monster 600........  ...................         2001         407
Ducati (MC)......................  Multistrada........  ...................         2011         585
Ducati (MC)......................  ST4S...............  ...................    1999-2005         474
E. Lancashine Coachbuilders        Double Decker Bus..  Volvo B7L chassis..         2000  ..........          59
 Limited.
Eagle............................  Vision.............  ...................         1994         323
EMU..............................  Camper trailer, 4x4  ...................         2014  ..........          63
                                    Extreme Adventure.
Ferrari..........................  360................  ...................         2001         376
Ferrari..........................  360................  Spider & Coupe.....         2003         410
Ferrari..........................  360 (manufactured    ...................         2002         433
                                    after 9/31/02).
Ferrari..........................  360 (manufactured    ...................         2002         402
                                    before 9/1/02).
Ferrari..........................  360 Modena.........  ...................    1999-2000         327
Ferrari..........................  360 Series.........  ...................         2004         446
Ferrari..........................  456................  ...................         1995         256
Ferrari..........................  456 GT & GTA.......  ...................         1999         445
Ferrari..........................  456 GT & GTA.......  ...................    1997-1998         408
Ferrari..........................  512 TR.............  ...................         1993         173
Ferrari..........................  550................  ...................         2001         377
Ferrari..........................  550 Marinello......  ...................    1997-1999         292
Ferrari..........................  575................  ...................    2002-2003         415
Ferrari..........................  575................  ...................    2004-2005         507
Ferrari..........................  599................  ...................    2008-2011         587
Ferrari..........................  599 (manufactured    ...................         2006         518
                                    prior to 9/1/06).
Ferrari..........................  599 GTB              ...................    2006-2007         576
                                    (Manufactured
                                    September 1, 2006
                                    through August 31,
                                    2007).
Ferrari..........................  612 Scagletti        ...................         2006         573
                                    (Manufactured
                                    before 9/1/06).
Ferrari..........................  612 Scaglietti.....  ...................         2005         545
Ferrari..........................  California           ...................         2010         570
                                    (Manufactured for
                                    the European
                                    Market).
Ferrari..........................  Enzo...............  ...................    2003-2004         436
Ferrari..........................  F355...............  ...................         1995         259
Ferrari..........................  F355...............  ...................         1999         391
Ferrari..........................  F355...............  ...................    1996-1998         355
Ferrari..........................  F430 (manufactured   ...................    2005-2006         479
                                    prior to 9/1/06).
Ferrari..........................  F50................  ...................         1995         226
Ferrari..........................  F50 (Manufactured    ...................    1996-1997  ..........          62
                                    before 9/1/07).
Fisker...........................  Karma..............  ...................         2012         577
Ford.............................  Bronco (Venezuelan   ...................    1995-1996         265
                                    market).
Ford.............................  Escape               ...................         2007         551
                                    (manufactured
                                    prior to 9/1/2006).
Ford.............................  Escort (Nicaraguan   ...................         1996         322
                                    market).
Ford.............................  Escort RS Cosworth.  ...................    1994-1995  ..........           9
Ford.............................  Explorer             ...................    1993-1998         268
                                    (Venezuelan
                                    market).
Ford.............................  F150...............  ...................         2000         425
Ford.............................  F-150..............  ...................         2009         575
Ford.............................  F-150 Crew Cab       ...................         2004         548
                                    (manufactured for
                                    sale in the
                                    Mexican market).
Ford.............................  Mustang............  ...................         1993         367
Ford.............................  Mustang............  ...................         1997         471
Ford.............................  Windstar...........  ...................    1995-1998         250
Freightliner.....................  FLD12064ST.........  ...................    1993-1996         179
Freightliner.....................  FTLD112064SD.......  ...................    1993-1996         178
Gemala...........................  Saranaupaya 1600     ...................         2001  ..........          58
                                    Double Axle
                                    trailer.
GMC..............................  Suburban...........  ...................    1993-1994         134
Harley-Davidson (MC).............  FL Series..........  ...................         2010         528
Harley-Davidson (MC).............  FX, FL, XL & VR      ...................         2004         422
                                    Series.
Harley-Davidson (MC).............  FX, FL, XL & VR      ...................         2008         517
                                    Series.
Harley-Davidson (MC).............  FX, FL, XL & VR      ...................         2009         522
                                    Series.

[[Page 388]]

 
Harley-Davidson (MC).............  FX, FL, XL & VR      ...................    2011-2014         567
                                    Series.
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         1998         253
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         1999         281
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2000         321
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2001         362
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2002         372
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2003         393
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2005         472
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................         2006         491
Harley-Davidson (MC).............  FX, FL, XL Series..  ...................    1993-1997         202
Harley-Davidson (MC).............  FX, FL, XL, & VR     ...................         2007         506
                                    Series.
Harley-Davidson (MC).............  FX, XL & VR Series.  ...................         2010         578
Harley-Davidson (MC).............  FXSTC Soft Tail      ...................         2007         499
                                    Custom.
Harley-Davidson (MC).............  VRSCA..............  ...................         2002         374
Harley-Davidson (MC).............  VRSCA..............  ...................         2003         394
Harley-Davidson (MC).............  VRSCA..............  ...................         2004         422
Hatty............................  45 ft double axle    ...................    1999-2000  ..........          38
                                    trailer.
Heku.............................  750 KG boat trailer  ...................         2005  ..........          33
Hobby............................  Exclusive 650 KMFE   ...................    2002-2003  ..........          29
                                    Trailer.
Honda............................  Accord.............  ...................    1993-1999         319
Honda............................  Accord (RHD).......  Sedan & Wagon......    1994-1997         451
Honda............................  CRV................  ...................         2002         447
Honda............................  CR-V...............  ...................         2005         489
Honda............................  Prelude............  ...................    1994-1997         309
Honda (MC).......................  CB 750 (CB750F2T)..  ...................         1996         440
Honda (MC).......................  CBR 250............  ...................    1993-1994  ..........          22
Honda (MC).......................  NT700V (Deauville).  ...................    2006-2013  ..........          57
Honda (MC).......................  RVF 400............  ...................    1994-2000         358
Honda (MC).......................  VF750..............  ...................    1994-1998         290
Honda (MC).......................  VFR 400............  ...................    1994-2000         358
Honda (MC).......................  VFR 400, RVF 400...  ...................         1993  ..........          24
Honda (MC).......................  VFR750.............  ...................    1993-1997         315
Honda (MC).......................  VFR800.............  ...................    1998-1999         315
Honda (MC).......................  VT600..............  ...................    1993-1998         294
Hyundai..........................  Elantra............  ...................    1993-1995         269
Hyundai..........................  XG350..............  ...................         2004         494
Ifor Williams....................  LM85G trailer......  ...................         2005  ..........          49
Jaguar...........................  Sovereign..........  ...................         1993          78
Jaguar...........................  S-Type.............  ...................    2000-2002         411
Jaguar...........................  XJ8................  ...................         2002         536
Jaguar...........................  XJS................  ...................    1994-1996         195
Jaguar...........................  XK-8...............  ...................         1998         330
Jaguar...........................  XKR................  ...................         2005         560
Jeep.............................  Cherokee...........  ...................         1993         254
Jeep.............................  Cherokee (LHD &      ...................         1994         493
                                    RHD).
Jeep.............................  Cherokee (LHD &      ...................         1995         180
                                    RHD).
Jeep.............................  Cherokee (LHD &      ...................         1996         493
                                    RHD).
Jeep.............................  Cherokee (LHD).....  ...................    1997-1998         516
Jeep.............................  Cherokee (RHD).....  ...................    1997-2001         515
Jeep.............................  Compass............  ...................         2009         589
Jeep.............................  Grand Cherokee.....  ...................         1994         404
Jeep.............................  Grand Cherokee.....  ...................         1997         431
Jeep.............................  Grand Cherokee.....  ...................         2001         382
Jeep.............................  Grand Cherokee       ...................         1997         389
                                    (LHD--Japanese
                                    market).
Jeep.............................  Liberty............  ...................         2002         466
Jeep.............................  Liberty............  ...................         2005         505
Jeep.............................  Liberty (Mexican     ...................         2004         457
                                    market).
Jeep.............................  Wrangler...........  ...................         1993         217
Jeep.............................  Wrangler...........  ...................         1995         255
Jeep.............................  Wrangler...........  ...................         1998         341
Jeep.............................  Wrangler             ...................         2003         547
                                    (manufactured for
                                    sale in the
                                    Mexican market).
Jeep.............................  Wrangler             ...................         2012         584
                                    (manufactured for
                                    sale in the
                                    Mexican market).
Jeep.............................  Wrangler (RHD).....  ...................    2000-2003  ..........          50
Kawasaki (MC)....................  EL250..............  ...................    1993-1994         233
Kawasaki (MC)....................  Ninja ZX-6R........  ...................         2002  ..........          44
Kawasaki (MC)....................  VN1500-P1/P2 series  ...................         2003         492
Kawasaki (MC)....................  ZR750..............  ...................    2000-2003         537
Kawasaki (MC)....................  ZX400..............  ...................    1993-1997         222

[[Page 389]]

 
Kawasaki (MC)....................  ZX6, ZX7, ZX9,       ...................    1993-1999         312
                                    ZX10, ZX11.
Kawasaki (MC)....................  ZX600..............  ...................    1993-1998         288
Kawasaki (MC)....................  ZZR1100............  ...................    1993-1998         247
Ken-Mex..........................  T800...............  ...................    1993-1996         187
Komet............................  Standard, Classic &  ...................    2000-2005         477
                                    Eurolite trailer.
KTM (MC).........................  Duke II............  ...................    1995-2000         363
Lamborghini......................  Diablo.............  Coupe..............         1997  ..........          26
Lamborghini......................  Diablo (except 1997  ...................    1996-1997         416
                                    Coupe).
Lamborghini......................  Diablo SE30........  ...................    1994-1995         586
Lamborghini......................  Gallardo             ...................         2004         458
                                    (manufactured 1/1/
                                    04-12/31/04).
Lamborghini......................  Gallardo             ...................         2006         508
                                    (manufactured 1/1/
                                    06-8/31/06).
Lamborghini......................  Murcielago.........  Roadster...........         2005         476
Land Rover.......................  Defender 110.......  ...................         1993         212
Land Rover.......................  Defender 90........  VIN & Body Limited.    1994-1995         512
Land Rover.......................  Defender 90          ...................         1997         432
                                    (manufactured
                                    before 9/1/97) and
                                    VIN.
                                   ``SALDV224*VA'' or.
                                   ``SALDV324*VA''....
Land Rover.......................  Discovery..........  ...................    1994-1998         338
Land Rover.......................  Discovery (II).....  ...................         2000         437
Land Rover.......................  Range Rover........  ...................         2004         509
Land Rover.......................  Range Rover........  ...................         2006         538
Lexus............................  GS300..............  ...................         1998         460
Lexus............................  GS300..............  ...................    1993-1996         293
Lexus............................  RX300..............  ...................    1998-1999         307
Lexus............................  SC300..............  ...................    1993-1996         225
Lexus............................  SC400..............  ...................    1993-1996         225
M&V..............................  Type NS4G31 trailer  ...................    2008-2010  ..........          46
Magni (MC).......................  Australia, Sfida...  ...................    1996-1999         264
Mazda............................  MPV................  ...................         2000         413
Mazda............................  MX-5 Miata.........  ...................         1993         184
Mazda............................  RX-7...............  ...................    1993-1995         279
Mazda............................  Xedos 9............  ...................    1995-2000         351
McLaren..........................  MP4-12C............  ...................         2012         569
Mercedes-Benz....................  190 E..............  ...................         1993         454
Mercedes-Benz....................  200 E..............  124.019............         1993          75
Mercedes-Benz....................  220 E..............  ...................         1993         168
Mercedes-Benz....................  220 TE.............  Station Wagon......    1993-1996         167
Mercedes-Benz....................  230 E..............  124.023............         1993         127
Mercedes-Benz....................  250 E..............  ...................         1993         245
Mercedes-Benz....................  280 E..............  ...................         1993         166
Mercedes-Benz....................  300 CE.............  124.061............         1993          94
Mercedes-Benz....................  300 E 4-Matic......  ...................         1993         192
Mercedes-Benz....................  320 CE.............  ...................         1993         310
Mercedes-Benz....................  320 SL.............  ...................         1993         142
Mercedes-Benz....................  350 CLS............  ...................         2004  ..........          45
Mercedes-Benz....................  400 SE.............  ...................    1993-1994         296
Mercedes-Benz....................  420 E..............  ...................         1993         169
Mercedes-Benz....................  600 SEC............  Coupe..............         1993         185
Mercedes-Benz....................  600 SEL............  140.057............    1993-1998         271
Mercedes-Benz....................  C 320..............  203................    2001-2002         441
Mercedes-Benz....................  C Class............  ...................    1994-1999         331
Mercedes-Benz....................  C Class............  203................    2000-2001         456
Mercedes-Benz....................  C Class              W203...............    2003-2006         521
                                    (manufactured
                                    prior to 9/1/2006).
Mercedes-Benz....................  CL 500.............  ...................         1998         277
Mercedes-Benz....................  CL 500.............  ...................    1999-2001         370
Mercedes-Benz....................  CL 600.............  ...................    1999-2001         370
Mercedes-Benz....................  CLK 320............  ...................         1998         357
Mercedes-Benz....................  CLK Class..........  ...................    1999-2001         380
Mercedes-Benz....................  CLK Class..........  209................    2002-2005         478
Mercedes-Benz....................  CLS Class            ...................         2006         532
                                    (manufactured
                                    prior to 9/1/06).
Mercedes-Benz....................  E 200..............  ...................         1994         207
Mercedes-Benz....................  E 200..............  ...................    1995-1998         278
Mercedes-Benz....................  E 220..............  ...................    1994-1996         168
Mercedes-Benz....................  E 250..............  ...................    1994-1995         245
Mercedes-Benz....................  E 280..............  ...................    1994-1996         166
Mercedes-Benz....................  E 320..............  ...................    1994-1998         240

[[Page 390]]

 
Mercedes-Benz....................  E 320..............  Station Wagon......    1994-1999         318
Mercedes-Benz....................  E 320..............  211................    2002-2003         418
Mercedes-Benz....................  E 420..............  ...................    1994-1996         169
Mercedes-Benz....................  E 500..............  ...................         1994         163
Mercedes-Benz....................  E 500..............  ...................    1995-1997         304
Mercedes-Benz....................  E Class............  W210...............    1996-2002         401
Mercedes-Benz....................  E Class............  211................    2003-2004         429
Mercedes-Benz....................  E Series...........  ...................    1993-1995         354
Mercedes-Benz....................  G Class............  463 Chassis, LWB...         2005         549
Mercedes-Benz....................  G Class............  463 Chassis, LWB...         2009         583
Mercedes-Benz....................  G Class LWB........  463 Chassis........    2006-2007         527
Mercedes-Benz....................  G-Wagon............  463................         1996  ..........          11
Mercedes-Benz....................  G-Wagon............  463................         1997  ..........          15
Mercedes-Benz....................  G-Wagon............  463................         1998  ..........          16
Mercedes-Benz....................  G-Wagon............  463................    1999-2000  ..........          18
Mercedes-Benz....................  G-Wagon 300 GE LWB.  463.228............         1993  ..........           3
Mercedes-Benz....................  G-Wagon 300 GE LWB.  463.228............         1994  ..........           5
Mercedes-Benz....................  G-Wagon 320 LWB....  463................         1995  ..........           6
Mercedes-Benz....................  G-Wagon 5 DR LWB...  463................         2001  ..........          21
Mercedes-Benz....................  G-Wagon LWB........  463 5 DR...........         2002         392
Mercedes-Benz....................  G-Wagon LWB V-8....  463................    1993-1996  ..........          13
Mercedes-Benz....................  G-Wagon SWB........  463 Cabriolet & 3DR         2004  ..........          28
Mercedes-Benz....................  G-Wagon SWB........  463................         2005  ..........          31
Mercedes-Benz....................  G-Wagon SWB........  463................    1993-1996  ..........          14
Mercedes-Benz....................  G-Wagon SWB........  463 Cabriolet & 3DR    2001-2003  ..........          25
Mercedes-Benz....................  G-Wagon SWB          463 Cabriolet & 3DR         2006  ..........          35
                                    (manufactured
                                    before9/1/06).
Mercedes-Benz....................  Maybach............  ...................         2004         486
Mercedes-Benz....................  S 280..............  140.028............         1994          85
Mercedes-Benz....................  S 320..............  ...................    1994-1998         236
Mercedes-Benz....................  S 420..............  ...................    1994-1997         267
Mercedes-Benz....................  S 500..............  ...................    1994-1997         235
Mercedes-Benz....................  S 500..............  ...................    2000-2001         371
Mercedes-Benz....................  S 600..............  Coupe..............         1994         185
Mercedes-Benz....................  S 600..............  ...................    1995-1999         297
Mercedes-Benz....................  S 600..............  ...................    2000-2001         371
Mercedes-Benz....................  S 600L.............  ...................         1994         214
Mercedes-Benz....................  S Class............  ...................         1993         395
Mercedes-Benz....................  S Class............  ...................         2012         565
Mercedes-Benz....................  S Class............  140................    1993-1994         423
Mercedes-Benz....................  S Class............  ...................    1995-1998         342
Mercedes-Benz....................  S Class............  ...................    1998-1999         325
Mercedes-Benz....................  S Class............  W220...............    1999-2002         387
Mercedes-Benz....................  S Class............  220................    2002-2004         442
Mercedes-Benz....................  S Class............  ...................    2007-2010         566
Mercedes-Benz....................  S Class              ...................    2005-2006         525
                                    (manufactured
                                    prior to 9/1/2006).
Mercedes-Benz....................  SE Class...........  ...................    1993-1994         343
Mercedes-Benz....................  SEL Class..........  140................    1993-1994         343
Mercedes-Benz....................  SL (Manufactured     ...................         2006         574
                                    before 9/1/06).
Mercedes-Benz....................  SL Class...........  ...................    1993-1996         329
Mercedes-Benz....................  SL Class...........  W129...............    1997-2000         386
Mercedes-Benz....................  SL Class...........  R230...............    2001-2002  ..........          19
Mercedes-Benz....................  SL Class (European   230................    2003-2005         470
                                    market).
Mercedes-Benz....................  SLK................  ...................    1997-1998         257
Mercedes-Benz....................  SLK................  ...................    2000-2001         381
Mercedes-Benz....................  SLK Class..........  ...................         2014         581
Mercedes-Benz....................  SLK Class            171 Chassis........    2005-2006         511
                                    (manufactured
                                    between 8/31/04
                                    and 8/31/06).
Mercedes-Benz....................  SLR (manufactured    ...................    2005-2006         558
                                    prior to 9/1/2006).
Mercedes-Benz....................  Sprinter...........  Truck..............    2001-2005         468
Mini.............................  Cooper (European     Convertible........         2005         482
                                    market).
Mitsubishi.......................  Outlander..........  ...................         2011         564
Moto Guzzi (MC)..................  California.........  ...................    2000-2001         495
Moto Guzzi (MC)..................  California EV......  ...................         2002         403
Moto Guzzi (MC)..................  Daytona............  ...................         1993         118
Moto Guzzi (MC)..................  Daytona RS.........  ...................    1996-1999         264
MV Agusta (MC)...................  F4.................  ...................         2000         420
Nissan...........................  GTS & GTR (RHD),     R33................    1996-1998  ..........          32
                                    a.k.a.
                                    ``Skyline,''
                                    manufactured 1/96-
                                    6/98.

[[Page 391]]

 
Nissan...........................  Pathfinder.........  ...................         2002         412
Nissan...........................  Pathfinder.........  ...................    1993-1995         316
Plymouth.........................  Voyager............  ...................         1996         353
Pontiac..........................  Firebird Trans Am..  ...................         1995         481
Pontiac..........................  Trans Sport........  MPV................         1993         189
Porsche..........................  911................  997................         2009         542
Porsche..........................  911................  ...................    1997-2000         346
Porsche..........................  911 (996) Carrera..  ...................    2002-2004         439
Porsche..........................  911 (996) GT3......  ...................         2004         438
Porsche..........................  911 Carrera........  ...................         1993         165
Porsche..........................  911 Carrera........  ...................         1994         103
Porsche..........................  911 Carrera........  ...................    1995-1996         165
Porsche..........................  911 Carrera          Cabriolet..........    2005-2006         513
                                    (manufactured
                                    prior to 9/1/06).
Porsche..........................  911 Carrera          ...................    2005-2006         531
                                    (manufactured
                                    prior to 9/1/06).
Porsche..........................  911 Turbo..........  ...................         2001         347
Porsche..........................  928................  ...................    1993-1996         266
Porsche..........................  928................  ...................    1993-1998         272
Porsche..........................  946 Turbo..........  ...................         1994         116
Porsche..........................  Boxster............  ...................    1997-2001         390
Porsche..........................  Boxster              ...................         2002         390
                                    (manufactured
                                    before 9/1/02).
Porsche..........................  Carrera GT.........  ...................    2004-2005         463
Porsche..........................  Cayenne............  ...................    2003-2004         464
Porsche..........................  Cayenne              ...................         2006         519
                                    (manufactured
                                    prior to 9/1/06).
Porsche..........................  Cayenne S..........  ...................         2009         543
Porsche..........................  GT2................  ...................         2001  ..........          20
Porsche..........................  GT2................  ...................         2002         388
Porsche..........................  GT3 RS.............  ...................         2012         552
Rolls Royce......................  Bentley Brooklands.  ...................         1993         186
Rolls Royce......................  Bentley Continental  ...................         1993         258
                                    R.
Rolls Royce......................  Bentley Turbo R....  ...................         1993         291
Rolls Royce......................  Bentley Turbo R....  ...................         1995         243
Rolls Royce......................  Phantom............  ...................         2004         455
Saab.............................  9.3................  ...................         2003         426
Saab.............................  900 SE.............  ...................         1995         213
Saab.............................  900 SE.............  ...................    1993-1994         219
Saab.............................  900 SE.............  ...................    1996-1997         219
Saab.............................  9000...............  ...................         1994         334
Smart Car........................  Fortwo coupe &       ...................         2005  ..........          30
                                    cabriolet (incl.
                                    trim levels
                                    passion, pulse, &
                                    pure).
Smart Car........................  Fortwo coupe &       ...................    2002-2004  ..........          27
                                    cabriolet (incl.
                                    trim levels
                                    passion, pulse, &
                                    pure).
Smart Car........................  Fortwo coupe &       ...................         2006  ..........          34
                                    cabriolet (incl.
                                    trim levels
                                    passion, pulse, &
                                    pure) manufactured
                                    before 9/1/06.
Smart Car........................  Fortwo coupe &       ...................         2007  ..........          39
                                    cabriolet (incl.
                                    trim levels
                                    passion, pulse, &
                                    pure) manufactured
                                    before 9/1/06.
Subaru...........................  Forester...........  ...................    2006-2007         510
Suzuki (MC)......................  GSF 750............  ...................    1996-1998         287
Suzuki (MC)......................  GSX1300R, a.k.a.     ...................    1999-2006         484
                                    ``Hayabusa''.
Suzuki (MC)......................  GSX1300R, a.k.a.     ...................    2007-2011         533
                                    ``Hayabusa''.
Suzuki (MC)......................  GSX-R 1100.........  ...................    1993-1997         227
Suzuki (MC)......................  GSX-R 750..........  ...................    1993-1998         275
Suzuki (MC)......................  GSX-R 750..........  ...................    1999-2003         417
Thule............................  3008BL boat trailer  ...................         2011  ..........          52
Toyota...........................  4-Runner...........  ...................         1998         449
Toyota...........................  Avalon.............  ...................    1995-1998         308
Toyota...........................  Land Cruiser.......  ...................    1993-1996         218
Toyota...........................  Land Cruiser         IFS 100 series.....    1999-2006         539
                                    (manufactured
                                    prior to9/1/2006).
Toyota...........................  Previa.............  ...................    1993-1997         302
Toyota...........................  RAV4...............  ...................         1996         328
Toyota...........................  RAV4...............  ...................         2005         480
Triumph (MC).....................  Thunderbird........  ...................    1995-1999         311
Vespa (MC).......................  ET2, ET4...........  ...................    2001-2002         378
Vespa (MC).......................  LX and PX..........  ...................    2004-2005         496
Volkswagen.......................  Bora...............  ...................         1999         540

[[Page 392]]

 
Volkswagen.......................  Eurovan............  ...................    1993-1994         306
Volkswagen.......................  Golf...............  ...................         2005         502
Volkswagen.......................  Golf III...........  ...................         1993          92
Volkswagen.......................  Jetta..............  ...................    1994-1996         274
Volkswagen.......................  Passat.............  Wagon & Sedan......         2004         488
Volvo............................  850 Turbo..........  ...................    1995-1998         286
Volvo............................  940 GL.............  ...................         1993          95
Volvo............................  945 GL.............  Wagon..............         1994         132
Volvo............................  960................  Sedan & Wagon......         1994         176
Volvo............................  C70................  ...................         2000         434
Volvo............................  S70................  ...................    1998-2000         335
Westfalia........................  14ft Double Axle     ...................    1994-1997  ..........          56
                                    Cargo trailer.
Yamaha (MC)......................  Drag Star 1100.....  ...................    1999-2007         497
Yamaha (MC)......................  FJR 1300...........  ...................         2002  ..........          23
Yamaha (MC)......................  R1.................  ...................         2000         360
Yamaha (MC)......................  Virago.............  ...................    1993-1998         301  ..........
----------------------------------------------------------------------------------------------------------------


[82 FR 49134, Oct. 24, 2017]



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 petitions for a determination whether a vehicle is 
          eligible for importation.
594.8 Fee for importing a vehicle pursuant to a determination by the 
          Administrator.
594.9 Fee for reimbursement of bond processing costs and costs for 
          processing offers of cash deposits or obligations of the 
          United States in lieu of sureties on bonds.
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 1.95.

    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

[[Page 393]]

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) 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 shall be paid irrespective of NHTSA's 
disposition of the application, or of a withdrawal of an application.
    (f) The Administrator will furnish each Registered Importer with a 
monthly invoice of the fees owed by the Registered Importer for 
reimbursement for bond processing costs and for the review and 
processing of conformity certificates and information regarding 
importation of motor vehicles as provided in Section 592.4 of this 
chapter. A person who for personal use imports a vehicle covered by a 
determination of the Administrator must pay the fee specified in either 
Sec.594.8(b) or (c), as appropriate, to the Registered Importer, and 
the invoice will also include these fees. The Registered Importer must 
pay the fees within 15 days of the date of the invoice.
    (g) Fee payments must be by certified check, cashier's check, money 
order, credit card, 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; 69 FR 52100, Aug. 24, 2004]



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, 2014, must pay an annual fee of $844, 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 filed on and after 
October 1, 2014, is $333. The sum of $333, 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, 2014, is set forth in paragraph (i) of this section. 
This portion shall be refundable if the application is denied, or 
withdrawn before final action upon it.

[[Page 394]]

    (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 49 U.S.C. 30118 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 
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 $25.73 per man-hour for the period beginning 
October 1, 2014.
    (i) Based upon the elements and indirect costs of 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, 2014, is $511. When added to the costs of 
registration of $333, as set forth in paragraph (b) of this section, the 
costs per applicant to be recovered through the annual fee are $844. The 
annual renewal registration fee for the period beginning October 1, 
2014, is $726.

[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; 63 FR 45185, Aug. 25, 1998; 65 FR 
56500, Sept. 19, 2000; 67 FR 60599, Sept. 26, 2002; 67 FR 62897, Oct. 9, 
2002; 69 FR 57873, Sept. 28, 2004; 71 FR 43989, Aug. 3, 2006; 73 FR 
54986, Sept. 24, 2008; 75 FR 48612, Aug. 11, 2010; 77 FR 50642, Aug. 22, 
2012; 79 FR 57007, Sept. 24, 2014]



Sec.594.7  Fee for filing petitions 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

[[Page 395]]

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, 2014, the fee 
payable for seeking a determination under paragraph (a)(1) of this 
section is $175. The fee payable for a petition seeking a determination 
under paragraph (a)(2) of this section is $800. If the petitioner 
requests an inspection of a vehicle, the sum of $827 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; 65 FR 56500, Sept. 19, 2000; 67 FR 60599, Sept. 26, 
2002; 69 FR 57873, Sept. 28, 2004; 71 FR 43990, Aug. 3, 2006; 73 FR 
54986, Sept. 24, 2008; 75 FR 48613, Aug. 11, 2010; 77 FR 50642, Aug. 22, 
2012; 79 FR 57007, Sept. 24, 2014]



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 $138. The direct and indirect costs that determine 
the fee are those set forth in Sec.594.7(b), (c), and (d).
    (c) If a determination has been made on or after October 1, 2014, 
pursuant to the Administrator's initiative, the fee for each vehicle is 
$125. The direct and indirect costs that determine the fee are those set 
forth in Sec. Sec.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; 63 FR 45186, Aug. 25, 1998; 65 FR 56500, 
Sept. 19, 2000; 67 FR 60599, Sept. 26, 2002; 69 FR 57874, Sept. 28, 
2004; 71 FR 43990, Aug. 3, 2006; 73 FR 54986, Sept. 24, 2008; 75 FR 
48613, Aug. 11, 2010; 77 FR 50642, Aug. 22, 2012; 79 FR 57007, Sept. 24, 
2014]



Sec.594.9  Fee for reimbursement of bond processing costs and costs
for processing offers of cash deposits or obligations of the 
United States in lieu of sureties on bonds.
          

    (a) Each Registered Importer must pay a fee based upon the direct 
and indirect costs of processing each bond furnished to the Secretary of 
Homeland Security on behalf of the Administrator with respect to each 
vehicle for which it furnishes a certificate of conformity pursuant to 
Sec.592.6(d) 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, 2014, for which a certificate of conformity is furnished, is 
$9.34.
    (d) Each importer must pay a fee based upon the direct and indirect 
costs the agency incurs for receipt,

[[Page 396]]

processing, handling, and disbursement of cash deposits or obligations 
of the United States in lieu of sureties on bonds that the importer 
submits as authorized by Sec.591.10 of this chapter in lieu of a 
conformance bond required under Sec.591.6(c) of this chapter.
    (e) The fee for each vehicle imported on and after October 1, 2014, 
for which cash deposits or obligations of the United States are 
furnished in lieu of a conformance bond, is $499.

[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; 63 FR 45186, 
Aug. 25, 1998; 65 FR 56500, Sept. 19, 2000; 67 FR 60599, Sept. 26, 2002; 
69 FR 52100, Aug. 24, 2004; 69 FR 57874, Sept. 28, 2004; 71 FR 43990, 
Aug. 3, 2006; 73 FR 39896, July 11, 2008; 75 FR 48613, Aug. 11, 2010; 77 
FR 50642, Aug. 22, 2012; 79 FR 57007, Sept. 24, 2014]



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) The review and processing fee for each certificate of conformity 
submitted on and after October 1, 2014 is $10. However, if the vehicle 
covered by the certificate has been entered electronically with the U.S. 
Department of Homeland Security through the Automated Broker Interface 
and the registered importer submitting the certificate has an e-mail 
address, the fee for the certificate is $6, provided that the fee is 
paid by a credit card issued to the registered importer. If NHTSA finds 
that the information in the entry or the certificate is incorrect, 
requiring further processing, the processing fee shall be $57.

[62 FR 50882, Sept. 29, 1997, as amended at 63 FR 45186, Aug. 25, 1998; 
65 FR 56500, Sept. 19, 2000; 67 FR 60599, Sept. 26, 2002; 69 FR 57874, 
Sept. 28, 2004; 71 FR 43990, Aug. 3, 2006; 73 FR 54986, Sept. 24, 2008; 
75 FR 48613, Aug. 11, 2010; 77 FR 50642, Oct. 1, 2012; 79 FR 57007, 
Sept. 24, 2014]



PART 595_MAKE INOPERATIVE EXEMPTIONS--Table of Contents



                            Subpart A_General

Sec.
595.1 Scope.
595.2 Purpose.
595.3 Applicability.
595.4 Definitions.

             Subpart B_Retrofit On-Off Switches for Air Bags

595.5 Requirements.

 Subpart C_Vehicle Modifications To Accommodate People With Disabilities

595.6 Modifier identification.
595.7 Requirements for vehicle modifications to accommodate people with 
          disabilities.

Appendix A to Part 595--Information Brochure.
Appendix B to Part 595--Request Form.
Appendix C to Part 595--Installation of Air Bag On-off Switches.

    Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30122 and 30166; 
delegation of authority at 49 CFR 1.95.

    Source: 62 FR 62442, Nov. 21, 1997, unless otherwise noted.



                            Subpart A_General



Sec.595.1  Scope.

    This part establishes conditions under which the compliance of motor 
vehicles and motor vehicle equipment with the Federal motor vehicle 
safety standards may be made inoperative.

[66 FR 12655, Feb. 27, 2001]



Sec.595.2  Purpose.

    The purpose of this part is to provide an exemption from the ``make 
inoperative'' provision of 49 U.S.C. 30122 that

[[Page 397]]

permits motor vehicle dealers and motor vehicle repair businesses to 
install retrofit air bag on-off switches and to otherwise modify motor 
vehicles to enable people with disabilities to operate or ride as a 
passenger in a motor vehicle.

[66 FR 12655, Feb. 27, 2001]



Sec.595.3  Applicability.

    This part applies to dealers and motor vehicle repair businesses.



Sec.595.4  Definitions.

    The term dealer, defined in 49 U.S.C. 30102(a), is used in 
accordance with its statutory meaning.
    The term motor vehicle repair business is defined in 49 U.S.C. 
30122(a) as ``a person holding itself out to the public to repair for 
compensation a motor vehicle or motor vehicle equipment.'' This term 
includes businesses that receive compensation for servicing vehicles 
without malfunctioning or broken parts or systems by adding or removing 
features or components to or from those vehicles or otherwise 
customizing those vehicles.



             Subpart B_Retrofit On-Off Switches for Air Bags



Sec.595.5  Requirements.

    (a) Beginning January 19, 1998, a dealer or motor vehicle repair 
business may modify a motor vehicle manufactured before September 1, 
2015, by installing an on-off switch that allows an occupant of the 
vehicle to turn off an air bag in that vehicle, subject to the 
conditions in paragraphs (b)(1) through (5) of this section.
    (b)(1) The dealer or motor vehicle repair business receives from the 
owner or lessee of the motor vehicle a letter from the National Highway 
Traffic Safety Administration that authorizes the installation of an on-
off switch in that vehicle for that air bag and includes a form to be 
filled in by the dealer or motor vehicle repair business with 
information identifying itself and describing the installation it makes.
    (2) The dealer or motor vehicle repair business installs the on-off 
switch in accordance with the instructions of the manufacturer of the 
switch.
    (3) The on-off switch meets all of the conditions specified in 
paragraphs (b)(3)(i) and (ii) of this section.
    (i) The on-off switch is operable solely by a key or a key-like 
object. The on-off switch shall be separate from the ignition switch for 
the vehicle, so that the driver must take some action other than 
inserting the ignition key or turning the ignition key in the ignition 
switch to turn off the air bag. Once turned off, the air bag shall 
remain off until it is turned back on by means of the device. If a 
single on-off switch is installed for both air bags, the on-off switch 
shall allow each air bag to be turned off without turning off the other 
air bag. The readiness indicator required by S4.5.2 of Sec.571.208 of 
this chapter shall continue to monitor the readiness of the air bags 
even when one or both air bags has been turned off. The readiness 
indicator light shall not be illuminated solely because an air bag has 
been deactivated by means of an on-off switch.
    (ii) A telltale light in the interior of the vehicle shall be 
illuminated whenever the driver or passenger air bag is turned off by 
means of the on-off switch. The telltale for a driver air bag shall be 
clearly visible to an occupant of the driver's seating position. The 
telltale for a passenger air bag shall be clearly visible to occupants 
of all front seating positions. The telltale for an air bag:
    (A) Shall be yellow;
    (B) Shall have the identifying words ``DRIVER AIR BAG OFF'', 
``PASSENGER AIR BAG OFF'', or ``PASS AIR BAG OFF'', as appropriate, on 
the telltale or within 25 millimeters of the telltale;
    (C) Shall remain illuminated for the entire time that the air bag is 
``off;''
    (D) Shall not be illuminated at any time when the air bag is ``on;'' 
and,
    (E) Shall not be combined with the readiness indicator required by 
S4.5.2 of Sec.571.208 of this chapter.
    (4) The dealer or motor vehicle repair business provides the owner 
or lessee with an insert for the vehicle owner's manual that--
    (i) Describes the operation of the on-off switch,

[[Page 398]]

    (ii) Lists the risk groups on the request form set forth in appendix 
B of this Part,
    (iii) States that an on-off switch should only be used to turn off 
an air bag for a member of one of those risk groups, and
    (iv) States the safety consequences for using the on-off switch to 
turn off an air bag for persons who are not members of any of those risk 
groups. The description of those consequences includes information, 
specific to the make, model and model year of the owner's or lessee's 
vehicle, about any seat belt energy managing features, e.g., load 
limiters, that will affect seat belt performance when the air bag is 
turned off.
    (5) In the form included in the agency authorization letter 
specified in paragraph (b)(1) of this section, the dealer or motor 
vehicle repair business fills in information describing itself and the 
on-off switch installation(s) it makes in the motor vehicle. The dealer 
or motor vehicle repair business then sends the form to the address 
below within 7 working days after the completion of the described 
installations: National Highway Traffic Safety Administration, 
Attention: Air Bag Switch Request Forms, 400 Seventh Street, S.W., 
Washington, D.C. 20590-1000.

[62 FR 62442, Nov. 21, 1997; 62 FR 67754, Dec. 30, 1997, as amended at 
65 FR 30770, May 12, 2000; 69 FR 31034, June 2, 2004; 77 FR 52623, Aug. 
30, 2012]



 Subpart C_Vehicle Modifications To Accommodate People With Disabilities

    Source: 66 FR 12655, Feb. 27, 2001, unless otherwise noted.



Sec.595.6  Modifier identification.

    (a) Any motor vehicle repair business that modifies a motor vehicle 
to enable a person with a disability to operate, or ride as a passenger 
in, the motor vehicle and intends to avail itself of the exemption 
provided in 49 CFR 595.7 shall furnish the information specified in 
paragraphs (a)(1) through (3) of this section to: Administrator, 
National Highway Traffic Safety Administration, 1200 New Jersey Avenue, 
SE., Washington, DC 20590.
    (1) Full individual, partnership, or corporate name of the motor 
vehicle repair business.
    (2) Residence address of the motor vehicle repair business and State 
of incorporation if applicable.
    (3) A statement that the motor vehicle repair business modifies a 
motor vehicle to enable a person with a disability to operate, or ride 
as a passenger in, the motor vehicle and intends to avail itself of the 
exemption provided in 49 CFR 595.7.
    (b) Each motor business repair business required to submit 
information under paragraph (a) of this section shall submit the 
information not later than August 27, 2001. After that date, each motor 
business repair business that modifies a motor vehicle to enable a 
person with a disability to operate, or ride as a passenger in, the 
motor vehicle and intends to avail itself of the exemption provided in 
49 CFR 595.7 shall submit the information required under paragraph (a) 
not later than 30 days after it first modifies a motor vehicle to enable 
a person with a disability to operate, or ride as a passenger in, the 
motor vehicle. Each motor vehicle repair business who has submitted 
required information shall keep its entry current, accurate and complete 
by submitting revised information not later than 30 days after the 
relevant changes in the business occur.

[66 FR 12655, Feb. 27, 2001, as amended at 75 FR 47489, Aug. 6, 2010]



Sec.595.7  Requirements for vehicle modifications to accommodate
people with disabilities.

    (a) Any motor vehicle repair business that modifies a motor vehicle 
to enable a person with a disability to operate, or ride as a passenger 
in, the motor vehicle is exempted from the ``make inoperative'' 
prohibition of 49 U.S.C. 30122 to the extent that those modifications 
affect the motor vehicle's compliance with the Federal motor vehicle 
safety standards or portions thereof specified in paragraph (c) of this 
section. Modifications that would take a vehicle out of compliance with 
any other Federal motor vehicle safety

[[Page 399]]

standards, or portions thereof, are not covered by this exemption.
    (b) Any motor vehicle repair business that modifies a motor vehicle 
to enable a person with a disability to operate, or ride as a passenger 
in, the motor vehicle in such a manner as to make inoperative any part 
of a device or element of design installed on or in the motor vehicle in 
compliance with a Federal motor vehicle safety standard or portion 
thereof specified in paragraph (c) of this section must affix to the 
motor vehicle a permanent label of the type and in the manner described 
in paragraph (d) of this section and must provide and retain a document 
of the type and in the manner described in paragraph (e) of this 
section.
    (c)(1) 49 CFR 571.101, except for S5.2.1, S5.3.1, S5.3.4, S5.4.1, 
and S5.4.3 of that section.
    (2) S9.1.1 of 49 CFR 571.108, in the case of a motor vehicle that is 
modified to be driven without a steering wheel or for which it is not 
feasible to retain the turn signal canceling device installed by the 
vehicle manufacturer.
    (3) S5.1.2 and S5.1.3 of 49 CFR 571.114, in any case in which the 
original key locking system must be modified.
    (4) S4(a) of 49 CFR 571.118, in any case in which the medical 
condition of the person for whom the vehicle is modified necessitates 
the installation of a remote ignition switch to start the vehicle.
    (5) S5.1 and S5.2.1 of 49 CFR 571.123, in any case in which the 
modification necessitates the relocation of original equipment 
manufacturer's controls.
    (6) S5.3.1 of 49 CFR 571.135, in any case in which the modification 
necessitates the removal of the original equipment manufacturer foot 
pedal.
    (7) 49 CFR 571.201 with respect to:
    (i) Targets located on the right side rail, the right B-pillar and 
the first right side ``other'' pillar adjacent to the stowed platform of 
a lift or ramp that stows vertically, inside the vehicle.
    (ii) Targets located on the left side rail, the left B-pillar and 
the first left side ``other'' pillar adjacent to the stowed platform of 
a lift or ramp that stows vertically, inside the vehicle.
    (iii) Targets located on the rear header and the rearmost pillars 
adjacent to the stowed platform of a lift or ramp that stows vertically, 
inside the vehicle.
    (iv) Targets located on any hand grip or vertical stanchion bar.
    (v) All of S6 of 571.201 in any case in which the disability 
necessitates raising the roof or door, or lowering the floor of the 
vehicle.
    (8) 49 CFR 571.202 and 571.202a, in any case in which:
    (i) A motor vehicle is modified to be operated by a driver seated in 
a wheelchair and no other seat is supplied with the vehicle for the 
driver;
    (ii) A motor vehicle is modified to transport a right front 
passenger seated in a wheelchair and no other right front passenger seat 
is supplied with the vehicle; or
    (9)(i) For vehicles manufactured before March 14, 2005, S4.3(b)(1) 
and (2) of 49 CFR 571.202, in any case in which the driver's head 
restraint must be modified to accommodate a driver with a disability.
    (ii) For vehicles manufactured on or after March 14, 2005 and 
certified to FMVSS No. 202, S4.2(b)(1) and (2) of 49 CFR 571.202, in any 
case in which the head restraint must be modified to accommodate a 
driver with a disability.
    (iii) For vehicles manufactured on or after March 14, 2005 and 
certified to FMVSS No. 202a, S4.2.1(b) of 49 CFR 571.202a, in any case 
in which the head restraint must be modified to accommodate a driver or 
a front outboard passenger with a disability.
    (iv) For vehicles manufactured on or after March 14, 2005 and 
certified to FMVSS No. 202a, S4.2.2 of 49 CFR 571.202a, in any case in 
which the head restraint must be modified to accommodate a driver with a 
disability.
    (v) For vehicles manufactured before March 14, 2005 and certified to 
FMVSS No. 202, S4.3 of 49 CFR 571.202, in any case in which the head 
restraint of the front passenger seat of a vehicle must be modified or 
replaced by a device to support or position the passenger's head or neck 
due to a disability.
    (vi) For vehicles manufactured on or after March 14, 2005 and 
certified to FMVSS No. 202, S4.2 of 49 CFR 571.202, in any case in which 
the head restraint of the front passenger seat of a vehicle

[[Page 400]]

must be modified or replaced by a device to support or position the 
passenger's head or neck due to a disability.
    (vii) For vehicles manufactured on or after March 14, 2005 and 
certified to FMVSS No. 202a, S4.2.1, S4.2.2, S4.2.3, S4.2.4, S4.2.5, 
S4.2.6, and S4.2.7 of 49 CFR 571.202a, in any case in which the head 
restraint of the front passenger seat of a vehicle must be modified or 
replaced by a device to support or position the passenger's head or neck 
due to a disability.
    (10) S5.1 of 49 CFR 571.203, in any case in which the modification 
necessitates a structural change to, or removal of, the original 
equipment manufacturer steering shaft.
    (11) S5.2 of 49 CFR 571.203, in any case in which an item of 
adaptive equipment must be mounted on the steering wheel.
    (12) 49 CFR 571.204, in any case in which the modification 
necessitates a structural change to, or removal of, the original 
equipment manufacturer steering shaft.
    (13) S4.1 of 49 CFR 571.207, in any case in which a vehicle is 
modified to be driven by a person seated in a wheelchair and no other 
driver's seat is supplied with the vehicle, provided that a wheelchair 
securement device is installed at the driver's position.
    (14) S4.1.5.1(a)(1), S4.1.5.1(a)(3), S4.2.6.2, S5, S7.1, S7.2, S7.4, 
S14, S15, S16, S17, S18, S19, S20, S21, S22, S23, S24, S25, S26 and S27 
of 49 CFR 571.208 for the designated seating position modified, provided 
Type 2 or Type 2A seat belts meeting the requirements of 49 CFR 571.209 
and 571.210 are installed at that position.
    (15) S7 and S9 of 49 CFR 571.214, for the designated seating 
position modified, in any cases in which the restraint system and/or 
seat at that position must be changed to accommodate a person with a 
disability.
    (16) 49 CFR 571.225 in any case in which an existing child restraint 
anchorage system, or built-in child restraint system relied upon for 
compliance with 571.225 must be removed to accommodate a person with a 
disability, provided the vehicle contains at least one tether anchorage 
which complies with 49 CFR 571.225 S6, S7 and S8 in one of the rear 
passenger designated seating positions. If no rear designated seating 
position exists after the vehicle modification, a tether anchorage 
complying with the requirements described above must be located at a 
front passenger seat. Any tether anchorage attached to a seat that is 
relocated shall continue to comply with the requirements of 49 CFR 
571.225 S6, S7 and S8.
    (17) S4.2 and S5 of 49 CFR 571.226, on the side of the vehicle where 
a seat on that side of the vehicle must be changed to accommodate a 
person with a disability.
    (d) The label required by paragraph (b) of this section shall:
    (1) Be permanently affixed to the vehicle,
    (2) Be located adjacent to the original certification label or the 
alterer's certification label, if applicable,
    (3) Give the modifier's name and physical address,
    (4) Contain the statement ``This vehicle has been modified in 
accordance with 49 CFR 595.6 and may no longer comply with all Federal 
Motor Vehicle Safety Standards in effect at the time of its original 
manufacture.''
    (e) The document required by paragraph (b) of this section shall:
    (1) Be provided, in original or photocopied form, to the owner of 
the vehicle at the time the vehicle is delivered to the owner,
    (2) Be kept, in original or photocopied form, at the same address 
provided on the label described in paragraph (c) of this section for a 
period not less than five years after the vehicle, as modified, is 
delivered to the individual for whom the modifications were performed,
    (3) Be clearly identifiable as to the vehicle that has been 
modified,
    (4) Contain a list of the Federal motor vehicle safety standards or 
portions thereof specified in paragraph (c) of this section with which 
the vehicle may no longer be in compliance.
    (5) Indicate any reduction in the load carrying capacity of the 
vehicle of more than 100 kg (220 lb) after the modifications are 
completed. In providing this information, the modifier must state 
whether the weight of a

[[Page 401]]

user's wheelchair is included in the available load capacity.

[66 FR 12655, Feb. 27, 2001, as amended at 69 FR 21069, Apr. 20, 2004; 
70 FR 51678, Aug. 31, 2005; 75 FR 47489, Aug. 6, 2010; 76 FR 37028, June 
24, 2011; 76 FR 47083, Aug. 4, 2011; 79 FR 38795, July 9, 2014]



[[Page 402]]

[GRAPHIC] [TIFF OMITTED] TR21NO97.000


[[Page 403]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.001


[[Page 404]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.002


[[Page 405]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.003


[[Page 406]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.004


[[Page 407]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.005


[[Page 408]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.006


[[Page 409]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.007


[[Page 410]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.008


[[Page 411]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.009


[[Page 412]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.010


[[Page 413]]


[GRAPHIC] [TIFF OMITTED] TR21NO97.011


[[Page 414]]





  Sec. Appendix C to Part 595--Installation of Air Bag On-Off Switches
[GRAPHIC] [TIFF OMITTED] TR21NO97.012

                        PARTS 596	598 [RESERVED]



PART 599_REQUIREMENTS AND PROCEDURES FOR CONSUMER ASSISTANCE 
TO RECYCLE AND SAVE ACT PROGRAM--Table of Contents



                            Subpart A_General

Sec.
599.100 Purpose.
599.101 Scope.
599.102 Definitions.

     Subpart B_Participating Dealers, Salvage Auctions and Disposal 
                               Facilities

599.200 Registration of participating dealers.
599.201 Identification of salvage auctions and disposal facilities.

           Subpart C_Qualifying Transactions and Reimbursement

599.300 Requirements for qualifying transactions.
599.301 Limitations and restrictions on qualifying transactions.
599.302 Dealer application for reimbursement--submission, contents.
599.303 Agency disposition of dealer application for reimbursement.
599.304 Payment to dealer.

                 Subpart D_Disposal of Trade-in Vehicle

599.400 Transfer or consignment by dealer of trade-in vehicle.
599.401 Requirements and limitations for disposal Facilities that 
          receive trade-in vehicles under the CARS program.
599.402 Requirements and limitations for salvage auctions that are 
          consigned trade-in vehicles under the CARS program.
599.403 Requirements and limitations for dealers.

                          Subpart E_Enforcement

599.500 Definitions.
599.501 Generally.
599.502 Record retention.
599.503 Access to records.

[[Page 415]]

599.504 Suspension, revocation, and reinstatement of registration and 
          participation eligibility.
599.505 Reports and investigations.
599.506 Notice of violation.
599.507 Disclosure of evidence.
599.508 Statements of matters in dispute and submission of supporting 
          information.
599.509 Hearing officer.
599.510 Initiation of action before the hearing officer.
599.511 Counsel.
599.512 Hearing location and costs.
599.513 Hearing procedures.
599.514 Assessment of civil penalties.
599.515 Appeals of civil penalties in excess of $100,000.00.
599.516 Collection of assessed or compromised civil penalties.
599.517 Other sanctions.

          Subpart F_Requirements and Procedures for Exceptions

599.600 Exceptions--Applicability and requirements.
599.601 Procedures for requesting exception.
599.603 Disposition of requests for exception.

Appendix A to Part 599--Summary of Sale/Lease and Certifications
Appendix B to Part 599--Engine Disablement Procedures for the CARS 
          Program
Appendix C to Part 599--Electronic Transaction Screen
Appendix D to Part 599--CARS Purchaser Survey
Appendix E to Part 599--Disposal Facility Certification Form
Appendix F to Part 599--Salvage Auction Certification Form

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

    Source: 74 FR 37897, July 29, 2009, unless otherwise noted.



                            Subpart A_General



Sec.599.100  Purpose.

    This part establishes requirements and procedures implementing the 
program authorized under the Consumer Assistance to Recycle and Save Act 
of 2009.



Sec.599.101  Scope.

    The requirements of this part apply to new vehicle purchase or lease 
transactions, in combination with trade-in vehicle transactions that 
occur on or after July 1, 2009 up to and including November 1, 2009, and 
to the disposal of trade-in vehicles under the CARS Act.



Sec.599.102  Definitions.

    As used in this part--
    Agency or NHTSA means the National Highway Traffic Safety 
Administration.
    CARS Act means the Consumer Assistance to Recycle and Save Act of 
2009, Public Law 111-32, 123 Stat. 1859 (June 24, 2009).
    CARS Program means the program authorized under the Consumer 
Assistance to Recycle and Save Act of 2009, which NHTSA refers to as the 
Car Allowance Rebate System.
    Category 1 truck means a non-passenger automobile, as defined in 
section 49 U.S.C. 32901(a)(17) and 49 CFR 523.3, except that such term 
does not include a category 2 truck.
    Category 2 truck means a large van with a wheelbase of 124 inches or 
more, or a large pickup with a wheelbase of 115 inches or more.
    Category 3 truck means a work truck, as defined in 49 U.S.C. 
32901(a)(19).
    Clear title means title to a vehicle that is free from all liens and 
encumbrances.
    Combined Fuel Economy means--
    (1) With respect to an eligible new vehicle, the number, expressed 
in miles per gallon, centered below the words ``Combined Fuel Economy'' 
on the label required to be affixed or caused to be affixed on a new 
automobile pursuant to subpart D of 40 CFR part 600.
    (2) With respect to an eligible trade-in vehicle of model year 1985 
or later, the number posted under the words ``Estimated New EPA MPG'' or 
``New EPA MPG'' and above the word ``Combined,'' except that for a bi-
fuel, dual fuel, or flexible fueled vehicle, that number must also be 
below the word ``Gasoline,'' on the fueleconomy.gov Web site of the 
Environmental Protection Agency for the make, model, and year of such 
vehicle.
    Credit means an electronic payment to a dealer for a qualifying 
transaction under the program.
    Dealer means a person licensed by a State who engages in the sale of 
a new automobile to a person who in good faith purchases such automobile 
for purposes other than resale.

[[Page 416]]

    Disposal facility means a facility listed on http://www.cars.gov/
disposal as eligible to receive a trade-in vehicle for crushing or 
shredding under the CARS program, except in the case of a U.S. 
territory.
    End-of-Life Vehicle Solutions or ELVS means an entity established 
under the National Vehicle Mercury Switch Recovery Program for the 
collection, recycling and disposal of elemental mercury from automotive 
switches.
    Engine block means the part of the engine containing the cylinders 
and typically incorporating water cooling jackets and also including the 
crank shaft, connecting rods, pistons, bearings, cam(s), and cylinder 
head(s). In a rotary engine, the block includes the rotor housing and 
rotor.
    GVWR means gross vehicle weight rating.
    Lease means a lease of a new vehicle for a period of not less than 5 
years, excluding any lease with a balloon payment due prior to the 
elapsing of 5 years.
    Manufacturer's Suggested Retail Price or MSRP means the base 
Manufacturer's Suggested Retail Price, excluding any dealer accessories, 
optional equipment, taxes and destination charges.
    National Motor Vehicle Title Information System or NMVTIS means the 
online system established under the oversight of the Department of 
Justice that enables consumers and others to access vehicle history 
information, including salvage history, total loss information, and 
title branding and odometer information, and to which insurance 
companies and salvage yards must report vehicle status information. 
(http://www.nmvtis.gov.)
    New Vehicle means an automobile or work truck, the equitable or 
legal title of which has not been transferred to any person other than 
the purchaser.
    Non-titling Jurisdiction means a State that does not issue a title 
for certain typically older vehicles.
    Passenger automobile means a passenger automobile, as defined in 
section 49 U.S.C. 32901(a)(18) and 49 CFR 523.4.
    Person means an individual, corporation, company, association, firm, 
partnership, society, or joint stock company.
    Purchaser means a person purchasing or leasing a new vehicle under 
the CARS Program.
    Salvage auction means an entity that receives a CARS trade-in 
vehicle from a dealer and is authorized to sell it only to a disposal 
facility on the Disposal Facility List and that will make all the 
necessary certifications for salvage auctions under the CARS program.
    State means any one of the 50 United States, the District of 
Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa, or the 
Commonwealth of the Northern Mariana Islands.



     Subpart B_Participating Dealers, Salvage Auctions and Disposal 
                               Facilities



Sec.599.200  Registration of participating dealers.

    (a) In general. A dealer may apply for a credit under the CARS 
Program only if it meets the Required Dealer Qualifications for 
Registration under this subpart, is registered in accordance with this 
subpart, and is currently registered at the time it submits an 
application for reimbursement.
    (b) Required dealer qualifications for registration. A dealer 
seeking to register must have:
    (1) A currently operating new automobile dealership and business 
address within a State in the United States;
    (2) A currently active business license under the law of the State 
where the new automobile dealership is located to operate that 
dealership;
    (3) A currently active franchise agreement to sell new automobiles 
with an original equipment manufacturer of automobiles;
    (4) A bank account in a U.S. bank in a State and a bank account 
routing number for electronic transfer of funds;
    (5) The ability to submit application materials and perform 
transactions electronically using the Internet; and
    (6) Not been convicted of a crime involving motor vehicles or any 
fraud or financial crime under State or Federal law.
    (c) Registration procedures. (1) Using comprehensive lists of 
franchised dealers provided by original equipment

[[Page 417]]

manufacturers, as updated by these manufacturers, the agency will mail a 
letter to each listed dealer describing a secure electronic process and 
providing an authorization code by which the dealer, following the 
process in paragraph (c)(2) of this section, can effect registration.
    (2) A dealer contacted in accordance with paragraph (c)(1) of this 
section may register electronically as a participating dealer under the 
CARS Program by using the authorization code and following the 
instructions provided in the letter mailed under paragraph (c)(1) of 
this section, and submitting the following information electronically or 
validating the information, where it exists already on an electronic 
form:
    (i) Dealer's Federal Tax Identification Number (TIN) and OEM 
assigned dealer franchise number;
    (ii) Legal business name, doing business as name (if applicable), 
dealership physical and mailing address, telephone number, and fax 
number;
    (iii) Name and title of dealer representative authorized to submit 
transactions under this program, and phone number and e-mail address of 
representative; and
    (iv) Name of U.S. bank used by dealership, bank account number, and 
bank account routing number.
    (3) A dealer must register separately, following the process under 
paragraph (c)(2) of this section, for each make of vehicle it sells, 
using the authorization code associated with that vehicle make.
    (d) Disposition of registration application. The agency will review 
the registration application for compliance with this part, including 
completeness, and notify the dealer as follows:
    (1) For an approved registration:
    (i) By e-mail notification to the authorized dealer representative, 
with a user identification and password that will allow the submission 
of transactions; and
    (ii) By listing the ``doing business as'' name, physical address, 
and general telephone number of the dealer on the agency Web site at 
http://www.cars.gov.
    (2) For a disapproved registration, by withholding the dealer 
identification information from the agency's Web site and providing e-
mail notification to the authorized dealer representative of the reasons 
for rejecting the application.
    (e) Revocation of Dealer Registration. (1) Termination or 
Discontinuance of Franchise.
    (i) A dealer whose franchise agreement with an original equipment 
manufacturer (OEM) has expired without renewal, has been terminated, or 
otherwise is no longer in effect shall be automatically removed as a 
matter of course, subject to paragraph (e)(1)(iii), from the agency's 
list of registered dealers and may no longer receive a credit for new 
transactions under the CARS Program submitted for repayment on or after 
the date that the franchise expired or no longer is in effect.
    (ii) Paragraph (e)(1)(i) of this section does not preclude a dealer 
registered under other franchise agreements from receiving a credit for 
transactions under those agreements that have not expired or been 
discontinued.
    (iii) A dealer whose name is removed from the agency's list of 
registered dealers under paragraph (e)(1)(i) shall be reinstated to the 
list of registered dealers upon a showing to NHTSA of proper and 
adequate license to sell new vehicles to ultimate purchasers.
    (2) Other suspension or revocations actions. The agency may also 
suspend or revoke the registration of a dealer as provided in Sec.
599.504.
    (f) Notification of changes. A registered dealer shall immediately 
notify the agency of any change to the information submitted under this 
section and any change to the status of its State license or franchise.
    (g) Pre-registration transactions. An otherwise qualifying 
transaction that occurs during the time period prescribed under Sec.
599.301(a) is not a non-complying transaction solely because a dealer is 
not registered at the time of the transaction, except that the dealer 
must be eligible to register and must register under Sec.599.200 in 
order to be entitled to reimbursement for a credit extended under the 
CARS program.



Sec.599.201  Identification of salvage auctions and disposal 
facilities.

    (a) Participating entities. Subject to the conditions and 
requirements of

[[Page 418]]

paragraph (b), participation in the transfer and disposal of a trade-in 
vehicle under the CARS program is limited to the following entities:
    (1) A salvage auction that will transfer trade-in vehicles received 
under this program only to a disposal facility identified in paragraph 
(a)(2) or (a)(3) of this section.
    (2) A disposal facility listed on the Web site at http://
www.cars.gov/disposal; or
    (3) A facility that disposes of vehicles in Puerto Rico, the Virgin 
Islands, Guam, American Samoa, or the Commonwealth of the Northern 
Mariana Islands.
    (b) Conditions of Participation. A participating entity identified 
in paragraph (a) of this section must:
    (1) Comply with all the provisions and restrictions and make all the 
required certifications contained in subpart D of this part.
    (2) In the case of a disposal facility identified in paragraph 
(a)(2) of this section, be currently listed on the Web site at http://
www.cars.gov/disposal, as of the date of its participation in the 
disposal of the trade-in vehicle.
    (c) Removal of authority to participate. (1) A disposal facility 
that qualifies as such by active membership in ELVS and that fails to 
maintain active ELVS membership may be automatically removed as a matter 
of course from the agency's list of disposal facilities maintained at 
http://www.cars.gov/disposal authorized to participate in the CARS 
program.
    (2) The agency may also suspend or remove a salvage auction's or 
disposal facility's authority to participate in the CARS program in 
accordance with the procedures of Sec.599.504.

[74 FR 37897, July 29, 2009, as amended at 74 FR 38976, Aug. 5, 2009]



           Subpart C_Qualifying Transactions and Reimbursement



Sec.599.300  Requirements for qualifying transactions.

    (a) In general. To qualify for a credit under the CARS Program, a 
dealer must sell or lease a new vehicle that meets eligibility 
requirements to a purchaser, obtain a trade-in vehicle that meets 
eligibility requirements from the purchaser, satisfy combined fuel 
economy requirements for both the new and trade-in vehicles, store the 
trade-in vehicle at the dealership or property owned by or under the 
control of the dealership until the engine is disabled, disable the 
engine of the trade-in vehicle at the dealership or property owned by or 
under the control of the dealership, satisfy the limitations and 
restrictions of the program, arrange for disposal of the trade-in 
vehicle at a qualifying disposal facility or through a qualifying 
salvage auction, and register and submit a complete application for 
reimbursement to NHTSA, demonstrating that it meets all the requirements 
of this part.
    (b) Threshold eligibility requirements that apply to all trade-in 
vehicles. The trade-in vehicle must be:
    (1) In drivable condition, as demonstrated by actual operation of 
the motor vehicle on public roads by the dealer and by certification by 
the dealer and by the purchaser, as provided in Appendix A to this part, 
certifications section, that the vehicle was in drivable condition on 
the date of the qualifying transaction;
    (2) Continuously insured consistent with the applicable State law 
for a period of not less than 1 year immediately prior to the trade-in, 
as demonstrated by:
    (i) One or more current insurance cards specifying the make, model, 
model year, and vehicle identification number (VIN) of the insured 
vehicle and displaying a continuous one-year period of insurance 
coverage; or a copy of an insurance policy document (e.g., a 
declarations page or pages) showing a continuous one-year period of 
insurance coverage for the vehicle; or a signed letter, on insurance 
company letterhead, specifying the same vehicle identification 
information (i.e., make, model, model year, and VIN) of the insured 
vehicle and identifying the period of continuous coverage, which must be 
for at least one year prior to the date of the trade-in; and
    (ii) By certification by the purchaser, as provided in Appendix A to 
this part, certifications section, that the vehicle was so insured;
    (3) Continuously registered in a State to the purchaser for a period 
of not less

[[Page 419]]

than one year immediately prior to the trade-in, as demonstrated by:
    (i) A current State registration document or series of registration 
documents in the name of the purchaser evidencing registration for a 
period of not less than one year immediately prior to the trade-in; or a 
current State registration document showing registration in the name of 
the purchaser and a title that confers title on the purchaser not less 
than one year immediately prior to the trade-in; or a current State 
registration document showing registration in the name of the purchaser 
and a document from a commercially available vehicle history provider 
evidencing registration for a period of not less than one year 
immediately prior to the trade-in; and
    (ii) By certification by the purchaser, as provided in Appendix A to 
this part, certifications section, that the vehicle was so registered;
    (4) Manufactured less than 25 years before the date of the trade-in, 
as demonstrated by model year information on the title or, where that 
information is inconclusive, by direct observation by the dealer of the 
month and year of the vehicle's manufacture, which appears on the safety 
standard certification label of the vehicle, provided that on the 25th 
year, the 25-year requirement is satisfied if the manufacture date falls 
anytime within the month 25 years before the date of trade-in, and by 
certification by the dealer, as provided in Appendix A to this part, 
certifications section, that the manufacture date is less than 25 years 
before the date of trade-in.
    (c) Threshold eligibility requirements that apply to all new 
vehicles. The new vehicle must:
    (1) Be either purchased or leased for a lease period of not less 
than 5 years;
    (2) Have a manufacturer's suggested retail price of $45,000 or less.
    (d) Trade-in Vehicle--Disclosure of Scrap Value, Engine Disablement, 
and Title Marking. As part of a qualifying transaction under this part, 
the dealer shall:
    (1) During the transaction, disclose to the person purchasing or 
leasing an eligible new vehicle and trading in an eligible trade-in 
vehicle, the best estimate of the scrap value of the trade-in vehicle, 
inform that person that the dealer is authorized to retain $50 of this 
amount as payment for its administrative costs of participation in the 
program, and certify, as provided in Appendix A to this part, 
certifications section, that it has made such disclosure;
    (2) Except as provided in paragraph (e) of this section, store the 
trade-in vehicle at the dealership or property owned by or under the 
control of the dealership until its engine is disabled following the 
procedures set forth in Appendix B to this part, disable the engine of 
the trade-in vehicle at the dealership or property owned by or under the 
control of the dealership following the procedures set forth in Appendix 
B to this part, and certify, as provided in Appendix A to this part, 
dealer certifications section, that either the engine of the trade-in 
vehicle has been disabled at the dealership or property owned by or 
under the control of the dealership, or that the trade-in vehicle will 
be stored at the dealership or property owned by or under the control of 
the dealership until the engine is disabled and the engine of the trade-
in vehicle will be disabled by the dealer at the dealership or property 
owned by or under the control of the dealership not more than seven 
calendar days after the dealer's receipt of payment for the transaction; 
and
    (3) Prior to submitting an application for reimbursement under Sec.
599.302, legibly mark the front and back of the trade-in vehicle's title 
in prominent letters that do not obscure the owner's name, VIN, or other 
writing as follows: ``Junk Automobile, CARS.gov.''
    (e) Dealer transfers prior to July 24, 2009. (1) Subject to the 
provisions of paragraph (e)(2) of this section, if the dealer 
transferred the vehicle prior to July 24, 2009, the dealer may either:
    (i) Locate the vehicle, disable its engine following the procedures 
set for the in Appendix B to this part, and provide the certification in 
Appendix A to this part, certifications section, that it has disabled 
the engine; or
    (ii) Obtain a sworn affidavit from a disposal facility that it has 
crushed or

[[Page 420]]

shredded the vehicle, including the engine block, and provide supporting 
documents sufficient to establish that fact.
    (2) The dealer and disposal facility must comply with all other 
requirements of this part, including the requirement that the trade-in 
vehicle be crushed or shredded, except that the affidavit and supporting 
documents provided for under paragraph (e)(1)(ii) of this section may 
substitute for the disposal facility certification form.
    (f) Qualifying transactions ($3,500 Credit). Subject to the 
requirements of paragraphs (b), (c), and (d), and, if applicable, 
paragraph (e) of this section and the additional requirements of 
Sec. Sec.599.301, 599.302, and 599.303 of this subpart, each of the 
following transactions qualifies for a credit of $3,500 under this 
program:
    (1) The new vehicle is a passenger automobile with a combined fuel 
economy of at least 22 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a passenger automobile, category 1 
truck, or category 2 truck, and the combined fuel economy of the new 
vehicle is at least 4 mpg, but less than 10 mpg higher than the combined 
fuel economy of the eligible trade-in vehicle.
    (2) The new vehicle is a category 1 truck with a combined fuel 
economy of at least 18 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a passenger automobile, category 1 
truck, or category 2 truck, and the combined fuel economy of the new 
vehicle is at least 2 mpg, but less than 5 mpg higher than the combined 
fuel economy of the eligible trade-in vehicle.
    (3) The new vehicle is a category 2 truck with a combined fuel 
economy of at least 15 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a category 2 truck, and the 
combined fuel economy of the new vehicle is 1 mpg higher than the 
combined fuel economy of the eligible trade-in vehicle.
    (4) The new vehicle is a category 2 truck with a combined fuel 
economy of at least 15 mpg and the eligible trade-in vehicle is a 
category 3 truck of model year 2001 or earlier.
    (5) The new vehicle is a category 3 truck, the eligible trade-in 
vehicle is a category 3 truck of model year 2001 or earlier, and the new 
fuel efficient vehicle has a GVWR less than or equal to the GVWR of the 
eligible trade-in vehicle.
    (g) Qualifying transactions ($4,500 Credit). Subject to the 
requirements of paragraphs (b), (c), and (d), and, if applicable, 
paragraph (e) of this section and the additional requirements of 
Sec. Sec.599.301, 599.302, and 599.303 of this subpart, each of the 
following transactions qualifies for a credit of $4,500 under this 
program:
    (1) The new vehicle is a passenger automobile with a combined fuel 
economy of at least 22 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a passenger automobile, category 1 
truck, or category 2 truck, and the combined fuel economy of the new 
vehicle is at least 10 mpg higher than the combined fuel economy of the 
eligible trade-in vehicle.
    (2) The new vehicle is a category 1 truck with a combined fuel 
economy of at least 18 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a passenger automobile, category 1 
truck, or category 2 truck, and the combined fuel economy of the new 
vehicle is at least 5 mpg higher than the combined fuel economy of the 
eligible trade-in vehicle.
    (3) The new vehicle is a category 2 truck with a combined fuel 
economy of at least 15 mpg, the eligible trade-in vehicle has a combined 
fuel economy of 18 mpg or less and is a category 2 truck, and the 
combined fuel economy of the new vehicle is at least 2 mpg higher than 
the combined fuel economy of the eligible trade-in vehicle.
    (h) No other qualifying transactions. Transactions described under 
paragraphs (f) and (g) of this section are the only transactions that 
qualify for payment of a credit to a dealer under the CARS Program.

[74 FR 37897, July 29, 2009, as amended at 74 FR 38976, Aug. 5, 2009]



Sec.599.301  Limitations and restrictions on qualifying transactions.

    (a) Date of transaction. A qualifying transaction may not occur on a 
date

[[Page 421]]

before July 1, 2009 or after November 1, 2009, and is subject to 
available agency funds for the CARS Program.
    (b) One credit per transaction. Only one credit may be applied 
towards the purchase or lease price of each new vehicle.
    (c) One credit per person. A person that participates in a 
transaction for which a credit is issued under the CARS Program, whether 
as a single owner or a joint-registered owner of either an eligible 
trade-in vehicle, a new vehicle, or both, may not participate or be 
named in another transaction for which a credit is issued under the CARS 
program, either as a registered owner of the trade-in vehicle or as a 
purchaser of the new vehicle.
    (d) Transfer of title. (1) Except as provided in paragraph (d)(2) of 
this section, a dealer may not apply for or receive reimbursement for a 
credit extended to a purchaser under a CARS program transaction unless 
it has been conveyed clear title and physically possesses the title to 
the trade-in vehicle.
    (2) In the case of a trade-in vehicle registered in a State that is 
a non-titling jurisdiction and that, in accordance with State law, has 
no title, the requirement in paragraph (d)(1) of this section that clear 
title be conveyed is satisfied if the purchaser shows proof of 
registration in the purchaser's name and provides a bill of sale 
conferring ownership of the trade-in vehicle to the dealer.



Sec.599.302  Dealer application for reimbursement--submission,
contents.

    (a) In general. A dealer's application for reimbursement must 
demonstrate that the requirements and limitations governing qualifying 
transactions in Sec.599.300 and Sec.599.301 of this subpart have 
been met, and must comply with the submission and contents requirements 
of this section.
    (b) Electronic submission. The application for reimbursement must be 
submitted by using the login and password provided under Sec.
599.200(d)(1) and following the procedures provided in the letter mailed 
under Sec.599.200(c)(1) of this part.
    (c) Application contents. An application shall consist of an 
electronic transaction form (portion reproduced in Appendix C to this 
part) requiring input of information into relevant fields, electronic 
copies of supporting documents, and applicable certifications, as 
provided in Appendix A to this part, certifications section. As its 
application for each transaction, the dealer shall:
    (1) Input the following information into relevant fields on the 
transaction form:
    (i) Purchaser information.
    (A) Name. The first name, middle initial and last name of each 
purchaser, if an individual, or the full legal name of the company, 
association or other organization that is the purchaser.
    (B) Residence address (or, for an organization, business address). 
The full address of each purchaser.
    (C) Driver's license or State identification number. The State 
driver's license or State identification number of each purchaser or, 
for an organization, its tax identification number.
    (ii) Trade-in vehicle information.
    (A) Make. The make of the vehicle.
    (B) Model. The model of the vehicle.
    (C) Model year. The model year of the vehicle.
    (D) Vehicle identification number (VIN). The 17 digit VIN of the 
vehicle.
    (E) CARS Act vehicle category. The category of vehicle as defined 
under the CARS Act. (Enter, as applicable, passenger automobile, 
category 1 truck, category 2 truck or category 3 truck.)
    (F) State of title.
    (G) State of registration.
    (H) Start date of registration.
    (I) Start date of insurance.
    (J) End date of registration.
    (K) Odometer reading. The odometer reading of the vehicle at the 
time of the trade-in.
    (L) EPA combined fuel economy. The listed EPA combined fuel economy 
of the vehicle.
    (M) Vehicle description. The exact ``vehicle description'' for the 
vehicle found on http://www.fueleconomy.gov.
    (iii) New vehicle information.
    (A) Make. The make of the vehicle.
    (B) Model. The model of the vehicle.
    (C) Model year. The model year of the vehicle.

[[Page 422]]

    (D) Vehicle identification number (VIN). The 17 digit VIN of the 
vehicle.
    (E) EPA combined fuel economy. The listed EPA combined fuel economy 
of the vehicle.
    (F) CARS Act vehicle category. The category of vehicle as defined 
under the CARS Act. (Enter, as applicable, passenger automobile, 
category 1 truck, category 2 truck or category 3 truck.)
    (G) Base manufacturer's suggested retail price (MSRP). The price of 
the new vehicle affixed to the Monroney label prior to the addition of 
any options, features, taxes or destination charges.
    (H) Vehicle description. The exact ``vehicle description'' for the 
vehicle found on http://www.fueleconomy.gov.
    (iv) Trade-in vehicle disposition information.
    (A) Identification of entity. The name, address and telephone number 
of the disposal facility or salvage auction to which the vehicle will be 
or has been transferred or consigned.
    (B) Disposal facility number. The unique identifier assigned to the 
disposal facility identified on the CARS Web site, and to which the 
vehicle is being transferred or consigned.
    (v) Transaction information.
    (A) Date of sale or lease. The date on which the vehicle transaction 
with the purchaser occurred.
    (B) Transaction request amount. The amount of the credit for which 
the dealer is applying.
    (2) Attach the following supporting documentation in electronic 
format (pdf, tif, jpeg) in the following order:
    (i) Proof of title. A copy of the front and back of the title of the 
trade-in vehicle, showing assignment to the dealer free and clear of any 
lien or encumbrance on the vehicle's title, with the ``Junk Automobile, 
CARS.gov'' marking on both sides.
    (ii) Proof of insurance. A copy of insurance policy cards or 
documents for the trade-in vehicle to confirm that the trade-in vehicle 
insurance was continuous for a period of not less than one year prior to 
trade in.
    (iii) Proof of registration. A copy of the registration card or 
documents for the trade-in vehicle identifying the owner, the vehicle, 
and dates of registration to confirm that the vehicle was registered to 
the purchaser for a period of not less than one year prior to trade in.
    (iv) Purchaser identification.
    (v) Summary of sale/lease and certifications form (Appendix A to 
this part, summary section).
    (vi) Manufacturer certificate of origin or manufacturer statement of 
origin of the new vehicle.
    (vii) CARS purchaser survey.
    (viii) Fueleconomy.gov side-by-side comparison of the trade-in 
vehicle and the new vehicle.
    (ix) Certification from salvage auction or disposal facility.
    (x) Copy of vehicle sales or lease contract.
    (3) Make the certifications provided in Appendix A to this part, 
certifications section.



Sec.599.303  Agency disposition of dealer application for
reimbursement.

    (a) Application review. Upon receipt of an application for 
reimbursement, the agency shall review the application to determine 
whether it is complete and satisfies all the requirements of this 
subpart.
    (b) Complying application. An application that is determined to meet 
all the requirements of this subpart shall be approved for payment, in 
accordance with the provisions of Sec.599.304.
    (c) Non-complying application. An application that is incomplete or 
that otherwise fails to meet all the requirements of this subpart shall 
be rejected, and the submitter shall be informed electronically of the 
reason for rejection. NHTSA shall have no obligation to correct a non-
conforming submission.
    (d) Electronic rejection. An application is automatically rejected, 
with system notification to the tendering dealer, if the transaction 
falls outside of the permissible time period, exceeds the permissible 
MSRP, identifies a purchaser that has participated in a previous 
transaction, or identifies the vehicle identification number of a new or 
trade-in vehicle that was involved in a previous transaction.
    (e) Correction and resubmission. A dealer may correct and resubmit a 
rejected application for reimbursement, without penalty.

[[Page 423]]



Sec.599.304  Payment to dealer.

    Upon completion of review of an application for reimbursement from a 
registered dealer that satisfies all the requirements of this part, the 
agency shall reimburse the dealer, by electronic transfer to the account 
identified under the process in Sec.599.200(c) of this part.



                 Subpart D_Disposal of Trade-in Vehicle



Sec.599.400  Transfer or consignment by dealer of trade-in vehicle.

    (a) In general. (1) A trade-in vehicle accepted as part of an 
eligible transaction may be provided for disposal by a dealer either to 
a disposal facility or to a salvage auction, as described in and subject 
to the conditions of Sec.599.201 of this part.
    (2) Dealers, disposal facilities, and salvage auctions involved in 
the disposal of the trade-in vehicle must each comply with the 
applicable provisions of this subpart.
    (b) Transfer by dealer or salvage auction to a disposal facility. If 
the trade-in vehicle is transferred by the dealer or salvage auction to 
a disposal facility, the disposal facility must, as a condition of the 
transfer:
    (1) Make the certifications contained in the Disposal Facility 
Certification Form in Appendix E to this part, signed by an official 
with authority to bind the disposal facility;
    (2) At the time of the transfer, deliver the signed Disposal 
Facility Certification Form to the dealer or salvage auction that 
transferred the trade-in vehicle; and
    (3) Comply with the requirements and limitations of Sec.599.401.
    (c) Consignment by dealer to a salvage auction. If the trade-in 
vehicle is consigned by the dealer to a salvage auction, the salvage 
auction must, as a condition of the consignment:
    (1) Make the certifications contained in the Salvage Auction 
Certification Form in Appendix F to this part, signed by an official 
with authority to bind the salvage auction;
    (2) At the time of the consignment, deliver the signed Salvage 
Auction Certification Form to the dealer that authorized the salvage 
auction to sell the trade-in vehicle.
    (1) Make the certifications contained in the Salvage Auction 
Certification Form to the dealer that authorized the salvage auction to 
sell the trade-in vehicle; and
    (3) Comply with the requirements and limitations of Sec.599.402.

    Editorial Note: At 74 FR 37902, July 29, 2009, Sec.599.400 was 
added, however, there was a codification error in the original document 
resulting in two paragraphs (c)(1).



Sec.599.401  Requirements and limitations for disposal facilities
that receive trade-in vehicles under the CARS program.

    (a) The disposal facility must:
    (1) Not more than 7 days after receiving the vehicle, report the 
vehicle to NMVTIS as a scrap vehicle.
    (2) Remove and dispose of all refrigerants, antifreeze, lead 
products, mercury switches, and such other toxic or hazardous vehicle 
components prior to crushing or shredding in accordance with applicable 
Federal and State requirements;
    (3) Crush or shred the trade-in vehicle onsite, including the engine 
block and the drive train (unless with respect to the drive train, the 
transmission, drive shaft, and rear end are sold separately), using its 
own machinery or a mobile crusher, within 270 days after receipt of the 
vehicle from the dealer or salvage auction;
    (4) Not more than 7 days after the vehicle is crushed or shredded, 
report the vehicle to NMVTIS as crushed or shredded.
    (b) The disposal facility may not sell or transfer the engine block 
of the vehicle or, except as allowed under paragraph (c)(2) of this 
section, the drive train before they are crushed or shredded or 
otherwise allow the vehicle to leave the disposal facility before it is 
crushed or shredded.
    (c) The disposal facility may:
    (1) Sell any part of the vehicle other than the engine block or 
drive train;
    (2) Notwithstanding paragraph (c)(1) of this section, sell the drive 
train provided the transmission, drive shaft, and rear end are sold as 
separate parts;
    (3) Retain the proceeds from parts sold under this paragraph.

[[Page 424]]

    (d) A completed Disposal Facility Certification Form (Appendix E to 
this part) for an individual transaction, which includes a certification 
by the disposal facility that the trade-in vehicle will be crushed or 
shredded within 180 days of receipt by the disposal facility, is deemed 
to be amended to include an extension of time such that the trade-in 
vehicle will be crushed or shredded within 270 days of receipt by the 
disposal facility.

[74 FR 37897, July 29, 2009, as amended at 75 FR 5251, Feb. 2, 2010]



Sec.599.402  Requirements and limitations for salvage auctions that
are consigned trade-in vehicles under the CARS program.

    (a) The salvage auction must:
    (1) Within 3 days after the date the dealer consigns the vehicle or 
prior to auctioning the vehicle, whichever is earlier, report the status 
of the vehicle to NMVTIS;
    (2) Limit participation in the auction to disposal facilities that, 
when the auction is held:
    (i) Appear on the list identified in Sec.599.201(a)(2) or are 
described in Sec.599.201(a)(3); and
    (ii) Agree to make the certifications in the Salvage Auction 
Certification Form (Appendix F to this part).
    (3) As a condition of transferring title to the disposal facility, 
obtain from that facility the signed Disposal Facility Certification 
Form (Appendix E to this part), insert on the top of the form the 
appropriate CARS invoice number received from the dealer, if known, and 
provide the form to NHTSA at [email protected], and include that invoice 
number in the e-mail subject line.
    (b) [Reserved]



Sec.599.403  Requirements and limitations for dealers.

    A dealer receiving a Disposal Facility Certification Form or Salvage 
Auction Certification Form under Sec.599.400(b)(2) or (c)(2) shall 
insert on the top of the form the appropriate CARS invoice number, if 
known, and within 7 days of receipt, submit such certification form to 
NHTSA at [email protected].



                          Subpart E_Enforcement



Sec.599.500  Definitions.

    As used in this subpart--
    Administrator means the Administrator of the National Highway 
Traffic Safety Administration, or his or her designee.
    Chief Counsel means the NHTSA Chief Counsel, or his or her designee.
    Hearing Officer means a NHTSA employee who has been delegated the 
authority to assess civil penalties.
    NHTSA Enforcement means the NHTSA Associate Administrator for 
Enforcement, or his or her designee.
    Notice of violation means a notification of violation and 
preliminary assessment of penalty issued by the Chief Counsel to a 
party.
    Party means the person alleged to have committed a violation of the 
CARS Act, regulations thereunder, or other applicable law, and includes 
an individual, a public or private corporation, and a partnership or 
other association.
    Violation means any non-conformance with the CARS Act or the 
regulations in this part except Sec.599.200(e)(1)(i) and Sec.
599.201(c)(1), the submission of incomplete or inaccurate information to 
NHTSA or an entity identified under this part, or the failure to 
maintain records, to permit access to records or to update information 
that has been submitted to NHTSA under this part, but does not include a 
clerical error. In the context of dealer registration and disposal 
facility or salvage auction participation eligibility, violation also 
includes any conviction of a crime involving motor vehicles or any fraud 
or financial crime under State or Federal law.



Sec.599.501  Generally.

    The provisions of 5 U.S.C. 554, 556 and 557 do not apply to any 
proceedings conducted pursuant to this subpart.



Sec.599.502  Record retention.

    (a) Manufacturers, dealers, salvage auctions, and disposal 
facilities shall keep records of all transactions under the CARS Act and 
regulations thereunder for a period of five calendar years from the date 
on which they were

[[Page 425]]

generated or acquired by the manufacturer, salvage auction, dealer, or 
disposal facility, and shall promptly make those records available to 
NHTSA Enforcement or DOT's Office of the Inspector General upon request.
    (b) Records to be retained under this subpart include all 
documentary materials and other information-storing media that contain 
information concerning transactions under the CARS Program, including 
any material generated or communicated by computer, electronic mail, or 
other electronic means. Such records include, but are not limited to, 
lists, compilations, certifications, dealer application information, 
salvage auction or disposal facility information, owner eligibility 
information, vehicle eligibility information (including vehicle fuel 
economy), dealer applications for reimbursement under the program, 
vehicle identification number data, vehicle ownership information, 
vehicle title, registration and insurance information, sales agreements, 
bills of sale, lease agreements, manufacturer's certificate or statement 
of origin, other rebate and/or incentive programs used in conjunction 
with transactions under the program, bank account and routing number 
information, electronic funds transfer and payment information, reports 
made to the National Motor Vehicle Title Information System (NMVTIS), 
reports regarding vehicle scrappage values and payment, reports in 
connection with the transfer of vehicles to salvage auctions and 
disposal facilities; reports from disposal facilities in connection with 
the crushing or shredding of vehicles under the program, and any other 
documents that are related to transactions.
    (c) Duplicate copies need not be retained. Information may be 
reproduced or transferred from one storage medium to another (e.g., from 
electronic format to CD-ROM) 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.599.503  Access to records.

    The Administrator shall have the right to enter onto the premises of 
manufacturers, dealers, salvage auctions and disposal facilities during 
normal business hours in order to: access, inspect and audit records and 
other sources of information maintained by any of these entities under 
this Program; to inspect vehicles traded in or sold under this program, 
including taking all actions necessary to determine whether trade-in 
vehicles have operative engines; and/or to interview persons who may 
have relevant knowledge.



Sec.599.504  Suspension, revocation, and reinstatement of registration
and participation eligibility.

    (a) Suspension or revocation of dealer registration, or salvage 
auction or disposal facility participation eligibility. (1) When the 
NHTSA Chief Counsel determines that a violation has likely occurred, the 
Administrator may notify the dealer, salvage auction or disposal 
facility in writing of the facts giving rise to the allegation of a 
violation and the proposed length of a suspension, if applicable, or 
revocation of registration, in the case of a dealer, or participation 
eligibility in the case of a salvage auction or disposal facility.
    (2) The notice shall afford the dealer, salvage auction or disposal 
facility an opportunity to present data, views, and arguments, in 
writing and/or in person, within 30 days of the date of the notice, as 
to whether the violation occurred, why its registration or participation 
eligibility ought not to be suspended or revoked, or whether the 
suspension should be shorter than proposed. The Administrator may, for 
good cause, reduce the time allowed for response.
    (3) If the Administrator decides, on the basis of the available 
information, that the dealer, salvage auction or disposal facility has 
committed a violation, the Administrator may suspend or revoke the 
dealer registration or the participation eligibility of the salvage 
auction or disposal facility.
    (4) The Administrator shall notify the dealer, salvage auction or 
disposal facility in writing of the decision, including the reasons for 
it. The decision shall reflect the gravity of the offense.
    (5) A suspension or revocation is effective as of the date of the 
Administrator's written notification, unless another date is specified 
therein.

[[Page 426]]

    (6) The Administrator shall state the period of any suspension in 
the notice to the dealer, salvage auction or disposal facility.
    (7) There shall be no opportunity to seek reconsideration of the 
Administrator's decision issued under this paragraph (a).
    (b) Reinstatement of suspended registration or participation 
eligibility. (1) When a registration or participation eligibility has 
been suspended under this subpart, the registration or participation 
eligibility will be reinstated after the expiration of the period of 
suspension specified by the Administrator, or such earlier date as the 
Administrator may subsequently decide is appropriate.
    (2) Reinstatement is automatically effective as of the date 
previously set forth in the Administrator's written notification of 
suspension, unless another date is specified by the Administrator in 
writing.
    (c) Effect of suspension or revocation of registration or 
participation eligibility. (1) If a dealer's registration or a salvage 
auction or disposal facility's participation eligibility is suspended or 
revoked, as of the date of suspension or revocation, the dealer, salvage 
auction or disposal facility will not be considered registered or 
eligible to participate in the CARS Program, and must cease 
participating in the program.
    (2) A dealer whose registration has been suspended will not be 
entitled to any rights or reimbursement of funds for new transactions 
submitted as of the effective date of the suspension or revocation.
    (3) NHTSA may take such action as appropriate, including 
publication, to provide notice that a dealer's registration, or salvage 
auction's or disposal facility's participation eligibility has been 
suspended or revoked.



Sec.599.505  Reports and investigations.

    (a) Any person may report an apparent violation of the CARS Act or 
regulations issued thereunder to NHTSA.
    (b) NHTSA may independently monitor for violations of the CARS Act 
or regulations issued thereunder.
    (c) When a report of an apparent violation has been received by 
NHTSA, or when an apparent violation has been detected by any person 
working for NHTSA, the matter may be investigated or evaluated by NHTSA 
Enforcement. If NHTSA Enforcement believes that a violation may have 
occurred, NHTSA Enforcement may prepare a report and send the report to 
the NHTSA Chief Counsel.
    (d) The NHTSA Chief Counsel will review the reports prepared by 
NHTSA Enforcement to determine if there is sufficient information to 
establish a likely violation.
    (1) The matter may be returned to NHTSA Enforcement for further 
investigation, if warranted.
    (2) The Chief Counsel may close a matter. A matter may be closed if, 
for example, the investigation has established that a violation did not 
occur, the alleged violator is unknown, there is insufficient 
information to support the existence of a violation and little 
likelihood of discovering additional relevant facts, or the magnitude of 
the matter is, under the circumstances, including availability of 
resources, insufficient to be pursued further.
    (3) If the Chief Counsel determines that a violation has likely 
occurred, the Chief Counsel may:
    (i) Issue a Notice of Violation to the party, and/or
    (ii) In the case of a dealer recommend that the Administrator 
suspend or revoke registration in the program or in the case of a 
salvage auction or disposal facility, recommend that the Administrator 
suspend or revoke participation eligibility in the program.
    (4) In the case of either paragraphs (d)(3)(i) or (ii) of this 
section, the NHTSA Chief Counsel will prepare a case file with 
recommended actions. A record of any prior violations by the same person 
or entity, shall be forwarded with the case file.



Sec.599.506  Notice of Violation.

    (a) The agency has the authority to assess a civil penalty for any 
violation of the CARS Act or this part. The penalty may not be more than 
$15,000 for each violation.
    (b) The Chief Counsel may issue a Notice of Violation to a party. 
Notice of Violation will contain the following information:

[[Page 427]]

    (1) The name and address of the party;
    (2) The alleged violation and the applicable law or regulations 
violated;
    (3) The amount of the maximum penalty that may be assessed for each 
violation;
    (4) The amount of proposed penalty;
    (5) A statement that payment of the proposed penalty within 30 days 
will settle the case without admission of liability;
    (6) The place to which, and the manner in which, payment is to be 
made;
    (7) A statement that the party may decline the Notice of Violation 
and that if the Notice of Violation is declined, the party has the right 
to a hearing prior to a final assessment of a penalty by a Hearing 
Officer.
    (8) A statement that failure to either pay the proposed penalty on 
the Notice of Violation or to decline the Notice of Violation and 
request a hearing within 30 days of the date shown on the Notice of 
Violation will result in a finding of violation by default and that 
NHTSA will proceed with the civil penalty in the amount proposed on the 
Notice of Violation without processing the violation under the hearing 
procedures set forth in this subpart.
    (c) The Notice of Violation may be delivered to the party by:
    (1) Hand-delivery to the party or an employee of the party;
    (2) Mailing to the party (certified mail is not required);
    (3) Use of an overnight or express courier service; or
    (4) Facsimile transmission or electronic mail (with or without 
attachments) to the party or an employee of the party.
    (d) If a party submits a written request for a hearing as provided 
in the Notice of Violation within 30 days of the date shown on the 
Notice of Violation, the case file will be sent to the Hearing Officer 
for processing under the hearing procedures set forth in this subpart.
    (e) If a party pays the proposed penalty on the Notice of Violation 
or an amount agreed on in compromise within 30 days of the date shown on 
the Notice of Violation, a finding of ``resolved with payment'' will be 
entered into the case file. Such payment shall not be an admission of 
liability.
    (f) If the party agrees to pay the proposed penalty, but has not 
made payment within 30 days of the date shown on the Notice of 
Violation, NHTSA will enter a finding of violation by default in the 
matter and NHTSA will proceed with the civil penalty in the amount 
proposed on the Notice of Violation without processing the violation 
under the hearing procedures set forth in this subpart.
    (g) If within 30 days of the date shown on the Notice of Violation a 
party fails to pay the proposed penalty on the Notice of Violation; and 
fails to request a hearing, then NHTSA will enter a finding of violation 
by default in the case file, and will assess the civil penalty in the 
amount set forth on the Notice of Violation without processing the 
violation under the hearing procedures set forth in this subpart.
    (h) NHTSA's order assessing the civil penalty following a party's 
default is final agency action.



Sec.599.507  Disclosure of evidence.

    The alleged violator may, upon request, receive a free copy of all 
the written evidence in the case file, except material that would 
disclose or could lead to the disclosure of the identity of a 
confidential source. Following a timely request for a hearing, other 
evidence or material, if any, of whatever source or nature, may be 
examined at the Hearing Officer's offices or such other places and 
locations that the Hearing Officer may, in writing, direct, if there are 
adequate safeguards to prevent loss or tampering.



Sec.599.508  Statements of matters in dispute and submission of 
supporting information.

    (a) Within 30 days of the date shown on the Notice of Violation, the 
party, or counsel for the party, shall submit to NHTSA at the person or 
office listed in the Notice of Violation two complete copies via hand 
delivery, use of an overnight or express courier service, facsimile or 
electronic mail of:
    (1) A detailed statement of factual and legal issues in dispute; 
and,
    (2) All statements and documents supporting the party's case.

[[Page 428]]

    (b) One copy of the party's submission set forth above shall be 
labeled ``For Hearing Officer.''
    (c) Failure to specify any non-jurisdictional issue in the party's 
submission will preclude its consideration.



Sec.599.509  Hearing Officer.

    (a) If a party timely requests a hearing after receiving a Notice of 
Violation, the Hearing Officer shall hear the case.
    (b) The Hearing Officer is solely responsible for the case referred 
to him or her. The Hearing Officer has no other responsibility, direct 
or supervisory, for the investigation of cases referred for the 
assessment of civil penalties.
    (c) The Hearing Officer decides each case on the basis of the 
information before him or her, and must have no prior connection with 
the case.



Sec.599.510  Initiation of action before the Hearing Officer.

    (a) After the Hearing Officer receives a case file from the Chief 
Counsel, the Hearing Officer notifies the party in writing of:
    (1) The date, time and location of the hearing and whether the 
hearing will be conducted telephonically or at the DOT Headquarters 
building in Washington, D.C.;
    (2) The right to be represented at all stages of the proceeding by 
counsel as set forth in Sec.599.511; and,
    (3) The right to a free copy of all written evidence in the case 
file as set forth in Sec.599.507.
    (b) On the request of a party, or at the Hearing Officer's 
direction, multiple proceedings may be consolidated if at any time it 
appears that such consolidation is necessary or desirable.



Sec.599.511  Counsel.

    A party has the right to be represented at all stages of the 
proceeding by counsel. A party electing to be represented by counsel 
must notify the Hearing Officer of this election in writing, after which 
point the Hearing Officer will direct all further communications to that 
counsel. A party represented by counsel bears all of its own attorneys' 
fees and costs.



Sec.599.512  Hearing location and costs.

    (a) Unless the party requests a hearing at which the party appears 
before the Hearing Officer in Washington, DC, the hearing shall be held 
telephonically. The hearing is held at the headquarters of the U.S. 
Department of Transportation in Washington, DC.
    (b) The Hearing Officer may transfer a case to another Hearing 
Officer at a party's request or at the Hearing Officer's direction.
    (c) A party is responsible for all fees and costs (including 
attorneys' fees and costs, and costs that may be associated with travel 
or accommodations) associated with attending a hearing.



Sec.599.513  Hearing procedures.

    (a) There is no right to discovery in any proceedings conducted 
pursuant to this subpart.
    (b) The material in the case file pertinent to the issues to be 
determined by the Hearing Officer is presented by the Chief Counsel or 
his or her designee.
    (c) The Chief Counsel may supplement the case file with information 
prior to the hearing. A copy of such information will be provided to the 
party no later than 3 days before the hearing.
    (d) At the close of the Chief Counsel's presentation of evidence, 
the party has the right to examine, respond to and rebut material in the 
case file and other information presented by the Chief Counsel.
    (e) In receiving evidence, the Hearing Officer is not bound by 
strict rules of evidence. In evaluating the evidence presented, the 
Hearing Officer must give due consideration to the reliability and 
relevance of each item of evidence.
    (f) A party may present the testimony of any witness either through 
a written statement or a personal appearance. If a party wishes to 
present testimony through a personal appearance, the party is 
responsible for obtaining that personal appearance, including any costs 
associated with such appearance. The Hearing Officer may, at his or her 
discretion, accept a stipulation in lieu of testimony.
    (g) At the close of the party's presentation of evidence, the 
Hearing Officer may allow the introduction of rebuttal

[[Page 429]]

evidence that may be presented by the Chief Counsel. The Hearing Officer 
may allow the party to respond to any such evidence submitted.
    (h) The Hearing Officer may take notice of matters which are subject 
to a high degree of indisputability and are commonly known in the 
community or are ascertainable from readily available sources of known 
accuracy. Prior to taking notice of a matter, the Hearing Officer shall 
give the party an opportunity to show why notice should not be taken. In 
any case in which notice is taken, the Hearing Officer places a written 
statement of the matters as to which notice was taken in the record, 
with the basis for such notice, including a statement that the party 
consented to notice being taken or a summary of the party's objections.
    (i) After the evidence in the case has been presented, the Chief 
Counsel and the party may present argument on the issues in the case. 
The party may also request an opportunity to submit a written statement 
for consideration by the Hearing Officer and for further review. If 
granted, the Hearing Officer shall allow a reasonable time for 
submission of the statement and shall specify the date by which it must 
be received. If the statement is not received within the time 
prescribed, or within the limits of any extension of time granted by the 
Hearing Officer, the Hearing Officer prepares the decision in the case.
    (j) A verbatim transcript of the hearing will not normally be 
prepared. A party may, solely at its own expense, cause a verbatim 
transcript to be made. If a verbatim transcript is made, the party shall 
submit two copies to the Hearing Officer not later than 15 days of the 
hearing. The Hearing Officer shall include such transcript in the 
record.



Sec.599.514  Assessment of civil penalties.

    (a) Not later than 30 days following the close of the hearing, the 
Hearing Officer shall issue a written decision on the Notice of 
Violation, based on the hearing record. The decision shall set forth the 
basis for the Hearing Officer's assessment of a civil penalty, or 
decision not to assess a civil penalty. In determining the amount of the 
civil penalty, the severity of the violation and the intent and history 
of the party committing the violation shall be taken into account. The 
assessment of a civil penalty by the Hearing Officer shall be set forth 
in an accompanying final order.
    (b) If the Hearing Officer assesses civil penalties in excess of 
$100,000.00, the Hearing Officer's decision contains a statement 
advising the party of the right to an administrative appeal to the 
Administrator. The party is advised that failure to submit an appeal 
within the prescribed time will bar its consideration and that failure 
to appeal on the basis of a particular issue will constitute a waiver of 
that issue in its appeal before the Administrator.
    (c) The filing of a timely and complete appeal to the Administrator 
of a Hearing Officer's order assessing a civil penalty shall suspend the 
operation of the Hearing Officer's penalty.
    (d) There shall be no administrative appeals of civil penalties of 
$100,000.00 or less.



Sec.599.515  Appeals of civil penalties in excess of $100,000.00.

    (a) A party may appeal the Hearing Officer's order assessing civil 
penalties over $100,000.00 to the Administrator within 21 days of the 
date of the issuance of the Hearing Officer's order.
    (b) The Administrator will affirm the decision of the Hearing 
Officer unless the Administrator finds that the Hearing Officer's 
decision was unsupported by the record as a whole.
    (c) If the Administrator finds that the decision of the Hearing 
Officer was unsupported, in whole or in part, then the Administrator 
may:
    (1) Assess or modify a civil penalty;
    (2) Rescind the Notice of Violation; or
    (3) Remand the case back to the Hearing Officer for new or 
additional proceedings.
    (d) In the absence of a remand, the decision of the Administrator in 
an appeal is a final agency action.



Sec.599.516  Collection of assessed or compromised civil penalties.

    (a) Payment of a civil penalty, whether assessed or compromised, 
shall be made by check, postal money order,

[[Page 430]]

or electronic transfer of funds, as provided in instructions by the 
agency. A payment of civil penalties shall not be considered a request 
for a hearing.
    (b) The party must remit payment of any assessed civil penalty to 
NHTSA within 30 days after receipt of the Hearing Officer's order 
assessing civil penalties or, in the case of an appeal to the 
Administrator, within 30 days after receipt of the Administrator's 
decision on the appeal. Failure to make timely payment may result in the 
institution of appropriate action under the Federal Claims Collection 
Act, as amended, the regulations issued thereunder, and other applicable 
law.
    (c) The party must remit payment of any compromised civil penalty to 
NHTSA on the date and under such terms and conditions as agreed to by 
the party and NHTSA. Failure to pay a compromised civil penalty to NHTSA 
on the date and under such terms and conditions as agreed to by the 
party and NHTSA may either result in the institution of appropriate 
action under the Federal Claims Collection Act, as amended, the 
regulations issued thereunder, and other applicable law, or NHTSA 
entering a finding of violation by default and assessing a civil penalty 
in the amount proposed in the Notice of Violation without processing the 
violation under the hearing procedures set forth in this part.



Sec.599.517  Other sanctions.

    The procedures and penalties described in this subpart are not the 
only procedures and penalties that may apply to someone who violates the 
CARS Act or submits a false certification required by this rule. Anyone 
who submits false information on these forms or otherwise violates the 
CARS Act or this part may not only be subject to the procedures and 
penalties described in this subpart, but also civil and criminal 
penalties. Such civil and criminal penalties may include penalties three 
times any amount falsely claimed to be due from the United States 
pursuant to the False Claims Act (31 U.S.C. 3729), or imprisonment of up 
to 5 years and fines of up to $250,000 (18 U.S.C. 1001). In addition, 
NHTSA may request that the Attorney General seek appropriate injunctive 
relief to address violations of the CARS Act or this part.



          Subpart F_Requirements and Procedures for Exceptions

    Source: 74 FR 49340, Sept. 28, 2009, unless otherwise noted.



Sec.599.600  Exceptions--Applicability and requirements.

    (a) Applicability. (1) Eligible Requesters. To qualify for an 
exception under this subpart, a requester must be a dealer registered in 
accordance with the requirements of Sec.599.200.
    (2) Filing deadline. A request for an exception must be postmarked 
no later than October 13, 2009.
    (3) Availability of funds. An exception shall be approved under this 
subpart only if Federal funds are available for payment.
    (4) Exclusion. No exception may be approved for an application for 
reimbursement that was successfully submitted to the CARS system.
    (b) Threshold requirements. Subject to the requirements of Sec.
599.600(a), a registered dealer may submit a request for exception and 
seek reimbursement of a CARS credit under this subpart if the dealer:
    (1) Prior to August 24, 2009, 8 pm EDT, completed a qualifying deal 
meeting the requirements of Sec.599.300 and Sec.599.301;
    (2) Took ownership and possession of a trade-in vehicle and 
transferred ownership and possession of a new vehicle to the purchaser; 
and
    (3) Prior to August 25, 2009, 8 pm EDT, attempted to submit an 
application for reimbursement meeting the requirements of Sec.599.302, 
but was prevented from submitting the application for any of the reasons 
identified in Sec.599.600(c).
    (c) Exception cases. A dealer is eligible for an exception if:
    (1) Password rejection. The dealer's account password was locked out 
and not reset by NHTSA;
    (2) Transaction rejection. The application was rejected at 
submission because the dealer entered a State identification number, a 
trade-in vehicle VIN, or a new vehicle VIN that was already entered into 
the CARS program

[[Page 431]]

system, but that State identification number, trade-in vehicle VIN, or 
new vehicle VIN was never used for a CARS deal; or
    (3) Other hardship. The dealer experienced any other hardship 
attributable to NHTSA action or inaction that the Administrator 
determines in his or her discretion should be redressed, consistent with 
the purposes of the CARS Act.



Sec.599.601  Procedures for requesting exception.

    (a) Submission. A request for exception must be made in writing and 
mailed by United States mail to the NHTSA Administrator, 1200 New Jersey 
Ave SE., Washington, DC 20590.
    (b) Contents. The request must include paper copies of the following 
materials:
    (1) Explanation of hardship. A written explanation of a hardship 
identified in Sec.599.600(c) that prevented the dealer from submitting 
its transaction, and the steps the dealer took to contact the agency and 
timely resolve the issue;
    (2) Proof of hardship. Documents evidencing that the dealer was 
unable to complete and submit an application for reimbursement prior to 
the deadline because of hardship caused by NHTSA. Documents may include 
copies of correspondence with the agency;
    (3) Documentation of qualifying transaction. Paper copies of all 
supporting attachments required by Sec.599.302(c)(2) which reveal that 
a qualifying CARS transaction, including the transfer of ownership and 
possession of the trade-in vehicle to the dealer and the delivery of 
ownership and possession of the new vehicle to the purchaser, was made 
prior to August 24, 2009, 8 p.m. EDT; and
    (4) Certifications. Paper copies of all certifications provided in 
Appendix A to this part, signed by both the dealer and the purchaser.
    (5) Evidence of prior notice to NHTSA. Evidence, if any, that the 
dealer attempted to contact NHTSA prior to August 25, 2009, 8 p.m. EDT, 
to request assistance with a problem described in Sec.599.600(c).



Sec.599.603  Disposition of requests for exception.

    (a) In general. Upon receipt of the request for exception, the 
agency will review the request to determine whether the exception should 
be granted and approved for payment.
    (b) Deciding official. The NHTSA Administrator or his or her 
designee shall serve as the Deciding Official for all determinations 
under this subpart.
    (c) Incomplete requests. A request for exception that fails to 
include all of the documents required under this subpart may be rejected 
without further review.
    (d) Denied requests. If the Deciding Official denies the request, 
the requester will be informed in writing of the reasons for the denial 
of the request.
    (e) Granted requests. If the Deciding Official grants the request, 
the requester will be notified by electronic mail, at the e-mail address 
identified in Sec.599.200(c)(2)(iii), and the requester's application 
for reimbursement will be processed for payment by the agency as a 
qualifying transaction in accordance with Sec.599.304.
    (f) No appeals. There are no appeals from the Deciding Official's 
decision.



[[Page 432]]



  Sec. Appendix A to Part 599--Summary of Sale/Lease and Certifications
[GRAPHIC] [TIFF OMITTED] TR05AU09.015


[[Page 433]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.016


[[Page 434]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.017


[[Page 435]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.018


[[Page 436]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.019


[74 FR 38976, Aug. 5, 2009]

[[Page 437]]



Sec. Appendix B to Part 599--Engine Disablement Procedures for the CARS 
                                 Program
[GRAPHIC] [TIFF OMITTED] TR29JY09.006


[[Page 438]]





       Sec. Appendix C to Part 599--Electronic Transaction Screen
[GRAPHIC] [TIFF OMITTED] TR29JY09.007


[[Page 439]]





           Sec. Appendix D to Part 599--CARS Purchaser Survey
[GRAPHIC] [TIFF OMITTED] TR29JY09.008


[[Page 440]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.020


[[Page 441]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.021


[[Page 442]]


[GRAPHIC] [TIFF OMITTED] TR05AU09.022


[74 FR 38976, Aug. 5, 2009]

[[Page 443]]



     Sec. Appendix F to Part 599--Salvage Auction Certification Form
[GRAPHIC] [TIFF OMITTED] TR29JY09.012


[[Page 444]]


[GRAPHIC] [TIFF OMITTED] TR29JY09.013


[[Page 445]]


[GRAPHIC] [TIFF OMITTED] TR29JY09.014


[[Page 447]]



CHAPTER VI--FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION




  --------------------------------------------------------------------
Part                                                                Page
600             [Reserved]

601             Organization, functions, and procedures.....         449
602             Emergency relief............................         457
604             Charter service.............................         463
605             School bus operations.......................         492
609             Transportation for elderly and handicapped 
                    persons.................................         500
611             Major capital investment projects...........         502
613             Metropolitan and statewide and 
                    nonmetropolitan planning................         512
614             Transportation infrastructure management....         512
622             Environmental impact and related procedures.         512
624             Clean Fuels Grant Program...................         513
625             Transit asset management....................         516
630             National Transit Database...................         526
633             Project management oversight................         527
639             [Reserved]

640             Credit assistance for surface transportation 
                    projects................................         531
650             Private investment project procedures.......         531
655             Prevention of alcohol misuse and prohibited 
                    drug use in transit operations..........         533
659             Rail fixed guideway systems; State safety 
                    oversight...............................         547
661             Buy America requirements....................         557
663             Pre-award and post-delivery audits of 
                    rolling stock purchases.................         567
665             Bus testing.................................         571
666-669         [Reserved]

670             Public transportation safety program........         580
671             [Reserved]

672             Public transportation safety certification 
                    training program........................         585

[[Page 448]]

673              Public transportation agency safety plans..         589
674             State safety oversight......................         595
675-699         [Reserved]

[[Page 449]]

                           PART 600 [RESERVED]



PART 601_ORGANIZATION, FUNCTIONS, AND PROCEDURES--Table of Contents



                      Subpart A_General Provisions

Sec.
601.1 Purpose.
601.2 Organization of the administration.
601.3 General responsibilities.
601.4 Responsibilities of the Administrator.

              Subpart B_Public Availability of Information

601.10 Sources of information.

                     Subpart C_Rulemaking Procedures

601.20 Applicability.
601.21 Definitions.
601.22 General.
601.23 Initiation of rulemaking.
601.24 Contents of notices of proposed rulemaking.
601.25 Participation by interested persons.
601.26 Petitions for extension of time to comment.
601.27 Contents of written comments.
601.28 Consideration of comments received.
601.29 Additional rulemaking proceedings.
601.30 Hearings.
601.31 Adoption of final rules.
601.32 Petitions for rulemaking or exemptions.
601.33 Processing of petition.
601.34 Petitions for reconsideration.
601.35 Proceedings on petitions for reconsideration.
601.36 Procedures for direct final rulemaking.

    Subpart D_Emergency Procedures for Public Transportation Systems

601.40 Applicability.
601.41 Petitions for relief.
601.42 Emergency relief docket.
601.43 Opening the docket.
601.44 Posting to the docket.
601.45 Required information.
601.46 Processing of petitions.
601.47 Review procedures.

    Authority: 5 U.S.C. Sec.552; 49 U.S.C. 5334; 49 U.S.C. 1657, 1659; 
Reorganization Plan No. 2 of 1968 (82 Stat. 1369); 49 CFR 1.51.

    Source: 70 FR 67318, Nov. 4, 2005, unless otherwise noted.



                      Subpart A_General Provisions



Sec.601.1  Purpose.

    This part describes the organization of the Federal Transit 
Administration (``FTA''), an operating administration within the U.S. 
Department of Transportation. This part also describes general 
responsibilities of the various offices of which FTA is comprised. In 
addition, this part describes the sources and locations of available FTA 
program information, and provides information regarding FTA's rulemaking 
procedures.



Sec.601.2  Organization of the administration.

    (a) The headquarters organization of FTA is comprised of eight 
principal offices which function under the overall direction of the 
Federal Transit Administrator (``the Administrator'') and Deputy 
Administrator. These offices are:
    (1) Office of Administration.
    (2) Office of Budget and Policy.
    (3) Office of Chief Counsel.
    (4) Office of Civil Rights.
    (5) Office of Communications and Congressional Affairs.
    (6) Office of Planning and Environment.
    (7) Office of Program Management.
    (8) Office of Research, Demonstration and Innovation.
    (b) FTA has ten regional offices, each of which function under the 
overall direction of the Administrator and Deputy Administrator, and 
under the general direction of a Regional Administrator. In addition, 
FTA has established a Lower Manhattan Recovery Office, which is under 
the general direction of the Director for this office.

------------------------------------------------------------------------
          Region/States             Office/address       Telephone No.
------------------------------------------------------------------------
I. Connecticut, Maine,            FTA Regional            (617) 494-2055
 Massachusetts, New Hampshire,     Administrator,
 Rhode Island, and Vermont.        Kendall Square,
                                   55 Broadway,
                                   Suite 920,
                                   Cambridge, MA
                                   02142-1093.
II. New York, New Jersey, and     FTA Regional            (212) 668-2170
 U.S. Virgin Islands.              Administrator,
                                   One Bowling
                                   Green, Room 429,
                                   New York, NY
                                   10014-1415.
III. Delaware, District of        FTA Regional            (215) 656-7100
 Columbia, Maryland,               Administrator,
 Pennsylvania, Virginia, and       1760 Market
 West Virginia.                    Street, Suite
                                   500,
                                   Philadelphia, PA
                                   19103-4124.

[[Page 450]]

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



Sec.601.3  General responsibilities.

    The general responsibilities of each of the offices which comprise 
the headquarters organization of FTA are:
    (a) Office of Administration. Directed by an Associate Administrator 
for Administration, this office develops and administers comprehensive 
programs to meet FTA's resource management and administrative support 
requirements in the following areas: Organization and management 
planning, information resources management, human resources, contracting 
and procurement, and administrative services.
    (b) Office of Budget and Policy. Directed by an Associate 
Administrator for Budget and Policy, this office is responsible for 
policy development and performance measurement, strategic and program 
planning, program evaluation, budgeting, and accounting. The office 
provides policy direction on legislative proposals and coordinates the 
development of regulations. The office formulates and justifies FTA 
budgets within the Department of Transportation, to the Office of 
Management and Budget, and Congress. The office establishes 
apportionments and allotments for program and administrative funds, 
ensures that all funds are expended in accordance with Administration 
and congressional intent, and prepares and coordinates statutory reports 
to Congress. The office coordinates with and supports the Department of 
Transportation Chief Financial Officer on all FTA accounting and 
financial management matters. This office also serves as the audit 
liaison in responding to the Office of the Inspector General and the 
Government Accountability Office.
    (c) Office of Chief Counsel. Directed by a Chief Counsel, this 
office provides legal advice and support to the Administrator and FTA 
management. The office is responsible for reviewing development and 
management of FTA-sponsored projects; representing the Administration 
before civil courts and administrative agencies; drafting and reviewing 
legislation and regulations to implement the Administration's programs; 
and working to ensure that the agency upholds the highest ethical 
standards. The office coordinates with and supports the U.S. Department 
of Transportation's General Counsel on FTA legal matters.
    (d) The Office of Civil Rights. Directed by a Director for Civil 
Rights, this office ensures full implementation of civil rights and 
equal opportunity initiatives by all recipients of FTA assistance, and 
ensures nondiscrimination in the receipt of FTA benefits, employment, 
and business opportunities. The office advises and assists the 
Administrator and other FTA officials in ensuring compliance with 
applicable civil rights regulations, statutes and directives, including 
but not limited to the Americans with Disabilities Act of 1990 (ADA), 
the Civil Rights Act of 1964, Disadvantaged Business Enterprise (DBE) 
participation, and Equal Employment Opportunity, within FTA and in the 
conduct of Federally-assisted

[[Page 451]]

public transportation projects and programs. The office monitors the 
implementation of and compliance with civil rights requirements, 
investigates complaints, conducts compliance reviews, and provides 
technical assistance to recipients of FTA assistance and members of the 
public.
    (e) Office of Communications and Congressional Affairs. Directed by 
an Associate Administrator for Communications and Congressional Affairs, 
this office is the agency's lead office for media relations, public 
affairs, and Congressional relations, providing quick response support 
to the agency, the public, and Members of Congress on a daily basis. The 
office distributes information about FTA programs and policies to the 
public, the transit industry, and other interested parties through a 
variety of media. This office also coordinates the Administrator's 
public appearances and is responsible for managing correspondence and 
other information directed to and issued by the Administrator and Deputy 
Administrator.
    (f) Office of Planning and Environment. Directed by an Associate 
Administrator for Planning and Development, this office administers a 
national program of planning assistance that provides funding, guidance, 
and technical support to State and local transportation agencies. In 
partnership with the Federal Highway Administration (FHWA), this office 
oversees a national program of planning assistance and certification of 
metropolitan and statewide planning organizations, implemented by FTA 
Regional Offices and FHWA Divisional Offices. The office provides 
national guidance and technical support in emphasis areas including 
planning capacity building, financial planning, transit oriented 
development, joint development, project cost estimation, travel demand 
forecasting, and other technical areas. This office also oversees the 
Federal environmental review process as it applies to transit projects 
throughout the country, including implementation of the National 
Environmental Policy Act (NEPA), the Clean Air Act, and related laws and 
regulations. The office provides national guidance and oversight of 
planning and project development for proposed major transit capital 
fixed guideway projects, commonly referred to as the New Starts program. 
In addition, this office is responsible for the evaluation and rating of 
proposed projects based on a set of statutory criteria, and applies 
these ratings as input to the Annual New Starts Report and funding 
recommendations submitted to Congress, as well as for FTA approval 
required for projects to advance into preliminary engineering, final 
design, and full funding grant agreements.
    (g) Office of Program Management. Directed by an Associate 
Administrator for Program Management, this office administers a national 
program of capital and operating assistance by managing financial and 
technical resources and by directing program implementation. The office 
coordinates all grantee directed guidance, in the form of circulars and 
other communications, develops and distributes procedures and program 
guidance to assist the field staff in grant program administration and 
fosters responsible stewardship of Federal transit resources by 
facilitating and assuring consistent grant development and 
implementation nationwide (Statutory, Formula, Discretionary and 
Earmarks). This office manages the oversight program for agency formula 
grant programs and provides national expertise and direction in the 
areas of capital construction, rolling stock, and risk assessment 
techniques. It also assists the transit industry and State and local 
authorities in providing high levels of safety and security for transit 
passengers and employees through technical assistance, training, public 
awareness, drug and alcohol testing and state safety oversight.
    (h) Office of Research, Demonstration, and Innovation. Directed by 
an Associate Administrator for Research, Demonstration and Innovation, 
this office provides transit industry leadership in delivery of 
solutions that improve public transportation. The office undertakes 
research, development, and demonstration projects that help to increase 
ridership; improve capital and operating efficiencies; enhance safety 
and emergency preparedness; and better protect the environment and 
promote energy independence. The office

[[Page 452]]

leads FTA programmatic efforts under the National Research Programs (49 
U.S.C. 5314).



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 Federal 
transit grants, loans, and contracts. The Deputy Administrator is the 
``first assistant'' for purposes of the Federal Vacancies Reform Act of 
1998 (Pub. L. 105-277) and shall, in the event of the absence or 
disability of the Administrator, serve as the Acting Administrator, 
subject to the limitations in that Act. In the event of the absence or 
disability of both the Administrator and the Deputy Administrator, 
officials designated by the agency's internal order on succession shall 
serve as Acting Deputy Administrator and shall perform the duties of the 
Administrator, except for any non-delegable statutory and/or regulatory 
duties.



              Subpart B_Public Availability of Information



Sec.601.10  Sources of information.

    (a) FTA guidance documents. (1) Circulars and other guidance/policy 
information are available on FTA's Web site: http://www.fta.dot.gov.
    (2) Single copies of any guidance document may be obtained without 
charge by calling FTA's Administrative Services Help Desk, at (202) 366-
4865.
    (3) Single copies of any guidance document may also be obtained 
without charge upon written request to the Associate Administrator for 
Administration, Federal Transit Administration, 400 7th Street SW., Room 
9107, Washington, DC, 20590, or to any FTA regional office listed in 
Sec.601.2.
    (b) DOT Docket Management System. Unless a particular document says 
otherwise, the following rulemaking documents in proceedings started 
after February 1, 1997, are available for public review and copying at 
the Department of Transportation's Docket Management System, Room PL 
401, 400 7th Street SW., Washington, DC 20590, or for review and 
downloading through the Internet at http://dms.dot.gov:
    (1) Advance notices of proposed rulemaking;
    (2) Notices of proposed rulemaking;
    (3) Comments received in response to notices;
    (4) Petitions for rulemaking and reconsideration;
    (5) Denials of petitions for rulemaking and reconsideration; and
    (6) Final rules.
    (c) Any person may examine docketed material, at any time during 
regular business hours after the docket is established, and may obtain a 
copy of such material upon payment of a fee, except material ordered 
withheld from the public under section 552(b) of Title 5 of the United 
States Code.
    (d) Any person seeking documents not described above may submit a 
request under the Freedom of Information Act (FOIA) by following the 
procedures outlined in 49 CFR Part 7.



                     Subpart C_Rulemaking Procedures



Sec.601.20  Applicability.

    This part prescribes rulemaking procedures that apply to the 
issuance, amendment and revocation of rules under an Act.



Sec.601.21  Definitions.

    Act means statutes granting the Secretary authority to regulate 
public transportation.
    Administrator means the Federal Transit Administrator, the Deputy 
Administrator or the delegate of either of them.



Sec.601.22  General.

    (a) Unless the Administrator, for good cause, finds a notice is 
impractical, unnecessary, or contrary to the public interest, and 
incorporates such a finding and a brief statement of the reasons for it 
in the rule, a notice of proposed rulemaking must be issued, and 
interested persons are invited to participate in the rulemaking 
proceedings involving rules under an Act.
    (b) For rules for which the Administrator determines that notice is 
unnecessary because no adverse public comment is anticipated, the direct 
final rulemaking procedure described in Sec.601.36 of this subpart may 
be followed.

[[Page 453]]



Sec.601.23  Initiation of rulemaking.

    The Administrator initiates rulemaking on his/her own motion. 
However, in so doing, he/she may, in his/her discretion, consider the 
recommendations of his/her staff or other agencies of the United States 
or of other interested persons.



Sec.601.24  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 proceeding.



Sec.601.25  Participation by interested persons.

    (a) Any interested person may participate in rulemaking proceedings 
by submitting comments in writing containing information, views, or 
arguments.
    (b) In his/her discretion, the Administrator may invite any 
interested person to participate in the rulemaking procedures described 
in Sec.601.29.



Sec.601.26  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received not later than three (3) days before expiration of the time 
stated in the notice. 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.601.27  Contents of written comments.

    All written comments must be in English and submitted in five (5) 
legible copies, unless the number of copies is specified in the notice. 
Any interested person must submit as part of his/her written comments 
all material that he/she considers relevant to any statement of fact 
made by him/her. Incorporation of material by reference is to be 
avoided. However, if such incorporation is necessary, the incorporated 
material shall be identified with respect to document and page.



Sec.601.28  Consideration of comments received.

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



Sec.601.29  Additional rulemaking proceedings.

    The Administrator may initiate any further rulemaking proceedings 
that he/she finds necessary or desirable. For example, interested 
persons may be invited to make oral arguments, to participate in 
conferences between the Administrator or his/her representative 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.601.30  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, non-adversary, fact-finding 
procedures 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

[[Page 454]]

of the Federal Transit Administration designates a member of his/her 
staff to serve as legal officer at the hearing.



Sec.601.31  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of Chief Counsel. The rule is then submitted to the 
Administrator for his/her 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 a copy of it.



Sec.601.32  Petitions for rulemaking or exemptions.

    (a) Any interested person may petition the Administrator to 
establish, amend, or repeal a rule, or for a permanent or temporary 
exemption from FTA rules as allowed by law.
    (b) Each petition filed under this section must:
    (1) Be submitted in duplicate to the Administrator, Federal Transit 
Administration, 400 Seventh Street, SW., Washington, DC 20590;
    (2) State the name, street and mailing addresses, and telephone 
number of the petitioner; if the petitioner is not an individual, state 
the name, street and mailing addresses and telephone number of an 
individual designated as an agent of the petitioner for all purposes 
related to the petition;
    (3) Set forth the text or substance of the rule or amendment 
proposed, or of the rule from which the exemption is sought, or specify 
the rule that the petitioner seeks to have repealed, as the case may be;
    (4) Explain the interest of the petitioner in the action requested, 
including, in the case of a petition for an exemption, the nature and 
extent of the relief sought and a description of the persons to be 
covered by the exemption;
    (5) Contain any information and arguments available to the 
petitioner to support the action sought; and
    (6) In the case of a petition for exemption, except in cases in 
which good cause is shown, the petition must be submitted at least 120 
days before the requested effective date of the exemption.



Sec.601.33  Processing of petitions.

    (a) Each petition received under Sec.601.32 of this part is 
referred to the head of the office responsible for the subject matter of 
that petition. Unless the Administrator otherwise specifies, no public 
hearing, argument or other proceeding is held directly on a petition 
before its disposition under this section.
    (b) Grants. If the Administrator determines the petition contains 
adequate justification, he/she initiates rulemaking action under this 
Subpart C or grants the exemption, as the case may be.
    (c) Denials. If the Administrator determines the petition does not 
justify rulemaking or granting the exemption, he/she denies the 
petition.
    (d) Notification. Whenever the Administrator determines that a 
petition should be granted or denied, the office concerned and the 
Office of Chief Counsel prepare a notice of that grant or denial for 
issuance to the petitioner, and the Administrator issues it to the 
petitioner.



Sec.601.34  Petitions for reconsideration.

    (a) Any interested person may petition the Administrator for 
reconsideration of a final rule issued under this part. The petition 
must be in English and submitted in duplicate to the Administrator, 
Federal Transit Administration, 400 Seventh Street, SW., Washington, DC, 
20590, and received not later than thirty (30) days after publication of 
the final rule in the Federal Register. Petitions filed after that time 
will be considered as petitions filed under Sec.601.32. The petition 
must contain a brief statement of the complaint and an explanation as to 
why compliance with the final rule is not practicable, is unreasonable, 
or is not in the public interest.
    (b) If the petitioner requests the consideration of additional 
facts, he/she must state the reason the facts were not presented to the 
Administrator within the prescribed comment period of the rulemaking.
    (c) The Administrator does not consider repetitious petitions.
    (d) Unless the Administrator otherwise provides, the filing of a 
petition

[[Page 455]]

under this section does not stay the effectiveness of the final rule.



Sec.601.35  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/she determines to reconsider any rule, he/she may issue a final 
decision on reconsideration without further proceedings, or he/she may 
provide such opportunity to submit comment or information and data as 
he/she deems appropriate. Whenever the Administrator determines that a 
petition should be granted or denied, he/she prepares a notice of the 
grant or denial of a petition for reconsideration and issues it to the 
petitioner. The Administrator may consolidate petitions relating to the 
same rule.



Sec.601.36  Procedures for direct final rulemaking.

    (a) Rules the Administrator judges to be non-controversial and 
unlikely to result in adverse public comment may be published as direct 
final rules. These include non-controversial rules that:
    (1) Affect internal procedures of FTA, such as filing requirements 
and rules governing inspection and copying of documents;
    (2) Are non-substantive clarifications or corrections to existing 
rules;
    (3) Update existing forms;
    (4) Make minor changes in the substantive rule regarding statistics 
and reporting requirements;
    (5) Make changes to the rule implementing the Privacy Act; and
    (6) Adopt technical standards set by outside organizations.
    (b) The Federal Register document will state that any adverse 
comment or notice of intent to submit adverse comment must be received 
in writing by FTA within the specified time after the date of 
publication and that, if no written adverse comment or written notice of 
intent to submit adverse comment is received, the rule will become 
effective a specified number of days after the date of publication.
    (c) If no written adverse comment or written notice of intent to 
submit adverse comment is received by FTA within the specified time of 
publication in the Federal Register, FTA will publish a notice in the 
Federal Register indicating that no adverse comment was received and 
confirming that the rule will become effective on the date that was 
indicated in the direct final rule.
    (d) If FTA receives any written adverse comment or written notice of 
intent to submit adverse comment within the specified time of 
publication in the Federal Register, a notice withdrawing the direct 
final rule will be published in the final rule section of the Federal 
Register and, if FTA decides a rulemaking is warranted, a notice of 
proposed rulemaking will be published in the proposed rule section of 
the Federal Register.
    (e) An ``adverse'' comment for the purpose of this subpart means any 
comment that FTA determines is critical of the rule, suggests that the 
rule should not be adopted, or suggests a change that should be made in 
the rule. A comment suggesting that the policy or requirements of the 
rule should or should not also be extended to other Departmental 
programs outside the scope of the rule is not adverse.



    Subpart D_Emergency Procedures for Public Transportation Systems

    Authority: 49 U.S.C. 5141 and 5334; 49 CFR 1.51.

    Source: 72 FR 912, Jan. 9, 2007, unless otherwise noted.



Sec.601.40  Applicability.

    This part prescribes procedures that apply to FTA grantees and 
subgrantees when the President has declared a national or regional 
emergency, when a State Governor has declared a state of emergency, when 
the Mayor of the District of Columbia has declared a state of emergency, 
or in anticipation of such declarations.



Sec.601.41  Petitions for relief.

    In the case of a national or regional emergency or disaster, or in 
anticipation of such a disaster, any FTA grantee or subgrantee may 
petition the Administrator for temporary relief from

[[Page 456]]

the provisions of any policy statement, circular, guidance document or 
rule.



Sec.601.42  Emergency relief docket.

    (a) By January 31st of each year, FTA shall establish an Emergency 
Relief Docket in the publicly accessible DOT Docket Management System 
(DMS) (http://dms.dot.gov).
    (b) FTA shall publish a notice in the Federal Register identifying, 
by docket number, the Emergency Relief Docket for that calendar year. A 
notice shall also be published in the previous year's Emergency Relief 
Docket identifying the new docket number.
    (c) If the Administrator, or his/her designee, determines that an 
emergency event has occurred, or in anticipation of such an event, FTA 
shall place a message on its web page (http://www.fta.dot.gov) 
indicating the Emergency Relief Docket has been opened and including the 
docket number.



Sec.601.43  Opening the docket.

    (a) The Emergency Relief Docket shall be opened within two business 
days of an emergency or disaster declaration in which it appears FTA 
grantees or subgrantees are or will be impacted.
    (b) In cases in which emergencies can be anticipated, such as 
hurricanes, FTA shall open the docket and place the message on the FTA 
web page in advance of the event.
    (c) In the event a grantee or subgrantee believes the Emergency 
Relief Docket should be opened and it has not been opened, that grantee 
or subgrantee may submit a petition in duplicate to the Administrator, 
via U.S. mail, to: Federal Transit Administration, 400 Seventh Street, 
SW., Washington, DC 20590; via telephone, at: (202) 366-4043; or via 
fax, at (202) 366-3472, requesting opening of the Docket for that 
emergency and including the information in Sec.601.45. The 
Administrator in his/her sole discretion shall determine the need for 
opening the Emergency Relief Docket.



Sec.601.44  Posting to the docket.

    (a) All petitions for relief must be posted in the docket in order 
to receive consideration by FTA.
    (b) The docket is publicly accessible and can be accessed 24 hours a 
day, seven days a week, via the Internet at the docket facility's Web 
site at http://dms.dot.gov. Petitions may also be submitted by U.S. mail 
or by hand delivery to the DOT Docket Management Facility, Room PL-401 
(Plaza Level), 400 7th Street, SW, Washington, DC 20590.
    (c) In the event a grantee or subgrantee needs to request immediate 
relief and does not have access to electronic means to request that 
relief, the grantee or subgrantee may contact any FTA regional office or 
FTA headquarters and request that FTA staff submit the petition on their 
behalf.
    (d) Any grantee or subgrantee submitting petitions for relief or 
comments to the docket must include the agency name (Federal Transit 
Administration) and that calendar year's docket number. Grantees and 
subgrantees making submissions by mail or hand delivery should submit 
two copies.



Sec.601.45  Required information.

    A petition for relief under this section shall:
    (a) Identify the grantee or subgrantee and its geographic location;
    (b) Specifically address how an FTA requirement in a policy 
statement, circular, or agency guidance will limit a grantee's or 
subgrantee's ability to respond to an emergency or disaster;
    (c) Identify the policy statement, circular, guidance document and/
or rule from which the grantee or subgrantee seeks relief; and
    (d) Specify if the petition for relief is one-time or ongoing, and 
if ongoing identify the time period for which the relief is requested. 
The time period may not exceed three months; however, additional time 
may be requested through a second petition for relief.



Sec.601.46  Processing of petitions.

    (a) A petition for relief will be conditionally granted for a period 
of three (3) business days from the date it is submitted to the 
Emergency Relief Docket.
    (b) FTA will review the petition after the expiration of the three 
business

[[Page 457]]

days and review any comments submitted thereto. FTA may contact the 
grantee or subgrantee that submitted the request for relief, or any 
party that submits comments to the docket, to obtain more information 
prior to making a decision.
    (c) FTA shall then post a decision to the Emergency Relief Docket. 
FTA's decision will be based on whether the petition meets the criteria 
for use of these emergency procedures, the substance of the request, and 
the comments submitted regarding the petition.
    (d) If FTA fails to post a response to the request for relief to the 
docket within three business days, the grantee or subgrantee may assume 
its petition is granted until and unless FTA states otherwise.



Sec.601.47  Review Procedures.

    (a) FTA reserves the right to reopen any docket and reconsider any 
decision made pursuant to these emergency procedures based upon its own 
initiative, based upon information or comments received subsequent to 
the three business day comment period, or at the request of a grantee or 
subgrantee upon denial of a request for relief. FTA shall notify the 
grantee or subgrantee if it plans to reconsider a decision.
    (b) FTA decision letters, either granting or denying a petition, 
shall be posted in the appropriate Emergency Relief Docket and shall 
reference the document number of the petition to which it relates.



PART 602_EMERGENCY RELIEF--Table of Contents



Sec.
602.1 Purpose.
602.3 Applicability.
602.5 Definitions.
602.7 Policy.
602.9 Federal share.
602.11 Pre-award authority.
602.13 Eligible activities.
602.15 Grant requirements.
602.17 Application procedures.

    Authority: 49 U.S.C. 5324 and 5334; 49 CFR 1.91.

    Source: 79 FR 60361, Oct. 7, 2014, unless otherwise noted.



Sec.602.1  Purpose.

    This part establishes the procedures and eligibility requirements 
for the administration of emergency relief funds for emergency public 
transportation services, and the protection, replacement, repair or 
reconstruction of public transportation equipment and facilities which 
are found to have suffered or are in danger of suffering serious damage 
resulting from a natural disaster affecting a wide area or a 
catastrophic failure from an external cause.



Sec.602.3  Applicability.

    This part applies to entities that provide public transportation 
services and that are impacted by emergencies and major disasters.



Sec.602.5  Definitions.

    The following definitions apply to this part:
    Affected recipient. A recipient or subrecipient that operates public 
transportation service in an area impacted by an emergency or major 
disaster.
    Applicant. An entity that operates or allocates funds to an entity 
to operate public transportation service and that applies for a grant 
under 49 U.S.C. 5324.
    Building. For insurance purposes, a structure with two or more 
outside rigid walls and a fully secured roof, that is affixed to a 
permanent site. This includes manufactured or modular office trailers 
that are built on a permanent chassis, transported to a site in one or 
more sections, and affixed to a permanent foundation.
    Catastrophic failure. The sudden failure of a major element or 
segment of the public transportation system due to an external cause. 
The failure must not be primarily attributable to gradual and 
progressive deterioration, lack of proper maintenance or a design flaw.
    Contents coverage. For insurance purposes, contents are personal 
property within a building, including fixtures, machinery, equipment and 
supplies. In addition to the costs to repair or replace, contents 
insurance coverage shall include the cost of debris removal and the 
reasonable cost of removal of contents to minimize damage.
    Emergency. A natural disaster affecting a wide area (such as a 
flood, hurricane, tidal wave, earthquake, severe

[[Page 458]]

storm or landslide) or a catastrophic failure from any external cause, 
as a result of which:
    (1) The Governor of a State has declared an emergency and the 
Secretary of Transportation has concurred; or
    (2) The President has declared a major disaster under the Robert T. 
Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170).
    Emergency operations. The net project cost of temporary service that 
is outside the scope of an affected recipient's normal operations, 
including but not limited to: evacuations; rescue operations; bus, 
ferry, or rail service to replace inoperable service or to detour around 
damaged areas; additional service to accommodate an influx of passengers 
or evacuees; returning evacuees to their homes after the disaster or 
emergency; and the net project costs related to reestablishing, 
expanding, or relocating public transportation service before, during, 
or after an emergency or major disaster.
    Emergency protective measures. (1) Projects undertaken immediately 
before, during or following the emergency or major disaster for the 
purpose of protecting public health and safety or for protecting 
property. Such projects:
    (i) Eliminate or lessen immediate threats to public health or 
safety; or
    (ii) Eliminate or lessen immediate threats of significant damage or 
additional damage to an affected recipient's property through measures 
that are cost effective.
    (2) Examples of such projects include, but are not limited to:
    (i) Moving rolling stock in order to protect it from damage, e.g., 
to higher ground in order to protect it from storm surges;
    (ii) Emergency communications;
    (iii) Security measures;
    (iv) Sandbagging;
    (v) Bracing/shoring damaged structures;
    (vi) Debris removal;
    (vii) Dewatering; and
    (viii) Removal of health and safety hazards.
    Emergency repairs. Capital projects undertaken following the 
emergency or major disaster, until such time as permanent repairs can be 
undertaken, for the purpose of:
    (1) Minimizing the extent of the damage,
    (2) Restoring service, or
    (3) Ensuring service can continue to be provided until permanent 
repairs are made.
    External cause. An outside force or phenomenon that is separate from 
the damaged element and not primarily the result of existing conditions.
    Heavy maintenance. Work usually done by a recipient or subrecipient 
in repairing damage normally expected from seasonal and occasionally 
unusual natural conditions or occurrences, such as routine snow removal, 
debris removal from seasonal thunderstorms, or heavy repairs 
necessitated by excessive deferred maintenance. This may include work 
required as a direct result of a disaster, but which can reasonably be 
accommodated by a recipient or subrecipient's routine maintenance, 
emergency or contingency program.
    Incident period. The time interval during which the emergency-
causing incident occurs. FTA will not approve pre-award authority for 
projects unless the damage to be alleviated resulted from the emergency-
causing incident during the incident period or was incurred in 
anticipation of that incident. For each Stafford Act incident, FTA will 
adopt the incident period established by FEMA.
    Major disaster. Any natural catastrophe (including any hurricane, 
tornado, storm, high water, wind-driven water, tidal wave, tsunami, 
earthquake, volcanic eruption, landslide, mudslide, snowstorm, or 
drought), or, regardless of cause, any fire, flood, or explosion, in any 
part of the United States, which in the determination of the President 
causes damage of sufficient severity and magnitude to warrant major 
disaster assistance under the Stafford Act to supplement the efforts and 
available resources of States, local governments, and disaster relief 
organizations in alleviating the damage, loss, hardship, or suffering 
caused thereby. 42 U.S.C. 5122.
    Net project cost. The part of a project that reasonably cannot be 
financed from revenues. 49 U.S.C. 5302.
    Permanent repairs. Capital projects undertaken following the 
emergency or

[[Page 459]]

major disaster for the purpose of repairing, replacing or reconstructing 
seriously damaged public transportation system elements, including 
rolling stock, equipment, facilities and infrastructure, as necessary to 
restore the elements to a state of good repair.
    Recipient. An entity that operates public transportation service and 
receives Federal transit funds directly from FTA.
    Resilience. The ability to anticipate, prepare for, and adapt to 
changing conditions and withstand, respond to, and recover rapidly from 
disruptions such as significant multi-hazard threats with minimum damage 
to social well-being, the economy, and the environment.
    Resilience project. A project designed and built to address existing 
and future vulnerabilities to a public transportation facility or system 
due to a probable occurrence or recurrence of an emergency or major 
disaster in the geographic area in which the public transportation 
system is located, and which may include the consideration of projected 
changes in development patterns, demographics, or climate change and 
extreme weather patterns. A resilience project may be a stand-alone 
project or may be completed at the same time as permanent repairs.
    Serious damage. Heavy, major or unusual damage to a public 
transportation facility which severely impairs the safety or usefulness 
of the facility. Serious damage must be beyond the scope of heavy 
maintenance.
    State. A State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.
    Subrecipient. An entity that operates public transportation service 
and receives FTA funding through a recipient.



Sec.602.7  Policy.

    (a) The Emergency Relief Program is intended to aid recipients and 
subrecipients in restoring public transportation service and in 
repairing and reconstructing public transportation assets to a state of 
good repair as expeditiously as possible following an emergency or major 
disaster.
    (b) Emergency relief funds are not intended to supplant other 
Federal funds for the correction of preexisting, non-disaster related 
deficiencies.
    (c) Following an emergency, affected recipients may include projects 
that increase the resilience of affected public transportation systems 
to protect the systems from the effects of future emergencies and major 
disasters.
    (d) The expenditure of emergency relief funds for emergency repair 
shall be in such a manner so as to reduce, to the greatest extent 
feasible, the cost of permanent restoration work completed after the 
emergency or major disaster.
    (e) Emergency relief funds, or funds made available under 49 U.S.C. 
5307 (Urbanized Area Formula Program) or 49 U.S.C. 5311 (Rural Area 
Formula Program) awarded for emergency relief purposes shall not 
duplicate assistance under another Federal program or compensation from 
insurance or any other source. Partial compensation for a loss by other 
sources will not preclude FTA emergency relief fund assistance for the 
part of such loss not compensated otherwise. Any compensation for 
damages or insurance proceeds for repair or replacement of the public 
transit equipment or facility must be used upon receipt to reduce FTA's 
emergency relief fund participation in the project.
    (1) If a recipient receives insurance proceeds that are directly 
attributable to specific assets, the recipient must:
    (i) Apply those proceeds to the cost of replacing or repairing the 
damaged or destroyed project property; or
    (ii) Return to FTA an amount equal to the remaining Federal interest 
in the lost, damaged, or destroyed project property.
    (2) If under the terms of its policy a recipient receives insurance 
proceeds that are not attributable to specific assets, such as blanket, 
lump-sum, or unallocated proceeds, FTA, in consultation with the 
recipient, will determine the portion of such proceeds that the 
recipient must attribute to transit assets.
    (3) Any insurance proceeds not attributable to transit assets may be 
used for other purposes without obligation to FTA, including as local 
share for FTA grants.

[[Page 460]]

    (f) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et 
seq.) provides that Federal agencies may not provide any financial 
assistance for the acquisition, construction, reconstruction, repair, or 
improvement of a building in a special flood hazard area (100-year flood 
zone) unless the recipient has first acquired flood insurance to cover 
the buildings and contents constructed or repaired with Federal funds, 
in an amount at least equal to the Federal investment (less land cost) 
or to the maximum limit of coverage made available under the National 
Flood Insurance Act of 1968, whichever is less.
    (1) Transit facilities to which this paragraph (f) applies are 
buildings located in special flood hazard areas and include but are not 
limited to maintenance facilities, storage facilities, above-ground 
stations and terminals, and manufactured or modular office trailers.
    (2) Flood insurance is not required for underground subway stations, 
track, tunnels, ferry docks, or to any transit facilities located 
outside of a special flood hazard area.
    (g) Recipients must obtain and maintain flood insurance on those 
buildings and contents for which FTA has provided funds.



Sec.602.9  Federal share.

    (a) A grant, contract, or other agreement for emergency operations, 
emergency protective measures, emergency repairs, permanent repairs and 
resilience projects under 49 U.S.C. 5324 shall be for up to 80 percent 
of the net project cost.
    (b) A grant made available under 49 U.S.C. 5307 or 49 U.S.C. 5311 to 
address an emergency shall be for up to 80 percent of the net project 
cost for capital projects, and up to 50 percent of the net project cost 
for operations projects.
    (c) The FTA Administrator may waive, in whole or part, the non-
Federal share required under paragraphs (a) and (b) of this section.



Sec.602.11  Pre-award authority.

    (a) Except as provided in paragraph (c) of this section, pre-award 
authority for the Emergency Relief Program shall be effective beginning 
on the first day of the incident period, subject to the appropriation of 
Emergency Relief Program funds.
    (b) Recipients may use section 5307 or section 5311 formula funds to 
address an emergency, and, except as provided in paragraph (c) of this 
section, pre-award authority shall be effective beginning on the first 
day of the incident period of the emergency or major disaster.
    (c) For expected weather events, pre-award authority for evacuations 
and activities to protect public transportation vehicles, equipment and 
facilities, shall be effective in advance of the event under the 
following conditions:
    (1) The Governor of a State declares a state of emergency and 
requests concurrence by the Secretary of Transportation or makes a 
request to the President for an emergency declaration, in advance or 
anticipation of the impact of an incident that threatens such damage as 
could result in a major disaster;
    (2) The Governor takes appropriate action under State law and 
directs execution of the State emergency plan;
    (3) The activities are required in anticipation of the event; and
    (4) Assistance for a pre-disaster emergency declaration is limited 
to Emergency Protective Measures and Emergency Operations.
    (d) Pre-award authority shall be subject to a maximum amount 
determined by FTA based on estimates of immediate financial need, 
preliminary damage assessments, available Emergency Relief funds and 
other criteria to be determined in response to a particular event.
    (e) Pre-award authority is not a legal or implied commitment that 
the subject project will be approved for FTA assistance or that FTA will 
obligate Federal funds. Furthermore, it is not a legal or implied 
commitment that all activities undertaken by the applicant will be 
eligible for inclusion in the project(s).
    (f) Except as provided in Sec.602.15, all FTA statutory, 
procedural, and contractual requirements must be met.
    (g) The recipient must take no action that prejudices the legal and 
administrative findings that the FTA Regional Administrator must make in 
order to approve a project.

[[Page 461]]

    (h) The Federal amount of any future FTA assistance awarded to the 
recipient for the project will be determined on the basis of the overall 
scope of activities and the prevailing statutory provisions with respect 
to the Federal/non-Federal match ratio at the time the funds are 
obligated.
    (i) When FTA subsequently awards a grant for the project, the 
Financial Status Report in FTA's electronic grants management system 
must indicate the use of pre-award authority.



Sec.602.13  Eligible activities.

    (a) An affected recipient may apply for emergency relief funds on 
behalf of itself as well as affected subrecipients.
    (b) Eligible uses of Emergency Relief funds include:
    (1) Emergency operations;
    (2) Emergency protective measures;
    (3) Emergency repairs;
    (4) Permanent repairs;
    (5) Actual engineering and construction costs on approved projects;
    (6) Repair or replacement of spare parts that are the property of an 
affected recipient or subrecipient and held in the normal course of 
business that are damaged or destroyed; and
    (7) Resilience projects.
    (c) Ineligible uses of Emergency Relief funds include:
    (1) Heavy maintenance;
    (2) Project costs for which the recipient has received funding from 
another Federal agency;
    (3) Project costs for which the recipient has received funding 
through payments from insurance policies;
    (4) Except for resilience projects that have been approved in 
advance, projects that change the function of the original 
infrastructure;
    (5) Projects for which funds were obligated in an FTA grant prior to 
the declared emergency or major disaster;
    (6) Reimbursements for lost revenue due to service disruptions 
caused by an emergency or major disaster;
    (7) Project costs associated with the replacement or replenishment 
of damaged or lost material that are not the property of the affected 
recipient and not incorporated into a public transportation system such 
as stockpiled materials or items awaiting installation; and
    (8) Other project costs FTA determines are not appropriate for the 
Emergency Relief Program.



Sec.602.15  Grant requirements.

    (a) Funding available under the Emergency Relief program is subject 
to the terms and conditions FTA determines are necessary.
    (b) The FTA Administrator shall determine the terms and conditions 
based on the circumstances of a specific emergency or major disaster for 
which funding is available under the Emergency Relief Program.
    (1) In general, projects funded under the Emergency Relief Program 
shall be subject to the requirements of chapter 53 of title 49, United 
States Code, as well as cross-cutting requirements, including but not 
limited to those outlined in FTA's Master Agreement.
    (2) The FTA Administrator may determine that certain requirements 
associated with public transportation programs are inapplicable as 
necessary and appropriate for emergency repairs, permanent repairs, 
emergency protective measures and emergency operating expenses that are 
incurred within 45 days of the emergency or major disaster, or longer as 
determined by FTA. If the FTA Administrator determines any requirement 
is inapplicable, the determination shall apply to all eligible 
activities undertaken with funds authorized under 49 U.S.C. 5324 within 
the 45-day period, as well as funds authorized under 49 U.S.C. 5307 and 
5311 and used for eligible emergency relief activities.
    (3) FTA shall publish a notice on its Web site and in the emergency 
relief docket established under 49 CFR part 601 regarding the grant 
requirements for a particular emergency or major disaster.
    (c) In the event an affected recipient or subrecipient believes an 
FTA requirement limits its ability to respond to the emergency or major 
disaster, the recipient or subrecipient may request that the requirement 
be waived in accordance with the emergency relief docket process as 
outlined in 49 CFR part 601, subpart D. Applicants should not proceed on 
projects assuming that requests for such waivers will be granted.

[[Page 462]]

    (d) In accordance with Executive Order 11988, Floodplain Management, 
recipients shall not use grant funds for any activity in an area 
delineated as a special flood hazard area or equivalent, as labeled in 
the Federal Emergency Management Agency's (FEMA) Flood Insurance Rate 
Maps (FIRMs). If there are no alternatives but to locate the action in a 
floodplain, prior to seeking FTA funding for such action, the recipient 
shall design or modify its actions in order to minimize potential harm 
to or within the floodplain.
    (1) Except as otherwise provided in this subparagraph, recipients 
shall use the ``best available information'' as identified by FEMA, 
which includes advisory data (such as Advisory Base Flood Elevations 
(ABFEs)), preliminary and final Flood Insurance Rate Maps, or Flood 
Insurance Studies (FISs).
    (2) If FEMA data is mutually determined by FTA and the recipient to 
be unavailable or insufficiently detailed, other Federal, State, or 
local data may be used as ``best available information'' in accordance 
with Executive Order 11988.
    (3) The final determination on ``best available information'' shall 
be used to establish such reconstruction requirements as a project's 
minimum elevation.
    (4) Where higher minimum elevations are required by either State or 
locally adopted building codes or standards, the higher of the State or 
local minimums would apply.
    (5) A base flood elevation from an interim or preliminary or non-
FEMA source may not be used if it is lower than the current FIRM.
    (6) Recipients shall also consider the best available data on sea-
level rise, storm surge, scouring and erosion before rebuilding.



Sec.602.17  Application procedures.

    (a) As soon as practical after an emergency, major disaster or 
catastrophic failure, affected recipients shall make a preliminary field 
survey, working cooperatively with the appropriate FTA Regional 
Administrator and other governmental agencies with jurisdiction over 
affected public transportation systems. The preliminary field survey 
should be coordinated with the Federal Emergency Management Agency, if 
applicable, to eliminate duplication of effort. The purpose of this 
survey is to determine the general nature and extent of damage to 
eligible public transportation systems.
    (1) The affected recipient shall prepare a damage assessment report. 
The purpose of the damage assessment report is to provide a factual 
basis for the FTA Regional Administrator's finding that serious damage 
to one or more public transportation systems has been caused by a 
natural disaster affecting a wide area, or a catastrophic failure. As 
appropriate, the damage assessment report should include by political 
subdivision or other generally recognized administrative or geographic 
boundaries--
    (i) The specific location, type of facility or equipment, nature and 
extent of damage;
    (ii) The most feasible and practical method of repair or 
replacement;
    (iii) A preliminary estimate of cost of restoration, replacement, or 
reconstruction for damaged systems in each jurisdiction.
    (iv) Potential environmental and historic impacts;
    (v) Photographs showing the kinds and extent of damage and sketch 
maps detailing the damaged areas;
    (vi) Recommended resilience projects to protect equipment and 
facilities from future emergencies or major disasters; and
    (vii) An evaluation of reasonable alternatives, including change of 
location, addition of resilience/mitigation elements, and any other 
alternative the recipient considered, for any damaged transit facility 
that has been previously repaired or reconstructed as a result of an 
emergency or major disaster.
    (2) Unless unusual circumstances prevail, the initial damage 
assessment report should be prepared within 60 days following the 
emergency, major disaster, or catastrophic failure. Affected recipients 
should update damage assessment reports as appropriate.
    (3) For large disasters where extensive damage to public 
transportation systems is readily evident, the FTA Regional 
Administrator may approve

[[Page 463]]

an application for assistance prior to submission of the damage 
assessment report. In these cases, the applicant shall prepare and 
submit to the FTA Regional Administrator an abbreviated or preliminary 
damage assessment report, summarizing eligible repair costs by 
jurisdiction, after the damage inspections have been completed.
    (b) Before funds can be made available, a grant application for 
emergency relief funds must be made to, and approved by, the appropriate 
FTA Regional Administrator. The application shall include:
    (1) A copy of the damage assessment report, as appropriate;
    (2) A list of projects, as documented in the damage assessment 
report, identifying emergency operations, emergency protective measures, 
and emergency repairs completed as well as permanent repairs needed to 
repair, reconstruct or replace the seriously damaged or destroyed 
rolling stock, equipment, facilities, and infrastructure to a state of 
good repair; and
    (3) Supporting documentation showing other sources of funding 
available, including insurance policies, agreements with other Federal 
agencies, and any other source of funds available to address the damage 
resulting from the emergency or major disaster.
    (c) Applications for emergency operations must include the dates, 
hours, number of vehicles, and total fare revenues received for the 
emergency service. Only net project costs may be reimbursed.
    (d) Applicants that receive funding from another Federal agency for 
operating expenses and also seek funding from FTA for operating expenses 
must include:
    (1) A copy of the agreement with the other Federal agency, including 
the scope of the agreement, the amount funded, and the dates the other 
agency funded operating costs; and
    (2) The scope of service and dates for which the applicant is 
seeking FTA funding.
    (e) Applicants that receive funding from another Federal agency for 
emergency or permanent repairs or emergency protective measures and also 
seek funding from FTA for emergency or permanent repairs or emergency 
protective measures must include:
    (1) A copy of the agreement with the other Federal agency, including 
the scope of the agreement and the amount funded; and
    (2) A list of projects included in the other agency's application or 
equivalent document.
    (f) Applicants are responsible for preparing and submitting a grant 
application. The FTA regional office may provide technical assistance to 
the applicant in preparation of a program of projects. This work may 
involve joint site inspections to view damage and reach tentative 
agreement on the type of permanent repairs the applicant will undertake. 
Project information should be kept to a minimum, but should be 
sufficient to identify the approved disaster or catastrophe and to 
permit a determination of the eligibility of proposed work. If the 
appropriate FTA Regional Administrator determines the damage assessment 
report is of sufficient detail to meet these criteria, additional 
project information need not be submitted.
    (g) The appropriate FTA Regional Administrator's approval of the 
grant application constitutes a finding of eligibility under 49 U.S.C. 
5324.



PART 604_CHARTER SERVICE--Table of Contents



                      Subpart A_General Provisions

Sec.
604.1 Purpose.
604.2 Applicability.
604.3 Definitions.
604.4 Charter service agreement.

                          Subpart B_Exceptions

604.5 Purpose.
604.6 Government officials on official government business.
604.7 Qualified human service organizations.
604.8 Leasing FTA funded equipment and drivers.
604.9 When no registered charter provider responds to notice from a 
          recipient.
604.10 Agreement with registered charter providers.
604.11 Petitions to the administrator.
604.12 Reporting requirements for all exceptions.

[[Page 464]]

         Subpart C_Procedures for Registration and Notification

604.13 Registration of private charter operators.
604.14 Recipient's notification to registered charter providers.

  Subpart D_Registration of Qualified Human Service Organizations and 
   Duties for Recipients With Respect to Charter Registration Web Site

604.15 Registration of qualified human services organizations.
604.16 Duties for recipients with respect to Charter Registration Web 
          site.

         Subpart E_Advisor Opinions and Cease and Desist Orders

604.17 Purpose.
604.18 Request for an advisory opinion.
604.19 Processing of advisory opinions.
604.20 Effect of an advisory opinion.
604.21 Special considerations for advisory opinions.
604.22 Request for a cease and desist order.
604.23 Effect of a cease and desist order.
604.24 Decisions by the Chief Counsel regarding cease and desist orders.

                          Subpart F_Complaints

604.25 Purpose.
604.26 Complaints and decisions regarding removal of private charter 
          operators or qualified human service organizations from 
          registration list.
604.27 Complaints, answers, replies, and other documents.
604.28 Dismissals.
604.29 Incomplete complaints.
604.30 Filing complaints.
604.31 Service.

                        Subpart G_Investigations

604.32 Investigation of complaint.
604.33 Agency initiation of investigation.

 Subpart H_Decisions by FTA and Appointment of a Presiding Official (PO)

604.34 Chief Counsel decisions and appointment of a PO.
604.35 Separation of functions.

                           Subpart I_Hearings

604.36 Powers of a PO.
604.37 Appearances, parties, and rights of parties.
604.38 Discovery.
604.39 Deposition.
604.40 Public disclosure of evidence.
604.41 Standard of proof.
604.42 Burden of proof.
604.43 Offer of proof.
604.44 Record.
604.45 Waiver of procedures.
604.46 Recommended decision by a PO.
604.47 Remedies.

        Subpart J_Appeal to Administrator and Final Agency Orders

604.48 Appeal from Chief Counsel decision.
604.49 Administrator's discretionary review of the Chief Counsel's 
          decision.

                        Subpart K_Judicial Review

604.50 Judicial review of a final decision and order.

Appendix A to Part 604 --Listing of Human Service Federal Financial 
          Assistance Programs
Appendix B to Part 604--Reasons for Removal
Appendix C to Part 604--Frequently Asked Questions
Appendix D to Part 604--Table of Potential Remedies

    Authority: 49 U.S.C. 5323(d): 3023(d), Pub. L. 109-59; 49 CFR 1.51.

    Source: 73 FR 2345, Jan. 14, 2008, unless otherwise noted.



                      Subpart A_General provisions



Sec.604.1  Purpose.

    (a) The purpose of this part is to implement 49 U.S.C. 5323(d), 
which protects private charter operators from unauthorized competition 
from recipients of Federal financial assistance under the Federal 
Transit Laws.
    (b) This subpart specifies which entities shall comply with the 
charter service regulations; defines terms used in this part; explains 
procedures for an exemption from this part; and sets out the contents of 
a charter service agreement.



Sec.604.2  Applicability.

    (a) The requirements of this part shall apply to recipients of 
Federal financial assistance under the Federal Transit Laws, except as 
otherwise provided in paragraphs (b) through (g) of this section.
    (b) The requirements of this part shall not apply to a recipient 
transporting its employees, other transit system employees, transit 
management officials, transit contractors and bidders, government 
officials and their

[[Page 465]]

contractors and official guests, to or from transit facilities or 
projects within its geographic service area or proposed geographic 
service area for the purpose of conducting oversight functions such as 
inspection, evaluation, or review.
    (c) The requirements of this part shall not apply to private charter 
operators that receive, directly or indirectly, Federal financial 
assistance under section 3038 of the Transportation Equity Act for the 
21st Century, as amended, or to the non-FTA funded activities of private 
charter operators that receive, directly or indirectly, FTA financial 
assistance under any of the following programs: 49 U.S.C. 5307, 49 
U.S.C. 5309, 49 U.S.C. 5310, 49 U.S.C. 5311, 49 U.S.C. 5316, or 49 
U.S.C. 5317.
    (d) The requirements of this part shall not apply to a recipient 
transporting its employees, other transit system employees, transit 
management officials, transit contractors and bidders, government 
officials and their contractors and official guests, for emergency 
preparedness planning and operations.
    (e) The requirements of this part shall not apply to a recipient 
that uses Federal financial assistance from FTA, for program purposes 
only, under 49 U.S.C. 5310, 49 U.S.C. 5311, 49 U.S.C. 5316, or 49 U.S.C. 
5317.
    (f) The requirements of this part shall not apply to a recipient, 
for actions directly responding to an emergency declared by the 
President, governor, or mayor or in an emergency requiring immediate 
action prior to a formal declaration. If the emergency lasts more than 
45 days, the recipient shall follow the procedures set out in subpart D 
of 49 CFR 601.
    (g) The requirements of this part shall not apply to a recipient in 
a non-urbanized area transporting its employees, other transit system 
employees, transit management officials, and transit contractors and 
bidders to or from transit training outside its geographic service area.



Sec.604.3  Definitions.

    All terms defined in 49 U.S.C. 5301 et seq. are used in their 
statutory meaning in this part. Other terms used in this part are 
defined as follows:
    (a) ``Federal Transit Laws'' means 49 U.S.C. 5301 et seq., and 
includes 23 U.S.C. 103(e)(4), 142(a), and 142(c), when used to provide 
assistance to public transit agencies for purchasing buses and vans.
    (b) ``Administrator'' means the Administrator of the Federal Transit 
Administration or his or her designee.
    (c) ``Charter service'' means, but does not include demand response 
service to individuals:
    (1) Transportation provided by a recipient at the request of a third 
party for the exclusive use of a bus or van for a negotiated price. The 
following features may be characteristic of charter service:
    (i) A third party pays the transit provider a negotiated price for 
the group;
    (ii) Any fares charged to individual members of the group are 
collected by a third party;
    (iii) The service is not part of the transit provider's regularly 
scheduled service, or is offered for a limited period of time; or
    (iv) A third party determines the origin and destination of the trip 
as well as scheduling; or
    (2) Transportation provided by a recipient to the public for events 
or functions that occur on an irregular basis or for a limited duration 
and:
    (i) A premium fare is charged that is greater than the usual or 
customary fixed route fare; or
    (ii) The service is paid for in whole or in part by a third party.
    (d) ``Charter service hours'' means total hours operated by buses or 
vans while in charter service including:
    (1) Hours operated while carrying passengers for hire, plus
    (2) Associated deadhead hours.
    (e) ``Chief Counsel'' means the Chief Counsel of FTA and his or her 
designated employees.
    (f) ``Days'' means calendar days. The last day of a time period is 
included in the computation of time unless the last day is a Saturday, 
Sunday, or legal holiday, in which case, the time period runs until the 
end of the next day that is not a Saturday, Sunday, or legal holiday.
    (g) ``Demand response'' means any non-fixed route system of 
transporting individuals that requires advanced

[[Page 466]]

scheduling by the customer, including services provided by public 
entities, nonprofits, and private providers.
    (h) ``Exclusive'' means service that a reasonable person would 
conclude is intended to exclude members of the public.
    (i) ``FTA'' means the Federal Transit Administration.
    (j) ``Geographic service area'' means the entire area in which a 
recipient is authorized to provide public transportation service under 
appropriate local, state, and Federal law.
    (k) ``Government official'' means an individual elected or appointed 
at the local, state, or Federal level.
    (l) ``Interested party'' means an individual, partnership, 
corporation, association, or other organization that has a financial 
interest that is affected by the actions of a recipient providing 
charter service under the Federal Transit Laws. This term includes 
states, counties, cities, and their subdivisions, and tribal nations.
    (m) ``Pattern of violations'' means more than one finding of 
unauthorized charter service under this part by FTA beginning with the 
most recent finding of unauthorized charter service and looking back 
over a period not to exceed 72 months.
    (n) ``Presiding Official'' means an official or agency 
representative who conducts a hearing at the request of the Chief 
Counsel and who has had no previous contact with the parties concerning 
the issue in the proceeding.
    (o) ``Program purposes'' means transportation that serves the needs 
of either human service agencies or targeted populations (elderly, 
individuals with disabilities, and or low income individuals); this does 
not include exclusive service for other groups formed for purposes 
unrelated to the special needs of the targeted populations identified 
herein.
    (p) ``Public transportation'' has the meaning set forth in 49 U.S.C. 
5302(a)(10).
    (q) ``Qualified human service organization'' means an organization 
that serves persons who qualify for human service or transportation-
related programs or services due to disability, income, or advanced age. 
This term is used consistent with the President's Executive Order on 
Human Service Transportation Coordination (February 24, 2004).
    (r) ``Recipient'' means an agency or entity that receives Federal 
financial assistance, either directly or indirectly, including 
subrecipients, under the Federal Transit Laws. This term does not 
include third-party contractors who use non-FTA funded vehicles.
    (s) ``Registered charter provider'' means a private charter operator 
that wants to receive notice of charter service requests directed to 
recipients and has registered on FTA's charter registration Web site.
    (t) ``Registration list'' means the current list of registered 
charter providers and qualified human service organizations maintained 
on FTA's charter registration Web site.
    (u) ``Special transportation'' means demand response or paratransit 
service that is regular and continuous and is a type of ``public 
transportation.''
    (v) ``Violation'' means a finding by FTA of a failure to comply with 
one of the requirements of this Part.



Sec.604.4  Charter service agreement.

    (a) A recipient seeking Federal assistance under the Federal Transit 
Laws to acquire or operate any public transportation equipment or 
facilities shall enter into a ``Charter Service Agreement'' as set out 
in paragraph (b) of this section.
    (b) A recipient shall enter into a Charter Service Agreement if it 
receives Federal funds for equipment or facilities under the Federal 
Transit Laws. The terms of the Charter Service Agreement are as follows: 
``The recipient agrees that it, and each of its subrecipients, and third 
party contractors at any level who use FTA-funded vehicles, may provide 
charter service using equipment or facilities acquired with Federal 
assistance authorized under the Federal Transit Laws only in compliance 
with the regulations set out in 49 CFR 604, the terms and conditions of 
which are incorporated herein by reference.''
    (c) The Charter Service Agreement is contained in the Certifications 
and Assurances published annually by FTA

[[Page 467]]

for applicants for Federal financial assistance. Once a recipient 
receives Federal funds, the Certifications and Assurances become part of 
its Grant Agreement or Cooperative Agreement for Federal financial 
assistance.



                          Subpart B_Exceptions



Sec.604.5  Purpose.

    The purpose of this subpart is to identify the limited exceptions 
under which recipients may provide community-based charter services.



Sec.604.6  Government officials on official government business.

    (a) A recipient may provide charter service to government officials 
(Federal, State, and local) for official government business, which can 
include non-transit related purposes, if the recipient:
    (1) Provides the service in its geographic service area;
    (2) Does not generate revenue from the charter service, except as 
required by law; and
    (3) After providing such service, records the following:
    (i) The government organization's name, address, phone number, and 
e-mail address;
    (ii) The date and time of service;
    (iii) The number of passengers (specifically noting the number of 
government officials on the trip);
    (iv) The origin, destination, and trip length (miles and hours);
    (v) The fee collected, if any; and
    (vi) The vehicle number for the vehicle used to provide the service.
    (b) A recipient that provides charter service under this section 
shall be limited annually to 80 charter service hours for providing 
trips to government officials for official government business.
    (c) A recipient may petition the Administrator for additional 
charter service hours only if the petition contains the following 
information:
    (1) Date and description of the official government event and the 
number of charter service hours requested;
    (2) Explanation of why registered charter providers in the 
geographic service area cannot perform the service (e.g., equipment, 
time constraints, or other extenuating circumstances); and
    (3) Evidence that the recipient has sent the request for additional 
hours to registered charter providers in its geographic service area.
    (d) FTA shall post the request for additional charter service hours 
under this exception in the Government Officials Exception docket, 
docket number FTA-2007-0020 at http://www.regulations.gov. Interested 
parties may review the contents of this docket and bring questions or 
concerns to the attention of the Ombudsman for Charter Services. The 
written decision of the Administrator regarding the request for 
additional charter service hours shall be posted in the Government 
Officials Exception docket and sent to the recipient.



Sec.604.7  Qualified human service organizations.

    (a) A recipient may provide charter service to a qualified human 
service organization (QHSO) for the purpose of serving persons:
    (1) With mobility limitations related to advanced age;
    (2) With disabilities; or
    (3) With low income.
    (b) If an organization serving persons described in paragraph (a) of 
this section receives funding, directly or indirectly, from the programs 
listed in Appendix A of this part, the QHSO shall not be required to 
register on the FTA charter registration Web site.
    (c) If a QHSO serving persons described in paragraph (a) of this 
section does not receive funding from any of the programs listed in 
Appendix A of this part, the QHSO shall register on the FTA charter 
registration Web site in accordance with Sec.604.15.
    (d) A recipient providing charter service under this exception, 
whether or not the QHSO receives funding from Appendix A programs, and 
after providing such charter service, shall record:
    (1) The QHSO's name, address, phone number, and e-mail address;
    (2) The date and time of service;
    (3) The number of passengers;
    (4) The origin, destination, and trip length (miles and hours);
    (5) The fee collected, if any; and

[[Page 468]]

    (6) The vehicle number for the vehicle used to provide the service.



Sec.604.8  Leasing FTA funded equipment and drivers.

    (a) A recipient may lease its FTA-funded equipment and drivers to 
registered charter providers for charter service only if the following 
conditions exist:
    (1) The private charter operator is registered on the FTA charter 
registration Web site;
    (2) The registered charter provider owns and operates buses or vans 
in a charter service business;
    (3) The registered charter provider received a request for charter 
service that exceeds its available capacity either of the number of 
vehicles operated by the registered charter provider or the number of 
accessible vehicles operated by the registered charter provider; and
    (4) The registered charter provider has exhausted all of the 
available vehicles of all registered charter providers in the 
recipient's geographic service area.
    (b) A recipient leasing vehicles and drivers to a registered charter 
provider under this provision shall record:
    (1) The registered charter provider's name, address, telephone 
number, and e-mail address;
    (2) The number of vehicles leased, types of vehicles leased, and 
vehicle identification numbers; and
    (3) The documentation presented by the registered charter provider 
in support of paragraphs (a)(1) through (4) of this section.
    (c) In accordance with Sec.604.26, if a registered charter 
provider seeking to lease vehicles has filed a complaint requesting that 
another registered charter provider be removed from the FTA charter 
registration Web site, then the registered charter provider seeking to 
lease vehicles is not required to exhaust the vehicles from that 
registered charter provider while the complaint is pending before 
leasing vehicles from a recipient.



Sec.604.9  When no registered charter provider responds to notice
from a recipient.

    (a) A recipient may provide charter service, on its own initiative 
or at the request of a third party, if no registered charter provider 
responds to the notice issued in Sec.604.14:
    (1) Within 72 hours for charter service requested to be provided in 
less than 30 days; or
    (2) Within 14 calendar days for charter service requested to be 
provided in 30 days or more.
    (b) A recipient shall not provide charter service under this section 
if a registered charter provider indicates an interest in providing the 
charter service set out in the notice issued pursuant to Sec.604.14 
and the registered charter provider has informed the recipient of its 
interest in providing the service.
    (c) After providing the service, a recipient shall record:
    (1) The group's name, address, phone number, and e-mail address;
    (2) The date and time of service;
    (3) The number of passengers;
    (4) The origin, destination, and trip length (miles and hours);
    (5) The fee collected, if any; and
    (6) The vehicle number for the vehicle used to provide the service.



Sec.604.10  Agreement with registered charter providers.

    (a) A recipient may provide charter service directly to a customer 
consistent with an agreement entered into with all registered charter 
providers in the recipient's geographic service area.
    (b) If a new charter provider registers in the geographic service 
area subsequent to the initial agreement, the recipient may continue to 
provide charter service under the previous agreement with the other 
charter providers up to 90 days without an agreement with the newly 
registered charter provider.
    (c) Any of the parties to an agreement may cancel the agreement at 
any time after providing the recipient a 90-day notice.



Sec.604.11  Petitions to the Administrator.

    (a) A recipient may petition the Administrator for an exception to 
the charter service regulations to provide

[[Page 469]]

charter service directly to a customer for:
    (1) Events of regional or national significance;
    (2) Hardship (only for non-urbanized areas under 50,000 in 
population or small urbanized areas under 200,000 in population); or
    (3) Unique and time sensitive events (e.g., funerals of local, 
regional, or national significance) that are in the public's interest.
    (b) The petition to the Administrator shall include the following 
information:
    (1) The date and description of the event;
    (2) The type of service requested and the type of equipment;
    (3) The anticipated number of charter service hours needed for the 
event;
    (4) The anticipated number of vehicles and duration of the event; 
and
    (i) For an event of regional or national significance, the petition 
shall include a description of how registered charter providers were 
consulted, how registered charter providers will be utilized in 
providing the charter service, a certification that the recipient has 
exhausted all of the registered charter providers in its geographic 
service area, and submit the petition at least 90 days before the first 
day of the event described in paragraph (b)(1) of this section;
    (ii) For a hardship request, a petition is only available if the 
registered charter provider has deadhead time that exceeds total trip 
time from initial pick-up to final drop-off, including wait time. The 
petition shall describe how the registered charter provider's minimum 
duration would create a hardship on the group requesting the charter 
service; or
    (iii) For unique and time sensitive events, the petition shall 
describe why the event is unique or time sensitive and how providing the 
charter service would be in the public's interest.
    (c) Upon receipt of a petition that meets the requirements set forth 
in paragraph (b) of this section, the Administrator shall review the 
materials and issue a written decision denying or granting the request 
in whole or in part. In making this decision, the Administrator may seek 
such additional information as the Administrator deems necessary. The 
Administrator's decision shall be filed in the Petitions to the 
Administrator docket, number FTA-2007-0022 at http://www.regulations.gov 
and sent to the recipient.
    (d) Any exception granted by the Administrator under this section 
shall be effective only for the event identified in paragraph (b)(1) of 
this section.
    (e) A recipient shall send its petition to the Administrator by 
facsimile to (202) 366-3809 or by e-mail to 
[email protected].
    (f) A recipient shall retain a copy of the Administrator's approval 
for a period of at least three years and shall include it in the 
recipient's quarterly report posted on the charter registration Web 
site.



Sec.604.12  Reporting requirements for all exceptions.

    (a) A recipient that provides charter service in accordance with one 
or more of the exceptions contained in this subpart shall maintain the 
required notice and records in an electronic format for a period of at 
least three years from the date of the service or lease. A recipient may 
maintain the required records in other formats in addition to the 
electronic format.
    (b) In addition to the requirements identified in paragraph (a) of 
this section, the records required under this subpart shall include a 
clear statement identifying which exception the recipient relied upon 
when it provided the charter service.
    (c) Beginning on July 30, 2008, a recipient providing charter 
service under these exceptions shall post the records required under 
this subpart on the FTA charter registration Web site 30 days after the 
end of each calendar quarter (i.e., January 30th, April 30th, July 30th, 
and October 30th). A single document or charter log may include all 
charter service trips provided during the quarter.
    (d) A recipient may exclude specific origin and destination 
information for safety and security reasons. If a recipient excludes 
such information, the record of the service shall describe the

[[Page 470]]

reason why such information was excluded and provide generalized 
information instead of providing specific origin and destination 
information.



         Subpart C_Procedures for Registration and Notification



Sec.604.13  Registration of private charter operators.

    (a) Private charter operators shall provide the following 
information at http://www.fta.dot.gov/laws/leg_reg_179.html to be 
considered a registered charter provider:
    (1) Company name, address, phone number, e-mail address, and 
facsimile number;
    (2) Federal and, if available, state motor carrier identifying 
number;
    (3) The geographic service areas of public transit agencies, as 
identified by the transit agency's zip code, in which the private 
charter operator intends to provide charter service;
    (4) The number of buses or vans the private charter operator owns;
    (5) A certification that the private charter operator has valid 
insurance; and
    (6) Whether willing to provide free or reduced rate charter services 
to registered qualified human service organizations.
    (b) A private charter operator that provides valid information in 
this subpart is a ``registered charter provider'' for purposes of this 
part and shall have standing to file a complaint consistent with subpart 
F.
    (c) A recipient, a registered charter provider, or their duly 
authorized representative, may challenge a registered charter provider's 
registration and request removal of the private charter operator from 
FTA's charter registration Web site by filing a complaint consistent 
with subpart F.
    (d) FTA may refuse to post a private charter operator's information 
if the private charter operator fails to provide all of the required 
information as indicated on the FTA charter registration Web site.
    (e) A registered charter provider shall provide current and accurate 
information on FTA's charter registration Web site, and shall update 
that information no less frequently than every two years.



Sec.604.14  Recipient's notification to registered charter providers.

    (a) Upon receiving a request for charter service, a recipient may:
    (1) Decline to provide the service, with or without referring the 
requestor to FTA's charter registration Web site (http://
www.fta.dot.gov/laws/leg_reg_179.html);
    (2) Provide the service under an exception provided in subpart B of 
this part; or
    (3) Provide notice to registered charter providers as provided in 
this section and provide the service pursuant to Sec.604.9.
    (b) If a recipient is interested in providing charter service under 
the exception contained in Sec.604.9, then upon receipt of a request 
for charter service, the recipient shall provide e-mail notice to 
registered charter providers in the recipient's geographic service area 
in the following manner:
    (1) E-mail notice of the request shall be sent by the close of 
business on the day the recipient receives the request unless the 
recipient received the request after 2 p.m., in which case the recipient 
shall send the notice by the close of business the next business day;
    (2) E-mail notice sent to the list of registered charter providers 
shall include:
    (i) Customer name, address, phone number, and e-mail address (if 
available);
    (ii) Requested date of service;
    (iii) Approximate number of passengers;
    (iv) Whether the type of equipment requested is (are) bus(es) or 
van(s); and
    (v) Trip itinerary and approximate duration; and
    (3) If the recipient intends to provide service that meets the 
definition of charter service under Sec.604.3(c)(2), the e-mail notice 
must include the fare the recipient intends to charge for the service.
    (c) A recipient shall retain an electronic copy of the e-mail notice 
and the list of registered charter providers that were sent e-mail 
notice of the requested charter service for a period of

[[Page 471]]

at least three years from the date the e-mail notice was sent.
    (d) If a recipient receives an ``undeliverable'' notice in response 
to its e-mail notice, the recipient shall send the notice via facsimile. 
The recipient shall maintain the record of the undeliverable e-mail 
notice and the facsimile sent confirmation for a period of three years.



  Subpart D_Registration of Qualified Human Service Organizations and 
   Duties for Recipients With Respect to Charter Registration Web site



Sec.604.15  Registration of qualified human service organizations.

    (a) Qualified human service organizations (QHSO) that seek free or 
reduced rate services from recipients, and do not receive funds from 
Federal programs listed in Appendix A, but serve individuals described 
in Sec.604.7 (i.e., individuals with low income, advanced age, or with 
disabilities), shall register on FTA's charter registration Web site by 
submitting the following information:
    (1) Name of organization, address, phone number, e-mail address, and 
facsimile number;
    (2) The geographic service area of the recipient in which the 
qualified human service organization resides;
    (3) Basic financial information regarding the qualified human 
service organization and whether the qualified human service 
organization is exempt from taxation under sections 501(c) (1), (3), 
(4), or (19) of the Internal Revenue Code, and whether it is a unit of 
Federal, State or local government;
    (4) Whether the qualified human service organization receives funds 
directly or indirectly from a State or local program, and if so, which 
program(s); and
    (5) A narrative statement describing the types of charter service 
trips the qualified human service organization may request from a 
recipient and how that service is consistent with the mission of the 
qualified human service organization.
    (b) A qualified human service organization is eligible to receive 
charter services from a recipient if it:
    (1) Registers on the FTA Web site in accordance with paragraph (a) 
of this section at least 60 days before the date of the requested 
charter service; and
    (2) Verifies FTA's receipt of its registration by viewing its 
information on the FTA charter registration Web site (http://
www.fta.dot.gov/laws/leg_reg_179.html).
    (c) A registered charter provider may challenge a QHSO's status to 
receive charter services from a recipient by requesting removal of the 
QHSO from FTA's charter registration Web site by filing a complaint 
consistent with subpart F.
    (d) A QHSO shall provide current and accurate information on FTA's 
charter registration Web site, and shall update that information no less 
frequently than every two years.



Sec.604.16  Duties for recipients with respect to charter registration
Web site.

    Each recipient shall ensure that its affected employees and 
contractors have the necessary competency to effectively use the FTA 
charter registration Web site.



         Subpart E_Advisory Opinions and Cease and Desist Orders



Sec.604.17  Purpose.

    The purpose of this subpart is to set out the requirements for 
requesting an advisory opinion from the Chief Counsel's Office. An 
advisory opinion may also request that the Chief Counsel issue a cease 
and desist order, which would be an order to refrain from doing an act 
which, if done, would be a violation of this part.



Sec.604.18  Request for an advisory opinion.

    (a) An interested party may request an advisory opinion from the 
Chief Counsel on a matter regarding specific factual events only.
    (b) A request for an advisory opinion shall be submitted in the 
following form:

[Date]
Chief Counsel, Federal Transit Administration, 1200 New Jersey Ave. SE., 
Room E55-302, Washington, DC 20590
Re: Request for Advisory Opinion

[[Page 472]]

The undersigned submits this request for an advisory opinion from the 
FTA Chief Counsel with respect to [the general nature of the matter 
involved].
A. A full statement of all facts and legal points relevant to the 
request
B. An affirmation that the undersigned swears, to the best of his/her 
knowledge and belief, this request includes all data, information, and 
views relevant to the matter, whether favorable or unfavorable to the 
position of the undersigned, which is the subject of the request.
C. The following certification: ``I hereby certify that I have this day 
served the foregoing [name of document] on the following interested 
party(ies) at the following addresses and e-mail or facsimile numbers 
(if also served by e-mail or facsimile) by [specify method of service]:
[list persons, addresses, and e-mail or facsimile numbers]''
 Dated this ____ day of __ , 20__.
 [Signature]
 [Printed name]
 [Title of person making request]
 [Mailing address]
 [Telephone number]
 [e-mail address]

    (c) The Chief Counsel may request additional information, as 
necessary, from the party submitting the request for an advisory 
opinion.
    (d) A request for an advisory opinion may be denied if:
    (1) The request contains incomplete information on which to base an 
informed advisory opinion;
    (2) The Chief Counsel concludes that an advisory opinion cannot 
reasonably be given on the matter involved;
    (3) The matter is adequately covered by a prior advisory opinion or 
a regulation;
    (4) The Chief Counsel otherwise concludes that an advisory opinion 
would not be in the public interest.



Sec.604.19  Processing of advisory opinions.

    (a) A request for an advisory opinion shall be sent to the Chief 
Counsel at [email protected], and filed electronically in 
the Charter Service Advisory Opinion/Cease and Desist Order docket 
number FTA-2007-0023 at http://www.regulations.gov or sent to the 
dockets office located at 1200 New Jersey Ave., SE., West Building 
Ground Floor, Room W12-140, Washington, DC 20590, for submission to that 
docket.
    (b) The Chief Counsel shall make every effort to respond to a 
request for an advisory opinion within ten days of receipt of a request 
that complies with Sec.604.18(b). The Chief Counsel shall send his or 
her decision to the interested party, the docket, and the recipient, if 
appropriate.



Sec.604.20  Effect of an advisory opinion.

    (a) An advisory opinion represents the formal position of FTA on a 
matter, and except as provided in Sec.604.25 of this subpart, 
obligates the agency to follow it until it is amended or revoked.
    (b) An advisory opinion may be used in administrative or court 
proceedings to illustrate acceptable and unacceptable procedures or 
standards, but not as a legal requirement and is limited to the factual 
circumstances described in the request for an advisory opinion. The 
Chief Counsel's advisory opinion shall not be binding upon a Presiding 
Official conducting a proceeding under subpart I of this part.
    (c) A statement made or advice provided by an FTA employee 
constitutes an advisory opinion only if it is issued in writing under 
this section. A statement or advice given by an FTA employee orally, or 
given in writing, but not under this section, is an informal 
communication that represents the best judgment of that employee at the 
time but does not constitute an advisory opinion, does not necessarily 
represent the formal position of FTA, and does not bind or otherwise 
obligate or commit the agency to the views expressed.



Sec.604.21  Special considerations for advisory opinions.

    Based on new facts involving significant financial considerations, 
the Chief Counsel may take appropriate enforcement action contrary to an 
advisory opinion before amending or revoking the opinion. This action 
shall be taken only with the approval of the Administrator.



Sec.604.22  Request for a cease and desist order.

    (a) An interested party may also request a cease and desist order as 
part of its request for an advisory opinion.

[[Page 473]]

A request for a cease and desist order shall contain the following 
information in addition to the information required for an advisory 
opinion:
    (1) A description of the need for the cease and desist order, a 
detailed description of the lost business opportunity the interested 
party is likely to suffer if the recipient performs the charter service 
in question, and how the public interest will be served by avoiding or 
ameliorating the lost business opportunity. A registered charter 
provider must distinguish its loss from that of other registered charter 
providers in the geographic service area.
    (2) A detailed description of the efforts made to notify the 
recipient of the potential violation of the charter service regulations. 
Include names, titles, phone numbers or e-mail addresses of persons 
contacted, date and times contact was made, and the response received, 
if any.
    (b) A request for a cease and desist order may be denied if:
    (1) The request contains incomplete information on which to base an 
informed a cease and desist order;
    (2) The Chief Counsel concludes that a cease and desist order cannot 
reasonably be given on the matter involved;
    (3) The matter is adequately covered by a prior a cease and desist 
order; or
    (4) The Chief Counsel otherwise concludes that a cease and desist 
order would not be in the public interest.
    (c) A recipient who is the subject of a request for a cease and 
desist order shall have three business days to respond to the request. 
The response shall include a point-by-point rebuttal to the information 
included in the request for a cease and desist order.
    (d) The time period for a response by the recipient begins once a 
registered charter provider files a request in the Advisory Opinion/
Cease and Desist Order docket (FTA-2007-0023 at http://
www.regulations.gov) or with the FTA Chief Counsel's Office, whichever 
date is sooner.



Sec.604.23  Effect of a cease and desist order.

    (a) Issuance of a cease and desist order against a recipient shall 
be considered as an aggravating factor in determining the remedy to 
impose against the recipient in future findings of noncompliance with 
this part, if the recipient provides the service described in the cease 
and desist order issued by the Chief Counsel.
    (b) In determining whether to grant the request for a cease and 
desist order, the Chief Counsel shall consider the specific facts shown 
in the signed, sworn request for a cease and desist order, applicable 
statutes and regulations, and any other information that is relevant to 
the request.



Sec.604.24  Decisions by the Chief Counsel regarding cease
and desist orders.

    (a) The Chief Counsel may grant a request for a cease and desist 
order if the interested party demonstrates, by a preponderance of the 
evidence, that the planned provision of charter service by a recipient 
would violate this part.
    (b) In determining whether to grant the request for a cease and 
desist order, the Chief Counsel shall consider the specific facts shown 
in the signed, sworn request for a cease and desist order, applicable 
statutes, regulations, agreements, and any other information that is 
relevant to the request.



                          Subpart F_Complaints



Sec.604.25  Purpose.

    This subpart describes the requirements for filing a complaint 
challenging the registration of a private charter operator or qualified 
human service organization on the FTA charter registration Web site and 
filing a complaint regarding the provision of charter service by a 
recipient. Note: To save time and expense for all concerned, FTA expects 
all parties to attempt to resolve matters informally before beginning 
the official complaint process.



Sec.604.26  Complaints and decisions regarding removal of private 
charter operators or qualified human service organizations from
registration list.

    (a) A recipient, a registered charter provider, or its duly 
authorized representative, may challenge the listing of a registered 
charter provider or qualified human service organization

[[Page 474]]

on FTA's charter registration Web site by filing a complaint that meets 
the following:
    (1) States the name and address of each entity who is the subject of 
the complaint;
    (2) Provides a concise but complete statement of the facts relied 
upon to substantiate the reason why the private charter operator or 
qualified human service organization should not be listed on the FTA 
charter registration Web site;
    (3) Files electronically by submitting it to the Charter Service 
Removal Complaint docket number FTA-2007-0024 at http://
www.regulations.gov;
    (4) Serves by e-mail or facsimile if no e-mail address is available, 
or by overnight mail service with receipt confirmation, and attaches 
documents offered in support of the complaint upon all entities named in 
the complaint;
    (5) Files within 90 days of discovering facts that merit removal of 
the registered charter provider or qualified human service organization 
from the FTA Charter Registration Web site; and
    (6) Contains the following certification:

I hereby certify that I have this day served the foregoing [name of 
document] on the following persons at the following addresses and e-mail 
or facsimile numbers (if also served by e-mail or facsimile) by [specify 
method of service]:
[list persons, addresses, and e-mail or facsimile numbers]
Dated this ____ day of ____, 20__.
 [signature], for [party].

    (b) The registered charter provider or qualified human service 
organization shall have 15 days to answer the complaint and shall file 
such answer, and all supporting documentation, in the Charter Service 
Removal Complaint docket number FTA-2007-0024 at http://
www.regulations.gov and e-mail such answer to 
[email protected].
    (c) A recipient, qualified human service organization, or a 
registered charter provider, or its duly authorized representative, 
shall not file a reply to the answer.
    (d) FTA shall determine whether to remove the registered charter 
provider or qualified human service organization from the FTA charter 
registration Web site based on a preponderance of the evidence of one or 
more of the following:
    (1) Bad faith;
    (2) Fraud;
    (3) Lapse of insurance;
    (4) Lapse of other documentation; or
    (5) The filing of more than one complaint, which on its face, does 
not state a claim that warrants an investigation or further action by 
FTA.
    (e) FTA's determination whether or not to remove a registered 
charter provider or qualified human service organization from the 
registration list shall be sent to the parties within 30 days of the 
date of the response required in paragraph (b) of this section and shall 
state:
    (1) Reasons for allowing the continued listing or removal of the 
registered charter provider or qualified human service organization from 
the registration list;
    (2) If removal is ordered, the length of time (not to exceed three 
years) the private charter operator or qualified human service 
organization shall be barred from the registration list; and
    (3) The date by which the private charter operator or qualified 
human service organization may re-apply for registration on the FTA 
charter registration Web site.



Sec.604.27  Complaints, answers, replies, and other documents.

    (a) A registered charter provider, or its duly authorized 
representative (``complainant''), affected by an alleged noncompliance 
of this part may file a complaint with the Office of the Chief Counsel.
    (b) Complaints filed under this subpart shall:
    (1) Be titled ``Notice of Charter Service Complaint'';
    (2) State the name and address of each recipient that is the subject 
of the complaint and, with respect to each recipient, the specific 
provisions of this part that the complainant believes were violated;
    (2) Be served in accordance with Sec.604.31, along with all 
documents then available in the exercise of reasonable diligence, 
offered in support of the complaint, upon all recipients named

[[Page 475]]

in the complaint as being responsible for the alleged action(s) or 
omission(s) upon which the complaint is based;
    (3) Provide a concise but complete statement of the facts relied 
upon to substantiate each allegation (complainant must show by a 
preponderance of the evidence that the recipient provided charter 
service and that such service did not fall within one of the exemptions 
or exceptions set out in this part);
    (4) Describe how the complainant was directly and substantially 
affected by the things done or omitted by the recipients;
    (5) Identify each registered charter provider associated with the 
complaint; and
    (6) Be filed within 90 days after the alleged event giving rise to 
the complaint occurred.
    (c) Unless the complaint is dismissed pursuant to Sec.604.28 or 
Sec.604.29, FTA shall notify the complainant, respondent, and state 
recipient, if applicable, within 30 days after the date FTA receives the 
complaint that the complaint has been docketed. Respondent shall have 30 
days from the date of service of the FTA notification to file an answer.
    (d) The complainant may file a reply within 20 days of the date of 
service of the respondent's answer.
    (e) The respondent may file a rebuttal within 10 days of the date of 
service of the reply.
    (f) The answer, reply, and rebuttal shall, like the complaint, be 
accompanied by the supporting documentation upon which the submitter 
relies.
    (g) The answer shall deny or admit the allegations made in the 
complaint or state that the entity filing the document is without 
sufficient knowledge or information to admit or deny an allegation, and 
shall assert any affirmative defense.
    (h) The answer, reply, and rebuttal shall each contain a concise but 
complete statement of the facts relied upon to substantiate the answers, 
admissions, denials, or averments made.
    (i) The respondent's answer may include a motion to dismiss the 
complaint, or any portion thereof, with a supporting memorandum of 
points and authorities.
    (j) The complainant may withdraw a complaint at any time after 
filing by serving a ``Notification of Withdrawal'' on the Chief Counsel 
and the respondent.



Sec.604.28  Dismissals.

    (a) Within 20 days after the receipt of a complaint described in 
Sec.604.27, the Office of the Chief Counsel shall provide reasons for 
dismissing a complaint, or any claim in the complaint, with prejudice, 
under this section if:
    (1) It appears on its face to be outside the jurisdiction of FTA 
under the Federal Transit Laws;
    (2) On its face it does not state a claim that warrants an 
investigation or further action by FTA; or
    (3) The complainant lacks standing to file a complaint under 
subparts B, C, or D of this part.
    (b) [Reserved]



Sec.604.29  Incomplete complaints.

    If a complaint is not dismissed under Sec.604.28, but is deficient 
as to one or more of the requirements set forth in Sec.604.27, the 
Office of the Chief Counsel may dismiss the complaint within 20 days 
after receiving it. Dismissal shall be without prejudice and the 
complainant may re-file after amendment to correct the deficiency. The 
Chief Counsel's dismissal shall include the reasons for the dismissal 
without prejudice.



Sec.604.30  Filing complaints.

    (a) Filing address. Unless provided otherwise, the complainant shall 
file the complaint with the Office of the Chief Counsel, 1200 New Jersey 
Ave., SE., Room E55-302, Washington, DC 20590 and file it electronically 
in the Charter Service Complaint docket number FTA-2007-0025 at http://
www.regulations.gov or mail it to the docket by sending the complaint to 
1200 New Jersey Ave., SE., West Building Ground Floor, Room W12-140, 
Washington, DC 20590.
    (b) Date and method of filing. Filing of any document shall be by 
personal delivery, U.S. mail, or overnight delivery with receipt 
confirmation. Unless the date is shown to be inaccurate, documents to be 
filed with FTA shall be deemed filed, on the earliest of:
    (1) The date of personal delivery;

[[Page 476]]

    (2) The mailing date shown on the certificate of service;
    (3) The date shown on the postmark if there is no certificate of 
service; or
    (4) The mailing date shown by other evidence if there is no 
certificate of service and no postmark.
    (c) E-mail or fax. A document sent by facsimile or e-mail shall not 
constitute service as described in Sec.604.31.
    (d) Number of copies. Unless otherwise specified, an executed 
original shall be filed with FTA.
    (e) Form. Documents filed with FTA shall be typewritten or legibly 
printed. In the case of docketed proceedings, the document shall include 
a title and the docket number, as established by the Chief Counsel or 
Presiding Official, of the proceeding on the front page.
    (f) Signing of documents and other papers. The original of every 
document filed shall be signed by the person filing it or the person's 
duly authorized representative. Subject to the enforcement provisions 
contained in this subpart, the signature shall serve as a certification 
that the signer has read the document and, based on reasonable inquiry, 
to the best of the signer's knowledge, information, and belief, the 
document is:
    (1) Consistent with this part;
    (2) Warranted by existing law or that a good faith argument exists 
for extension, modification, or reversal of existing law; and
    (3) Not interposed for any improper purpose, such as to harass or to 
cause unnecessary delay or needless increase in the cost of the 
administrative process.



Sec.604.31  Service.

    (a) Designation of person to receive service. The initial document 
filed by the complainant shall state on the first page of the document 
for all parties to be served:
    (1) The title of the document;
    (2) The name, post office address, telephone number; and
    (3) The facsimile number, if any, and e-mail address(es), if any.
    If any of the above items change during the proceeding, the person 
shall promptly file notice of the change with FTA and the Presiding 
Official, if appropriate, and shall serve the notice on all other 
parties to the proceeding.
    (b) Docket numbers. Each submission identified as a complaint under 
this part by the submitting party shall be filed in the Charter Service 
Complaint docket FTA-2007-0025.
    (c) Who must be served. Copies of all documents filed with FTA shall 
be served by the entity filing them on all parties to the proceeding. A 
certificate of service shall accompany all documents when they are 
tendered for filing and shall certify concurrent service on FTA and all 
parties. Certificates of service shall be in substantially the following 
form:

I hereby certify that I have this day served the foregoing [name of 
document] on the following persons at the following addresses and e-mail 
or facsimile numbers (if also served by e-mail or facsimile) by [specify 
method of service]:
[list persons, addresses, and e-mail or facsimile numbers]
Dated this ____ day of ____, 20__.
[signature], for [party]

    (d) Method of service. Except as otherwise provided in Sec.604.26, 
or agreed by the parties and the Presiding Official, as appropriate, the 
method of service is personal delivery or U.S. mail.
    (e) Presumption of service. There shall be a presumption of lawful 
service:
    (1) When acknowledgment of receipt is by a person who customarily or 
in the ordinary course of business receives mail at the address of the 
party or of the person designated under this section; or
    (2) When a properly addressed envelope, sent to the last known 
address has been returned as undeliverable, unclaimed, or refused.



                        Subpart G_Investigations



Sec.604.32  Investigation of complaint.

    (a) If, based on the pleadings, there appears to be a reasonable 
basis for investigation, FTA shall investigate the subject matter of the 
complaint.
    (b) The investigation may include a review of written submissions or 
pleadings of the parties, as supplemented by any informal investigation 
FTA considers necessary and by additional information furnished by the 
parties at

[[Page 477]]

FTA request. Each party shall file documents that it considers 
sufficient to present all relevant facts and argument necessary for FTA 
to determine whether the recipient is in compliance.
    (c) The Chief Counsel shall send a notice to complainant(s) and 
respondent(s) once an investigation is complete, but not later than 90 
days after receipt of the last pleading specified in Sec.604.27 was 
due to FTA.



Sec.604.33  Agency initiation of investigation.

    (a) Notwithstanding any other provision under these regulations, FTA 
may initiate its own investigation of any matter within the 
applicability of this Part without having received a complaint. The 
investigation may include, without limitation, any of the actions 
described in Sec.604.32.
    (b) Following the initiation of an investigation under this section, 
FTA sends a notice to the entities subject to investigation. The notice 
will set forth the areas of FTA's concern and the reasons; request a 
response to the notice within 30 days of the date of service; and inform 
the respondent that FTA will, in its discretion, invite good faith 
efforts to resolve the matter.
    (c) If the matters addressed in the FTA notice are not resolved 
informally, the Chief Counsel may refer the matter to a Presiding 
Official.



 Subpart H_Decisions by FTA and Appointment of a Presiding Official (PO)



Sec.604.34  Chief Counsel decisions and appointment of a PO.

    (a) After receiving a complaint consistent with Sec.604.27, and 
conducting an investigation, the Chief Counsel may:
    (1) Issue a decision based on the pleadings filed to date;
    (2) Appoint a PO to review the matter; or
    (3) Dismiss the complaint pursuant to Sec.604.28.
    (b) If the Chief Counsel appoints a PO to review the matter, the 
Chief Counsel shall send out a hearing order that sets forth the 
following:
    (1) The allegations in the complaint, or notice of investigation, 
and the chronology and results of the investigation preliminary to the 
hearing;
    (2) The relevant statutory, judicial, regulatory, and other 
authorities;
    (3) The issues to be decided;
    (4) Such rules of procedure as may be necessary to supplement the 
provisions of this Part;
    (5) The name and address of the PO, and the assignment of authority 
to the PO to conduct the hearing in accordance with the procedures set 
forth in this Part; and
    (6) The date by which the PO is directed to issue a recommended 
decision.



Sec.604.35  Separation of functions.

    (a) Proceedings under this part shall be handled by an FTA attorney, 
except that the Chief Counsel may appoint a PO, who may not be an FTA 
attorney.
    (b) After issuance of an initial decision by the Chief Counsel, the 
FTA employee or contractor engaged in the performance of investigative 
or prosecutorial functions in a proceeding under this part shall not, in 
that case or a factually related case, participate or give advice in a 
final decision by the Administrator or his or her designee on written 
appeal, and shall not, except as counsel or as witness in the public 
proceedings, engage in any substantive communication regarding that case 
or a related case with the Administrator on written appeal.



                           Subpart I_Hearings



Sec.604.36  Powers of a PO.

    A PO may:
    (a) Give notice of, and hold, pre-hearing conferences and hearings;
    (b) Administer oaths and affirmations;
    (c) Issue notices of deposition requested by the parties;
    (d) Limit the frequency and extent of discovery;
    (e) Rule on offers of proof;
    (f) Receive relevant and material evidence;
    (g) Regulate the course of the hearing in accordance with the rules 
of this part to avoid unnecessary and duplicative proceedings in the 
interest of prompt and fair resolution of the matters at issue;

[[Page 478]]

    (h) Hold conferences to settle or to simplify the issues by consent 
of the parties;
    (i) Dispose of procedural motions and requests;
    (j) Examine witnesses; and
    (k) Make findings of fact and conclusions of law and issue a 
recommended decision.



Sec.604.37  Appearances, parties, and rights of parties.

    (a) Any party to the hearing may appear and be heard in person and 
any party to the hearing may be accompanied, represented, or advised by 
an attorney licensed by a State, the District of Columbia, or a 
territory of the United States to practice law or appear before the 
courts of that State or territory, or by another duly authorized 
representative. An attorney, or other duly authorized representative, 
who represents a party shall file according to the filing and service 
procedures contained in Sec.604.30 and Sec.604.31.
    (b) The parties to the hearing are the respondent(s) named in the 
hearing order, the complainant(s), and FTA, as represented by the PO.
    (c) The parties to the hearing may agree to extend for a reasonable 
period of time the time for filing a document under this part. If the 
parties agree, the PO shall grant one extension of time to each party. 
The party seeking the extension of time shall submit a draft order to 
the PO to be signed by the PO and filed with the hearing docket. The PO 
may grant additional oral requests for an extension of time where the 
parties agree to the extension.
    (d) An extension of time granted by the PO for any reason extends 
the due date for the PO's recommended decision and for the final agency 
decision by the length of time in the PO's extension.



Sec.604.38  Discovery.

    (a) Permissible forms of discovery shall be within the discretion of 
the PO.
    (b) The PO shall limit the frequency and extent of discovery 
permitted by this section if a party shows that:
    (1) The information requested is cumulative or repetitious;
    (2) The information requested may be obtained from another less 
burdensome and more convenient source;
    (3) The party requesting the information has had ample opportunity 
to obtain the information through other discovery methods permitted 
under this section; or
    (4) The method or scope of discovery requested by the party is 
unduly burdensome or expensive.



Sec.604.39  Depositions.

    (a) For good cause shown, the PO may order that the testimony of a 
witness may be taken by deposition and that the witness produce 
documentary evidence in connection with such testimony. Generally, an 
order to take the deposition of a witness is entered only if:
    (1) The person whose deposition is to be taken would be unavailable 
at the hearing;
    (2) The deposition is deemed necessary to perpetuate the testimony 
of the witness; or
    (3) The taking of the deposition is necessary to prevent undue and 
excessive expense to a party and will not result in undue burden to 
other parties or in undue delay.
    (b) Any party to the hearing desiring to take the deposition of a 
witness according to the terms set out in this subpart, shall file a 
motion with the PO, with a copy of the motion served on each party. The 
motion shall include:
    (1) The name and residence of the witness;
    (2) The time and place for the taking of the proposed deposition;
    (3) The reasons why such deposition should be taken; and
    (4) A general description of the matters concerning which the 
witness will be asked to testify.
    (c) If good cause is shown in the motion, the PO in his or her 
discretion, issues an order authorizing the deposition and specifying 
the name of the witness to be deposed, the location and time of the 
deposition and the general scope and subject matter of the testimony to 
be taken.
    (d) Witnesses whose testimony is taken by deposition shall be sworn 
or shall affirm before any questions are

[[Page 479]]

put to them. Each question propounded shall be recorded and the answers 
of the witness transcribed verbatim. The written transcript shall be 
subscribed by the witness, unless the parties by stipulation waive the 
signing, or the witness is ill, cannot be found, or refuses to sign. The 
reporter shall note the reason for failure to sign.



Sec.604.40  Public disclosure of evidence.

    (a) Except as provided in this section, the hearing shall be open to 
the public.
    (b) The PO may order that any information contained in the record be 
withheld from public disclosure. Any person may object to disclosure of 
information in the record by filing a written motion to withhold 
specific information with the PO. The person shall state specific 
grounds for nondisclosure in the motion.
    (c) The PO shall grant the motion to withhold information from 
public disclosure if the PO determines that disclosure would be in 
violation of the Privacy Act, would reveal trade secrets or privileged 
or confidential commercial or financial information, or is otherwise 
prohibited by law.



Sec.604.41  Standard of proof.

    The PO shall issue a recommended decision or shall rule in a party's 
favor only if the decision or ruling is supported by a preponderance of 
the evidence.



Sec.604.42  Burden of proof.

    (a) The burden of proof of noncompliance with this part, 
determination, or agreement issued under the authority of the Federal 
Transit Laws is on the registered charter provider.
    (b) Except as otherwise provided by statute or rule, the proponent 
of a motion, request, or order has the burden of proof.



Sec.604.43  Offer of proof.

    A party whose evidence has been excluded by a ruling of the PO, 
during a hearing in which the respondent had an opportunity to respond 
to the offer of proof, may offer the evidence on the record when filing 
an appeal.



Sec.604.44  Record.

    (a) The transcript of all testimony in the hearing, all exhibits 
received into evidence, all motions, applications requests and rulings, 
and all documents included in the hearing record shall constitute the 
exclusive record for decision in the proceedings and the basis for the 
issuance of any orders.
    (b) Any interested person may examine the record by entering the 
docket number at http://www.regulations.gov or after payment of 
reasonable costs for search and reproduction of the record.



Sec.604.45  Waiver of procedures.

    (a) The PO shall waive such procedural steps as all parties to the 
hearing agree to waive before issuance of an initial decision.
    (b) Consent to a waiver of any procedural step bars the raising of 
this issue on appeal.
    (c) The parties may not by consent waive the obligation of the PO to 
enter a recommended decision on the record.



Sec.604.46  Recommended decision by a PO.

    (a) The PO shall issue a recommended decision based on the record 
developed during the proceeding and shall send the recommended decision 
to the Chief Counsel for ratification or modification not later than 110 
days after the referral from the Chief Counsel.
    (b) The Chief Counsel shall ratify or modify the PO's recommended 
decision within 30 days of receiving the recommended decision. The Chief 
Counsel shall serve his or her decision, which is capable of being 
appealed to the Administrator, on all parties to the proceeding.



Sec.604.47  Remedies.

    (a) If the Chief Counsel determines that a violation of this part 
occurred, he or she may take one or more of the following actions:
    (1) Bar the recipient from receiving future Federal financial 
assistance from FTA;
    (2) Order the withholding of a reasonable percentage of available 
Federal financial assistance; or

[[Page 480]]

    (3) Pursue suspension and debarment of the recipient, its employees, 
or its contractors.
    (b) In determining the type and amount of remedy, the Chief Counsel 
shall consider the following factors:
    (1) The nature and circumstances of the violation;
    (2) The extent and gravity of the violation (``extent of deviation 
from regulatory requirements'');
    (3) The revenue earned (``economic benefit'') by providing the 
charter service;
    (4) The operating budget of the recipient;
    (5) Such other matters as justice may require; and
    (6) Whether a recipient provided service described in a cease and 
desist order after issuance of such order by the Chief Counsel.
    (c) The Chief Counsel office may mitigate the remedy when the 
recipient can document corrective action of alleged violation. The Chief 
Counsel's decision to mitigate a remedy shall be determined on the basis 
of how much corrective action was taken by the recipient and when it was 
taken. Systemic action to prevent future violations will be given 
greater consideration than action simply to remedy violations identified 
during FTA's inspection or identified in a complaint.
    (d) In the event the Chief Counsel finds a pattern of violations, 
the remedy ordered shall bar a recipient from receiving Federal transit 
assistance in an amount that the Chief Counsel considers appropriate.
    (e) The Chief Counsel may make a decision to withhold Federal 
financial assistance in a lump sum or over a period of time not to 
exceed five years.



        Subpart J_Appeal to Administrator and Final Agency Orders



Sec.604.48  Appeal from Chief Counsel decision.

    (a) Each party adversely affected by the Chief Counsel's office 
decision may file an appeal with the Administrator within 21 days of the 
date of the Chief Counsel's issued his or her decision. Each party may 
file a reply to an appeal within 21 days after it is served on the 
party. Filing and service of appeals and replies shall be by personal 
delivery consistent with Sec. Sec.604.30 and 604.31.
    (b) If an appeal is filed, the Administrator reviews the entire 
record and issues a final agency decision based on the record that 
either accepts, rejects, or modifies the Chief Counsel's decision within 
30 days of the due date of the reply. If no appeal is filed, the 
Administrator may take review of the case on his or her own motion. If 
the Administrator finds that the respondent is not in compliance with 
this part, the final agency order shall include a statement of 
corrective action, if appropriate, and identify remedies.
    (c) If no appeal is filed, and the Administrator does not take 
review of the decision by the office on the Administrator's own motion, 
the Chief Counsel's decision shall take effect as the final agency 
decision and order on the twenty-first day after the actual date the 
Chief Counsel's decision was issued.
    (d) The failure to file an appeal is deemed a waiver of any rights 
to seek judicial review of the Chief Counsel's decision that becomes a 
final agency decision by operation of paragraph (c) of this section.



Sec.604.49  Administrator's discretionary review of the Chief
Counsel's decision.

    (a) If the Administrator takes review on the Administrator's own 
motion, the Administrator shall issue a notice of review by the twenty-
first day after the actual date of the Chief Counsel's decision that 
contains the following information:
    (1) The notice sets forth the specific findings of fact and 
conclusions of law in the decision subject to review by the 
Administrator.
    (2) Parties may file one brief on review to the Administrator or 
rely on their post-hearing briefs to the Chief Counsel's office. Briefs 
on review shall be filed not later than 10 days after service of the 
notice of review. Filing and service of briefs on review shall be by 
personal delivery consistent with Sec.604.30 and Sec.604.31.
    (3) The Administrator issues a final agency decision and order 
within 30 days of the due date of the briefs on review. If the 
Administrator finds that

[[Page 481]]

the respondent is not in compliance with this part, the final agency 
order shall include a statement of corrective action, if appropriate, 
and identify remedies.
    (b) If the Administrator takes review on the Administrator's own 
motion, the decision of the Chief Counsel is stayed pending a final 
decision by the Administrator.



                        Subpart K_Judicial Review



Sec.604.50  Judicial review of a final decision and order.

    (a) A person may seek judicial review in an appropriate United 
States District Court of a final decision and order of the Administrator 
as provided in 5 U.S.C. 701-706. A party seeking judicial review of a 
final decision and order shall file a petition for review with the Court 
not later than 60 days after a final decision and order is effective.
    (b) The following do not constitute final decisions and orders 
subject to judicial review:
    (1) FTA's decision to dismiss a complaint as set forth in Sec.
604.29;
    (2) A recommended decision issued by a PO at the conclusion of a 
hearing; or
    (3) A Chief Counsel decision that becomes the final decision of the 
Administrator because it was not appealed within the stated timeframes.



   Appendix A to Part 604--Listing of Human Service Federal Financial 
                           Assistance Programs

          Federal Programs Providing Transportation Assistance
------------------------------------------------------------------------
 
------------------------------------------------------------------------
1........  Food Stamp,          Food and Nutrition   Department of
            Employment and       Service.             Agriculture.
            Training Program.
2........  Voluntary Public     Office of            Department of
            School Choice.       Innovation and       Education.
                                 Improvement.
3........  Assistance for       Office of Special    Department of
            Education of All     Education and        Education.
            Children with        Rehabilitative
            Disabilities--IDEA.  Services.
4........  Centers for          Office of Special    Department of
            Independent Living.  Education and        Education.
                                 Rehabilitative
                                 Services.
5........  Independent Living   Office of Special    Department of
            for Older            Education and        Education.
            Individuals Who      Rehabilitative
            Are Blind.           Services.
6........  Independent Living   Office of Special    Department of
            State Grants.        Education and        Education.
                                 Rehabilitative
                                 Services.
7........  Supported            Office of Special    Department of
            Employment           Education and        Education.
            Services for         Rehabilitative
            Individuals with     Services.
            Most Significant
            Disabilities.
8........  Vocational           Office of Special    Department of
            Rehabilitative       Education and        Education.
            Grants.              Rehabilitative
                                 Services.
9........  Social Service       Administration for   Department of
            Block Grant.         Children and         Health and Human
                                 Families.            Services.
10.......  Child Care and       Administration for   Department of
            Development Fund.    Children and         Health and Human
                                 Families.            Services.
11.......  Head Start.........  Administration for   Department of
                                 Children and         Health and Human
                                 Families.            Services.
12.......  Refugee and Entrant  Administration for   Department of
            Assistance           Children and         Health and Human
            Discretionary        Families.            Services.
            Grants.

[[Page 482]]

 
13.......  Refugee and Entrant  Administration for   Department of
            Assistance State     Children and         Health and Human
            Administered         Families.            Services.
            Programs.
14.......  Refugee and Entrant  Administration for   Department of
            Targeted             Children and         Health and Human
            Assistance.          Families.            Services.
15.......  Refugee and Entrant  Administration for   Department of
            Assistance           Children and         Health and Human
            Voluntary Agency     Families.            Services.
            Programs.
16.......  State Development    Administration for   Department of
            Disabilities         Children and         Health and Human
            Council and          Families.            Services.
            Protection &
            Advocacy.
17.......  Temporary            Administration for   Department of
            Assistance to        Children and         Health and Human
            Needy Families.      Families.            Services.
18.......  Community Services   Administration for   Department of
            Block Grant.         Children and         Health and Human
                                 Families.            Services.
19.......  Promoting Safe and   Administration for   Department of
            Stable Families.     Children and         Health and Human
                                 Families.            Services.
20.......  Developmental        Administration for   Department of
            Disabilities         Children and         Health and Human
            Projects of          Families.            Services.
            National
            Significance.
21.......  Grants for           Administration on    Department of
            Supportive           Aging.               Health and Human
            Services and                              Services.
            Senior Centers.
22.......  Programs for         Administration on    Department of
            American Indian,     Aging.               Health and Human
            Alaskan Native and                        Services.
            Native Hawaii
            Elders.
23.......  Medicaid...........  Centers for          Department of
                                 Medicaid and         Health and Human
                                 Medicare.            Services.
24.......  State Health         Centers for          Department of
            Insurance Program.   Medicaid and         Health and Human
                                 Medicare.            Services.
25.......  Home and Community   Centers for          Department of
            Base Waiver.         Medicaid and         Health and Human
                                 Medicare.            Services.
26.......  Community Health     Health Resources     Department of
            Centers.             and Services         Health and Human
                                 Administration.      Services.
27.......  Healthy Communities  Health Resources     Department of
                                 and Services         Health and Human
                                 Administration.      Services.
28.......  HIV Care Formula     Health Resources     Department of
            Program.             and Services         Health and Human
                                 Administration.      Services.
29.......  Maternal and Child   Health Resources     Department of
            Health Block Grant.  and Services         Health and Human
                                 Administration.      Services.
30.......  Rural Health Care    Health Resources     Department of
            Network.             and Services         Health and Human
                                 Administration.      Services.
31.......  Rural Health Care    Health Resources     Department of
            Outreach Program.    and Services         Health and Human
                                 Administration.      Services.
32.......  Health Start         Health Resources     Department of
            Initiative.          and Services         Health and Human
                                 Administration.      Services.
33.......  Ryan White Care Act  Health Resources     Department of
            Programs.            and Services         Health and Human
                                 Administration.      Services.
34.......  Substance Abuse      Substance Abuse and  Department of
            Prevention and       Mental Health        Health and Human
            Treatment Block      Services             Services.
            Grant.               Administration.
35.......  Prevention and       Substance Abuse and  Department of
            Texas Block Grant.   Mental Health        Health and Human
                                 Services             Services.
                                 Administration.
36.......  Community            Community Planning   Department of
            Development Block    and Development.     Housing and Urban
            Grant.                                    Development.
37.......  Housing              Community Planning   Department of
            Opportunities for    and Development.     Housing and Urban
            Persons with AIDS.                        Development.

[[Page 483]]

 
38.......  Supportive Housing   Community Planning   Department of
            Program.             and Development.     Housing and Urban
                                                      Development.
39.......  Revitalization of    Public and Indian    Department of
            Severely             Housing.             Housing and Urban
            Distressed Public                         Development.
            Housing.
40.......  Indian Employment    Bureau of Indian     Department of the
            Assistance.          Affairs.             Interior.
41.......  Indian Employment,   Bureau of Indian     Department of the
            Training, and        Affairs.             Interior.
            Related Services.
42.......  Black Lung Benefits  Employment           Department of
                                 Standards            Labor.
                                 Administration.
43.......  Senior Community     Employment           Department of
            Services             Standards            Labor.
            Employment Program.  Administration.
44.......  Job Corps..........  Employment and       Department of
                                 Training             Labor.
                                 Administration.
45.......  Migrant and          Employment and       Department of
            Seasonal Farm        Training             Labor.
            Worker.              Administration.
46.......  Native American      Employment and       Department of
            Employment and       Training             Labor.
            Training.            Administration.
47.......  Welfare to Work      Employment and       Department of
            Grants for Tribes.   Training             Labor.
                                 Administration.
48.......  Welfare to Work for  Employment and       Department of
            States and Locals.   Training             Labor.
                                 Administration.
49.......  Work Incentive       Employment and       Department of
            Grants.              Training             Labor.
                                 Administration.
50.......  Workforce            Employment and       Department of
            Investment Act       Training             Labor.
            Adult Services       Administration.
            Program.
51.......  Workforce            Employment and       Department of
            Investment Act       Training             Labor.
            Adult Dislocated     Administration.
            Worker Program.
52.......  Workforce            Employment and       Department of
            Investment Act       Training             Labor.
            Youth Activities     Administration.
            Program.
53.......  Homeless Veterans    Veterans Employment  Department of
            Reintegration        & Training Service.  Labor.
            Program.
54.......  Veterans Employment  Veterans Employment  Department of
            Program.             & Training Service.  Labor.
55.......  Elderly and Persons  Federal Transit      Department of
            with Disability.     Administration.      Transportation.
56.......  New Freedom Program  Federal Transit      Department of
                                 Administration.      Transportation.
57.......  Job Access and       Federal Transit      Department of
            Reverse Commute      Administration.      Transportation.
            Program.
58.......  Non-Urbanized Area   Federal Transit      Department of
            Program.             Administration.      Transportation.
59.......  Capital              Federal Transit      Department of
            Discretionary        Administration.      Transportation.
            Program.
60.......  Urbanized Area       Federal Transit      Department of
            Formula Program.     Administration.      Transportation.
61.......  Automobiles and      Veterans Benefits    Department of
            Adaptive Equipment.  Administration.      Veterans Affairs.
62.......  Homeless Provider    Veterans Health      Department of
            Grants.              Administration.      Veterans Affairs.
63.......  Veterans Medical     Veterans Health      Department of
            Care Benefits.       Administration.      Veterans Affairs.
64.......  Ticket to Work       Social Security      Department of
            Program.             Administration.      Veterans Affairs.
------------------------------------------------------------------------


[[Page 484]]



            Sec. Appendix B to Part 604--Reasons for Removal

    The following is guidance on the terms contained in section 
604.26(d) concerning reasons for which FTA may remove a registered 
charter provider or a qualified human service organization from the FTA 
charter registration Web site.

                           What is bad faith?

    Bad faith is the actual or constructive fraud or a design to mislead 
or deceive another or a neglect or refusal to fulfill a duty or 
contractual obligation. It is not an honest mistake. Black's Law 
Dictionary, Revised Fourth Edition, West Publishing Company, St. Paul, 
Minn., 1968.
    For example, it would be bad faith for a registered charter provider 
to respond to a recipient's notification to registered charter providers 
of a charter service opportunity stating that it would provide the 
service with no actual intent to perform the charter service. It would 
also be bad faith if the registered charter provider fails to contact 
the customer or provide a quote for charter service within a reasonable 
time. Typically, if a registered charter provider fails to contact a 
customer or fails to provide a price quote to the customer at least 14 
business days before an event, then FTA may remove the registered 
charter provider from the registration Web site, which would allow a 
transit agency to step back in to provide the service because the 
registered charter provider's response to the email would no longer be 
effective because it is not registered.
    Further, it would be bad faith for a registered charter provider to 
submit a quote for charter services knowing that the price is three to 
four times higher because of the distance the registered charter 
provider must travel (deadhead time). In those situations, FTA may 
interpret such quotes as bad faith because they appear to be designed to 
prevent the local transit agency from providing the service.
    On the other hand, FTA would not interpret an honest mistake of fact 
as bad faith. For example, if a registered charter provider fails to 
provide charter service in response to a recipient's notification when 
it honestly mistook the date, place or time the service was to be 
provided. It would not be bad faith if the registered charter provider 
responded affirmatively to the email notification sent by the public 
transit agency, but then later learned it could not perform the service 
and provided the transit agency reasonable notice of its changed 
circumstances.

                             What is fraud?

    Fraud is the suggestion or assertion of a fact that is not true, by 
one who has no reasonable ground for believing it to be true; the 
suppression of a fact by one who is bound to disclose it; one who gives 
information of other facts which are likely to mislead; or a promise 
made without any intention of performing it. Black's Law Dictionary, 
Revised Fourth Edition, West Publishing Company, St. Paul, Minn., 1968.
    Examples of fraud include but are not limited to: (1) A registered 
charter provider indicates that it has a current state or Federal safety 
certification when it knows that it does not in fact have one; (2) a 
broker that owns no charter vehicles registers as a registered charter 
provider; or (3) a qualified human service organization represents that 
its serves the needs of the elderly, persons with disabilities, or 
lower-income individuals, but, in fact, only serves those populations 
tangentially.

                      What is a lapse of insurance?

    A lapse of insurance occurs when there is no policy of insurance is 
in place. This may occur when there has been default in payment of 
premiums on an insurance policy and the policy is no longer in force. In 
addition, no other policy of insurance has taken its place. Black's Law 
Dictionary, Revised Fourth Edition, West Publishing Company, St. Paul, 
Minn., 1968.

                 What is a lapse of other documentation?

    A lapse of other documentation means for example, but is not limited 
to, failure to have or loss or revocation of business license, operating 
authority, failure to notify of current company name, address, phone 
number, email address and facsimile number, failure to have a current 
state or Federal safety certification, or failure to provide accurate 
Federal or state motor carrier identifying number. Black's Law 
Dictionary, Revised Fourth Edition, West Publishing Company, St. Paul, 
Minn., 1968.

    What is a complaint that does not state a claim that warrants an 
                 investigation or further action by FTA?

    A complaint is a document describing a specific instance that 
allegedly constitutes a violation of the charter service regulations set 
forth in 49 CFR 604.28. More than one complaint may be contained in the 
same document. A complaint does not state a claim that warrants 
investigation when the allegations made in the complaint, without 
considering any extraneous material or matter, do not raise a genuine 
issue as to any material question of fact, and based on the undisputed 
facts stated in the complaint, there is no violation of the charter 
service statute or regulation as a matter of law. Based on Federal Rules 
of Civil Procedure, Rule 56(c).
    Examples of complaints that would not warrant an investigation or 
further action

[[Page 485]]

by FTA include but are not limited to: (1) A complaint against a public 
transit agency that does not receive FTA funding; (2) a complaint 
brought against a public transit agency by a private charter operator 
that is neither a registered charter provider nor its duly authorized 
representative; (3) a complaint that gives no information as to when or 
where the alleged prohibited charter service took place; or (4) a 
complaint filed solely for the purpose of harassing the public transit 
agency.

[73 FR 44931, Aug. 1, 2008]



         Sec. Appendix C to Part 604--Frequently Asked Questions

                (a) Applicability (49 CFR Section 604.2)

    (1) Q: If the requirements of the charter rule are not applicable to 
me for a particular service I provide, do I have to report that service 
in my quarterly report?
    A: No. If the service you propose to provide meets one of the 
exemptions contained in this section, you do not have to report the 
service in your quarterly report.
    (2) Q: If I receive funds under 49 U.S.C. Sections 5310, 5311, 5316, 
or 5317, may I provide charter service for any purpose?
    A: No. You may only provide charter service for ``program 
purposes,'' which is defined in this regulation as ``transportation that 
serves the needs of either human service agencies or targeted 
populations (elderly, individuals with disabilities, and/or low income 
individuals) * * *'' 49 CFR Section 604.2(e). Thus, your service only 
qualifies for the exemption contained in this section if the service is 
designed to serve the needs of targeted populations. Charter service 
provided to a group, however, that includes individuals who are only 
incidentally members of those targeted populations, is not ``for program 
purposes'' and must meet the requirements of the rule (for example, an 
individual chartering a vehicle to take his relatives including elderly 
aunts and a cousin who is a disabled veteran to a family reunion).
    (3) Q: If I am providing service for program purposes under one of 
the FTA programs listed in 604.2.(e), do the human service organizations 
have to register on the FTA Charter Registration Web site?
    A: No. Because the service is exempt from the charter regulations, 
the organization does not have to register on the FTA Charter 
Registration Web site.
    (4) Q: What if there is an emergency such as an apartment fire or 
tanker truck spill that requires an immediate evacuation, but the 
President, Governor, or Mayor never declares it as an emergency? Can a 
transit agency still assist in the evacuation efforts?
    A: Yes. One part of the emergency exemption is designed to allow 
transit agencies to participate in emergency situations without worrying 
about complying with the charter regulations. Since transit agencies are 
often uniquely positioned to respond to such emergencies, the charter 
regulations do not apply. This is true whether or not the emergency is 
officially declared.
    (5) Q: Do emergency situations involve requests from the Secret 
Service or the police department to transport its employees?
    A. Generally no. Transporting the Secret Service or police officers 
for non-emergency preparedness or planning exercises does not qualify 
for the exemption under this section. In addition, if the Secret Service 
or the police department requests that a transit agency provide service 
when there is no immediate emergency, then the transit agency must 
comply with the charter service regulations.
    (6) Q: Can a transit agency provide transportation to transit 
employees for an event such as the funeral of a transit employee or the 
transit agency's annual picnic?
    A: Yes. These events do not fall within the definition of charter, 
because while the service is exclusive, it is not provided at the 
request of a third party and it is not at a negotiated price. 
Furthermore, a transit agency transporting its own employees to events 
sponsored by the transit agency for employee morale purposes or to 
events directly related to internal employee relations such as a funeral 
of an employee, or to the transit agency's picnic, is paying for these 
services as part of the transit agency's own administrative overhead.
    (7) Q: Is sightseeing service considered to be charter?
    A: ``Sightseeing'' is a different type of service than charter 
service. ``Sightseeing'' service is regularly scheduled round trip 
service to see the sights, which is often accompanied by a narrative 
guide and is open to the public for a set price. Public transit agencies 
may not provide sightseeing service with federally funded assets or 
assistance because it falls outside the definition of ``public 
transportation'' under 49 U.S.C. Section 5302(a) (10), unless FTA 
provides written concurrence for that service as an approved incidental 
use. While, in general, ``sightseeing'' service does not constitute 
charter service, ``sightseeing'' service that also meets the definition 
of charter service would be prohibited, even as an incidental use.
    (8) Q: If a private provider receives Federal funds from one of the 
listed programs in this section, does that mean the private provider 
cannot use its privately owned equipment to provide charter service?
    A: No. A private provider may still provide charter services even 
though it receives Federal funds under one of the programs listed in 
this section. The charter regulations only apply to a private provider 
during the time

[[Page 486]]

period when it is providing public transportation services under 
contract with a public transit agency.
    (9) Q: What does FTA mean by the phrase ``non-FTA funded 
activities''?
    A: Non-FTA funded activities are those activities that are not 
provided under contract or other arrangement with a public transit 
agency using FTA funds.
    (10) Q: How does a private provider know whether an activity is FTA-
funded or not?
    A: The private provider should refer to the contract with the public 
transit agency to understand the services that are funded with Federal 
dollars.
    (11) Q: What if the service is being provided under a capital cost 
of contracting scenario?
    A: When a private operator receives FTA funds through capital cost 
of contracting, the only expenses attributed to FTA are those related to 
the transit service provided. The principle of capital cost of 
contracting is to pay for the capital portion of the privately owned 
assets used in public transportation (including a share of preventive 
maintenance costs attributable to the use of the vehicle in the 
contracted transit service). When a private operator uses that same 
privately owed vehicle in non-FTA funded service, such as charter 
service, the preventive maintenance and capital depreciation are not 
paid by FTA, so the charter rule does not apply.
    (12) Q: What if the service is provided under a turn-key scenario?
    A: To the extent the private charter provider is standing in the 
shoes of the public transit agency, the charter rules apply. Under a 
turn-key contract, where the private operator provides and operates a 
dedicated transit fleet, then the private provider must abide by the 
charter regulations for the transit part of its business. The charter 
rule would not apply, however, to other aspects of that private 
provider's business. FTA also recognizes that a private operator may use 
vehicles in its fleet interchangeably. So long as the operator is 
providing the number, type, and quality of vehicles contractually 
required to be provided exclusively for transit use and is not using FTA 
funds to cross-subsidize private charter service, the private operator 
may manage its fleet according to best business practice.
    (13) Q: Does FTA's rule prohibit a private provider from providing 
charter service when its privately owned vehicles are not engaged in 
providing public transportation?
    A: No. The charter rule is only applicable to the actual public 
transit service provided by the private operator. As stated in 49 CFR 
604.2(c), the rule does not apply to the non-FTA funded activities of 
private charter operators. The intent of this provision was to isolate 
the impacts of the charter rule on private operators to those instances 
where they stood in the shoes of a transit agency.
    (14) Q: May a private provider use vehicles whose acquisition was 
federally funded to provide private charter services?
    A: It depends. A private provider, who is a sub-recipient or sub-
grantee, when not engaged in providing public transit using federally 
funded vehicles, may provide charter services using federally funded 
vehicles only in conformance with the charter regulations. Vehicles, 
whose only federal funding was for accessibility equipment, are not 
considered to be federally funded vehicles in this context. In other 
words, vehicles, whose lifts are only funded under FTA programs, may be 
used in charter service.
    (15) Q: May a public transit agency provide ``seasonal service'' 
(e.g., service May through September for the summer beach season)?
    A: ``Seasonal service'' that is regular and continuing, available to 
the public, and controlled by the public transit agency meets the 
definition of public transportation and is not charter service. The 
service should have a regular schedule and be planned in the same manner 
as all the other routes, except that it is run only during the periods 
when there is sufficient demand to justify public transit service; for 
example, the winter ski season or summer beach season. ``Seasonal 
service'' is distinguishable from charter service provided for a special 
event or function that occurs on an irregular basis or for a limited 
duration, because the seasonal transit service is regular and continuing 
and the demand for service is not triggered by an event or function. In 
addition, ``seasonal service'' is generally more than a month or two, 
and the schedule is consistent from year to year, based on calendar or 
climate, rather than being scheduled around a specific event.

                 (b) Definitions (49 CFR Section 604.3)

    (16) Q: The definition of charter service does not include demand 
response services, but what happens if a group of individuals request 
demand response service?
    A: Demand response trips provide service from multiple origins to a 
single destination, a single origin to multiple destinations, or even 
multiple origins to multiple destinations. These types of trips are 
considered demand response transit service, not charter service, because 
even though a human service agency pays for the transportation of its 
clients, trips are scheduled and routed for the individuals in the 
group. Service to individuals can be identified by vehicle routing that 
includes multiple origins, multiple destinations, or both, based on the 
needs of individual members of the group, rather than the group as a 
whole. For example, demand response service that takes all of the 
members of a group home on an annual excursion to a baseball game. Some 
sponsored trips carried out as part of a Coordinated Human Services 
Transportation Plan, such as trips for Head Start, assisted living 
centers, or sheltered

[[Page 487]]

workshops may even be provided on an exclusive basis where clients of a 
particular agency cannot be mixed with members of the general public or 
clients of other agencies for safety or other reasons specific to the 
needs of the human service clients.
    (17) Q: Is it charter if a demand response transit service carries a 
group of individuals with disabilities from a single origin to a single 
destination on a regular basis?
    A: No. Daily subscription trips between a group living facility for 
persons with developmental disabilities to a sheltered workshop where 
the individuals work, or weekly trips from the group home to a 
recreation center is ``special transportation'' and not considered 
charter service. These trips are regular and continuous and do not meet 
the definition of charter.
    (18) Q: If a third party requests charter service for the exclusive 
use of a bus or van, but the transit agency provides the service free of 
charge, is it charter?
    A: No. The definition of charter service under 49 CFR Section 
604.3(c) (1), requires a negotiated price, which implies an exchange of 
money. Thus, free service does not meet the negotiated price 
requirement. Transit agencies should note, however, that a negotiated 
price could be the regular fixed route fare or when a third party 
indirectly pays for the regular fare.
    (19) Q: If a transit agency accepts a subsidy for providing shuttle 
service for an entire baseball season, is that charter?
    A: Yes. Even though there are many baseball games over several 
months, the service is still to an event or function on an irregular 
basis or for a limited duration for which a third party pays in whole or 
in part. In order to provide the service, a transit agency must first 
provide notice to registered charter providers.
    (20) Q: If a transit agency contracts with a third party to provide 
free shuttle service during football games for persons with 
disabilities, is that charter?
    A: Yes. Even though the service is for persons with disabilities, 
the transit agency receives payment from a third party for an event or 
function that occurs on an irregular basis or for a limited duration. In 
order for a transit agency to provide the service, it must provide 
notice to the list of registered charter providers first.
    (21) Q: What if a business park pays the transit agency to add an 
additional stop on its fixed route to include the business park, is that 
charter?
    A: No. The service is not to an event or function and it does not 
occur on an irregular basis or for a limited duration.
    (22) Q: What if a university pays the transit agency to expand its 
regular fixed route to include stops on the campus, is that charter?
    A: No. The service is not to an event or function and it does not 
occur on an irregular basis or for a limited duration.
    (23) Q: What if a university pays the transit agency to provide 
shuttle service that does not connect to the transit agency's regular 
routes, is that charter?
    A: Yes. The service is provided at the request of a third party, the 
university, for the exclusive use of a bus or van by the university 
students and faculty for a negotiated price.
    (24) Q: What if the university pays the transit agency to provide 
shuttle service to football games and graduation, is that charter?
    A: Yes. The service is to an event or function that occurs on an 
irregular basis or for a limited duration. As such, in order to provide 
the service, a transit agency must provide notice to the list of 
registered charter providers.
    (25) Q: What happens if a transit agency does not have fixed route 
service to determine whether the fare charged is a premium fare?
    A: A transit agency should compare the proposed fare to what it 
might charge for a similar trip under a demand response scenario.
    (26) Q: How can a transit agency tell if the fare is ``premium''?
    A: The transit agency should analyze its regular fares to determine 
whether the fare charged is higher than its regular fare for comparable 
services. For example, if the transit agency proposes to provide an 
express shuttle service to football games, it should look at the regular 
fares charged for express shuttles of similar distance elsewhere in the 
transit system. In addition, the service may be charter if the transit 
agency charges a lower fare or no fare because of a third party subsidy.
    (27) Q: What if a transit agency charges a customer an up front 
special event fare that includes the outbound and inbound trips, is that 
a premium fare?
    A: It depends. If the transit agency charges the outbound and 
inbound fares up front, but many customers don't travel both directions, 
then the fare may be premium. This would not be true generally for park 
and ride lots, where the customer parks his or her car, and, would most 
likely use transit to return to the same lot. Under that scenario, the 
transit agency may collect the regular outbound and inbound fare up 
front.
    (28) Q: What if a transit agency wishes to create a special pass for 
an event or function on an irregular basis or for a limited duration 
that allows a customer to ride the transit system several times for the 
duration of the event, is that charter?
    A: It depends. If the special pass costs more than the fare for a 
reasonable number of expected individual trips during the event,

[[Page 488]]

then the special pass represents a premium fare. FTA will also consider 
whether a third party provides a subsidy for the service.
    (29) Q: Is it a third party subsidy if a third party collects the 
regular fixed route fare for the transit agency?
    A. Generally no. If the service provided is not at the request of a 
third party for the exclusive use of a bus or van, then a third party 
collecting the fare would not qualify the service as charter. But, a 
transit agency has to consider carefully whether the service is at the 
request of an event planner. For example, a group offers to make 
``passes'' for its organization and then later work out the payment to 
the transit agency. The transit agency can only collect the regular fare 
for each passenger.
    (30) Q: If the transit agency is part of the local government and an 
agency within the local government pays for service to an event or 
function of limited duration or that occurs on an irregular basis, is 
that charter?
    A: Yes. Since the agency pays for the charter service, whether by 
direct payment or transfer of funds through internal local government 
accounts, it represents a third party payment for charter service. Thus, 
the service would meet the definition of charter service under 49 CFR 
Section 604.3(c) (1).
    (31) Q: What if an organization requests and pays for service 
through an in-kind payment such as paying for a new bus shelter or 
providing advertising, is that charter?
    A: Yes. The service is provided at the request of a third party for 
a negotiated price, which would be the cost of a new bus shelter or 
advertising. The key here is the direct payment for service to an event 
or function. For instance, advertising that appears on buses for regular 
service does not make it charter.
    (32) Q: Under the definition of ``Government Officials,'' does the 
government official have to currently hold an office in government?
    A: Yes. In order to take advantage of the Government Official 
exception, the individual must hold currently a government position that 
is elected or appointed through a political process.
    (33) Q: Does a university qualify as a QHSO?
    A: No. Most universities do not have a mission of serving the needs 
of the elderly, persons with disabilities, or low income individuals.
    (34) Q: Do the Boy Scouts of America qualify as a QHSO?
    A: No. The Boy Scouts of America's mission is not to serve the needs 
of the elderly, persons with disabilities, or low income individuals.
    (35) Q: What qualifies as indirect financial assistance?
    A: The inclusion of ``indirect'' financial assistance as part of the 
definition of ``recipient'' covers ``subrecipients.'' In other words, 
``subrecipients'' are subject to the charter regulation. FTA modified 
the definition of recipient in the final rule to clarify this point.

                    (c) Exceptions (49 CFR Subpart B)

    (36) Q: In order to take advantage of the Government Officials 
exception, does a transit agency have to transport only elected or 
appointed government officials?
    A: No, but there has to be at least one elected or appointed 
government official on the trip.
    (37) Q: If a transit agency provides notice regarding a season's 
worth of service and some of the service will occur in less than 30 
days, does a registered charter provider have to respond within 72 hours 
or 14 days?
    A: A transit agency should provide as much notice as possible for 
service that occurs over several months. Thus, a transit agency should 
provide notice to registered charter providers more than 30 days in 
advance of the service, which would give registered charter provider 14 
days to respond to the notice. Under pressure to begin the service 
sooner, the transit agency could provide a separate notice for only that 
portion of the service occurring in less than 30 days.
    (38) Q: Does a transit agency have to contact registered charter 
providers in order to petition the Administrator for an event of 
regional or national significance?
    A: Yes. A petition for an event of regional or national significance 
must demonstrate that not only has the public transit agency contacted 
registered charter providers, but also demonstrate how the transit 
agency will include registered charter providers in providing the 
service to the event of regional or national significance.
    (39) Q: Where does a transit agency have to file its petition?
    A: A transit agency must file the petition with the ombudsman at 
[email protected]. FTA will file all petitions in the 
Petitions to the Administrator docket (FTA-2007-0022) at http://
www.regulations.gov.
    (40) Q: What qualifies as a unique and time sensitive event?
    A: In order to petition the Administrator for a discretionary 
exception, a public transit agency must demonstrate that the event is 
unique or that circumstances are such that there is not enough time to 
check with registered charter providers. Events that occur on an annual 
basis are generally not considered unique or time sensitive.
    (41) Q: Is there any particular format for quarterly reports for 
exceptions?
    A: No. The report must contain the information required by the 
regulations and clearly identify the exception under which the transit 
agency performed the service.

[[Page 489]]

    (42) Q: May a transit agency lease its vehicles to one registered 
charter provider if there is another registered charter provider that 
can perform all of the requested service with private charter vehicles?
    A: No. A transit agency may not lease its vehicles to one registered 
charter provider when there is another registered charter provider that 
can perform all of the requested service. In that case, the transit 
vehicles would enable the first registered charter provider to charge 
less for the service than the second registered charter provider that 
uses all private charter vehicles.
    (43) Q: Where do I submit my reports?
    A: FTA has adapted its electronic grants making system, TEAM, to 
include charter rule reporting. Grantees should file the required 
reports through TEAM. These reports will be available to the public 
through FTA's charter bus service Web page at: http://
ftateamweb.fta.dot.gov/Teamweb/CharterRegistration/
QueryCharterReport.aspx. State Departments of Transportation are 
responsible for filing charter reports on behalf of its subrecipients 
that do not have access to TEAM.

          (d) Registration and Notification (49 CFR Subpart C)

    (44) Q: May a private provider register to receive notice of charter 
service requests from all 50 States?
    A: Yes. A private provider may register to receive notice from all 
50 States; however, a private provider should only register for those 
states for which it can realistically originate service.
    (45) Q: May a registered charter provider select which portions of 
the service it would like to provide?
    A: No. A registered charter provider may not ``cherry pick'' the 
service described in the notice. In other words, if the e-mail 
notification describes service for an entire football season, then a 
registered charter provider that responds to the notice indicating it 
can provide only a couple of weekends of service would be non-responsive 
to the e-mail notice. Public transit agencies may, however, include 
several individual charter events in the e-mail notification. Under 
those circumstances, a registered charter provider may select from those 
individual events to provide service.
    (46) Q: May a transit agency include information on ``special 
requests'' from the customer in the notice to registered charter 
providers?
    A: No. A transit agency must strictly follow the requirements of 49 
CFR Section 604.14, otherwise the notice is void. A transit agency may, 
however, provide a generalized statement such as ``Please do not respond 
to this notice if you are not interested or cannot perform the service 
in its entirety.''
    (47) Q: What happens if a transit agency sends out a notice 
regarding charter service, but later decides to perform the service free 
of charge and without a third party subsidy?
    A: If a transit agency believes it may receive the authority to 
provide the service free of charge, with no third party subsidy, then it 
should send out a new e-mail notice stating that it intends to provide 
the service free of charge.
    (48) Q: What happens if a registered charter provider initially 
indicates interest in providing the service described in a notice, but 
then later is unable to perform the service?
    A: If the registered charter provider acts in good faith by 
providing reasonable notice to the transit agency of its changed 
circumstances, and that registered charter provider was the only one to 
respond to the notice, then the transit agency may step back in and 
provide the service.
    (49) Q: What happens if a registered charter provider indicates 
interest in providing the service, but then does not contact the 
customer?
    A: A transit agency may step back in and provide the service if the 
registered charter provider was the only one to respond affirmatively to 
the notice.
    (50) Q: What happens if a registered charter provider indicates 
interest in providing the service, contacts the customer, and then fails 
to provide a price quote to the customer?
    A: If the requested service is 14 days or less away, a transit 
agency may step back in and provide the service if the registered 
charter provider was the only one to respond affirmatively to the notice 
upon filing a complaint with FTA to remove the registered charter 
provider from the FTA Charter Registration Web site. If the complaint of 
``bad faith'' negotiations is not sustained by FTA, the transit agency 
may face a penalty, as determined by FTA. If the requested service is 
more than 14 days away, and the transit agency desires to step back in, 
then upon filing a complaint alleging ``bad faith'' negotiations that is 
sustained by FTA, the transit agency may step back in.
    (51) Q: What happens if a transit agency entered into a contract to 
perform charter service before the effective date of the final rule?
    A: If the service described in the contract occurs after the 
effective date of the final rule, the service must be in conformance 
with the new charter regulation.
    (52) Q: What if the service described in the notice requires the use 
of park and ride lots owned by the transit agency?
    A: If the transit agency received Federal funds for those park and 
ride lots, then the transit agency should allow a registered charter 
provider to use those lots upon a showing of an acceptable incidental 
use (the

[[Page 490]]

transit agency retains satisfactory continuing control over the park and 
ride lot and the use does not interfere with the provision of public 
transportation) and if the registered charter provider signs an 
appropriate use and indemnification agreement.
    (53) Q: What if the registered charter provider does not provide 
quality charter service to the customer?
    A: If a registered charter provider does not provide service to the 
satisfaction of the customer, the customer may pursue a civil action 
against the registered charter provider in a court of law. If the 
registered charter provider also demonstrated bad faith or fraud, it can 
be removed from the FTA Charter Registration Web site.

                  (e) Complaint & Investigation Process

    (54) Q: May a trade association or other operators that are unable 
to provide requested charter service have the right to file a complaint 
against the transit agency?
    A: Yes. A registered charter operator or its duly authorized 
representative, which can include a trade association, may file a 
complaint under section 604.26(a). Under the new rule, a private charter 
operator that is not registered with FTA's charter registration Web site 
may not file a complaint.
    (55) Q: Is there a time limit for making complaints?
    A: Yes. Complaints must be filed within 90 days of the alleged 
unauthorized charter service.
    (56) Q: Are there examples of the likely remedies FTA may impose for 
a violation of the charter service regulations?
    A: Yes. Appendix D contains a matrix of likely remedies that FTA may 
impose for a violation of the charter service regulations.
    (57) Q: When a complaint is filed, who is responsible for 
arbitration or litigation costs?
    A: FTA will pay for the presiding official and the facility for the 
hearing, if necessary. Each party involved in the litigation is 
responsible for its own litigation costs.
    (58) Q: What affirmative defenses might be available in the 
complaint process?
    A: An affirmative defense to a complaint could state the 
applicability of one of the exceptions such as 49 CFR Section 604.6, 
which states that the service that was provided was within the allowable 
80 hours of government official service.
    (59) Q: What can a transit agency do if it believes that a 
registered charter provider is not bargaining in good faith with a 
customer?
    A: If a transit agency believes that a registered charter provider 
is not bargaining in good faith with the customer, the transit agency 
may file a complaint to remove the registered charter provider from 
FTA's Charter Registration Web site.
    (60) Q: Does a registered charter provider have to charge the same 
fare or rate as a public transit agency?
    A: No. A registered charter provider is not under an obligation to 
charge the same fare or rate as public transit agency. A registered 
charter provider, however, must charge commercially reasonable rates.
    (61) Q: What actions can a private charter operator take when it 
becomes aware of a transit agency's plan to engage in charter service 
just before the date of the charter?
    A: As soon as a registered charter provider becomes aware of an 
upcoming charter event that it was not contacted about, then it should 
request an advisory opinion and cease and desist order. If the service 
has already occurred, then the registered charter provider may file a 
complaint.
    (62) Q: When a registered charter provider indicates that there are 
no privately owned vehicles available for lease, must the public transit 
agency investigate independently whether the representation by the 
registered charter provider is accurate?
    A: No. The public transit agency is not required to investigate 
independently whether the registered charter provider's representation 
is accurate unless there is reason to suspect that the registered 
charter provider is committing fraud. Rather, the public transit agency 
need only confirm that the number of vehicles owned by all registered 
charter providers in the geographic service area is consistent with the 
registered charter provider's representation.
    (63) Q: How will FTA determine the remedy for a violation of the 
charter regulations?
    A: Remedies will be based upon the facts of the situation, including 
but not limited to, the extent of deviation from the regulations and the 
economic benefit from providing the charter service. See section 604.47 
and Appendix D for more details.
    (64) Q: Can multiple violations in a single finding stemming from a 
single complaint constitute a pattern of violations?
    A: Yes. A pattern of violations is defined as more than one finding 
of unauthorized charter service under this part by FTA beginning with 
the most recent finding of unauthorized charter service and looking back 
over a period not to exceed 72 months. While a single complaint may 
contain several allegations, the complaint must allege more than a 
single event that included unauthorized charter service in order to 
establish a pattern of violations.

                            (f) Miscellaneous

    (65) Q: If a grantee operates assets that are locally funded are 
such assets subject to the charter regulations?
    A: It depends. If a recipient receives FTA funds for operating 
assistance or stores its vehicles in a FTA-funded facility or receives 
indirect FTA assistance, then the charter

[[Page 491]]

regulations apply. The fact that the vehicle was locally funded does not 
make the recipient exempt from the charter regulations. If both 
operating and capital funds are locally supplied, then the vehicle is 
not subject to the charter service regulations.
    (66) Q: What can a public transit agency do if there is a time 
sensitive event, such as a presidential inauguration, for which the 
transit agency does not have time to consult with all the private 
charter operators in its area?
    A: 49 Section 604.11 provides a process to petition the FTA 
Administrator for permission to provide service for a unique and time 
sensitive event. A presidential inauguration, however, is not a good 
example of a unique and time sensitive event. A presidential 
inauguration is an event with substantial advance planning and a transit 
agency should have time to contact private operators. If the 
inauguration also includes ancillary events, the public transit agency 
should refer the customer to the registration list.
    (67) Q: Are body-on-van-chassis vehicles classified as buses or vans 
under the charter regulation?
    A: Body-on-van-chassis vehicles are treated as vans under the 
charter regulation.
    (68) Q: When a new operator registers, may recipients continue under 
existing contractual agreements for charter service?
    A: Yes. If the contract was signed before the new private operator 
registered, the arrangement can continue for up to 90 days. During that 
90 day period, however, the public transit agency must enter into an 
agreement with the new registrant. If not, the transit agency must 
terminate the existing agreement for all registered charter providers.
    (69) Q: Must a public transit agency continue to serve as the lead 
for events of regional or national significance, if after consultation 
with all registered charter providers, registered charter providers have 
enough vehicles to provide all of the service to the event?
    A. No. If after consultation with registered charter providers, 
there is no need for the public transit vehicles, then the public 
transit agency may decline to serve as the lead and allow the registered 
charter providers to work directly with event organizers. Alternatively, 
the public transit entity may retain the lead and continue to coordinate 
with event organizers and registered charter providers.
    (70) Q: What happens if a customer specifically requests a trolley 
from a transit agency and there are no registered charter providers that 
have a trolley?
    A: FTA views trolleys as buses. Thus, all the privately owned buses 
must be engaged in service and unavailable before a transit agency may 
lease its trolley. Alternatively, the transit agency could enter into an 
agreement with all registered charter providers in its geographic 
service area to allow it to provide trolley charter services.
    (71) Q: How does a transit agency enter into an agreement with all 
registered charter providers in its geographic service area?
    A: A public transit agency should send an email notice to all 
registered charter providers of its intent to provide charter service. A 
registered charter provider must respond to the email notice either 
affirmatively or negatively. The transit agency should also indicate in 
the email notification that failure to respond to the email notice 
results in concurrence with the notification.
    (72) Q: Can a registered charter provider rescind its affirmative 
response to an email notification?
    A: Yes. If after further consideration or a change in circumstances 
for the registered charter provider, a registered charter provider may 
notify the customer and the transit agency that it is no longer 
interested in providing the requested charter service. At that point, 
the transit agency may make the decision to step back in to provide the 
service.
    (73) Q: What happens after a registered charter provider submits a 
quote for charter services to a customer? Does the transit agency have 
to review the quote?
    A: Once a registered charter provider responds affirmatively to an 
email notification and provides the customer a commercially reasonable 
quote, then the transit agency may not step back in to perform the 
service. A transit agency is not responsible for reviewing the quote 
submitted by a registered charter provider. FTA recommends that a 
registered charter provider include in the quote an expiration date for 
the offer.

[73 FR 44931, Aug. 1, 2008]

[[Page 492]]



        Sec. Appendix D to Part 604--Table of Potential Remedies

    Remedy Assessment Matrix:
    [GRAPHIC] [TIFF OMITTED] TR11AU08.015
    
                           FTA's Remedy Policy

-- This remedy policy applies to decisions by the Chief Counsel, 
Presiding Officials, and final determinations by the Administrator.

-- Remedy calculation is based on the following elements:

    (1) The nature and circumstances of the violation;
    (2) The extent and gravity of the violation (``extent of deviation 
from regulatory requirements'');
    (3) The revenue earned (``economic benefit'') by providing the 
charter service;
    (4) The operating budget of the recipient;
    (5) Such other matters as justice may require; and
    (6) Whether a recipient provided service described in a cease and 
desist order after issuance of such order by the Chief Counsel.

[73 FR 44935, Aug. 1, 2008; 73 FR 46554, Aug. 11, 2008]



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.

[[Page 493]]


    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.
    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

[[Page 494]]

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.



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

[[Page 495]]

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 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

[[Page 496]]

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 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).

[[Page 497]]



               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 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.





                       Sec. 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

[[Page 498]]

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 f 
buses in charter service. To guard against 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

[[Page 499]]

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 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.

[[Page 500]]



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 Sec. Sec.609.13 through 609.21, 
the latter sections 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]



          Sec. 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

[[Page 501]]

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 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]

[[Page 502]]



PART 611_MAJOR CAPITAL INVESTMENT PROJECTS--Table of Contents



                      Subpart A_General Provisions

Sec.
611.101 Purpose and contents
611.103 Applicability
611.105 Definitions
611.107 Relation to the planning processes

                          Subpart B_New Starts

611.201 New Starts eligibility
611.203 New Starts project justification criteria
611.205 New Starts local financial commitment criteria
611.207 Overall New Starts project ratings
611.209 New Starts process
611.211 New Starts Before and After study

                         Subpart C_Small Starts

611.301 Small Starts eligibility
611.303 Small Starts project justification criteria
611.305 Small Starts local financial commitment criteria
611.307 Overall Small Starts project ratings
611.309 [Reserved]

Appendix A to Part 611--Description of Measures Used for Project 
          Evaluation

    Authority: Sec.49 U.S.C. 5309(g)(6) and 5334(a)(11); 49 CFR 1.51.

    Source: 78 FR 2031, Jan. 9, 2013, unless otherwise noted.



                      Subpart A_General Provisions



Sec.611.101  Purpose and contents.

    (a) This part prescribes the process that applicants must follow to 
be considered eligible for fixed guideway capital investment grants for 
a new fixed guideway, an extension to a fixed guideway, or a corridor-
based bus rapid transit system (known as New Starts and Small Starts). 
Also, this part prescribes the procedures used by FTA to evaluate and 
rate proposed New Starts projects as required by 49 U.S.C. 5309(d) and 
Small Starts projects as required by 49 U.S.C. 5309(h).
    (b) This part defines how the results of the evaluation described in 
paragraph (a) of this section will be used to:
    (1) Rate projects as ``high,'' ``medium-high,'' ``medium,'' 
``medium-low'' or ``low'' as required by 49 U.S.C. 5309(g)(2)(A) and 49 
U.S.C. 5309(h)(6);
    (2) Assign individual ratings for each of the project justification 
criteria specified in 49 U.S.C. 5309(d)(2)(B) and 49 U.S.C. 5309(h)(6);
    (3) Determine project eligibility for Federal funding commitments, 
in the form of full funding grant agreements (FFGA) for New Starts 
projects and expedited grant agreements (EGA) for Small Starts projects; 
and
    (4) Support funding recommendations for the New Starts and Small 
Starts programs for the President's annual budget request.
    (c) The information collected and ratings developed under this part 
will form the basis for the Annual Report on Funding Recommendations, 
required by 49 U.S.C. 5309(o)(1).



Sec.611.103  Applicability.

    (a) This part applies to all proposals for Federal major capital 
investment funds under 49 U.S.C. 5309 for new fixed guideways, 
extensions to fixed guideways, and corridor-based bus rapid transit 
systems.
    (b) This part does not apply to projects for which an FFGA or PCGA 
has already been executed, or to projects that have been approved into 
final design or project development unless the project sponsor requests 
to be covered by this part. The regulations in existence prior to the 
effective date of this rule will continue to apply to projects for which 
an FFGA or PCGA has already been executed and to projects approved into 
final design or project development unless a project sponsor requests to 
be covered by this part. New Starts projects approved for entry into 
final design shall be considered to be in the engineering phase of the 
New Starts process.
    (c) A New Starts project which has been approved for entry into 
preliminary engineering under the regulations in existence prior to the 
effective date of this rule shall be considered to be in the engineering 
phase of the New Starts process. For the purpose of completing 
engineering, the regulations in existence prior to the effective date of 
this rule will continue to apply to a New Starts project approved into 
preliminary engineering until such time

[[Page 503]]

as the sponsor requests an FFGA unless the project sponsor requests to 
be covered by this part prior to an FFGA.



Sec.611.105  Definitions.

    The definitions established by Titles 12 and 49 of the United States 
Code, the Council on Environmental Quality's regulation at 40 CFR parts 
1500-1508, and FHWA-FTA regulations at 23 CFR parts 450 and 771 are 
applicable. In addition, the following definitions apply:
    Corridor-based bus rapid transit project means a bus capital project 
where the project represents a substantial investment in a defined 
corridor as demonstrated by features such as park-and-ride lots, transit 
stations, bus arrival and departure signage, intelligent transportation 
systems technology, traffic signal priority, off-board fare collection, 
advanced bus technology, and other features that support the long-term 
corridor investment.
    Current year means the most recent year for which data on the 
existing transit system and demographic data are available.
    Early system work agreement means a contract, pursuant to the 
requirements in 49 U.S.C. 5309(k)(3), that allows some construction work 
and other clearly defined elements of a project to proceed prior to 
execution of a full funding grant agreement (FFGA). It typically 
includes a limited scope of work that is less than the full project 
scope of work and specifies the amount of New Starts funds that will be 
provided for the defined scope of work included in the agreement.
    EGA means an expedited grant agreement.
    Engineering is a phase of development for New Starts projects during 
which the scope of the proposed project is finalized; estimates of 
project cost, benefits, and impacts are refined; project management 
plans and fleet management plans are developed; and final construction 
plans (including final construction management plans), detailed 
specifications, final construction cost estimates, and bid documents are 
prepared. During engineering, project sponsors must obtain commitments 
of all non-New Starts funding.
    ESWA means early system work agreement.
    Extension to fixed guideway means a project to extend an existing 
fixed guideway or planned fixed guideway.
    FFGA means a full funding grant agreement.
    Fixed guideway means a public transportation facility that uses and 
occupies a separate right-of-way or rail line for the exclusive use of 
public transportation and other high occupancy vehicles, or uses a fixed 
catenary system and a right of way usable by other forms of 
transportation. This includes, but is not limited to, rapid rail, light 
rail, commuter rail, automated guideway transit, people movers, ferry 
boat service, and fixed-guideway facilities for buses (such as bus rapid 
transit) and other high occupancy vehicles. A new fixed guideway means a 
newly-constructed fixed guideway in a corridor or alignment where no 
such guideway exists.
    FTA means the Federal Transit Administration.
    Full funding grant agreement means a contract that defines the scope 
of a New Starts project, the amount of New Starts funds that will be 
contributed, and other terms and conditions.
    Horizon year means a year roughly 10 years or 20 years in the 
future, at the option of the project sponsor. Horizon years are based on 
available socioeconomic forecasts from metropolitan planning 
organizations, which are generally prepared in five year increments such 
as for the years 2020, 2025, 2030, and 2035.
    Locally preferred alternative means an alternative evaluated through 
the local planning process, adopted as the desired alternative by the 
appropriate State and/or local agencies and official boards through a 
public process and identified as the preferred alternative in the NEPA 
process.
    Long-range transportation plan means a financially constrained long-
range plan, developed pursuant to 23 CFR Part 450, that includes 
sufficient financial information for demonstrating that projects can be 
implemented using committed, available, or reasonably available revenue 
sources, with reasonable assurance that the Federally supported 
transportation system is being adequately operated and maintained. For 
metropolitan planning areas, this

[[Page 504]]

would be the metropolitan transportation plan and for other areas, this 
would be the long-range statewide transportation plan. In areas 
classified by the Environmental Protection Agency as ``nonattainment'' 
or ``maintenance'' of air quality standards, the long-range 
transportation plan must have been found by DOT to be in conformity with 
the applicable State Implementation Plan.
    Major capital transit investment means any project that involves the 
construction of a new fixed guideway, extension of an existing fixed 
guideway, or a corridor-based bus rapid transit system for use by public 
transit vehicles.
    NEPA process means those procedures necessary to meet the 
requirements of the National Environmental Policy Act of 1969 (NEPA), as 
amended, at 23 CFR Part 771; the NEPA process is completed when the 
project receives a categorical exclusion, a Finding of No Significant 
Impact (FONSI) or a Record of Decision (ROD).
    New Starts means a new fixed guideway project, or a project that is 
an extension to an existing fixed guideway, that has a total capital 
cost of $250,000,000 or more or for which the project sponsor is 
requesting $75,000,000 or more in New Starts funding.
    New Starts funds mean funds granted by FTA for a New Starts project 
pursuant to 49 U.S.C. 5309(d).
    No-build alternative means an alternative that includes only the 
current transportation system as well as the transportation investments 
committed in the Transportation Improvement Plan (TIP) (when the horizon 
year is 10 years in the future) or the fiscally constrained long-range 
transportation plan (when the horizon year is 20 years in the future) 
required by 23 CFR Part 450.
    Secretary means the Secretary of Transportation.
    Small Starts means a new fixed guideway project, a project that is 
an extension to an existing fixed guideway, or a corridor-based bus 
rapid transit system project, with a total capital cost of less than 
$250,000,000 and for which the project sponsor is requesting less than 
$75,000,000 in Small Starts funding.
    Small Starts funds mean funds granted by FTA for a Small Starts 
project pursuant to 49 U.S.C. 5309(h).
    Small Starts project development is a phase in the Small Starts 
process during which the scope of the proposed project is finalized; 
estimates of project costs, benefits and impacts are refined; NEPA 
requirements are completed; project management plans and fleet 
management plans are further developed; and the project sponsors obtains 
commitment of all non-Small Starts funding. It also includes (but is not 
limited to) the preparation of final construction plans (including 
construction management plans), detailed specifications, construction 
cost estimates, and bid documents.



Sec.611.107  Relation to the planning processes.

    All New Starts and Small Starts projects proposed for funding 
assistance under this part must emerge from the metropolitan and 
Statewide planning process, consistent with 23 CFR part 450, and be 
included in the fiscally constrained long-range transportation plan 
required under 23 CFR part 450.



                          Subpart B_New Starts



Sec.611.201  New Starts eligibility.

    (a) To be eligible for an engineering grant under this part for a 
new fixed guideway or an extension to a fixed guideway, a project must:
    (1) Be a New Starts project as defined in Sec.611.105; and
    (2) Be approved into engineering by FTA pursuant to Sec.611.209.
    (b) To be eligible for a construction grant under section 5309 for a 
new fixed guideway or extension to a fixed guideway, a project must:
    (1) Be a New Starts project as defined in Sec.611.105;
    (2) Have completed engineering;
    (3) Receive a ``medium'' or better rating on project justification 
pursuant to Sec.611.203;
    (4) Receive a ``medium'' or better rating on local financial 
commitment pursuant to Sec.611.205;
    (5) Meet the other requirements of 49 U.S.C. 5309.

[[Page 505]]



Sec.611.203  New Starts project justification criteria.

    (a) To perform the statutorily required evaluations and assign 
ratings for project justification, FTA will evaluate information 
developed locally through the planning and NEPA processes.
    (1) The method used by FTA to evaluate and rate projects will be a 
multiple measure approach by which the merits of candidate projects will 
be evaluated in terms of each of the criteria specified by this section.
    (2) The measures for these criteria are specified in appendix A to 
this part and elaborated on in policy guidance. This policy guidance, 
which is subject to a public comment period, is issued periodically by 
FTA whenever significant changes to the process are proposed, but not 
less frequently than every two years, as required by 49 U.S.C. 
5309(g)(5).
    (3) The measures will be applied to projects defined by project 
sponsors that are proposed to FTA for New Starts funding.
    (4) The ratings for each of the criteria in Sec.611.203(b)(1) 
through (6) will be expressed in terms of descriptive indicators, as 
follows: ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low.''
    (b) The project justification criteria are as follows:
    (1) Mobility improvements.
    (2) Environmental benefits.
    (3) Congestion relief.
    (4) Economic development effects.
    (5) Cost-effectiveness, as measured by cost per rider.
    (6) Existing land use.
    (c) In evaluating proposed New Starts projects under these project 
justification criteria:
    (1) As a candidate project proceeds through engineering, a greater 
level of commitment will be expected with respect to transit supportive 
plans and policies evaluated under the economic development criterion 
and the project sponsor's technical capacity to implement the project.
    (2) For any criteria under paragraph (b) of this section that use 
incremental measures, the point for comparison will be the no-build 
alternative.
    (d) FTA may amend the measures for these project justification 
criteria. Any such amendment will be included in policy guidance and 
subject to a public comment process.
    (e) From time to time FTA may publish through policy guidance 
standards based on characteristics of projects and/or corridors to be 
served. If a proposed project can meet the established standards, FTA 
may assign an automatic rating on one or more of the project 
justification criteria outlined in this section.
    (f) The individual ratings for each of the criteria described in 
this section will be combined into a summary project justification 
rating of ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low,'' through a process that gives comparable, but not necessarily 
equal, weight to each criterion. The process by which the project 
justification rating will be developed, including the assigned weights, 
will be described in policy guidance.



Sec.611.205  New Starts local financial commitment criteria.

    In order to approve a grant under 49 U.S.C. 5309 for a New Starts 
project, FTA must find that the proposed project is supported by an 
acceptable degree of local financial commitment, as required by 49 
U.S.C. 5309(d)(4)(iv). The local financial commitment to a proposed 
project will be evaluated according to the following measures:
    (a) The proposed share of the project's capital costs to be funded 
from sources other than New Starts funds, including both the non-New 
Starts match required by Federal law and any additional state, local or 
other Federal capital funding (also known as ``overmatch'');
    (b) The current capital and operating financial condition of the 
project sponsor;
    (c) The commitment of capital and operating funds for the project 
and the entire transit system including consideration of private 
contributions; and
    (d) The accuracy and reliability of the capital and operating costs 
and revenue estimates and the financial capacity of the project sponsor.
    (e) From time to time FTA may publish through policy guidance 
standards

[[Page 506]]

based on characteristics of projects and/or corridors to be served. If a 
proposed project can meet the established standards, FTA may assign an 
automatic rating on one or more of the local financial commitment 
criteria outlined in this section.
    (f) As a candidate project proceeds through engineering, a greater 
level of local financial commitment will be expected.
    (g) FTA may amend the measures for these local financial commitment 
criteria. Any such amendment will be included in policy guidance and 
subject to a public comment process.
    (h) For each proposed project, ratings for paragraphs (a) through 
(d) of this section will be reported in terms of descriptive indicators, 
as follows: ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low.'' For paragraph (a) of this section, the percentage of New Starts 
funding sought from 49 U.S.C. 5309 will be rated and used to develop the 
summary local financial commitment rating, but only if it improves the 
rating and not if it worsens the rating.
    (i) The ratings for each measure described in this section will be 
combined into a summary local financial commitment rating of ``high,'' 
``medium-high,'' ``medium,'' ``medium-low,'' or ``low.'' The process by 
which the summary local financial commitment rating will be developed, 
including the assigned weights to each of the measures, will be 
described in policy guidance.



Sec.611.207  Overall New Starts project ratings.

    (a) [Reserved]
    (b) FTA will assign overall project ratings to each proposed project 
of ``high,'' ``medium-high, ``medium,'' ``medium-low,'' or ``low'' as 
required by 49 U.S.C. 5309(g)(2)(A).
    (1) These ratings will indicate the overall merit of a proposed New 
Starts project at the time of evaluation.
    (2) Ratings for individual projects will be developed upon entry 
into engineering and prior to an FFGA. Additionally, ratings may be 
updated while a project is in engineering if the project scope and cost 
have changed materially since the most recent rating was assigned.
    (c) These ratings will be used to:
    (1) Approve or deny advancement of a proposed project into 
engineering ;
    (2) Approve or deny projects for ESWAs and FFGAs; and
    (3) Support annual funding recommendations to Congress in the Annual 
Report on Funding Recommendations required by 49 U.S.C. 5309(o)(1).
    (d) [Reserved]



Sec.611.209  [Reserved]



Sec.611.211  New Starts Before and After study.

    (a) During engineering, project sponsors shall submit to FTA a plan 
for collection and analysis of information to identify the 
characteristics, costs, and impacts of the New Starts project and the 
accuracy of the forecasts prepared during development of the project.
    (1) The Before and After study plan shall consider:
    (i) Characteristics including the physical scope of the project, the 
service provided by the project, any other changes in service provided 
by the transit system, and the schedule of transit fares;
    (ii) Costs including the capital costs of the project and the 
operating and maintenance costs of the transit system in appropriate 
detail; and
    (iii) Impacts including changes in transit service quality, 
ridership, and fare levels.
    (2) The plan shall provide for:
    (i) Documentation and preservation of the predicted scope, service 
levels, capital costs, operating costs, and ridership of the project;
    (ii) Collection of ``before'' data on the transit service levels and 
ridership patterns of the current transit system including origins and 
destinations, access modes, trip purposes, and rider characteristics;
    (iii) Documentation of the actual capital costs of the as-built 
project;
    (iv) Collection of ``after'' data two years after opening of the 
project, including the analogous information on transit service levels 
and ridership patterns, plus information on operating costs of the 
transit system in appropriate detail;
    (v) Analysis of the costs and impacts of the project; and

[[Page 507]]

    (vi) Analysis of the consistency of the predicted and actual 
characteristics, costs, and impacts of the project and identification of 
the sources of any differences.
    (vii) Preparation of a final report within three years of project 
opening to present the actual characteristics, costs, and impacts of the 
project and an assessment of the accuracy of the predictions of these 
outcomes.
    (3) For funding purposes, preparation of the plan for collection and 
analysis of data is an eligible part of the proposed project.
    (b) The FFGA will require implementation of the plan prepared in 
accordance with paragraph (a) of this section.
    (1) Satisfactory progress on implementation of the plan required 
under paragraph (a) of this section shall be a prerequisite to approval 
of an FFGA.
    (2) For funding purposes, collection of the ``before'' data, 
collection of the ``after'' data, and the development and reporting of 
findings are eligible parts of the proposed project.
    (3) FTA may condition receipt of funding provided for the project in 
the FFGA upon satisfactory submission of the report required under this 
section.



                         Subpart C_Small Starts



Sec.611.301  Small Starts eligibility.

    (a) To be eligible for a project development grant under this part 
for a new fixed guideway, an extension to a fixed guideway, or a 
corridor-based bus rapid transit system, a project must:
    (1) Be a Small Starts project as defined in Sec.. 611.105; and
    (2) Be approved into project development by FTA pursuant to Sec.
611.309.
    (b) To be eligible for a construction grant under this part for a 
new fixed guideway, an extension to a fixed guideway, or a corridor-
based bus rapid system, a project must:
    (1) Be a Small Starts project as defined in Sec.611.105;
    (2) Receive a ``medium'' or better rating on project justification 
pursuant to Sec.611.303;
    (3) Receive a ``medium'' or better rating on local financial 
commitment pursuant to Sec. 611.305; and
    (4) Meet the other requirements of 49 U.S.C. 5309.



Sec.611.303  Small Starts project justification criteria.

    (a) To perform the statutorily required evaluations and assign 
ratings for project justification, FTA will evaluate information 
developed locally through the planning, NEPA and project development 
processes.
    (1) The method used by FTA to evaluate and rate projects will be a 
multiple measure approach by which the merits of candidate projects will 
be evaluated in terms of each of the criteria specified by this section.
    (2) The measures for these criteria are specified in Appendix A and 
elaborated on in policy guidance. This policy guidance, which is subject 
to a public comment period, is issued periodically by FTA whenever 
significant changes are proposed, but not less frequently than every two 
years, as required by 49 U.S.C. 5309(g)(5).
    (3) The measures will be applied to projects defined by project 
sponsors that are proposed to FTA for Small Starts funding.
    (4) The ratings for each of the criteria in Sec.611.303(b)(1) 
through (6) will be expressed in terms of descriptive indicators, as 
follows: ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low.''
    (b) The project justification criteria are as follows:
    (1) Cost-effectiveness, as measured by cost per rider.
    (2) Economic development effects.
    (3) Existing land use.
    (4) Mobility improvements.
    (5) Environmental benefits.
    (6) Congestion relief.
    (c) In evaluating proposed Small Starts projects under these 
criteria:
    (1) As a candidate project proceeds through project development, a 
greater level of commitment will be expected with respect to transit 
supportive land use plans and policies and the project sponsor's 
technical capacity to implement the project.
    (2) For any criteria under paragraph (b) of this section that use 
incremental measures, the point for comparison will be the no-build 
alternative.
    (d) FTA may amend the measures for these project justification 
criteria. Any such amendment will be included in

[[Page 508]]

policy guidance and subject to a public comment process.
    (e) From time to time FTA may publish through policy guidance 
standards based on characteristics of projects and/or corridors to be 
served. If a proposed project can meet the established standards, FTA 
may assign an automatic rating on one or more of the project 
justification criteria outlined in this section.
    (f) The individual ratings for each of the criteria described in 
this section will be combined into a summary project justification 
rating of ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low'' through a process that gives comparable, but not necessarily 
equal, weight to each criterion. The process by which the project 
justification rating will be developed, including the assigned weights, 
will be described in policy guidance.



Sec.611.305  Small Starts local financial commitment criteria.

    In order to approve a grant under 49 U.S.C. 5309 for a Small Starts 
project, FTA must find that the proposed project is supported by an 
acceptable degree of local financial commitment, as required by 49 
U.S.C. 5309(h)(3)(c). The local financial commitment to a proposed 
project will be evaluated according to the following measures:
    (a) The proposed share of the project's capital costs to be funded 
from sources other than Small Starts funds, including both the non-Small 
Starts match required by Federal law and any additional state, local, or 
other Federal capital funding (known as ``overmatch'');
    (b) The current capital and operating financial condition of the 
project sponsor;
    (c) The commitment of capital and operating funds for the project 
and the entire transit system including consideration of private 
contributions; and
    (d) The accuracy and reliability of the capital and operating costs 
and revenue estimates and the financial capacity of the project sponsor.
    (e) From time to time FTA may publish through policy guidance 
standards based on characteristics of projects and/or the corridors to 
be served. If a proposed project can meet the established standards, FTA 
may assign an automatic rating on one or more of the local financial 
commitment criteria outlined in this section.
    (f) FTA may amend the measures for these local financial commitment 
criteria. Any such amendment will be included in policy guidance and 
subject to a public comment process.
    (g) As a candidate project proceeds through project development, a 
greater level of local financial commitment will be expected.
    (h) For each proposed project, ratings for paragraphs (a) through 
(d) of this section will be reported in terms of descriptive indicators, 
as follows: ``high,'' ``medium-high,'' ``medium,'' ``medium-low,'' or 
``low.'' For paragraph (a) of this section, the percentage of Small 
Starts funding sought from 49 U.S.C. 5309 will be rated and used to 
develop the summary local financial commitment rating, but only if it 
improves the rating and not if it worsens the rating.
    (i) The ratings for each measure described in this section will be 
combined into a summary local financial commitment rating of ``high,'' 
``medium-high,'' ``medium,'' ``medium-low,'' or ``low.'' The process by 
which the summary local financial commitment rating will be developed, 
including the assigned weights to each of the measures, will be 
described in policy guidance.



Sec.611.307  Overall Small Starts project ratings.

    (a) The summary ratings developed for project justification and 
local financial commitment (Sec. Sec.611.303(f) and 611.305(i)) will 
form the basis for the overall rating for each project.
    (b) FTA will assign overall project ratings to each proposed project 
of ``high,'' ``medium-high, ``medium,'' ''medium-low,'' or ``low,'' as 
required by 49 U.S.C. 5309(e)(8).
    (1) These ratings will indicate the overall merit of a proposed 
Small Starts project at the time of evaluation.
    (2) Ratings for individual projects will be developed prior to an 
EGA.
    (c) These ratings will be used to:
    (1) Approve or deny projects for EGAs; and

[[Page 509]]

    (2) Support annual funding recommendations to Congress in the Annual 
Report on Funding Recommendations required by 49 U.S.C. 5309(k)(1).
    (d) FTA will assign overall ratings for proposed Small Starts 
projects by averaging the summary ratings for project justification and 
local financial commitment. When the average of these ratings is unclear 
(e.g., summary project justification rating of ``medium-high'' and 
summary local financial commitment rating of ``medium''), FTA will round 
up the overall rating to the higher rating except in the following 
circumstances:
    (1) A ``medium'' overall rating requires a rating of at least 
``medium'' on both project justification and local financial commitment.
    (2) If a project receives a ``low'' rating on either project 
justification or local financial commitment, the overall rating will be 
``low.''



Sec.611.309  [Reserved]





 Sec. Appendix A to Part 611--Description of Measures Used for Project 
                               Evaluation

                          Project Justification

                               New Starts

                    New Starts Project Justification

    FTA will evaluate candidate New Starts projects according to the six 
project justification criteria established by 49 U.S.C. 
5309(d)(2)(A)(iii). From time to time, but not less frequently than 
every two years as directed by 49 U.S.C. 5309(g)(5), FTA publishes for 
public comment policy guidance on the application of these measures, and 
the agency expects it will continue to do so. Moreover, FTA may choose 
to amend these measures, pending the results of ongoing studies 
regarding transit benefit and cost evaluation methods. In addition, FTA 
may establish warrants for one or more of these criteria through which 
an automatic rating would be assigned based on the characteristics of 
the project and/or its corridor. FTA will develop these warrants based 
on analysis of the features of projects and/or corridor characteristics 
that would produce satisfactory ratings on one or more of the criteria. 
Such warrants would be included in policy guidance issued for public 
comment before being finalized.
    (a) Definitions. In this Appendix, the following definitions apply:
    (1) Enrichments mean certain improvements to the transit project 
desired by the grant recipient that are non-integral to the basic 
functioning of the project, whose benefits are not captured in whole by 
other criteria, and are carried out simultaneous with grant execution 
and may be included in the Federal grant. Enrichments include but are 
not limited to artwork, landscaping, and bicycle and pedestrian 
improvements such as sidewalks, paths, plazas, site and station 
furniture, site lighting, signage, public artwork, bike facilities, and 
permanent fencing. Enrichments also include sustainable building design 
features of up to 2.5 percent of the total cost of the facilities (when 
such facilities are designed to achieve a third-party certification or 
to optimize a building's design to use less energy, water and reduce 
greenhouse gas emissions that may not lead directly to an official 
certification).
    (2) Transit dependent person as used in this context means either a 
person from a household that owns no cars or a person whose household 
income places them in the lowest income stratum of the local travel 
demand model. For those project sponsors choosing to use the simplified 
national model ``transit dependent persons'' will be defined as 
individuals residing in households that do not own a car. Project 
sponsors that choose to continue to use their local travel model rather 
than the FTA developed simplified national model to estimate trips will 
define transit dependent persons as individuals in the lowest 
socioeconomic stratum as defined in the local model, which is usually 
either households with no cars or households in the lowest locally 
defined income bracket.
    (3) Trips mean linked trips riding on any portion of the New Starts 
or Small Starts project.
    (b) Mobility Improvements. (1) The total number of trips using the 
proposed project. Extra weight may be given to trips that would be made 
on the project by transit dependent persons in the current year, and, at 
the discretion of the project sponsor, in the horizon year. The method 
for assigning extra weight is set forth in policy guidance.
    (2) If the project sponsor chooses to consider project trips in the 
horizon year in addition to the current year, trips will be based on the 
weighted average of current year and horizon year.
    (c) Environmental Benefits. (1) The monetized value of the 
anticipated direct and indirect benefits to human health, safety, 
energy, and the air quality environment that are expected to result from 
implementation of the proposed project compared to:
    (i) The existing environment with the transit system in the current 
year or, (ii) at the discretion of the project sponsor, both the

[[Page 510]]

existing environment with the transit system in the current year and the 
no-build environment and transit system in the horizon year. The 
monetized benefits will be divided by the annualized capital and 
operating cost of the New Starts project, less the cost of enrichments.
    (2) Environmental benefits used in the calculation would include:
    (i) Change in air quality criteria pollutants,
    (ii) Change in energy use,
    (iii) Change in greenhouse gas emissions and
    (iv) Change in safety,
    .(3) If the project sponsor chooses to consider environmental 
benefits in the horizon year in addition to the current year, 
environmental benefits will be based on the weighted average of current 
year and horizon year.
    (d) Congestion Relief. [Reserved]
    (e) Cost-effectiveness. (1) The annualized cost per trip on the 
project, where cost includes changes in capital, operating, and 
maintenance costs, less the cost of enrichments, compared to:
    (i) The existing transit system in the current year, or
    (ii) At the discretion of the project sponsor, both the existing 
transit system in the current year and the no-build transit system in 
the horizon year.
    (2) If the project sponsor chooses to consider cost-effectiveness in 
the horizon year in addition to the current year, cost-effectiveness 
will be based on the weighted average of current year and horizon year.
    (f) Existing Land Use. (1) Existing corridor and station area 
development;
    (2) Existing corridor and station area development character;
    (3) Existing station area pedestrian facilities, including access 
for persons with disabilities;
    (4) Existing corridor and station area parking supply; and
    (5) Existing affordable housing in the project corridor.
    (g) Economic Development. (1) The extent to which a proposed project 
is likely to enhance additional, transit-supportive development based on 
a qualitative assessment of the existing local plans and policies to 
support economic development proximate to the project including:
    (i) Growth management plans and policies;
    (ii) Local plans and policies in place to support maintenance of or 
increases to affordable housing in the project corridor; and
    (iii) Demonstrated performance and impact of policies.
    (2) At the option of the project sponsor, an additional quantitative 
analysis (scenario-based estimate) of indirect changes in VMT resulting 
from changes in development patterns that are anticipated to occur with 
implementation of the proposed project. The resulting environmental 
benefits from the indirect VMT would be calculated, monetized, and 
compared to the annualized capital and operating cost of the New Starts 
project in a manner similar to that under the environmental benefits 
criterion. Such benefits are not included in the environmental benefits 
measure.

                  New Starts Local Financial Commitment

    From time to time, but not less than frequently than every two years 
as directed by U.S.C. 5309(g)(5), FTA publishes policy guidance on the 
application of these measures, and the agency expects it will continue 
to do so. Moreover, FTA may choose to amend these measures, pending the 
results of ongoing studies. In addition, FTA may establish warrants for 
one or more of these criteria through which an automatic rating would be 
assigned based on the characteristics of the project and/or its 
corridor. FTA will develop these warrants based on analysis of the 
features of projects and/or corridor characteristics that would produce 
satisfactory ratings on one or more of the criteria. Such warrants would 
be included in draft policy guidance issued for comment before being 
finalized.
    FTA will use the following measures to evaluate the local financial 
commitment of a proposed New Starts project:
    (a) The proposed share of total project costs from sources other 
than New Starts funds, including other Federal transportation funds and 
the local match required by Federal law;
    (b) The current financial condition, both capital and operating, of 
the project sponsor;
    (c) The commitment of funds for both the proposed project and the 
ongoing operation and maintenance of the existing transit system once 
the project is built including consideration of private contributions.
    (d) The reasonableness of the financial plan, including planning 
assumptions, cost estimates, and the capacity to withstand funding 
shortfalls or cost overruns.

                              Small Starts

                   Small Starts Project Justification

    FTA will evaluate candidate Small Starts projects according to the 
six project justification criteria established by 49 U.S.C. 5309(h)(4), 
From time to time, but not less than frequently than every two years as 
directed by 49 U.S.C. 5309(g)(5), FTA publishes for public comment 
policy guidance on the application of these measures. Moreover, FTA may 
choose to amend these measures, pending the results of ongoing studies 
regarding transit benefit and cost evaluation methods. In addition, FTA 
may establish warrants for one or more of these criteria through which 
an automatic rating would be

[[Page 511]]

assigned based on the characteristics of the project and/or its 
corridor. Such warrants would be included in the policy guidance so that 
they may be subject to public comment.
    (a) Mobility Improvements. (1) The total number of trips using the 
proposed project with extra weight given to trips that would be made on 
the project by transit dependent persons in the current year, and, at 
the discretion of the project sponsor, in the horizon year.
    (2) If the project sponsor chooses to consider project trips in the 
horizon year in addition to the current year, trips will be based on the 
weighted average of current year and horizon year.
    (b) Environmental Benefits. (1) The monetized value of the 
anticipated direct and indirect benefits to human health, safety, 
energy, and the air quality environment that are expected to result from 
implementation of the proposed project compared to:
    (i) The existing environment with the transit system in the current 
year or,
    (ii) At the discretion of the project sponsor, both the existing 
environment with the transit system in the current year and the no-build 
environment and transit system in the horizon year. The monetized 
benefits will be divided by the annualized federal share of the project.
    (2) Environmental benefits used in the calculation would include:
    (i) Change in air quality criteria pollutants,
    (ii) Change in energy use,
    (iii) Change in greenhouse gas emissions, and
    (iv) Change in safety.
    (3) If the project sponsor chooses to consider environmental 
benefits in the horizon year in addition to the current year, 
environmental benefits will be based on the weighted average of current 
year and horizon year.
    (c) Congestion Relief. [Reserved]
    (d) Cost-effectiveness. (1) The annualized federal share per trip on 
the project where federal share includes funds from the major capital 
investment program as well as other federal funds, compared to:
    (i) The existing transit system in the current year, or
    (ii) At the discretion of the project sponsor, both the existing 
transit system in the current year and the no-build transit system in 
the horizon year.
    (2) If the project sponsor chooses to consider cost-effectiveness in 
the horizon year in addition to the current year, cost-effectiveness 
will be based on the weighted average of current year and horizon year.
    (e) Existing Land Use. (1) Existing corridor and station area 
development;
    (2) Existing corridor and station area development character;
    (3) Existing station area pedestrian facilities, including access 
for persons with disabilities;
    (4) Existing corridor and station area parking supply; and
    (5) Existing affordable housing in the project corridor.
    (f) Economic Development. (1) The extent to which a proposed project 
is likely to enhance additional, transit-supportive development based on 
the existing plans and policies to support economic development 
proximate to the project including:
    (i) Growth management plans and policies;
    (ii) Policies in place to support maintenance of or increases to the 
share of affordable housing in the project corridor; and
    (iii) Demonstrated performance and impact of policies.
    (2) At the option of the project sponsor, an additional quantitative 
analysis (scenario-based estimate) to estimate indirect changes in VMT 
resulting from changes in development patterns that are anticipated to 
occur with implementation of the proposed project. The resulting 
environmental benefits would be calculated, monetized, and compared to 
the annualized federal share of the project.

                 Small Starts Local Financial Commitment

    If the Small Starts project sponsor can demonstrate the following, 
the project will qualify for a highly simplified financial evaluation:
    (a) A reasonable plan to secure funding for the local share of 
capital costs or sufficient available funds for the local share;
    (b) The additional operating and maintenance cost to the agency of 
the proposed Small Starts project is less than 5 percent of the project 
sponsor's existing operating budget; and
    (c) The project sponsor is in reasonably good financial condition, 
as demonstrated by the past three years' audited financial statements.
    Small Starts projects that meet these measures and request greater 
than 50 percent Small Starts funding would receive a local financial 
commitment rating of ``Medium.'' Small Starts projects that request 50 
percent or less in Small Starts funding would receive a ``High'' rating 
for local financial commitment.
    FTA will use the following measures to evaluate the local financial 
commitment to a proposed Small Starts project if it cannot meet the 
conditions listed above:
    (a) The proposed share of total project costs from sources other 
than Small Starts funds, including other Federal transportation funds 
and the local match required by Federal law;
    (b) The current financial condition, both capital and operating, of 
the project sponsor;

[[Page 512]]

    (c) The commitment of funds for both the proposed project and the 
ongoing operation and maintenance of the project sponsor's system once 
the project is built.
    (d) The reasonableness of the financial plan, including planning 
assumptions, cost estimates, and the capacity to withstand funding 
shortfalls or cost overruns.



PART 613_METROPOLITAN AND STATEWIDE AND NONMETROPOLITAN PLANNING--
Table of Contents



     Subpart A_Metropolitan Transportation Planning and Programming

Sec.
613.100 Metropolitan transportation planning and programming.

  Subpart B_Statewide and Nonmetropolitan Transportation Planning and 
                               Programming

613.200 Statewide and nonmetropolitan transportation planning and 
          programming.

    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 1.91(a) and 
21.7(a).

    Source: 81 FR 34164, May 27, 2016, unless otherwise noted.



     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. The definitions in 23 
CFR part 450, subpart A, shall apply.



  Subpart B_Statewide and Nonmetropolitan Transportation Planning and 
                               Programming



Sec.613.200  Statewide and nonmetropolitan transportation planning 
and programming.

    The regulations in 23 CFR part 450, subpart B, shall be followed in 
complying with the requirements of this subpart. The definitions in 23 
CFR part 450, subpart A, shall apply.



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. 303 and 5323(q); 23 
U.S.C. 139 and 326; Pub. L. 109-59, 119 Stat. 1144, Sections 6002 and 
6010; 40 CFR parts 1500-1508; 49 CFR 1.81; Pub. L. 112-141, 126 Stat. 
405, Sections 1315, 1316, 1317, 1318, and 1319; and Pub. L. 114-94, 129 
Stat. 1312, Sections 1314 and 1432.



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

[[Page 513]]

title 23 of the Code of Federal Regulations. The procedures for 
complying with 49 U.S.C. 303, commonly known as ``Section 4(f),'' are 
set forth in part 774 of title 23 of the Code of Federal Regulations. 
The procedures for complying with the surface transportation project 
delivery program application requirements and termination are set forth 
in part 773 of title 23 of the Code of Federal Regulations.

[79 FR 55403, Sept. 16, 2014]

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;
    (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 624_CLEAN FUELS GRANT PROGRAM--Table of Contents



Sec.
624.1 Eligible applicant.
624.3 Eligible activities.
624.5 Application process.
624.7 Certification.
624.9 Grant requirements.
624.11 Reporting.

    Authority: 49 U.S.C. 5308; 49 U.S.C. 5334(a); 49 CFR 1.51.

    Source: 67 FR 40104, June 11, 2002, unless otherwise noted.



Sec.624.1  Eligible applicant.

    (a) An eligible applicant is:
    (1) A designated recipient (designated recipient has the same 
meaning as in 49 U.S.C. 5307(a)(2)); or
    (2) A recipient for an urbanized area with a population of less than 
200,000 (smaller urbanized area). The State in which the smaller 
urbanized area is located shall act as the recipient.
    (b) An eligible applicant, as defined in paragraph (a) of this 
section, shall operate in an area that is either:
    (1) An ozone or carbon monoxide nonattainment area as specified 
under section 107(d) of the Clean Air Act (42 U.S.C. 7407(d)); or
    (2) A maintenance area for ozone or carbon monoxide.

[72 FR 15052, Mar. 30, 2007]



Sec.624.3  Eligible activities.

    (a) Eligible activities include purchasing or leasing clean fuel 
buses and constructing new or improving existing

[[Page 514]]

public transportation facilities to accommodate clean fuel buses.
    (b) The term ``clean fuel vehicle'' means a vehicle that--
    (1) Is powered by--
    (i) Compressed natural gas;
    (ii) Liquefied natural gas;
    (iii) Biodiesel fuels;
    (iv) Batteries;
    (v) Alcohol-based fuels;
    (vi) Hybrid electric;
    (vii) Fuel cells;
    (viii) Clean diesel, to the extent allowed under this section; or
    (ix) Other low or zero emissions technology; and
    (2) The Administrator of the Environmental Protection Agency has 
certified sufficiently reduces harmful emissions.
    (c) Eligible projects are the following:
    (1) Purchasing or leasing clean fuel buses, including buses that 
employ a lightweight composite primary structure, and vans for use in 
revenue service. The purchase or lease of non-revenue vehicles is not an 
eligible project.
    (2) Constructing or leasing clean fuel bus facilities or electrical 
recharging facilities and related equipment. Facilities and related 
equipment for clean diesel buses are not eligible.
    (3) At the discretion of the Administrator, projects relating to 
clean fuel, biodiesel, hybrid electric, or zero emissions technology 
buses that exhibit equivalent or superior emissions reductions to 
existing clean fuel or hybrid electric technologies.
    (4) The Federal share for eligible activities undertaken for the 
purpose of complying with or maintaining compliance with the Clean Air 
Act under this program shall be limited to 90 percent of the net 
(incremental) cost of the activity.
    (i) The Administrator may exercise discretion and determine the 
percentage of the Federal share for eligible activities to be less than 
90 percent.
    (ii) An administrative determination per this subsection will be 
published in accordance with Sec.624.5(a).
    (5) Funding for clean diesel buses shall be limited to not more than 
25 percent of the amount made available each fiscal year to carry out 
the program.
    (6) Any amount made available for this section shall remain 
available to an eligible activity for two years after the fiscal year 
for which the amount is provided. Any amount that remains unobligated at 
the end of the three-year-period shall be added to the amount made 
available to carry out the program in the following fiscal year.

[67 FR 40104, June 11, 2002, as amended at 72 FR 15053, Mar. 30, 2007]



Sec.624.5  Application process.

    (a) FTA shall publish a Notice of Funding Availability in the 
Federal Register each fiscal year that funding is made available for the 
Clean Fuels program. The notice shall provide the criteria by which the 
eligible projects will be evaluated for selection and the 
Administrator's determination of the net Federal share for projects 
funded under this Part.
    (b) The Administrator shall determine the criteria for selecting 
proposed projects for funding, which may include, but are not limited to 
the following factors:
    (1) Whether the proposed project is a transportation control measure 
in an approved State Implementation Plan;
    (2) The benefits of the proposed project in reducing transportation-
related pollutants;
    (3) Consistency with the recipient's fleet management plan;
    (4) The applicant's ability to implement the project and facilities 
to maintain and fuel the proposed vehicles;
    (5) The applicant's coordination of the proposed project with other 
public transportation entities or other related projects within the 
applicant's Metropolitan Planning Organization or the geographic region 
within which the proposed project will operate.
    (6) The proposed project's ability to support emerging clean fuels 
technologies or advanced technologies for transit buses.

[72 FR 15053, Mar. 30, 2007]



Sec.624.7  Certification.

    The applicant must use the certification contained in the Annual 
Notice

[[Page 515]]

of Assurances and Certifications published in the Federal Register each 
October.



Sec.624.9  Grant requirements.

    A grant under this section shall be subject to the following 
requirements of 49 U.S.C. 5307(d):
    (a) General. All recipients shall maintain and report financial and 
operating information on an annual basis, as prescribed in 49 CFR part 
630, and the most recent National Transit Database Reporting Manual.
    (b) Labor standards. As a condition of financial assistance under 49 
U.S.C. 5308, the interests of employees affected by the assistance shall 
be protected under arrangements that the Secretary of Labor concludes 
are fair and equitable.
    (c) Satisfactory continuing control. An FTA grantee shall:
    (1) Maintain control over federally funded property;
    (i) Ensure that it is used in transit service; and
    (ii) Dispose of it in accordance with Federal requirements.
    (2) Under this paragraph (c), if the grantee leases federally funded 
property to another party, the lease must provide the grantee 
satisfactory continuing control over the use of that property as 
determined in two areas: real property (land) and facilities; and 
personal property (equipment and rolling stock, both revenue and non-
revenue).
    (d) Maintenance. The grant applicant shall certify annually that 
pursuant to 49 U.S.C. 5307(d)(1)(C), it will maintain (federally funded) 
facilities and equipment. In addition, the grantee shall keep equipment 
and facilities acquired with Federal assistance in good operating order, 
which includes maintenance of rolling stock (revenue and non-revenue), 
machinery and equipment, and facilities.
    (e) Rates charged elderly and persons with disabilities during 
nonpeak hours. In accordance with 49 U.S.C. 5307(d)(1)(D), the grant 
applicant shall certify that the rates charged the elderly and persons 
with disabilities during nonpeak hours for fixed-route transportation 
using facilities and equipment financed with Federal assistance from FTA 
will not exceed one-half of the rates generally applicable to other 
persons at peak hours, whether the operation is by the applicant or by 
another entity under lease or otherwise.
    (f) Use of competitive procurements. Pursuant to 49 U.S.C. 
5307(d)(1)(E), the grant applicant shall certify that it will use 
competitive procurements and will not use procurements employing 
exclusionary or discriminatory specifications.
    (g) Compliance with Buy America provisions. The grant applicant 
shall certify that in carrying out a procurement authorized for this 
program, the applicant will comply with applicable Buy America laws.
    (h) Certification that local funds are available for the project. 
The grant applicant shall certify that the local funds are or will be 
available to carry out the project.
    (i) Compliance with national policy concerning elderly persons and 
individuals with disabilities. The grant applicant shall certify that it 
will comply with the requirements of 49 U.S.C. 5301(d) concerning the 
rights of elderly persons and persons with disabilities.
    (j) FTA Master Agreement. The grant applicant shall comply with 
applicable provisions of the FTA Master Agreement which is incorporated 
by reference in the grant agreement.

[72 FR 15053, Mar. 30, 2007]



Sec.624.11  Reporting.

    (a) Recipients of financial assistance under 49 U.S.C. 5308 who 
purchase or lease hybrid electric, battery electric and fuel cell 
vehicles shall report semiannually the following information to the 
appropriate FTA Regional Office for the first three years of the useful 
life of the vehicle:
    (1) Vehicle miles traveled;
    (2) Fuel/energy costs;
    (3) Vehicle fuel/energy consumption and oil consumption;
    (4) Number of road calls or breakdowns resulting from clean fuel and 
advanced propulsion technology systems, and
    (5) Maintenance costs associated with the clean fuels or advanced 
propulsion system.
    (b) Recipients of financial assistance under 49 U.S.C. 5308 who 
purchase or

[[Page 516]]

lease compressed natural gas (CNG), liquefied natural gas (LNG), and 
liquefied petroleum gas (LPG) vehicles may report the information 
described in paragraph (a) of this section, but this reporting is 
voluntary.
    (c) Recipients of financial assistance under 49 U.S.C. 5308 that 
purchase or lease clean diesel vehicles are not required to report 
information beyond FTA grant reporting requirements for capital 
projects.

[67 FR 40104, June 11, 2002, as amended at 72 FR 15053, Mar. 30, 2007]



PART 625_TRANSIT ASSET MANAGEMENT--Table of Contents



                      Subpart A_General Provisions

Sec.
625.1 Purpose.
625.3 Applicability.
625.5 Definitions.

           Subpart B_National Transit Asset Management System

625.15 Elements of the National Transit Asset Management System.
625.17 State of good repair principles.

                Subpart C_Transit Asset Management Plans

625.25 Transit Asset Management Plan requirements.
625.27 Group plans for transit asset management.
625.29 Transit asset management plan: horizon period, amendments, and 
          updates.
625.31 Implementation deadline.
625.33 Investment prioritization.

                    Subpart D_Performance Management

625.41 Standards for measuring the condition of capital assets.
625.43 SGR performance measures for capital assets.
625.45 Setting performance targets for capital assets.

  Subpart E_Recordkeeping and Reporting Requirements for Transit Asset 
                               Management

625.53 Recordkeeping for transit asset management
625.55 Annual reporting for transit asset management

Appendix A to Part 625--Asset Categories, Asset Classes, and Individual 
          Assets
Appendix B to Part 625--Relationship Amongst SGR Performance Measures, 
          SGR Definition, and SGR Principles
Appendix C to Part 625--Assets Included in National TAM System 
          Provisions

    Authority: Sec. 20019 of Pub. L. 112-141, 126 Stat. 707, 49 U.S.C. 
5326; Sec. 20025(a) of Pub. L. 112-141, 126 Stat, 718, 49 CFR 1.91.

    Source: 81 FR 48962, July 26, 2016, unless otherwise noted.



                      Subpart A_General Provisions



Sec.625.1  Purpose.

    This part carries out the mandate of 49 U.S.C. 5326 for transit 
asset management. This part establishes a National Transit Asset 
Management (TAM) System to monitor and manage public transportation 
capital assets to enhance safety, reduce maintenance costs, increase 
reliability, and improve performance.



Sec.625.3  Applicability.

    This part applies to all recipients and subrecipients of Federal 
financial assistance under 49 U.S.C. Chapter 53 that own, operate, or 
manage capital assets used for providing public transportation.



Sec.625.5  Definitions.

    All terms defined in 49 U.S.C. Chapter 53 are incorporated into this 
part by reference. The following terms also apply to this part:
    Accountable Executive means a single, identifiable person who has 
ultimate responsibility for carrying out the safety management system of 
a public transportation agency; responsibility for carrying out transit 
asset management practices; and control or direction over the human and 
capital resources needed to develop and maintain both the agency's 
public transportation agency safety plan, in accordance with 49 U.S.C. 
5329(d), and the agency's transit asset management plan in accordance 
with 49 U.S.C. 5326.
    Asset category means a grouping of asset classes, including a 
grouping of equipment, a grouping of rolling stock, a grouping of 
infrastructure, and a grouping of facilities. See Appendix A to this 
part.
    Asset class means a subgroup of capital assets within an asset 
category.

[[Page 517]]

For example, buses, trolleys, and cutaway vans are all asset classes 
within the rolling stock asset category. See Appendix A to this part.
    Asset inventory means a register of capital assets, and information 
about those assets.
    Capital asset means a unit of rolling stock, a facility, a unit of 
equipment, or an element of infrastructure used for providing public 
transportation.
    Decision support tool means an analytic process or methodology:
    (1) To help prioritize projects to improve and maintain the state of 
good repair of capital assets within a public transportation system, 
based on available condition data and objective criteria; or
    (2) To assess financial needs for asset investments over time.
    Direct recipient means an entity that receives Federal financial 
assistance directly from the Federal Transit Administration.
    Equipment means an article of nonexpendable, tangible property 
having a useful life of at least one year.
    Exclusive-use maintenance facility means a maintenance facility that 
is not commercial and either owned by a transit provider or used for 
servicing their vehicles.
    Facility means a building or structure that is used in providing 
public transportation.
    Full level of performance means the objective standard established 
by FTA for determining whether a capital asset is in a state of good 
repair.
    Group TAM plan means a single TAM plan that is developed by a 
sponsor on behalf of at least one tier II provider.
    Horizon period means the fixed period of time within which a transit 
provider will evaluate the performance of its TAM plan.
    Implementation strategy means a transit provider's approach to 
carrying out TAM practices, including establishing a schedule, 
accountabilities, tasks, dependencies, and roles and responsibilities.
    Infrastructure means the underlying framework or structures that 
support a public transportation system.
    Investment prioritization means a transit provider's ranking of 
capital projects or programs to achieve or maintain a state of good 
repair. An investment prioritization is based on financial resources 
from all sources that a transit provider reasonably anticipates will be 
available over the TAM plan horizon period.
    Key asset management activities means a list of activities that a 
transit provider determines are critical to achieving its TAM goals.
    Life-cycle cost means the cost of managing an asset over its whole 
life.
    Participant means a tier II provider that participates in a group 
TAM plan.
    Performance Measure means an expression based on a quantifiable 
indicator of performance or condition that is used to establish targets 
and to assess progress toward meeting the established targets (e.g., a 
measure for on-time performance is the percent of trains that arrive on 
time, and a corresponding quantifiable indicator of performance or 
condition is an arithmetic difference between scheduled and actual 
arrival time for each train).
    Performance target means a quantifiable level of performance or 
condition, expressed as a value for the measure, to be achieved within a 
time period required by the Federal Transit Administration (FTA).
    Public transportation system means the entirety of a transit 
provider's operations, including the services provided through 
contractors.
    Public transportation agency safety plan means a transit provider's 
documented comprehensive agency safety plan that is required by 49 
U.S.C. 5329.
    Recipient means an entity that receives Federal financial assistance 
under 49 U.S.C. Chapter 53, either directly from FTA or as a 
subrecipient.
    Rolling stock means a revenue vehicle used in providing public 
transportation, including vehicles used for carrying passengers on fare-
free services.
    Service vehicle means a unit of equipment that is used primarily 
either to support maintenance and repair work for a public 
transportation system or for delivery of materials, equipment, or tools.
    Sponsor means a State, a designated recipient, or a direct recipient 
that develops a group TAM for at least one tier II provider.

[[Page 518]]

    State of good repair (SGR) means the condition in which a capital 
asset is able to operate at a full level of performance.
    Subrecipient means an entity that receives Federal transit grant 
funds indirectly through a State or a direct recipient.
    TERM scale means the five (5) category rating system used in the 
Federal Transit Administration's Transit Economic Requirements Model 
(TERM) to describe the condition of an asset: 5.0--Excellent, 4.0--Good; 
3.0--Adequate, 2.0--Marginal, and 1.0--Poor.
    Tier I provider means a recipient that owns, operates, or manages 
either (1) one hundred and one (101) or more vehicles in revenue service 
during peak regular service across all fixed route modes or in any one 
non-fixed route mode, or (2) rail transit.
    Tier II provider means a recipient that owns, operates, or manages 
(1) one hundred (100) or fewer vehicles in revenue service during peak 
regular service across all non-rail fixed route modes or in any one non-
fixed route mode, (2) a subrecipient under the 5311 Rural Area Formula 
Program, (3) or any American Indian tribe.
    Transit asset management (TAM) means the strategic and systematic 
practice of procuring, operating, inspecting, maintaining, 
rehabilitating, and replacing transit capital assets to manage their 
performance, risks, and costs over their life cycles, for the purpose of 
providing safe, cost-effective, and reliable public transportation.
    Transit asset management (TAM) plan means a plan that includes an 
inventory of capital assets, a condition assessment of inventoried 
assets, a decision support tool, and a prioritization of investments.
    Transit asset management (TAM) policy means a transit provider's 
documented commitment to achieving and maintaining a state of good 
repair for all of its capital assets. The TAM policy defines the transit 
provider's TAM objectives and defines and assigns roles and 
responsibilities for meeting those objectives.
    Transit asset management (TAM) strategy means the approach a transit 
provider takes to carry out its policy for TAM, including its objectives 
and performance targets.
    Transit asset management system means a strategic and systematic 
process of operating, maintaining, and improving public transportation 
capital assets effectively, throughout the life cycles of those assets.
    Transit provider (provider) means a recipient or subrecipient of 
Federal financial assistance under 49 U.S.C. chapter 53 that owns, 
operates, or manages capital assets used in providing public 
transportation.
    Useful life means either the expected life cycle of a capital asset 
or the acceptable period of use in service determined by FTA.
    Useful life benchmark (ULB) means the expected life cycle or the 
acceptable period of use in service for a capital asset, as determined 
by a transit provider, or the default benchmark provided by FTA.



           Subpart B_National Transit Asset Management System



Sec.625.15  Elements of the National Transit Asset Management System.

    The National TAM System includes the following elements:
    (a) The definition of state of good repair, which includes objective 
standards for measuring the condition of capital assets, in accordance 
with subpart D of this part;
    (b) Performance measures for capital assets and a requirement that a 
provider and a group TAM plan sponsor establish performance targets for 
improving the condition of capital assets, in accordance with subpart D 
of this part;
    (c) A requirement that a provider develop and carry out a TAM plan, 
in accordance with subpart C of this part,
    (d) Reporting requirements in accordance with subpart E of this 
part; and
    (e) Analytical processes and decision support tools developed or 
recommended by FTA.



Sec.625.17  State of good repair principles.

    (a) A capital asset is in a state of good repair if it is in a 
condition sufficient for the asset to operate at a full level of 
performance. In determining

[[Page 519]]

whether a capital asset is in a state of good repair, a provider must 
consider the state of good repair standards under subpart D of this 
part.
    (b) An individual capital asset may operate at a full level of 
performance regardless of whether or not other capital assets within a 
public transportation system are in a state of good repair.
    (c) A provider's Accountable Executive must balance transit asset 
management, safety, day-to-day operations, and expansion needs in 
approving and carrying out a TAM plan and a public transportation agency 
safety plan.



                Subpart C_Transit Asset Management Plans



Sec.625.25  Transit Asset Management Plan requirements.

    (a) General. (1) Each tier I provider must develop and carry out a 
TAM plan that includes each element under paragraph (b) of this section.
    (2) Each tier II provider must develop its own TAM plan or 
participate in a group TAM plan. A tier II provider's TAM plan and a 
group TAM plan only must include elements under paragraphs (b)(1) 
through (4) of this section.
    (3) A provider's Accountable Executive is ultimately responsible for 
ensuring that a TAM plan is developed and carried out in accordance with 
this part.
    (b) Transit asset management plan elements. Except as provided in 
paragraph (a)(3) of this section, a TAM plan must include the following 
elements:
    (1) An inventory of the number and type of capital assets. The 
inventory must include all capital assets that a provider owns, except 
equipment with an acquisition value under $50,000 that is not a service 
vehicle. An inventory also must include third-party owned or jointly 
procured exclusive-use maintenance facilities, passenger station 
facilities, administrative facilities, rolling stock, and guideway 
infrastructure used by a provider in the provision of public 
transportation. The asset inventory must be organized at a level of 
detail commensurate with the level of detail in the provider's program 
of capital projects;
    (2) A condition assessment of those inventoried assets for which a 
provider has direct capital responsibility. A condition assessment must 
generate information in a level of detail sufficient to monitor and 
predict the performance of the assets and to inform the investment 
prioritization;
    (3) A description of analytical processes or decision-support tools 
that a provider uses to estimate capital investment needs over time and 
develop its investment prioritization;
    (4) A provider's project-based prioritization of investments, 
developed in accordance with Sec.625.33 of this part;
    (5) A provider's TAM and SGR policy;
    (6) A provider's TAM plan implementation strategy;
    (7) A description of key TAM activities that a provider intends to 
engage in over the TAM plan horizon period;
    (8) A summary or list of the resources, including personnel, that a 
provider needs to develop and carry out the TAM plan; and
    (9) An outline of how a provider will monitor, update, and evaluate, 
as needed, its TAM plan and related business practices, to ensure the 
continuous improvement of its TAM practices.



Sec.625.27  Group plans for transit asset management.

    (a) Responsibilities of a group TAM plan sponsor. (1) A sponsor must 
develop a group TAM plan for its tier II provider subrecipients, except 
those subrecipients that are also direct recipients under the 49 U.S.C. 
5307 Urbanized Area Formula Grant Program. The group TAM plan must 
include a list of those subrecipients that are participating in the 
plan.
    (2) A sponsor must comply with the requirements of this part for a 
TAM plan when developing a group TAM plan.
    (3) A sponsor must coordinate the development of a group TAM plan 
with each participant's Accountable Executive.
    (4) A sponsor must make the completed group TAM plan available to 
all participants in a format that is easily accessible.
    (b) Responsibilities of a group TAM plan participant. (1) A tier II 
provider

[[Page 520]]

may participate in only one group TAM plan.
    (2) A tier II provider must provide written notification to a 
sponsor if it chooses to opt-out of a group TAM plan. A provider that 
opts-out of a group TAM plan must either develop its own TAM plan or 
participate in another sponsor's group TAM plan.
    (3) A participant must provide a sponsor with any information that 
is necessary and relevant to the development of a group TAM plan.



Sec.625.29  Transit asset management plan: horizon period, amendments,
and updates.

    (a) Horizon period. A TAM plan must cover a horizon period of at 
least four (4) years.
    (b) Amendments. A provider may update its TAM plan at any time 
during the TAM plan horizon period. A provider should amend its TAM plan 
whenever there is a significant change to the asset inventory, condition 
assessments, or investment prioritization that the provider did not 
reasonably anticipate during the development of the TAM plan.
    (c) Updates. A provider must update its entire TAM plan at least 
once every four (4) years. A provider's TAM plan update should coincide 
with the planning cycle for the relevant Transportation Improvement 
Program or Statewide Transportation Improvement Program.



Sec.625.31  Implementation deadline.

    (a) A provider's initial TAM plan must be completed no later than 
two years after October 1, 2016.
    (b) A provider may submit in writing to FTA a request to extend the 
implementation deadline. FTA must receive an extension request before 
the implementation deadline and will consider all requests on a case-by-
case basis.



Sec.625.33  Investment prioritization.

    (a) A TAM plan must include an investment prioritization that 
identifies a provider's programs and projects to improve or manage over 
the TAM plan horizon period the state of good repair of capital assets 
for which the provider has direct capital responsibility.
    (b) A provider must rank projects to improve or manage the state of 
good repair of capital assets in order of priority and anticipated 
project year.
    (c) A provider's project rankings must be consistent with its TAM 
policy and strategies.
    (d) When developing an investment prioritization, a provider must 
give due consideration to those state of good repair projects to improve 
that pose an identified unacceptable safety risk when developing its 
investment prioritization.
    (e) When developing an investment prioritization, a provider must 
take into consideration its estimation of funding levels from all 
available sources that it reasonably expects will be available in each 
fiscal year during the TAM plan horizon period.
    (f) When developing its investment prioritization, a provider must 
take into consideration requirements under 49 CFR 37.161 and 37.163 
concerning maintenance of accessible features and the requirements under 
49 CFR 37.43 concerning alteration of transportation facilities.



                    Subpart D_Performance Management



Sec.625.41  Standards for measuring the condition of capital assets.

    A capital asset is in a state of good repair if it meets the 
following objective standards--
    (a) The capital asset is able to perform its designed function;
    (b) The use of the asset in its current condition does not pose an 
identified unacceptable safety risk; and
    (c) The life-cycle investment needs of the asset have been met or 
recovered, including all scheduled maintenance, rehabilitation, and 
replacements.



Sec.625.43  SGR performance measures for capital assets.

    (a) Equipment: (non-revenue) service vehicles. The performance 
measure for non-revenue, support-service and maintenance vehicles 
equipment is the percentage of those vehicles that have either met or 
exceeded their ULB.
    (b) Rolling stock. The performance measure for rolling stock is the 
percentage of revenue vehicles within a

[[Page 521]]

particular asset class that have either met or exceeded their ULB.
    (c) Infrastructure: rail fixed-guideway, track, signals, and 
systems. The performance measure for rail fixed-guideway, track, 
signals, and systems is the percentage of track segments with 
performance restrictions.
    (d) Facilities. The performance measure for facilities is the 
percentage of facilities within an asset class, rated below condition 3 
on the TERM scale.



Sec.625.45  Setting performance targets for capital assets.

    (a) General. (1) A provider must set one or more performance targets 
for each applicable performance measure.
    (2) A provider must set a performance target based on realistic 
expectations, and both the most recent data available and the financial 
resources from all sources that the provider reasonably expects will be 
available during the TAM plan horizon period.
    (b) Timeline for target setting. (1) Within three months after the 
effective date of this part, a provider must set performance targets for 
the following fiscal year for each asset class included in its TAM plan.
    (2) At least once every fiscal year after initial targets are set, a 
provider must set performance targets for the following fiscal year.
    (c) Role of the accountable executive. A provider's Accountable 
Executive must approve each annual performance target.
    (d) Setting performance targets for group plan participants. (1) A 
Sponsor must set one or more unified performance targets for each asset 
class reflected in the group TAM plan in accordance with paragraphs 
(a)(2) and (b) of this section.
    (2) To the extent practicable, a Sponsor must coordinate its unified 
performance targets with each participant's Accountable Executive.
    (e) Coordination with metropolitan, statewide and non-metropolitan 
planning processes. To the maximum extent practicable, a provider and 
Sponsor must coordinate with States and Metropolitan Planning 
Organizations in the selection of State and Metropolitan Planning 
Organization performance targets.



  Subpart E_Recordkeeping and Reporting Requirements for Transit Asset 
                               Management



Sec.625.53  Recordkeeping for transit asset management.

    (a) At all times, each provider must maintain records and documents 
that support, and set forth in full, its TAM plan.
    (b) A provider must make its TAM plan, any supporting records or 
documents performance targets, investment strategies, and the annual 
condition assessment report available to a State and Metropolitan 
Planning Organization that provides funding to the provider to aid in 
the planning process.



Sec.625.55  Annual reporting for transit asset management.

    (a) Each provider must submit the following reports:
    (1) An annual data report to FTA's National Transit Database that 
reflects the SGR performance targets for the following year and 
condition information for the provider's public transportation system.
    (2) An annual narrative report to the National Transit Database that 
provides a description of any change in the condition of the provider's 
transit system from the previous year and describes the progress made 
during the year to meet the performance targets set in the previous 
reporting year.
    (b) A Sponsor must submit one consolidated annual data report and 
one consolidated annual narrative report, as described in paragraph 
(a)(1) and (2) of this section, to the National Transit Database on 
behalf of its participants.





   Sec. Appendix A to Part 625--Asset Categories, Asset Classes, and 
                            Individual Assets

    EXAMPLE of asset categories, asset classes, and individual assets:

[[Page 522]]

[GRAPHIC] [TIFF OMITTED] TR26JY16.000



   Sec. Appendix B to Part 625--Relationship Amongst SGR Performance 
              Measures, SGR Definition, and SGR Principles

    EXAMPLE Relationship amongst SGR performance measures, SGR 
definition, and SGR principles:
    (a) A tier I provider has a TAM asset inventory containing, in total 
across all modes, over 150 revenue vehicles in peak revenue service, no 
rail fixed guideway, multiple passenger and exclusive use maintenance 
facilities, and various pieces of equipment over $50,000. Their asset 
inventory is itemized at the level of detail they use in their capital 
program of projects; it also includes capital assets they do not own but 
use. The provider conducts condition assessments on those assets in its 
inventory for which it has direct financial responsibility. The results 
of the condition assessment indicate that there is an identified 
unacceptable safety risk in the deteriorated condition of one of their 
non-revenue service vehicles, but that the non-revenue service vehicles 
are

[[Page 523]]

being used as designed. The condition assessment results show the 
provider that one non-revenue service vehicle is not in SGR.
    (b) The condition assessment results also inform the investment 
prioritization process, which for this provider is a regression analysis 
in a spreadsheet software program. The provider's criteria, as well as 
their weightings, are locally determined to produce the ranked list of 
programs and projects in their investment prioritization. The provider 
batches its projects by low, medium or high priority, identifying in 
which funding year each project will proceed. The provider has elected 
to use the ULB defaults, provided by FTA, for each of their modes until 
such time as they have resources and expertise to develop customized 
ULBs.
    (c) The provider separates assets within each asset category by 
class to determine their current performance measure metric. For 
example, the equipment listed in its TAM asset inventory includes HVAC 
equipment and service vehicles; however, the SGR performance metric for 
the equipment category only requires the non-revenue vehicle metrics. 
Thus, the provider measures only non-revenue vehicles that exceed the 
default ULB for the modes they own, operate, or manage. This metric is 
the baseline the provider uses to determine its target for the 
forthcoming year.
    (d) The provider's equipment baseline, its investment priorities 
that show minimal funding for non-revenue vehicles over the next 4 
years, and its TAM policies, strategies and key asset management 
activities are used to project its target for the equipment category. 
Since one of its non-revenue service vehicles indicated an unacceptable 
safety risk, it is elevated in the investment prioritization for 
maintenance or replacement. The provider's target may indicate a decline 
in the condition of their equipment overall, but it addresses the 
unacceptable safety risk as an immediate priority.
    (e) The cyclic nature of investment prioritization and SGR 
performance target setting requires the provider to go through the 
process more than once to settle on the balance of priorities and 
targets that best reflects its local needs and funding availability from 
all sources. The provider's accountable executive has ultimate 
responsibility for accepting and approving the TAM plan and SGR targets. 
The targets are then submit to the NTD and shared with the provider's 
planning organization. The narrative report, which describes the SGR 
performance measure metrics, is also submitted to the NTD.



  Sec. Appendix C to Part 625--Assets Included in National TAM System 
                               Provisions

       Table 1--Assets Included in National TAM System Provisions

[[Page 524]]

[GRAPHIC] [TIFF OMITTED] TR26JY16.001

 Table 2--EXAMPLE of Multiple SGR Performance Targets for a Sample Fleet

[[Page 525]]

[GRAPHIC] [TIFF OMITTED] TR26JY16.002


[[Page 526]]





PART 630_NATIONAL TRANSIT DATABASE--Table of Contents



                            Subpart A_General

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.

     Authority: 49 U.S.C. 5335.

    Source: 72 FR 68761, Dec. 6, 2007, unless otherwise noted.



Sec.630.1  Purpose.

    The purpose of this part is to prescribe requirements and procedures 
necessary for compliance with the National Transit Database Reporting 
System and Uniform System of Accounts, as mandated by 49 U.S.C. 5335, 
and to set forth the procedures for addressing a reporting entity's 
failure to comply with these requirements.



Sec.630.2  Scope.

    This part applies to all applicants for, and any person that 
receives benefits directly from, a grant under 49 U.S.C. 5307 or 5311.



Sec.630.3  Definitions.

    (a) Except as otherwise provided, terms defined in 49 U.S.C. 5302 et 
seq. apply to this part.
    (b) Except as otherwise provided, terms defined in the current 
editions of the National Transit Database Reporting Manuals and the NTD 
Uniform System of Accounts 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 entity seeking Federal financial assistance under 
49 U.S.C. chapter 53.
    Assistance means Federal financial assistance for the planning, 
acquisition, construction, or operation of public transportation 
services.
    Beneficiary means any entity that receives benefits from assistance 
under 49 U.S.C. 5307 or 5311.
    Current edition of the National Transit Database Reporting Manuals 
and Uniform System of Accounts means the most recently issued editions 
of the reference documents.
    Days mean calendar days.
    Reference Document(s) means the current editions of the National 
Transit Database Reporting Manuals and Uniform System of Accounts. These 
documents are subject to periodic revision. Beneficiaries and applicants 
are responsible for using the current editions of the reference 
documents.
    Reporting entity means an entity required to provide reports as set 
forth in the reference documents.
    State Department of Transportation means the Department of 
Transportation of a State of the United States, the District of 
Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American 
Samoa, or the U.S. Virgin Islands.
    Transit agency means an entity providing public transportation as 
defined in 49 U.S.C. 5302.

[72 FR 68761, Dec. 6, 2007, as amended at 81 FR 48969, July 26, 2016]



Sec.630.4  Requirements.

    (a) National Transit Database Reporting System. Each applicant for 
and beneficiary of Federal financial assistance under 49 U.S.C. chapter 
53 must comply with the applicable requirements of 49 U.S.C. 5335, as 
set forth in the reference documents.
    (b) Copies. Copies of reference documents are available from the 
National Transit Database Web site located at http://www.ntdprogram.gov. 
These reference documents are subject to periodic revision. Revisions of 
reference documents will be posted on the National Transit Database Web 
site and a notice of any significant changes to the reporting 
requirements specified in these reference documents will be published in 
the Federal Register.

[72 FR 68761, Dec. 6, 2007, as amended at 81 FR 48970, July 26, 2016]

[[Page 527]]



Sec.630.5  Failure to report data.

    Failure to report data in accordance with this part may result in 
the noncompliant reporting entity being ineligible to receive any 
funding under 49 U.S.C. chapter 53, directly or indirectly, until such 
time as a report is filed in accordance with this part.

[81 FR 48970, July 26, 2016]



Sec.630.6  Late and incomplete reports.

    (a) Late reports. Each reporting entity shall ensure that FTA 
receives its report by the due dates prescribed in the reference 
documents. A reporting entity may request a 30 day extension to submit 
its report. FTA will treat a failure to submit the required report by 
the due date or the extension date as failure to report data under Sec.
630.5.
    (b) Incomplete reports. FTA will treat an NTD submission that does 
not contain all of the required data; or does not contain the required 
certifications, where applicable; or that is not in substantial 
conformance with the definitions, procedures, and format requirements 
set out in the reference documents as a failure to report data under 
Sec.630.5, unless the reporting entity has exhausted all possibilities 
for obtaining this information.



Sec.630.7  Failure to respond to questions.

    FTA will review each NTD submission to verify the reasonableness of 
the data submitted. If any of the data do not appear reasonable, FTA 
will notify the reporting entity of this fact in writing, and request 
written justification from the reporting entity to either document the 
accuracy of the questioned data, or to revise the questioned data with a 
more accurate submission. Failure of a reporting entity to make a good-
faith written response to this request will be treated as a failure to 
report data under Sec.630.5.



Sec.630.8  Questionable data items.

    FTA may enter a zero, or adjust any questionable data item(s), in 
any reporting entity's NTD submission that is used in computing the 
Section 5307 apportionment. These adjustments may be made if any data 
appears to be inaccurate, have not been collected and reported in 
accordance with FTA reference documents, or if there is not adequate 
documentation and a reliable recordkeeping system.



Sec.630.9  Notice of FTA action.

    Before taking final action under Sec. Sec.630.5 or 630.8, FTA will 
transmit a written request to the reporting entity to provide the 
necessary information within a specified reasonable period of time. FTA 
will advise the reporting entity of its final decision.



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 Section 5307 apportionment may 
be discovered after any particular year's apportionment is completed. If 
so, FTA shall make adjustments to correct these errors in a subsequent 
year's apportionment to the extent feasible.



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.


[[Page 528]]


    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 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.

[[Page 529]]



             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.



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.

[[Page 530]]

    (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;



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 [RESERVED]

[[Page 531]]



PART 640_CREDIT ASSISTANCE FOR SURFACE TRANSPORTATION PROJECTS--
Table of Contents



    Authority: Secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241, 
as amended; 23 U.S.C. 181-189 and 315; 49 CFR 1.51.



Sec.640.1  Cross-reference to credit assistance.

    The regulations in 49 CFR part 80 shall be followed in complying 
with the requirements of this part. Title 49, CFR, part 80 implements 
the Transportation Infrastructure Finance and Innovation Act of 1998, 
secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241.

[64 FR 29753, June 2, 1999]



PART 650_PRIVATE INVESTMENT PROJECT PROCEDURES--Table of Contents



                      Subpart A_General Provisions

Sec.
650.1 Purpose.
650.3 Applicability.
650.5 Definitions.

             Subpart B_Private Investment Project Procedures

650.11 Private investment project procedures.
650.13 Limitation.

                           Subpart C_Reporting

650.21 Lessons learned report.

                         Subpart D_Applications

650.31 Application process.

    Authority: Sec. 20013(b)(5), Pub. L. 112-141, 126 Stat 405; 49 CFR 
1.91.

    Source: 83 FR 24677, May 30, 2018, unless otherwise noted.



                      Subpart A_General Provisions



Sec.650.1  Purpose.

    This part establishes private investment project procedures that 
seek to identify and address Federal Transit Administration requirements 
that are impediments to the greater use of public-private partnerships 
and private investment in public transportation capital projects, while 
protecting the public interest and any public investment in such 
projects.



Sec.650.3  Applicability.

    This part applies to any recipient subject to 49 U.S.C. chapter 53 
that funds a public transportation capital project with Federal 
financial assistance under 49 U.S.C. chapter 53, the Transportation 
Infrastructure Finance and Innovation Act (TIFIA) (23 U.S.C. 181-189, 
601-609), the Railroad Rehabilitation and Improvement Financing (RRIF) 
program (45 U.S.C. 821-823), or with any other Federal financial 
assistance.



Sec.650.5  Definitions.

    All terms defined in 49 U.S.C. chapter 53 are applicable to this 
part. The following definitions also apply to this part:
    Administrator means the Administrator of the Federal Transit 
Administration.
    Application means the formal documentation of an applicant's request 
to modify FTA requirements for an eligible project.
    Eligible project means any surface transportation capital project 
that is subject to 49 U.S.C. chapter 53, included in the statewide long-
range transportation plan or the metropolitan transportation plan, as 
those terms are defined in 23 CFR part 450, and that will be implemented 
as a public-private partnership, a joint development, or with other 
private sector investment.
    FTA means the Federal Transit Administration.
    FTA requirements means, for purposes of this part, existing FTA 
regulations and mandatory provisions of practices, procedures or 
guidance documents, including circulars.
    Joint development has the meaning ascribed to it in FTA Circular 
7050.1 ``Federal Transit Administration Guidance on Joint Development'' 
and, for purposes of this part, includes private sector contributions, 
whether in the form of cash investment, capital construction contributed 
at the private sector's cost or other contribution determined by the 
Administrator to qualify.
    Other private sector investment means a financial or capital 
contribution to

[[Page 532]]

an eligible project from a private sector investor that is not provided 
through a public-private partnership or joint development.
    Private investment project procedures means the procedures by which 
applicants may propose, and the Administrator may agree, subject to the 
requirements of this part, to modify or waive existing FTA requirements 
for an eligible project.
    Private sector investor means the private sector entity that 
proposes to contribute funding to an eligible project.
    Public-private partnership (P3) means a contractual agreement formed 
between a public agency and a private sector entity that is 
characterized by private sector investment and risk-sharing in the 
delivery, financing and operation of a project.
    Recipient means an entity that proposes to receive Federal financial 
assistance for an eligible project under 49 U.S.C. chapter 53, RRIF, 
TIFIA or other Federal financial assistance program.



             Subpart B_Private Investment Project Procedures



Sec.650.11  Private investment project procedures.

    (a) A recipient may, subject to the requirements of this part, 
submit applications to modify or waive existing FTA requirements for an 
eligible project. For projects with multiple recipients, recipients may, 
but are not required to, submit an application for a project jointly; 
however, only one application per phase of a project may be submitted. 
Applications may contain requests for modification or waiver of more 
than one FTA requirement. All applications shall comply with the 
requirements of Sec.650.31.
    (b) Subject to Sec.650.13, the Administrator may modify or waive 
FTA requirements if the Administrator determines the recipient has 
demonstrated that--
    (1) The FTA requirement proposed for modification discourages the 
use of a public-private partnership, a joint development, or other 
private sector investment in a federally assisted public transportation 
capital project,
    (2) The proposed modification or waiver of the FTA requirements is 
likely to have the effect of encouraging a public-private partnership, a 
joint development, or other private sector investment in a Federally-
assisted public transportation capital project,
    (3) The amount of private sector participation or risk transfer 
proposed is sufficient to warrant modification or waiver of FTA 
requirements, and
    (4) Modification or waiver of the FTA requirements can be 
accomplished while protecting the public interest and any public 
investment in the proposed federally assisted public transportation 
capital project.



Sec.650.13  Limitation.

    (a) Nothing in this part may be construed to allow the Administrator 
to modify or waive any requirement under--
    (1) 49 U.S.C. 5333;
    (2) The National Environmental Policy Act of 1969 (42 U.S.C. 4321, 
et seq.); or
    (3) Any other provision of Federal statute.
    (b) The Administrator's approval of an application under this part 
does not commit Federal-aid funding for the project.



                           Subpart C_Reporting



Sec.650.21  Lessons learned report.

    For a project for which the Administrator has modified or waived any 
FTA requirement pursuant to this part, not later than one year after 
completion of construction, and not later than two years after a project 
that includes private entity involvement in operations or maintenance 
activities has entered revenue operations, the recipient shall submit to 
FTA a report that evaluates the effects of the modification or waiver of 
Federal requirements on the delivery of the project. The report shall 
describe the modification or waiver applied to the project; evaluate the 
success or failure of the modification or waiver; evaluate the extent to 
which the modification or waiver addressed impediments to greater use of 
public-

[[Page 533]]

private partnerships and private investment in public transportation 
capital projects; and may include any recommended statutory, regulatory 
or other changes with an explanation of how the changes would encourage 
greater use of public-private partnerships and private investment in 
public transportation capital projects.



                         Subpart D_Applications



Sec.650.31  Application process.

    (a) Applications must be submitted to the FTA Private Sector Liaison 
at FTA Headquarters and provide a copy to the FTA Regional Administrator 
for the region in which the project is located. Addresses for FTA 
Headquarters and Regions are available at www.transit.dot.gov.
    (b) To be considered, an application submitted under this part 
must--
    (1) Describe the proposed project with respect to anticipated scope, 
cost, schedule, and anticipated source and amount of Federal financial 
assistance,
    (2) Identify whether the project is to be delivered as a public-
private partnership, as a joint development or with other private sector 
investment,
    (3) Describe in detail the role of the private sector investor, if 
any, in delivering the project,
    (4) Identify the specific FTA requirement(s) that the recipient 
requests to have modified or waived and a proposal as to how the 
requirement(s) should be modified,
    (5) Provide a justification for the modification(s) or waiver(s), 
including an explanation of how the FTA requirement(s) presents an 
impediment to a public-private partnership, joint development, or other 
private sector investment,
    (6) Explain how the public interest and public investment in the 
project will be protected and how FTA can ensure the appropriate level 
of public oversight and control, as determined by the Administrator, is 
undertaken if the modification(s) or waiver(s) is allowed,
    (7) Provide other recipients' concurrence with submission of the 
application and waiver of the right to submit a separate application for 
the same project, where a project has more than one recipient at the 
time of application,
    (8) Provide a financial plan identifying sources and uses of funds 
proposed or committed to the project, and
    (9) Explain the expected benefits that the modification or waiver of 
FTA requirements would provide to address impediments to the greater use 
of public-private partnerships and private investment in the project.
    (c) The Administrator shall notify the recipient in writing if the 
application fails to meet the requirements of paragraph (b) of this 
section. If the recipient does not supplement an incomplete application 
within thirty days of the date of the Administrator's notification, the 
application will be considered withdrawn without prejudice. The 
Administrator will not consider an application until the application is 
complete. The Administrator reserves the right to request additional 
information beyond the requirements in paragraph (b) upon determining 
that more information is needed to evaluate an application.
    (d) For applications that have been deemed complete, the 
Administrator will notify the recipient in writing as to whether the 
request for modification or waiver is approved or denied. Any approval 
may be given in whole or in part and may be conditioned or contingent 
upon the recipient satisfying the conditions identified in the approval.
    (e) FTA will publish on its public website information related to 
waivers the FTA Administrator has granted. This may include a copy of 
the waiver application and any supporting documents, with proprietary 
information redacted.
    Under authority delegated in 49 CFR 1.91.



PART 655_PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE 
IN TRANSIT OPERATIONS--Table of Contents



                            Subpart A_General

Sec.
655.1 Purpose.
655.2 Overview.
655.3 Applicability.
655.4 Definitions.
655.5 Stand-down waivers for drug testing.

[[Page 534]]

655.6 Preemption of state and local laws.
655.7 Starting date for testing programs.

                     Subpart B_Program Requirements

655.11 Requirement to establish an anti-drug use and alcohol misuse 
          program.
655.12 Required elements of an anti-drug use and alcohol misuse program.
655.13 [Reserved]
655.14 Education and training programs.
655.15 Policy statement contents.
655.16 Requirement to disseminate policy.
655.17 Notice requirement.
655.18-655.20 [Reserved]

                      Subpart C_Prohibited Drug Use

655.21 Drug testing.
655.22-655.30 [Reserved]

                    Subpart D_Prohibited Alcohol Use

655.31 Alcohol testing.
655.32 On duty use.
655.33 Pre-duty use.
655.34 Use following an accident.
655.35 Other alcohol-related conduct.
655.36-655.40 [Reserved]

                       Subpart E_Types of Testing

655.41 Pre-employment drug testing.
655.42 Pre-employment alcohol testing.
655.43 Reasonable suspicion testing.
655.44 Post-accident testing.
655.45 Random testing.
655.46 Return to duty following refusal to submit to a test, verified 
          positive drug test result and/or breath alcohol test result of 
          0.04 or greater.
655.47 Follow-up testing after returning to duty.
655.48 Retesting of covered employees with an alcohol concentration of 
          0.02 or greater but less than 0.04.
655.49 Refusal to submit to a drug or alcohol test.
655.50 [Reserved]

              Subpart F_Drug and Alcohol Testing Procedures

655.51 Compliance with testing procedures requirements.
655.52 Substance abuse professional (SAP).
655.53 Supervisor acting as collection site personnel.
655.54-655.60 [Reserved]

                         Subpart G_Consequences

655.61 Action when an employee has a verified positive drug test result 
          or has a confirmed alcohol test result of 0.04 or greater, or 
          refuses to submit to a test.
655.62 Referral, evaluation, and treatment.
655.63-655.70 [Reserved]

                  Subpart H_Administrative Requirements

655.71 Retention of records.
655.72 Reporting of results in a management information system.
655.73 Access to facilities and records.
655.74-655.80 [Reserved]

                     Subpart I_Certifying Compliance

655.81 Grantee oversight responsibility.
655.82 Compliance as a condition of financial assistance.
655.83 Requirement to certify compliance.

    Authority: 49 U.S.C. 5331 (as amended); 49 CFR 1.91

    Source: 66 FR 42002, Aug. 9, 2001, unless otherwise noted.



                            Subpart A_General



Sec.655.1  Purpose.

    The purpose of this part is to establish programs to be implemented 
by employers that receive financial assistance from the Federal Transit 
Administration (FTA) and by contractors of those employers, that are 
designed to help prevent accidents, injuries, and fatalities resulting 
from the misuse of alcohol and use of prohibited drugs by employees who 
perform safety-sensitive functions.



Sec.655.2  Overview.

    (a) This part includes nine subparts. Subpart A of this part covers 
the general requirements of FTA's drug and alcohol testing programs. 
Subpart B of this part specifies the basic requirements of each 
employer's alcohol misuse and prohibited drug use program, including the 
elements required to be in each employer's testing program. Subpart C of 
this part describes prohibited drug use. Subpart D of this part 
describes prohibited alcohol use. Subpart E of this part describes the 
types of alcohol and drug tests to be conducted. Subpart F of this part 
addresses the testing procedural requirements mandated by the Omnibus 
Transportation Employee Testing Act of 1991, and as required in 49 CFR 
Part 40. Subpart G of this part lists the consequences for covered 
employees who engage in alcohol misuse or prohibited drug use. Subpart H 
of this part contains administrative matters, such as

[[Page 535]]

reports and recordkeeping requirements. Subpart I of this part specifies 
how a recipient certifies compliance with the rule.
    (b) This part must be read in conjunction with 49 CFR Part 40, 
Procedures for Transportation Workplace Drug and Alcohol Testing 
Programs.



Sec.655.3  Applicability.

    (a) Except as specifically excluded in paragraphs (b), and (c) of 
this section, this part applies to:
    (1) Each recipient and subrecipient receiving Federal assistance 
under 49 U.S.C. 5307, 5309, or 5311; and
    (2) Any contractor of a recipient or subrecipient of Federal 
assistance under 49 U.S.C. 5307, 5309, 5311.
    (b) A recipient operating a railroad regulated by the Federal 
Railroad Administration (FRA) shall follow 49 CFR Part 219 and Sec.
655.83 for its railroad operations, and shall follow this part for its 
non-railroad operations, if any.
    (c) A recipient operating a ferryboat regulated by the United States 
Coast Guard (USCG) that satisfactorily complies with the testing 
requirements of 46 CFR Parts 4 and 16, and 33 CFR Part 95 shall be in 
concurrent compliance with the testing requirements of this part. This 
exception shall not apply to the provisions of section 655.45, or 
subparts G, or H of this part.

[66 FR 42002, Aug. 9, 2001, as amended at 71 FR 69198, Nov. 30, 2006; 78 
FR 37993, June 25, 2013]



Sec.655.4  Definitions.

    For this part, the terms listed in this section have the following 
definitions. The definitions of additional terms used in this part but 
not listed in this section can be found in 49 CFR Part 40.
    Accident means an occurrence associated with the operation of a 
vehicle, if as a result:
    (1) An individual dies; or
    (2) An individual suffers bodily injury and immediately receives 
medical treatment away from the scene of the accident; or
    (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 (including non-FTA funded vehicles) incurs disabling damage as 
the result of the occurrence and such vehicle or vehicles are 
transported away from the scene by a tow truck or other vehicle; or
    (4) With respect to an occurrence in which the public transportation 
vehicle involved is a rail car, trolley car, trolley bus, or vessel, the 
public transportation vehicle is removed from operation.
    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.
    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.
655.82 and Sec.655.83 for certification requirements.)
    Contractor means a person or organization that provides a safety-
sensitive 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 or will perform a safety-sensitive function for 
an entity subject to this part. A volunteer is a covered employee if:
    (1) The volunteer is required to hold a commercial driver's license 
to operate the vehicle; or
    (2) The volunteer performs a safety-sensitive function for an entity 
subject to this part and receives remuneration in excess of his or her 
actual expenses incurred while engaged in the volunteer activity.
    Disabling damage means damage that 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 a motor vehicle, where the vehicle could 
have been driven, but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage that can be remedied temporarily at the 
scene of

[[Page 536]]

the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlamp or tail light damage.
    (iv) Damage to turn signals, horn, or windshield wipers, which makes 
the vehicle inoperable.
    DOT or The Department 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 and alcohol testing. See 14 CFR part 121, appendices I 
and J; 33 CFR part 95; 46 CFR parts 4, 5, and 16; and 49 CFR parts 199, 
219, 382, and 655.
    Employer means a recipient or other entity that provides public 
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.
    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.
    Positive rate for random drug testing means the number of verified 
positive results for random drug tests conducted under this part plus 
the number of refusals of random drug tests required by this part, 
divided by the total number of random drug tests results (i.e., 
positive, negative, and refusals) under this part.
    Railroad means:
    (1) All forms of non-highway ground transportation that run on rails 
or electromagnetic guideways, including:
    (i) Commuter or other short-haul rail passenger service in a 
metropolitan or suburban area, as well as any commuter rail service that 
was operated by the Consolidated Rail Corporation as of January 1, 1979; 
and
    (ii) High speed ground transportation systems that connect 
metropolitan areas, without regard to whether they use new technologies 
not associated with traditional railroads.
    (2) 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 a person that receives Federal financial assistance 
under 49 U.S.C. 5307, 5309, or 5311 directly from the Federal 
Government.
    Refuse to submit means any circumstance outlined in 49 CFR 40.191 
and 40.261.
    Safety-sensitive function means any of the following duties, when 
performed by employees of recipients, subrecipients, operators, or 
contractors:
    (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 (including repairs, overhaul and rebuilding) a 
revenue service vehicle or equipment used in revenue service. This 
section does not apply to the following: an employer who receives 
funding under 49 U.S.C. 5307 or 5309, is in an area less than 200,000 in 
population, and contracts out such services; or an employer who receives 
funding under 49 U.S.C. 5311 and contracts out such services;
    (5) Carrying a firearm for security purposes.
    Vehicle means a bus, electric bus, van, automobile, rail car, 
trolley car, trolley bus, or vessel. A public transportation vehicle is 
a vehicle used for public transportation or for ancillary services.
    Violation rate for random alcohol testing means the number of 0.04 
and above random alcohol confirmation test results conducted under this 
part plus the number of refusals of random alcohol tests required by 
this part, divided by the total number of alcohol random screening tests 
(including refusals) conducted under this part.

[66 FR 42002, Aug. 9, 2001, as amended at 68 FR 75462, Dec. 31, 2003; 78 
FR 37993, June 25, 2013]

[[Page 537]]



Sec.655.5  Stand-down waivers for drug testing.

    (a) An employer subject to this part may petition the FTA for a 
waiver allowing the employer to stand down, per 49 CFR Part 40, an 
employee following a report of a laboratory confirmed positive drug test 
or refusal, pending the outcome of the verification process.
    (b) Each petition for a waiver must be in writing and include facts 
and justification to support the waiver. Each petition must satisfy the 
requirements for obtaining a waiver, as provided in 49 CFR 40.21.
    (c) Each petition for a waiver must be submitted to the Office of 
Safety and Security, Federal Transit Administration, U.S. Department of 
Transportation, 400 Seventh Street, SW. Washington, DC 20590.
    (d) The Administrator may grant a waiver subject to 49 CFR 40.21(d).



Sec.655.6  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 laws that impose sanctions for reckless conduct attributed to 
prohibited drug use or alcohol misuse 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.



Sec.655.7  Starting date for testing programs.

    An employer must have an anti-drug and alcohol misuse testing 
program in place by the date the employer begins operations.



                     Subpart B_Program Requirements



Sec.655.11  Requirement to establish an anti-drug use and alcohol
misuse program.

    Each employer shall establish an anti-drug use and alcohol misuse 
program consistent with the requirements of this part.



Sec.655.12  Required elements of an anti-drug use and alcohol misuse
program.

    An anti-drug use and alcohol misuse program shall include the 
following:
    (a) A statement describing the employer's policy on prohibited drug 
use and alcohol misuse in the workplace, including the consequences 
associated with prohibited drug use and alcohol misuse. This policy 
statement shall include all of the elements specified in Sec.655.15. 
Each employer shall disseminate the policy consistent with the 
provisions of Sec.655.16.
    (b) An education and training program which meets the requirements 
of Sec.655.14.
    (c) A testing program, as described in Subparts C and D of this 
part, which meets the requirements of this part and 49 CFR Part 40.
    (d) Procedures for referring a covered employee who has a verified 
positive drug test result or an alcohol concentration of 0.04 or greater 
to a Substance Abuse Professional, consistent with 49 CFR Part 40.



Sec.655.13  [Reserved]



Sec.655.14  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

[[Page 538]]

signs and symptoms that may indicate prohibited drug use.
    (2) Supervisors. Supervisors and/or other company officers 
authorized by the employer to make reasonable suspicion determinations 
shall receive at least 60 minutes of training on the physical, 
behavioral, and performance indicators of probable drug use and at least 
60 minutes of training on the physical, behavioral, speech, and 
performance indicators of probable alcohol misuse.



Sec.655.15  Policy statement contents.

    The local governing board of the employer or operator shall adopt an 
anti-drug and alcohol misuse policy statement. The statement must be 
made available to each covered employee, and shall include the 
following:
    (a) The identity of the person, office, branch and/or position 
designated by the employer to answer employee questions about the 
employer's anti-drug use and alcohol misuse programs.
    (b) The categories of employees who are subject to the provisions of 
this part.
    (c) Specific information concerning the behavior and conduct 
prohibited by this part.
    (d) The specific circumstances under which a covered employee will 
be tested for prohibited drugs or alcohol misuse under this part.
    (e) The procedures that will be used to test for the presence of 
illegal drugs or alcohol misuse, protect the employee and the integrity 
of the drug and alcohol 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 and 
alcohol testing administered in accordance with this part.
    (g) A description of the kind of behavior that constitutes a refusal 
to take a drug or alcohol test, and a statement that such a refusal 
constitutes a violation of the employer's policy.
    (h) The consequences for a covered employee who has a verified 
positive drug or a confirmed alcohol test result with an alcohol 
concentration of 0.04 or greater, or who refuses to submit to a 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, as required 
by 49 CFR Part 40.
    (i) The consequences, as set forth in Sec.655.35 of subpart D, for 
a covered employee who is found to have an alcohol concentration of 0.02 
or greater but less than 0.04.
    (j) The employer shall inform each covered employee if it implements 
elements of an anti-drug use or alcohol misuse program that are not 
required by this part. An employer may not impose requirements that are 
inconsistent with, contrary to, or frustrate the provisions of this 
part.



Sec.655.16  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 and alcohol misuse policies and procedures.



Sec.655.17  Notice requirement.

    Before performing a drug or alcohol test under this part, each 
employer shall notify a covered employee that the test is required by 
this part. No employer shall falsely represent that a test is 
administered under this part.



Sec. Sec.655.18-655.20  [Reserved]



                      Subpart C_Prohibited Drug Use



Sec.655.21  Drug testing.

    (a) An employer shall establish a program that provides testing for 
prohibited drugs and drug metabolites in the following circumstances: 
pre-employment, post-accident, reasonable suspicion, random, and return 
to duty/follow-up.
    (b) When administering a drug test, an employer shall ensure that 
the following drugs are tested for:
    (1) Marijuana;
    (2) Cocaine;
    (3) Opioids;
    (4) Amphetamines; and
    (5) Phencyclidine.

[[Page 539]]

    (c) Consumption of these products is prohibited at all times.

[66 FR 42002, Aug. 9, 2001, as amended at 84 FR 16775, Apr. 23, 2019]



Sec. Sec.655.22-655.30  [Reserved]



                    Subpart D_Prohibited Alcohol Use



Sec.655.31  Alcohol testing.

    (a) An employer shall establish a program that provides for testing 
for alcohol in the following circumstances: post-accident, reasonable 
suspicion, random, and return to duty/follow-up. An employer may also 
conduct pre-employment alcohol testing.
    (b) Each employer shall prohibit a covered employee, while having an 
alcohol concentration of 0.04 or greater, from performing or continuing 
to perform a safety-sensitive function.



Sec.655.32  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.655.33  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.655.34  Use following an accident.

    Each employer shall prohibit alcohol use by any covered employee 
required to take a post-accident alcohol test under Sec.655.44 for 
eight hours following the accident or until he or she undergoes a post-
accident alcohol test, whichever occurs first.



Sec.655.35  Other alcohol-related conduct.

    (a) No employer shall permit a covered employee tested under the 
provisions of subpart E 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 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.



Sec. Sec.655.36-655.40  [Reserved]



                       Subpart E_Types of Testing



Sec.655.41  Pre-employment drug testing.

    (a)(1) Before allowing a covered employee or applicant to perform a 
safety-sensitive function for the first time, the employer must ensure 
that the employee takes a pre-employment drug test administered under 
this part with a verified negative result. An employer may not allow a 
covered employee, including an applicant, to perform a safety-sensitive 
function unless the employee takes a drug test administered under this 
part with a verified negative result.
    (2) When a covered employee or applicant has previously failed or 
refused a pre-employment drug test administered under this part, the 
employee

[[Page 540]]

must provide the employer proof of having successfully completed a 
referral, evaluation and treatment plan as described in Sec.655.62.
    (b) An employer may not transfer an employee from a nonsafety-
sensitive function to a safety-sensitive function until the employee 
takes a pre-employment drug test administered under this part with a 
verified negative result.
    (c) If a pre-employment drug test is canceled, the employer shall 
require the covered employee or applicant to take another pre-employment 
drug test administered under this part with a verified negative result.
    (d) When a covered employee or applicant has not performed a safety-
sensitive function for 90 consecutive calendar days regardless of the 
reason, and the employee has not been in the employer's random selection 
pool during that time, the employer shall ensure that the employee takes 
a pre-employment drug test with a verified negative result.



Sec.655.42  Pre-employment alcohol testing.

    An employer may, but is not required to, conduct pre-employment 
alcohol testing under this part. If an employer chooses to conduct pre-
employment alcohol testing, the employer must comply with the following 
requirements:
    (a) The employer must conduct a pre-employment alcohol test before 
the first performance of safety-sensitive functions by every covered 
employee (whether a new employee or someone who has transferred to a 
position involving the performance of safety-sensitive functions).
    (b) The employer must treat all covered employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., you must not test some covered employees and not others).
    (c) The employer must conduct the pre-employment tests after making 
a contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (d) The employer must conduct all pre-employment alcohol tests using 
the alcohol testing procedures set forth in 49 CFR Part 40.
    (e) The employer must not allow a covered employee to begin 
performing safety-sensitive functions unless the result of the 
employee's test indicates an alcohol concentration of less than 0.02.



Sec.655.43  Reasonable suspicion testing.

    (a) An employer shall conduct a drug and/or alcohol test when the 
employer has reasonable suspicion to believe that the covered employee 
has used a prohibited drug and/or engaged in alcohol misuse.
    (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. A supervisor(s), or other company official(s) who is 
trained in detecting the signs and symptoms of drug use and alcohol 
misuse must make the required observations.
    (c) Alcohol testing is authorized under 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 workday 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) If an alcohol 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 alcohol test was not promptly administered. If 
an alcohol 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.

[[Page 541]]



Sec.655.44  Post-accident testing.

    (a) Accidents. (1) Fatal accidents. (i) As soon as practicable 
following an accident involving the loss of human life, an employer 
shall conduct drug and alcohol tests on each surviving covered employee 
operating the public transportation vehicle at the time of the accident. 
Post-accident drug and alcohol testing of the operator is not required 
under this section if the covered employee is tested under the fatal 
accident testing requirements of the Federal Motor Carrier Safety 
Administration rule 49 CFR 389.303(a)(1) or (b)(1).
    (ii) The employer shall also drug and alcohol 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 a public 
transportation vehicle is involved, the employer shall drug and alcohol 
test each covered employee operating the public transportation 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 employer shall also drug and alcohol 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) If an alcohol 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 alcohol test was not 
promptly administered. If an alcohol test required by this section is 
not administered within eight hours following the accident, the employer 
shall cease attempts to administer an alcohol test and maintain the 
record. Records shall be submitted to FTA upon request of the 
Administrator.
    (b) An employer shall ensure that a covered employee required to be 
drug tested under this section is tested as soon as practicable but 
within 32 hours of the accident.
    (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 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.
    (d) The decision not to administer a drug and/or alcohol test under 
this section 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. Such 
a decision must be documented in detail, including the decision-making 
process used to reach the decision not to test.
    (e) 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.
    (f) The results of a blood, urine, or breath test for the use of 
prohibited drugs or alcohol misuse, conducted by Federal, State, or 
local officials having independent authority for the test, shall be 
considered to meet the requirements of this section provided such test 
conforms to the applicable Federal, State, or local testing 
requirements, and that the test results are obtained by the employer. 
Such test results may be used only when the employer is unable to 
perform a post-accident test within the required period noted in 
paragraphs (a) and (b) of this section.

[66 FR 42002, Aug. 9, 2001, as amended at 78 FR 37993, June 25, 2013]



Sec.655.45  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; the random alcohol testing 
rate shall be 10 percent. As provided in paragraph (b) of this section,

[[Page 542]]

this rate is subject to annual review by the Administrator.
    (b) The Administrator's decision to increase or decrease the minimum 
annual percentage rate for random drug and alcohol testing is based, 
respectively, on the reported positive drug and alcohol violation rates 
for the entire industry. All information used for this determination is 
drawn from the drug and alcohol Management Information System (MIS) 
reports required by this part. In order to ensure reliability of the 
data, the Administrator shall consider 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's verified positive results and violation rates. Each year, the 
Administrator will publish in the Federal Register the minimum annual 
percentage rates for random drug and alcohol testing of covered 
employees. The new minimum annual percentage rate for random drug and 
alcohol testing will be applicable starting January 1 of the calendar 
year following publication.
    (c) Rates for drug testing. (1) 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.655.72 for the two preceding consecutive calendar years indicate 
that the reported positive rate is less than 1.0 percent.
    (2) When the minimum annual percentage rate for random drug testing 
is 25 percent, and the data received under the reporting requirements of 
Sec.655.72 for the 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 or random 
alcohol testing to 50 percent of all covered employees.
    (d) Rates for alcohol testing. (1)(i) 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.655.72 for two consecutive calendar 
years indicate that the violation rate is less than 0.5 percent.
    (ii) 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.655.72 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.
    (2)(i) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec.655.72 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.
    (ii) 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.655.72 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 drug and 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 rates for random 
drug and alcohol testing determined by the Administrator. If the 
employer conducts random drug and alcohol testing through a

[[Page 543]]

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 and 
alcohol testing at the same minimum annual percentage rate under this 
part.
    (g) Each employer shall ensure that random drug and alcohol tests 
conducted under this part are unannounced and unpredictable, and that 
the dates for administering random tests are spread reasonably 
throughout the calendar year. Random testing must be conducted at all 
times of day when safety-sensitive functions are performed.
    (h) Each employer shall require that each covered employee who is 
notified of selection for random drug or random alcohol testing proceed 
to the test site immediately. 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 immediately.
    (i) A covered employee shall only be randomly tested for alcohol 
misuse 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. A covered 
employee may be randomly tested for prohibited drug use anytime while on 
duty.
    (j) If a given covered employee is subject to random drug and 
alcohol testing under the testing rules of more than one DOT agency for 
the same employer, the employee shall be subject to random drug and 
alcohol testing at the percentage rate established for the calendar year 
by the DOT agency regulating more than 50 percent of the employee's 
function.
    (k) If an employer is required to conduct random drug and alcohol 
testing under the drug and alcohol 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.



Sec.655.46  Return to duty following refusal to submit to a test, 
verified positive drug test result and/or breath alcohol test result
of 0.04 or greater.

    Where a covered employee refuses to submit to a test, has a verified 
positive drug test result, and/or has a confirmed alcohol test result of 
0.04 or greater, the employer, before returning the employee to duty to 
perform a safety-sensitive function, shall follow the procedures 
outlined in 49 CFR Part 40.



Sec.655.47  Follow-up testing after returning to duty.

    An employer shall conduct follow-up testing of each employee who 
returns to duty, as specified in 49 CFR Part 40, subpart O.



Sec.655.48  Retesting of covered employees with an alcohol 
concentration of 0.02 or greater but less than 0.04.

    If an employer chooses to permit a covered employee to perform a 
safety-sensitive function within 8 hours of an alcohol test indicating 
an alcohol concentration of 0.02 or greater but less than 0.04, the 
employer shall retest the covered employee to ensure compliance with the 
provisions of Sec.655.35. The covered employee may not perform safety-
sensitive functions unless the confirmation alcohol test result is less 
than 0.02.



Sec.655.49  Refusal to submit to a drug or alcohol test.

    (a) Each employer shall require a covered employee to submit to a 
post-accident drug and alcohol test required under Sec.655.44, a 
random drug and alcohol test required under Sec.655.45, a reasonable 
suspicion drug and alcohol test required under Sec.655.43, or a 
follow-up drug and alcohol test required under Sec.655.47. No employer 
shall permit an employee who refuses to submit to such a test to perform 
or continue to perform safety-sensitive functions.

[[Page 544]]

    (b) When an employee refuses to submit to a drug or alcohol test, 
the employer shall follow the procedures outlined in 49 CFR Part 40.



Sec.655.50  [Reserved]



              Subpart F_Drug and Alcohol Testing Procedures



Sec.655.51  Compliance with testing procedures requirements.

    The drug and alcohol testing procedures in 49 CFR Part 40 apply to 
employers covered by this part, and must be read together with this 
part, unless expressly provided otherwise in this part.



Sec.655.52  Substance abuse professional (SAP).

    The SAP must perform the functions in 49 CFR Part 40.



Sec.655.53  Supervisor acting as collection site personnel.

    An employer shall not permit an employee with direct or immediate 
supervisory responsibility or authority over another employee to serve 
as the urine collection person, breath alcohol technician, or saliva-
testing technician for a drug or alcohol test of the employee.



Sec. Sec.655.54-655.60  [Reserved]



                         Subpart G_Consequences



Sec.655.61  Action when an employee has a verified positive drug
test result or has a confirmed alcohol test result of 0.04 
or greater, or refuses to submit to a test.
          

    (a) (1) Immediately after receiving notice from a medical review 
officer (MRO) or a consortium/third party administrator (C/TPA) that a 
covered employee has a verified positive drug test result, the employer 
shall require that the covered employee cease performing a safety-
sensitive function.
    (2) Immediately after receiving notice from a Breath Alcohol 
Technician (BAT) that a covered employee has a confirmed alcohol test 
result of 0.04 or greater, the employer shall require that the covered 
employee cease performing a safety-sensitive function.
    (3) If an employee refuses to submit to a drug or alcohol test 
required by this part, the employer shall require that the 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 the employee meets 
the requirements of 49 CFR Part 40 for returning to duty, including 
taking a return to duty drug and/or alcohol test.



Sec.655.62  Referral, evaluation, and treatment.

    If a covered employee has a verified positive drug test result, or 
has a confirmed alcohol test of 0.04 or greater, or refuses to submit to 
a drug or alcohol test required by this part, the employer shall advise 
the employee of the resources available for evaluating and resolving 
problems associated with prohibited drug use and alcohol misuse, 
including the names, addresses, and telephone numbers of substance abuse 
professionals (SAPs) and counseling and treatment programs.



Sec. Sec.655.63-655.70  [Reserved]



                  Subpart H_Administrative Requirements



Sec.655.71  Retention of records.

    (a) General requirement. An employer shall maintain records of its 
anti-drug and alcohol misuse 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 minimum period of time as measured from the date of the 
creation of the record. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. Records of covered employee verified positive drug 
or alcohol test results, documentation of refusals to take required drug 
or alcohol tests, and covered employee referrals to the substance abuse 
professional, and copies of annual MIS reports submitted to FTA.

[[Page 545]]

    (2) Two years. Records related to the collection process and 
employee training.
    (3) One year. Records of negative drug or alcohol 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 or alcohol tests.
    (iv) Documents generated in connection with decisions on post-
accident drug and alcohol testing.
    (v) MRO documents verifying existence of a medical explanation of 
the inability of a covered employee to provide an adequate urine or 
breathe 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 test required by this part.
    (iii) Documents presented by a covered employee to dispute the 
result of a test administered under this part.
    (3) Records related to referral and return to duty and follow-up 
testing: Records concerning a covered employee's entry into and 
completion of the treatment program recommended by the substance abuse 
professional.
    (4) Records related to employee training:
    (i) Training materials on drug use awareness and alcohol misuse, 
including a copy of the employer's policy on prohibited drug use and 
alcohol misuse.
    (ii) Names of covered employees attending training on prohibited 
drug use and alcohol misuse 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 and alcohol 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.655.72  Reporting of results in a management information system.

    (a) Each recipient shall annually prepare and maintain a summary of 
the results of its anti-drug and alcohol misuse testing programs 
performed under this part during the previous calendar year.
    (b) When requested by FTA, each recipient shall submit to FTA's 
Office of Safety and Security, or its designated agent, by March 15, a 
report covering the previous calendar year (January 1 through December 
31) summarizing the results of its anti-drug and alcohol misuse 
programs.
    (c) Each recipient shall be responsible for ensuring the accuracy 
and timeliness of each report submitted by an employer, contractor, 
consortium or joint enterprise or by a third party service provider 
acting on the recipient's or employer's behalf.
    (d) As an employer, you must use the Management Information System 
(MIS) form and instructions as required by 49 CFR part 40, Sec.40.25 
and appendix H. You may also use the electronic version of the MIS form 
provided by the DOT. The Administrator may designate means (e.g., 
electronic program transmitted via the Internet), other than hard-copy, 
for MIS form submission. For information on where to submit MIS forms 
and for the electronic version of the form, see: http://transit-
safety.volpe.dot.gov/DAMIS.
    (e) To calculate the total number of covered employees eligible for 
random testing throughout the year, as an employer, you must add the 
total number of covered employees eligible for testing during each 
random testing period for the year and divide that total by the number 
of random testing periods. Covered employees, and only covered 
employees, are to be in an employer's random testing pool, and all 
covered employees must be in the random pool. If you are an employer 
conducting random testing more often than once per month (e.g., you 
select daily, weekly, bi-weekly), you do not need to compute this total 
number of covered employees rate more than on a once per month basis. As 
an employer, you may use a

[[Page 546]]

service agent (e.g., C/TPA) to perform random selections for you; and 
your covered employees may be part of a larger random testing pool of 
covered employees. However, you must ensure that the service agent you 
use is testing at the appropriate percentage established for your 
industry and that only covered employees are in the random testing pool.
    (f) If you have a covered employee who performs multi-DOT agency 
functions (e.g., an employee drives a paratransit vehicle and performs 
pipeline maintenance duties for you), count the employee only on the MIS 
report for the DOT agency under which he or she is random tested. 
Normally, this will be the DOT agency under which the employee performs 
more than 50% of his or her duties. Employers may have to explain the 
testing data for these employees in the event of a DOT agency inspection 
or audit.
    (g) A service agent (e.g., Consortia/Third Party Administrator as 
defined in 49 CFR part 40) may prepare the MIS report on behalf of an 
employer. However, a company official (e.g., Designated Employer 
Representative as defined in 49 CFR part 40) must certify the accuracy 
and completeness of the MIS report, no matter who prepares it.

[66 FR 42002, Aug. 9, 2001, as amended at 68 FR 75462, Dec. 31, 2003]



Sec.655.73  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.655.71.
    (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 or misuse of alcohol, including any records pertaining 
to his or her drug or alcohol tests. The employer shall provide promptly 
the records requested by the employee. Access to a covered employee's 
records shall not be contingent upon the employer's receipt of payment 
for the production of those records.
    (c) An employer shall permit access to all facilities utilized and 
records compiled 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 and alcohol testing 
programs, and any other information pertaining to the employer's anti-
drug and alcohol misuse programs required to be maintained by this part, 
to 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, upon the 
Secretary's request or the respective agency's request.
    (e) When requested by the National Transportation Safety Board as 
part of an accident investigation, employers shall disclose information 
related to the employer's drug or alcohol testing related to the 
accident under investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of a 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 
or alcohol test 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.
    (i) An employer may disclose drug and alcohol testing information 
required to be maintained under this part, pertaining to a covered 
employee,

[[Page 547]]

to the State oversight agency or grantee required to certify to FTA 
compliance with the drug and alcohol testing procedures of 49 CFR parts 
40 and 655.



Sec. Sec.655.74-655.80  [Reserved]



                     Subpart I_Certifying Compliance



Sec.655.81  Grantee oversight responsibility.

    A recipient shall ensure that a subrecipient or contractor who 
receives 49 U.S.C. 5307, 5309, or 5311 funds directly from the recipient 
complies with this part.

[78 FR 37993, June 25, 2013]



Sec.655.82  Compliance as a condition of financial assistance.

    (a) A recipient shall not be eligible for Federal financial 
assistance under 49 U.S.C. 5307, 5309, or 5311, if a recipient fails to 
establish an anti-drug and alcohol misuse program in compliance with 
this part.
    (b) If the Administrator determines that a recipient that receives 
Federal financial assistance under 49 U.S.C. 5307, 5309, or 5311 is not 
in compliance with this part, the Administrator may bar the recipient 
from receiving Federal financial assistance in an amount the 
Administrator considers appropriate.
    (c) A recipient is subject to criminal sanctions and fines for false 
statements or misrepresentations under 18 U.S.C. 1001.
    (d) Notwithstanding Sec.655.3, a recipient operating a ferryboat 
regulated by the USCG who fails to comply with the USCG chemical and 
alcohol testing requirements, shall be in noncompliance with this part 
and may be barred from receiving Federal financial assistance in an 
amount the Administrator considers appropriate.

[78 FR 37993, June 25, 2013]



Sec.655.83  Requirement to certify compliance.

    (a) A recipient of Federal financial assistance under section 5307, 
5309, or 5311 shall annually certify compliance with this part to the 
applicable FTA Regional Office.
    (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.
    (c) Recipients, including a State, that administers 49 U.S.C. 5307, 
5309, or 5311 Federal financial assistance to subrecipients and 
contractors, shall annually certify compliance with the requirements of 
this part, on behalf of its applicable subrecipient or contractor to the 
applicable FTA Regional Office. A recipient administering section 5307, 
5309, or 5311 Federal funding may suspend a subrecipient or contractor 
from receiving Federal transit funds for noncompliance with this part.

[66 FR 42002, Aug. 9, 2001, as amended at 71 FR 69198, Nov. 30, 2006; 78 
FR 37993, June 25, 2013]



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.

                       Subpart B_Role of the State

659.7 Withholding of funds for noncompliance.
659.9 Designation of oversight agency.
659.11 Confidentiality of investigation reports and security plans.

              Subpart C_Role of the State Oversight Agency

659.13 Overview.
659.15 System safety program standard.
659.17 System safety program plan: general requirements.
659.19 System safety program plan: contents.
659.21 System security plan: general requirements.
659.23 System security plan: contents.
659.25 Annual review of system safety program plan and system security 
          plan.
659.27 Internal safety and security reviews.
659.29 Oversight agency safety and security reviews.
659.31 Hazard management process.
659.33 Accident notification.
659.35 Investigations.
659.37 Corrective action plans.
659.39 Oversight agency reporting to the Federal Transit Administration.
659.41 Conflict of interest.

[[Page 548]]

659.43 Certification of compliance.

    Authority: 49 U.S.C. 5330.

    Source: 70 FR 22578, Apr. 29, 2005, 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 and security of rail fixed guideway systems through a 
designated oversight agency.



Sec.659.3  Scope.

    This part applies only to states with rail fixed guideway systems, 
as defined in this part.



Sec.659.5  Definitions.

    Contractor means an entity that performs tasks required on behalf of 
the oversight or rail transit agency. The rail transit agency may not be 
a contractor for the oversight agency.
    Corrective action plan means a plan developed by the rail transit 
agency that describes the actions the rail transit agency will take to 
minimize, control, correct, or eliminate hazards, and the schedule for 
implementing those actions.
    FRA means the Federal Railroad Administration, an agency within the 
U.S. Department of Transportation.
    FTA means the Federal Transit Administration, an agency within the 
U.S. Department of Transportation.
    Hazard means any real or potential condition (as defined in the rail 
transit agency's hazard management process) that can cause injury, 
illness, or death; damage to or loss of a system, equipment or property; 
or damage to the environment.
    Individual means a passenger; employee; contractor; other rail 
transit facility worker; pedestrian; trespasser; or any person on rail 
transit-controlled property.
    Investigation means the process used to determine the causal and 
contributing factors of an accident or hazard, so that actions can be 
identified to prevent recurrence.
    New Starts Project means any rail fixed guideway system funded under 
FTA's 49 U.S.C. 5309 discretionary construction program.
    Oversight Agency means the entity, other than the rail transit 
agency, designated by the state or several states to implement this 
part.
    Passenger means a person who is on board, boarding, or alighting 
from a rail transit vehicle for the purpose of travel.
    Passenger Operations means the period of time when any aspect of 
rail transit agency operations are initiated with the intent to carry 
passengers.
    Program Standard means a written document developed and adopted by 
the oversight agency, that describes the policies, objectives, 
responsibilities, and procedures used to provide rail transit agency 
safety and security oversight.
    Rail Fixed Guideway System means any light, heavy, or rapid rail 
system, monorail, inclined plane, funicular, trolley, or automated 
guideway that:
    (1) Is not regulated by the Federal Railroad Administration; and
    (2) Is 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); or
    (3) Has submitted documentation to FTA indicating its intent to be 
included in FTA's calculation of fixed guideway route miles to receive 
funding under FTA's formula program for urbanized areas (49 U.S.C. 
5336).
    Rail Transit Agency means an entity that operates a rail fixed 
guideway system.
    Rail Transit-Controlled Property means property that is used by the 
rail transit agency and may be owned, leased, or maintained by the rail 
transit agency.
    Rail Transit Vehicle means the rail transit agency's rolling stock, 
including but not limited to passenger and maintenance vehicles.
    Safety means freedom from harm resulting from unintentional acts or 
circumstances.
    Security means freedom from harm resulting from intentional acts or 
circumstances.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.

[[Page 549]]

    System Safety Program Plan means a document developed and adopted by 
the rail transit agency, describing its safety policies, objectives, 
responsibilities, and procedures.
    System Security Plan means a document developed and adopted by the 
rail transit agency describing its security policies, objectives, 
responsibilities, and procedures.



                       Subpart B_Role of the State



Sec.659.7  Withholding of funds for noncompliance.

    (a) The Administrator of the FTA may withhold up to five percent of 
the amount required to be distributed to any state or affected urbanized 
area in such state under FTA's formula program for urbanized areas, if:
    (1) The state in the previous fiscal year has not met the 
requirements of this part; and
    (2) The Administrator determines that the state is not making 
adequate efforts to comply with this part.
    (b) The Administrator may agree to restore withheld formula funds, 
if compliance is achieved within two years (See 49 U.S.C. 5330).



Sec.659.9  Designation of oversight agency.

    (a) General requirement. Each state with an existing or anticipated 
rail fixed guideway system regulated by this part shall designate an 
oversight agency consistent with the provisions of this section. For a 
rail fixed guideway system that will operate in only one state, the 
state must designate an agency of the state, other than the rail transit 
agency, as the oversight agency to implement the requirements in this 
part. The state's designation or re-designation of its oversight agency 
and submission of required information as specified in this section, are 
subject to review by FTA.
    (b) Exception. States which have designated oversight agencies for 
purposes of this part before May 31, 2005 are not required to re-
designate to FTA.
    (c) Timing. The state designation of the oversight agency shall:
    (1) Coincide with the execution of any grant agreement for a New 
Starts project between FTA and a rail transit agency within the state's 
jurisdiction; or
    (2) Occur before the application by a rail transit agency for 
funding under FTA's formula program for urbanized areas (49 U.S.C. 
5336).
    (d) Notification to FTA. Within (60) days of designation of the 
oversight agency, the state must submit to FTA the following:
    (1) The name of the oversight agency designated to implement 
requirements in this part;
    (2) Documentation of the oversight agency's authority to provide 
state oversight;
    (3) Contact information for the representative identified by the 
designated oversight agency with responsibility for oversight 
activities;
    (4) A description of the organizational and financial relationship 
between the designated oversight agency and the rail transit agency; and
    (5) A schedule for the designated agency's development of its State 
Safety Oversight Program, including the projected date of its initial 
submission, as required in Sec.659.39(a).
    (e) Multiple states. In cases of a rail fixed guideway system that 
will operate in more than one state, each affected state must designate 
an agency of the state, other than the rail transit agency, as the 
oversight agency to implement the requirements in this part. To fulfill 
this requirement, the affected states:
    (1) May agree to designate one agency of one state, or an agency 
representative of all states, to implement the requirements in this 
part; and
    (2) In the event multiple states share oversight responsibility for 
a rail fixed guideway system, the states must ensure that the rail fixed 
guideway system is subject to a single program standard, adopted by all 
affected states.
    (f) Change of designation. Should a state change its designated 
oversight agency, it shall submit the information required under 
paragraph (d) of this section to FTA within (30) days of its change. In 
addition, the new oversight agency must submit a new initial submission, 
consistent with Sec.659.39(b), within (30) days of its designation.

[[Page 550]]



Sec.659.11  Confidentiality of investigation reports and security
plans.

    (a) A state may withhold an investigation report that may have been 
prepared or adopted by the oversight agency from being admitted as 
evidence or used in a civil action for damages resulting from a matter 
mentioned in the report.
    (b) This part does not require public availability of the rail 
transit agency's security plan and any referenced procedures.



              Subpart C_Role of the State Oversight Agency



Sec.659.13  Overview.

    The state oversight agency is responsible for establishing standards 
for rail safety and security practices and procedures to be used by rail 
transit agencies within its purview. In addition, the state oversight 
agency must oversee the execution of these practices and procedures, to 
ensure compliance with the provisions of this part. This subpart 
identifies and describes the various requirements for the state 
oversight agency.



Sec.659.15  System safety program standard.

    (a) General requirement. Each state oversight agency shall develop 
and distribute a program standard. The program standard is a compilation 
of processes and procedures that governs the conduct of the oversight 
program at the state oversight agency level, and provides guidance to 
the regulated rail transit properties concerning processes and 
procedures they must have in place to be in compliance with the state 
safety oversight program. The program standard and any referenced 
program procedures must be submitted to FTA as part of the initial 
submission. Subsequent revisions and updates must be submitted to FTA as 
part of the oversight agency's annual submission.
    (b) Contents. Each oversight agency shall develop a written program 
standard that meets the requirements specified in this part and 
includes, at a minimum, the areas identified in this section.
    (1) Program management section. This section shall include an 
explanation of the oversight agency's authority, policies, and roles and 
responsibilities for providing safety and security oversight of the rail 
transit agencies within its jurisdiction. This section shall provide an 
overview of planned activities to ensure on-going communication with 
each affected rail transit agency relating to safety and security 
information, as well as FTA reporting requirements, including initial, 
annual and periodic submissions.
    (2) Program standard development section. This section shall include 
a description of the oversight agency's process for the development, 
review, and adoption of the program standard, the modification and/or 
update of the program standard, and the process by which the program 
standard and any subsequent revisions are distributed to each affected 
rail transit agency.
    (3) Oversight of rail transit agency internal safety and security 
reviews. This section shall specify the role of the oversight agency in 
overseeing the rail transit agency internal safety and security review 
process. This includes a description of the process used by the 
oversight agency to receive rail transit agency checklists and 
procedures and approve the rail transit agency's annual reports on 
findings, which must be submitted under the signature of the rail 
transit agency's top management.
    (4) Oversight agency safety and security review section. This 
section shall lay out the process and criteria to be used at least every 
three years in conducting a complete review of each affected rail 
transit agency's implementation of its system safety program plan and 
system security plan. This section includes the process to be used by 
the affected rail transit agency and the oversight agency to manage 
findings and recommendations from this review. This also includes 
procedures for notifying the oversight agency before the rail transit 
agency conducts an internal review.
    (5) Accident notification section. This section shall include the 
specific requirements for the rail transit agency to notify the 
oversight agency of accidents. This section shall also include

[[Page 551]]

required timeframes, methods of notification, and the information to be 
submitted by the rail transit agency. Additional detail on this portion 
is included in Sec.659.33 of this part.
    (6) Investigations section. This section contains the oversight 
agency identification of the thresholds for incidents that require an 
oversight agency investigation. The roles and responsibilities for 
conducting investigations shall include: coordination with the rail 
transit agency investigation process, the role of the oversight agency 
in supporting investigations and findings conducted by the NTSB, review 
and concurrence of investigation report findings, and procedures for 
protecting the confidentiality of investigation reports.
    (7) Corrective actions section. This section shall specify oversight 
agency criteria for the development of corrective action plan(s) and the 
process for the review and approval of a corrective action plan 
developed by the rail transit agency. This section shall also identify 
the oversight agency's policies for the verification and tracking of 
corrective action plan implementation, and its process for managing 
conflicts with the rail transit agency relating to investigation 
findings and corrective action plan development.
    (8) System safety program plan section. This section shall specify 
the minimum requirements to be contained in the rail transit agency's 
system safety program plan. The contents of the system safety plan are 
discussed in more detail in Sec.659.19 of this part. This section 
shall also specify information to be included in the affected rail 
transit agency's system safety program plan relating to the hazard 
management process, including requirements for on-going communication 
and coordination relating to the identification, categorization, 
resolution, and reporting of hazards to the oversight agency. More 
details on the hazard management process are contained in Sec.659.31 
of this part. This section shall also describe the process and timeframe 
through which the oversight agency must receive, review, and approve the 
rail transit agency system safety program plan.
    (9) System security plan section. This section shall specify the 
minimum requirements to be included in the rail transit agency's system 
security plan. More details about the system security plan are contained 
in Sec. Sec.659.21 through 659.23 of this part. This section shall 
also describe the process by which the oversight agency will review and 
approve the rail transit agency system security program plan. This 
section also shall identify how the state will prevent the system 
security plan from public disclosure.



Sec.659.17  System safety program plan: general requirements.

    (a) The oversight agency shall require the rail transit agency to 
develop and implement a written system safety program plan that complies 
with requirements in this part and the oversight agency's program 
standard.
    (b) The oversight agency shall review and approve the rail transit 
agency system safety program plan.
    (c) After approval, the oversight agency shall issue a formal letter 
of approval to the rail transit agency, including the checklist used to 
conduct the review.



Sec.659.19  System safety program plan: contents.

    The system safety plan shall include, at a minimum:
    (a) A policy statement signed by the agency's chief executive that 
endorses the safety program and describes the authority that establishes 
the system safety program plan.
    (b) A clear definition of the goals and objectives for the safety 
program and stated management responsibilities to ensure they are 
achieved.
    (c) An overview of the management structure of the rail transit 
agency, including:
    (1) An organization chart;
    (2) A description of how the safety function is integrated into the 
rest of the rail transit organization; and
    (3) Clear identification of the lines of authority used by the rail 
transit agency to manage safety issues.
    (d) The process used to control changes to the system safety program 
plan, including:
    (1) Specifying an annual assessment of whether the system safety 
program plan should be updated; and

[[Page 552]]

    (2) Required coordination with the oversight agency, including 
timeframes for submission, revision, and approval.
    (e) A description of the specific activities required to implement 
the system safety program, including:
    (1) Tasks to be performed by the rail transit safety function, by 
position and management accountability, specified in matrices and/or 
narrative format; and
    (2) Safety-related tasks to be performed by other rail transit 
departments, by position and management accountability, specified in 
matrices and/or narrative format.
    (f) A description of the process used by the rail transit agency to 
implement its hazard management program, including activities for:
    (1) Hazard identification;
    (2) Hazard investigation, evaluation and analysis;
    (3) Hazard control and elimination;
    (4) Hazard tracking; and
    (5) Requirements for on-going reporting to the oversight agency 
relating to hazard management activities and status.
    (g) A description of the process used by the rail transit agency to 
ensure that safety concerns are addressed in modifications to existing 
systems, vehicles, and equipment, which do not require formal safety 
certification but which may have safety impacts.
    (h) A description of the safety certification process required by 
the rail transit agency to ensure that safety concerns and hazards are 
adequately addressed prior to the initiation of passenger operations for 
New Starts and subsequent major projects to extend, rehabilitate, or 
modify an existing system, or to replace vehicles and equipment.
    (i) A description of the process used to collect, maintain, analyze, 
and distribute safety data, to ensure that the safety function within 
the rail transit organization receives the necessary information to 
support implementation of the system safety program.
    (j) A description of the process used by the rail transit agency to 
perform accident notification, investigation and reporting, including:
    (1) Notification thresholds for internal and external organizations;
    (2) Accident investigation process and references to procedures;
    (3) The process used to develop, implement, and track corrective 
actions that address investigation findings;
    (4) Reporting to internal and external organizations; and
    (5) Coordination with the oversight agency.
    (k) A description of the process used by the rail transit agency to 
develop an approved, coordinated schedule for all emergency management 
program activities, which include:
    (1) Meetings with external agencies;
    (2) Emergency planning responsibilities and requirements;
    (3) Process used to evaluate emergency preparedness, such as annual 
emergency field exercises;
    (4) After action reports and implementation of findings;
    (5) Revision and distribution of emergency response procedures;
    (6) Familiarization training for public safety organizations; and
    (7) Employee training.
    (l) A description of the process used by the rail transit agency to 
ensure that planned and scheduled internal safety reviews are performed 
to evaluate compliance with the system safety program plan, including:
    (1) Identification of departments and functions subject to review;
    (2) Responsibility for scheduling reviews;
    (3) Process for conducting reviews, including the development of 
checklists and procedures and the issuing of findings;
    (4) Review of reporting requirements;
    (5) Tracking the status of implemented recommendations; and
    (6) Coordination with the oversight agency.
    (m) A description of the process used by the rail transit agency to 
develop, maintain, and ensure compliance with rules and procedures 
having a safety impact, including:
    (1) Identification of operating and maintenance rules and procedures 
subject to review;

[[Page 553]]

    (2) Techniques used to assess the implementation of operating and 
maintenance rules and procedures by employees, such as performance 
testing;
    (3) Techniques used to assess the effectiveness of supervision 
relating to the implementation of operating and maintenance rules; and
    (4) Process for documenting results and incorporating them into the 
hazard management program.
    (n) A description of the process used for facilities and equipment 
safety inspections, including:
    (1) Identification of the facilities and equipment subject to 
regular safety-related inspection and testing;
    (2) Techniques used to conduct inspections and testing;
    (3) Inspection schedules and procedures; and
    (4) Description of how results are entered into the hazard 
management process.
    (o) A description of the maintenance audits and inspections program, 
including identification of the affected facilities and equipment, 
maintenance cycles, documentation required, and the process for 
integrating identified problems into the hazard management process.
    (p) A description of the training and certification program for 
employees and contractors, including:
    (1) Categories of safety-related work requiring training and 
certification;
    (2) A description of the training and certification program for 
employees and contractors in safety-related positions;
    (3) Process used to maintain and access employee and contractor 
training records; and
    (4) Process used to assess compliance with training and 
certification requirements.
    (q) A description of the configuration management control process, 
including:
    (1) The authority to make configuration changes;
    (2) Process for making changes; and
    (3) Assurances necessary for formally notifying all involved 
departments.
    (r) A description of the safety program for employees and 
contractors that incorporates the applicable local, state, and federal 
requirements, including:
    (1) Safety requirements that employees and contractors must follow 
when working on, or in close proximity to, rail transit agency property; 
and
    (2) Processes for ensuring the employees and contractors know and 
follow the requirements.
    (s) A description of the hazardous materials program, including the 
process used to ensure knowledge of and compliance with program 
requirements.
    (t) A description of the drug and alcohol program and the process 
used to ensure knowledge of and compliance with program requirements.
    (u) A description of the measures, controls, and assurances in place 
to ensure that safety principles, requirements and representatives are 
included in the rail transit agency's procurement process.



Sec.659.21  System security plan: general requirements.

    (a) The oversight agency shall require the rail transit agency to 
implement a system security plan that, at a minimum, complies with 
requirements in this part and the oversight agency's program standard. 
The system security plan must be developed and maintained as a separate 
document and may not be part of the rail transit agency's system safety 
program plan.
    (b) The oversight agency may prohibit a rail transit agency from 
publicly disclosing the system security plan.
    (c) After approving the system security plan, the oversight agency 
shall issue a formal letter of approval, including the checklist used to 
conduct the review, to the rail transit agency.



Sec.659.23  System security plan: contents.

    The system security plan must, at a minimum address the following:
    (a) Identify the policies, goals, and objectives for the security 
program endorsed by the agency's chief executive.
    (b) Document the rail transit agency's process for managing threats 
and vulnerabilities during operations, and

[[Page 554]]

for major projects, extensions, new vehicles and equipment, including 
integration with the safety certification process;
    (c) Identify controls in place that address the personal security of 
passengers and employees;
    (d) Document the rail transit agency's process for conducting 
internal security reviews to evaluate compliance and measure the 
effectiveness of the system security plan; and
    (e) Document the rail transit agency's process for making its system 
security plan and accompanying procedures available to the oversight 
agency for review and approval.



Sec.659.25  Annual review of system safety program plan and system 
security plan.

    (a) The oversight agency shall require the rail transit agency to 
conduct an annual review of its system safety program plan and system 
security plan.
    (b) In the event the rail transit agency's system safety program 
plan is modified, the rail transit agency must submit the modified plan 
and any subsequently modified procedures to the oversight agency for 
review and approval. After the plan is approved, the oversight agency 
must issue a formal letter of approval to the rail transit agency.
    (c) In the event the rail transit agency's system security plan is 
modified, the rail transit agency must make the modified system security 
plan and accompanying procedures available to the oversight agency for 
review, consistent with requirements specified in Sec.659.23(e) of 
this part. After the plan is approved, the oversight agency shall issue 
a formal letter of approval to the rail transit agency.



Sec.659.27  Internal safety and security reviews.

    (a) The oversight agency shall require the rail transit agency to 
develop and document a process for the performance of on-going internal 
safety and security reviews in its system safety program plan.
    (b) The internal safety and security review process must, at a 
minimum:
    (1) Describe the process used by the rail transit agency to 
determine if all identified elements of its system safety program plan 
and system security plan are performing as intended; and
    (2) Ensure that all elements of the system safety program plan and 
system security plan are reviewed in an on-going manner and completed 
over a three-year cycle.
    (c) The rail transit agency must notify the oversight agency at 
least thirty (30) days before the conduct of scheduled internal safety 
and security reviews.
    (d) The rail transit agency shall submit to the oversight agency any 
checklists or procedures it will use during the safety portion of its 
review.
    (e) The rail transit agency shall make available to the oversight 
agency any checklists or procedures subject to the security portion of 
its review, consistent with Sec.659.23(e).
    (f) The oversight agency shall require the rail transit agency to 
annually submit a report documenting internal safety and security review 
activities and the status of subsequent findings and corrective actions. 
The security part of this report must be made available for oversight 
agency review, consistent with Sec.659.23(e).
    (g) The annual report must be accompanied by a formal letter of 
certification signed by the rail transit agency's chief executive, 
indicating that the rail transit agency is in compliance with its system 
safety program plan and system security plan.
    (h) If the rail transit agency determines that findings from its 
internal safety and security reviews indicate that the rail transit 
agency is not in compliance with its system safety program plan or 
system security plan, the chief executive must identify the activities 
the rail transit agency will take to achieve compliance.
    (i) The oversight agency must formally review and approve the annual 
report.



Sec.659.29  Oversight agency safety and security reviews.

    At least every three (3) years, beginning with the initiation of 
rail transit agency passenger operations, the oversight agency must 
conduct an on-site

[[Page 555]]

review of the rail transit agency's implementation of its system safety 
program plan and system security plan. Alternatively, the on-site review 
may be conducted in an on-going manner over the three year timeframe. At 
the conclusion of the review cycle, the oversight agency must prepare 
and issue a report containing findings and recommendations resulting 
from that review, which, at a minimum, must include an analysis of the 
effectiveness of the system safety program plan and the security plan 
and a determination of whether either should be updated.



Sec.659.31  Hazard management process.

    (a) The oversight agency must require the rail transit agency to 
develop and document in its system safety program plan a process to 
identify and resolve hazards during its operation, including any hazards 
resulting from subsequent system extensions or modifications, 
operational changes, or other changes within the rail transit 
environment.
    (b) The hazard management process must, at a minimum:
    (1) Define the rail transit agency's approach to hazard management 
and the implementation of an integrated system-wide hazard resolution 
process;
    (2) Specify the sources of, and the mechanisms to support, the on-
going identification of hazards;
    (3) Define the process by which identified hazards will be evaluated 
and prioritized for elimination or control;
    (4) Identify the mechanism used to track through resolution the 
identified hazard(s);
    (5) Define minimum thresholds for the notification and reporting of 
hazard(s) to oversight agencies; and
    (6) Specify the process by which the rail transit agency will 
provide on-going reporting of hazard resolution activities to the 
oversight agency.



Sec.659.33  Accident notification.

    (a) The oversight agency must require the rail transit agency to 
notify the oversight agency within two (2) hours of any incident 
involving a rail transit vehicle or taking place on rail transit-
controlled property where one or more of the following occurs:
    (1) A fatality at the scene; or where an individual is confirmed 
dead within thirty (30) days of a rail transit-related incident;
    (2) Injuries requiring immediate medical attention away from the 
scene for two or more individuals;
    (3) Property damage to rail transit vehicles, non-rail transit 
vehicles, other rail transit property or facilities and non-transit 
property that equals or exceeds $25,000;
    (4) An evacuation due to life safety reasons;
    (5) A collision at a grade crossing;
    (6) A main-line derailment;
    (7) A collision with an individual on a rail right of way; or
    (8) A collision between a rail transit vehicle and a second rail 
transit vehicle, or a rail transit non-revenue vehicle.
    (b) The oversight agency shall require rail transit agencies that 
share track with the general railroad system and are subject to the 
Federal Railroad Administration notification requirements, to notify the 
oversight agency within two (2) hours of an incident for which the rail 
transit agency must also notify the Federal Railroad Administration.
    (c) The oversight agency shall identify in its program standard the 
method of notification and the information to be provided by the rail 
transit agency



Sec.659.35  Investigations.

    (a) The oversight agency must investigate, or cause to be 
investigated, at a minimum, any incident involving a rail transit 
vehicle or taking place on rail transit-controlled property meeting the 
notification thresholds identified in Sec.659.33(a).
    (b) The oversight agency must use its own investigation procedures 
or those that have been formally adopted from the rail transit agency 
and that have been submitted to FTA.
    (c) In the event the oversight agency authorizes the rail transit 
agency to conduct investigations on its behalf, it must do so formally 
and require the rail transit agency to use investigation procedures that 
have been formally approved by the oversight agency.

[[Page 556]]

    (d) Each investigation must be documented in a final report that 
includes a description of investigation activities, identified causal 
and contributing factors, and a corrective action plan.
    (e) A final investigation report must be formally adopted by the 
oversight agency for each accident investigation.
    (1) If the oversight agency has conducted the investigation, it must 
formally transmit its final investigation report to the rail transit 
agency.
    (2) If the oversight agency has authorized an entity other than 
itself (including the rail transit agency) to conduct the accident 
investigation on its behalf, the oversight agency must review and 
formally adopt the final investigation report.
    (3) If the oversight agency does not concur with the findings of the 
rail transit agency investigation report, it must either:
    (i) Conduct its own investigation according to paragraphs (b), (d) 
and (e)(1) of this section; or
    (ii) Formally transmit its dissent to the findings of the accident 
investigation, report its dissent to the rail transit agency, and 
negotiate with the rail transit agency until a resolution on the 
findings is reached.
    (f) The oversight agency shall have the authority to require 
periodic status reports that document investigation activities and 
findings in a time frame determined by the oversight agency.



Sec.659.37  Corrective action plans.

    (a) The oversight agency must, at a minimum, require the development 
of a corrective action plan for the following:
    (1) Results from investigations, in which identified causal and 
contributing factors are determined by the rail transit agency or 
oversight agency as requiring corrective actions; and
    (2) Findings from safety and security reviews performed by the 
oversight agency.
    (b) Each corrective action plan should identify the action to be 
taken by the rail transit agency, an implementation schedule, and the 
individual or department responsible for the implementation.
    (c) The corrective action plan must be reviewed and formally 
approved by the oversight agency.
    (d) The oversight agency must establish a process to resolve 
disputes between itself and the rail transit agency resulting from the 
development or enforcement of a corrective action plan.
    (e) The oversight agency must identify the process by which findings 
from an NTSB accident investigation will be evaluated to determine 
whether or not a corrective action plan should be developed by either 
the oversight agency or rail transit agency to address NTSB findings.
    (f) The rail transit agency must provide the oversight agency:
    (1) Verification that the corrective action(s) has been implemented 
as described in the corrective action plan, or that a proposed alternate 
action(s) has been implemented subject to oversight agency review and 
approval; and
    (2) Periodic reports requested by the oversight agency, describing 
the status of each corrective action(s) not completely implemented, as 
described in the corrective action plan.
    (g) The oversight agency must monitor and track the implementation 
of each approved corrective action plan.



Sec.659.39  Oversight agency reporting to the Federal Transit
Administration.

    (a) Initial submission. Each designated oversight agency with a rail 
fixed guideway system that is in passenger operations as of April 29, 
2005 or will begin passenger operations by May 1, 2006, must make its 
initial submission to FTA by May 1, 2006. In states with rail fixed 
guideway systems initiating passenger operations after May 1, 2006, the 
designated oversight agency must make its initial submission within the 
time frame specified by the state in its designation submission, but not 
later than at least sixty (60) days prior to initiation of passenger 
operations. Any time a state changes its designated oversight agency to 
carry out the requirements identified in this part, the new oversight 
agency must make a new initial submission to FTA within thirty (30) days 
of the designation.
    (b) An initial submission must include the following:

[[Page 557]]

    (1) Oversight agency program standard and referenced procedures; and
    (2) Certification that the system safety program plan and the system 
security plan have been developed, reviewed, and approved.
    (c) Annual submission. Before March 15 of each year, the oversight 
agency must submit the following to FTA:
    (1) A publicly available annual report summarizing its oversight 
activities for the preceding twelve months, including a description of 
the causal factors of investigated accidents, status of corrective 
actions, updates and modifications to rail transit agency program 
documentation, and the level of effort used by the oversight agency to 
carry out its oversight activities.
    (2) A report documenting and tracking findings from three-year 
safety review activities, and whether a three-year safety review has 
been completed since the last annual report was submitted.
    (3) Program standard and supporting procedures that have changed 
during the preceding year.
    (4) Certification that any changes or modifications to the rail 
transit agency system safety program plan or system security plan have 
been reviewed and approved by the oversight agency.
    (d) Periodic submission. FTA retains the authority to periodically 
request program information.
    (e) Electronic reporting. All submissions to FTA required in this 
part must be submitted electronically using a reporting system specified 
by FTA.



Sec.659.41  Conflict of interest.

    The oversight agency shall prohibit a party or entity from providing 
services to both the oversight agency and rail transit agency when there 
is a conflict of interest, as defined by the state.



Sec.659.43  Certification of compliance.

    (a) Annually, the oversight agency must certify to the FTA that it 
has complied with the requirements of this part.
    (b) The oversight agency must submit each certification 
electronically to FTA using a reporting system specified by FTA.
    (c) The oversight agency must maintain a signed copy of each annual 
certification to FTA, subject to audit by FTA.



PART 661_BUY AMERICA REQUIREMENTS--Table of Contents



Sec.
661.1 Applicability.
661.3 Definitions.
661.5 General requirements.
661.6 Certification requirements 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 parties.
661.21 State Buy America provisions.

    Authority: 49 U.S.C. 5323(j) (formerly sec. 165 of the Surface 
Transportation Assistance Act of 1982 (Pub. L. 97-424); as amended by 
sec. 337, Pub. L. 100-17; sec. 1048, Pub. L. 102-240; sec. 3020(b), Pub. 
L. 105-178; and sec. 3023(i) and (k), Pub. L. 109-59); 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 49 U.S.C. 5323(j); 23 U.S.C. 
103(e)(4); and section 14 of the National Capital Transportation Act of 
1969, as amended.

[56 FR 932, Jan. 9, 1991, as amended at 72 FR 53696, Sept. 20, 2007]



Sec.661.3  Definitions.

    As used in this part:
    Act means the Federal Public Transportation Law (49 U.S.C. Chapter 
53).
    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.
    Contractor means a party to a third party contract other than the 
grantee.
    End product means any vehicle, structure, product, article, 
material, supply,

[[Page 558]]

or system, which directly incorporates constituent components at the 
final assembly location, that is acquired for public use under a 
federally-funded third-party contract, and which is ready to provide its 
intended end function or use without any further manufacturing or 
assembly change(s). A list of representative end products is included at 
Appendix A to this section.
    FTA means the Federal Transit Administration.
    Grantee means any entity that is a recipient of FTA funds.
    Manufactured product means an item produced as a result of the 
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.
    Negotiated procurement means a contract awarded using other than 
sealed bidding procedures.
    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.
    System means a machine, product, or device, or a combination of such 
equipment, consisting of individual components, whether separate or 
interconnected by piping, transmission devices, electrical cables or 
circuitry, or by other devices, which are intended to contribute 
together to a clearly defined function. Factors to consider in 
determining whether a system constitutes an end product include: Whether 
performance warranties apply to an integrated system (regardless of 
whether components are separately warranteed); whether products perform 
on an integrated basis with other products in a system, or are operated 
independently of associated products in the system; or whether transit 
agencies routinely procure a product separately (other than as 
replacement or spare parts).
    United States means the several States, the Commonwealth of Puerto 
Rico, the District of Columbia, Guam, American Samoa, the U.S. Virgin 
Islands, and the Commonwealth of the Northern Mariana Islands.

                 Appendix A to Sec.661.3--End Products

    The following is a list of representative end products that are 
subject to the requirements of Buy America. This list is representative, 
not exhaustive.
    (1) Rolling stock end products: All individual items identified as 
rolling stock in Sec.661.3 (e.g., buses, vans, cars, railcars, 
locomotives, trolley cars and buses, ferry boats, as well as vehicles 
used for support services); train control, communication, and traction 
power equipment that meets the definition of end product at Sec.661.3 
(e.g., a communication or traction power system, including manufactured 
bimetallic power rail).
    (2) Steel and iron end products: Items made primarily of steel or 
iron such as structures, bridges, and track work, including running 
rail, contact rail, and turnouts.
    (3) Manufactured end products: Infrastructure projects not made 
primarily of steel or iron, including structures (terminals, depots, 
garages, and bus shelters), ties and ballast; contact rail not made 
primarily of steel or iron; fare collection systems; computers; 
information systems; security systems; data processing systems; and 
mobile lifts, hoists, and elevators.

[72 FR 53696, Sept. 20, 2007, as amended at 74 FR 30239, June 25, 2009]



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, or to

[[Page 559]]

bimetallic power rail incorporating steel or iron components.
    (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, as amended at 74 FR 30239, June 25, 2009]



Sec.661.6  Certification requirements for procurement of steel 
or manufactured products.

    If steel, iron, or manufactured products (as defined in Sec. Sec.
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 or offeror in accordance with the requirement contained in Sec.
661.13(b) of this part.

         Certificate of Compliance with Buy America Requirements

    The bidder or offeror hereby certifies that it will comply with the 
requirements of 49 U.S.C. 5323(j)(1), and the applicable regulations in 
49 CFR part 661.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company________________________________________________________________
 Name___________________________________________________________________
 Title__________________________________________________________________

       Certificate of Non-Compliance with Buy America Requirements

    The bidder or offeror hereby certifies that it cannot comply with 
the requirements of 49 U.S.C. 5323(j), but it may qualify for an 
exception to the requirement pursuant to 49 U.S.C. 5323(j)(2), as 
amended, and the applicable regulations in 49 CFR 661.7.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company________________________________________________________________
 Name___________________________________________________________________
 Title__________________________________________________________________

[71 FR 14117, Mar. 21, 2006, as amended at 72 FR 53696, Sept. 20, 2007]



Sec.661.7  Waivers.

    (a) Section 5323(j)(2) of Title 49 United States Code provides that 
the general requirements of 49 U.S.C. 5323(j)(1) 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 waiver governing the procurement of rolling stock 
and associated equipment.
    (b) Under the provision of 49 U.S.C. 5323(j)(2)(A), the 
Administrator may waive the general requirements of 49 U.S.C. 5323(j)(1) 
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. When granting a public interest 
waiver, the Administrator shall issue a detailed written statement 
justifying why the waiver is in the public interest. The Administrator 
shall publish this justification in the Federal Register, providing the 
public with a reasonable time for notice and comment of not more than 
seven calendar days.
    (c) Under the provision of 49 U.S.C. 5323(j)(2), the Administrator 
may waive the general requirements of 49 U.S.C. 5323(j) 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.

[[Page 560]]

    (3) After contract award, the Administrator may grant a non-
availability waiver under this paragraph, in any case in which a bidder 
or offeror originally certified compliance with the Buy America 
requirements in good faith, but can no longer comply with its 
certification. The Administrator will grant a non-availability waiver 
only if the grantee provides sufficient evidence that the original 
certification was made in good faith and that the item to be procured 
cannot now be obtained domestically due to commercial impossibility or 
impracticability. In determining whether the conditions exist to grant a 
post-award non-availability waiver, the Administrator will consider all 
appropriate factors on a case-by-case basis.
    (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 49 U.S.C. 5323(j)(2) 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 49 U.S.C. 5323(j)(2)(C) 
(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 25.104 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) and (c) of this part, a 
general public interest waiver from the Buy America requirements applies 
to microprocessors, computers, microcomputers, or software, or other 
such devices, which are used solely for the purpose of processing or 
storing data. This general waiver does not extend to a product or device 
which merely contains a microprocessor or microcomputer and is not used 
solely for the purpose of processing or storing data.
    (c) 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; 71 FR 14117, Mar. 21, 2006; 72 FR 53697, Sept. 
20, 2007; 74 FR 30239, June 25, 2009]



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 49 
U.S.C. 5323(j)(2)(C). The procedures for obtaining an exception covered 
by 49 U.S.C. 5323(j)(2)(C) are set forth in Sec.661.11 of this part.

[[Page 561]]

    (b) A bidder or offeror 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, offeror, 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.

[56 FR 932, Jan. 9, 1991, as amended at 71 FR 14117, Mar. 21, 2006; 72 
FR 53697, Sept. 20, 2007]



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 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.

[[Page 562]]

    (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) [Reserved]
    (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
    (14) Cab Signaling;
    (15) ATO Equipment;
    (16) ATP Equipment;
    (17) Wayside Transponders;
    (18) Trip Stop Equipment;
    (19) Wayside Magnets;
    (20) Speed Measuring Devices;
    (21) Car Axle Counters;
    (22) Communication Based Train Control (CBTC).
    (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
    (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

[[Page 563]]

    (17) Security console at central control
    (18) Antennas;
    (19) Wireless Telemetry Equipment;
    (20) Passenger Information Displays;
    (21) Communications Control Units;
    (22) Communication Control Heads;
    (23) Wireless Intercar Transceivers;
    (24) Multiplexers;
    (25) SCADA Systems;
    (26) LED Arrays;
    (27) Screen Displays such as LEDs and LCDs for communication 
systems;
    (28) Fiber-optic transmission equipment;
    (29) Fiber-optic transmission equipment;
    (30) Frame or cell based multiplexing equipment; 13) Communication 
system network elements.
    (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
    (28) Propulsion Control Systems;
    (29) Surge Arrestors;
    (30) Protective Relaying.
    (31) Bimetallic power rail.
    (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.
    Car body shells, egines, 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, engines, main transformer, pantographs, traction motors, 
propulsion gear boxes, interior linings, acceleration and braking 
resistors, propulsion controls, low

[[Page 564]]

voltage auxiliary power supplies, air conditioning equipment, air brake 
compressors, brake controls, foundation brake equipment, articulation 
assemblies, train control systems, window assemblies, communication 
equipment, lighting, seating, doors, door actuators and controls, 
wheelchair lifts and ramps to make the vehicle accessible to persons 
with disabilities, couplers and draft gear, trucks, journal bearings, 
axles, diagnostic equipment, and third rail pick-up equipment.

   Appendix D to Sec.661.11--Minimum Requirements for Final Assembly

    (a) Rail Cars: In the case of the manufacture of a new rail car, 
final assembly would typically include, as a minimum, the following 
operations: installation and interconnection of propulsion control 
equipment, propulsion cooling equipment, brake equipment, energy sources 
for auxiliaries and controls, heating and air conditioning, 
communications equipment, motors, wheels and axles, suspensions and 
frames; the inspection and verification of all installation and 
interconnection work; and the in-plant testing of the stationary product 
to verify all functions.
    (b) Buses: In the case of a new bus, final assembly would typically 
include, at a minimum, the installation and interconnection of the 
engine, transmission, axles, including the cooling and braking systems; 
the installation and interconnection of the heating and air conditioning 
equipment; the installation of pneumatic and electrical systems, door 
systems, passenger seats, passenger grab rails, destination signs, 
wheelchair lifts; and road testing, final inspection, repairs and 
preparation of the vehicles for delivery.
    (c) If a manufacturer's final assembly processes do not include all 
the activities that are typically considered the minimum requirements, 
it can request a Federal Transit Administration (FTA) determination of 
compliance. FTA will review these requests on a case-by-case basis to 
determine compliance with Buy America.

[61 FR 6302, Feb. 16, 1996, as amended at 62 FR 40954, July 31, 1997; 72 
FR 53697, Sept. 20, 2007; 72 FR 55103, Sept. 28, 2007; 74 FR 30239, June 
25, 2009]



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 Buy America Rolling Stock Requirements

    The bidder or offeror hereby certifies that it will comply with the 
requirements of 49 U.S.C. 5323(j), and the applicable regulations of 49 
CFR 661.11.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company________________________________________________________________
 Name___________________________________________________________________
 Title__________________________________________________________________

      Certificate of Non-Compliance with Buy America Rolling Stock 
                              Requirements

    The bidder or offeror hereby certifies that it cannot comply with 
the requirements of 49 U.S.C. 5323(j), but may qualify for an exception 
to the requirement consistent with 49 U.S.C. 5323(j)(2)(C), and the 
applicable regulations in 49 CFR 661.7.

 Date___________________________________________________________________
 Signature______________________________________________________________
 Company________________________________________________________________
 Name___________________________________________________________________
 Title__________________________________________________________________

[71 FR 14117, Mar. 21, 2006, as amended at 72 FR 53698, Sept. 20, 2007; 
74 FR 30239, June 25, 2009]



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 or request for proposal 
(RFP) specification for procurement within the scope of this part 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 or offer a completed Buy America certificate 
in accordance with Sec. Sec.661.6 or 661.12 of this part, as 
appropriate.
    (1) A bidder or offeror who has submitted an incomplete Buy America 
certificate or an incorrect certificate of noncompliance through 
inadvertent or clerical error (but not including failure to sign the 
certificate, submission of certificates of both compliance and non-
compliance, or failure to submit any certification), may submit to the 
FTA Chief Counsel within ten (10) days of bid opening of submission or a 
final

[[Page 565]]

offer, a written explanation of the circumstances surrounding the 
submission of the incomplete or incorrect certification in accordance 
with 28 U.S.C. 1746, sworn under penalty of perjury, stating that the 
submission resulted from inadvertent or clerical error. The bidder or 
offeror will also submit evidence of intent, such as information about 
the origin of the product, invoices, or other working documents. The 
bidder or offeror will simultaneously send a copy of this information to 
the FTA grantee.
    (i) The FTA Chief Counsel may request additional information from 
the bidder or offeror, if necessary. The grantee may not make a contract 
award until the FTA Chief Counsel issues his/her determination, except 
as provided in Sec.661.15(m).
    (ii) [Reserved]
    (2) For negotiated procurements, compliance with the Buy America 
requirements shall be determined on the basis of the certification 
submitted with the final offer or final revised proposal. However, where 
a grantee awards on the basis of initial proposals without discussion, 
the certification submitted with the initial proposal shall control.
    (3) Certification based on ignorance of the proper application of 
the Buy America requirements is not an inadvertent or clerical error.
    (c) Whether or not a bidder or offeror certifies that it will comply 
with the applicable requirement, such bidder or offeror is bound by its 
original certification (in the case of a sealed bidding procurement) or 
its certification submitted with its final offer (in the case of a 
negotiated procurement) and is not permitted to change its certification 
after bid opening or submission of a final offer. Where a bidder or 
offeror certifies that it will comply with the applicable Buy America 
requirements, the bidder, offeror, or grantee is not eligible for a 
waiver of those requirements.

[56 FR 932, Jan. 9, 1991, as amended at 68 FR 9799, Feb. 28, 2003; 71 FR 
14117, Mar. 21, 2006]



Sec.661.15  Investigation procedures.

    (a) It is presumed that a bidder or offeror 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 or offeror with the bidder's or offeror'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 or offeror to document its compliance with its Buy 
America certificate. The successful bidder or offeror 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 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 or offeror) will be 
transmitted to the petitioner. The petitioner may

[[Page 566]]

submit comments on the reply to FTA within 10 working days after receipt 
of the reply. The grantee and the low bidder or offeror 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.

[56 FR 932, Jan. 9, 1991, as amended at 71 FR 14118, Mar. 21, 2006]



Sec.661.17  Failure to comply with certification.

    If a successful bidder or offeror 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 or offeror 
takes these necessary steps, it will not be allowed to change its 
original bid price or the price of its final offer. If a bidder or 
offeror 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.

[71 FR 14118, Mar. 21, 2006]



Sec.661.18  Intentional violations.

    A person shall be ineligible to receive any contract or subcontract 
made with funds authorized under the Federal Public Transportation Act 
of 2005 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

[[Page 567]]

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, as amended at 72 FR 53698, Sept. 20, 2007]



Sec.661.19  Sanctions.

    A willful refusal to comply with a certification by a successful 
bidder or offeror may lead to the initiation of debarment or suspension 
proceedings under part 29 of this title.

[71 FR 14118, Mar. 21, 2006]



Sec.661.20  Rights of parties.

    (a) A party adversely affected by an FTA action under this 
subsection shall have the right to seek review under the Administrative 
Procedure Act (APA), 5 U.S.C. 702 et seq.
    (b) Except as provided in paragraph (a) of this section, 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.

[71 FR 14118, Mar. 21, 2006]



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)(f); Pub. L. 96-184, 
93 Stat. 1320; Pub. L. 101-551, 104 Stat. 2733; sec. 3023(m), Pub. L. 
109-59; 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) 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

[[Page 568]]

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 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.

[[Page 569]]



                       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--
    (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

[[Page 570]]

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:
    (1) Ten or fewer buses; or
    (2) Procurements of twenty vehicles or fewer serving rural (other 
than urbanized) areas, or urbanized areas of 200,000 people or fewer; or
    (3) Any number of primary manufacturer standard production and 
unmodified vans, after visually inspecting and road testing the 
vehicles, the vehicles meet the contract specifications.

[56 FR 48395, Sept. 24, 1991, as amended at 71 FR 14118, Mar. 21, 2006]



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 571]]



PART 665_BUS TESTING--Table of Contents



                            Subpart A_General

Sec.
665.1 Purpose.
665.3 Scope.
665.5 Definitions.
665.7 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--Bus Model Scoring System and Pass/Fail Standard

    Authority: 49 U.S.C. 5318 and 49 CFR 1.91.

    Source: 81 FR 50387, Aug. 1, 2016, unless otherwise noted.



                            Subpart A_General



Sec.665.1  Purpose.

    An applicant for Federal financial assistance for the purchase or 
lease of buses with funds obligated by the FTA shall certify to the FTA 
that any new bus model acquired with such assistance has been tested and 
has received a passing test score in accordance with this part. This 
part contains the information necessary for a recipient to ensure 
compliance with this provision.



Sec.665.3  Scope.

    This part shall apply to an entity receiving Federal financial 
assistance under 49 U.S.C. Chapter 53.



Sec.665.5  Definitions.

    As used in this part--
    Administrator means the Administrator of the Federal Transit 
Administration or the Administrator's designee.
    Automotive means that the bus is not continuously dependent on 
external power or guidance for normal operation. Intermittent use of 
external power shall not automatically exclude a bus of its automotive 
character or the testing requirement.
    Bus means a rubber-tired automotive vehicle used for the provision 
of public transportation service by or for a recipient of FTA financial 
assistance.
    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 the facility used by the entity selected 
by FTA to conduct the bus testing program, including test track 
facilities operated in connection with the program.
    Bus Testing Report means the complete test report for a bus model, 
documenting the results of performing the complete set of bus tests on a 
bus model.
    Curb weight means the weight of the bus including maximum fuel, oil, 
and coolant; but without passengers or driver.
    Emissions means the components of the engine tailpipe exhaust that 
are regulated by the United States Environmental Protection Agency 
(EPA), plus carbon dioxide (CO2) and methane (CH4).
    Emissions control system means the components on a bus whose primary 
purpose is to minimize regulated emissions before they exit the 
tailpipe. This definition does not include components that contribute to 
low emissions as a side effect of the manner in which they perform their 
primary function (e.g., fuel injectors or combustion chambers).
    Final acceptance means the formal approval by the recipient that the 
vehicle has met all of its bid specifications and the recipient has 
received proper title.
    Gross weight (Gross Vehicle Weight, or GVW) means the seated load 
weight of the bus plus 150 pounds of ballast for each standee passenger, 
up to and including, the maximum rated standee passenger capacity 
identified on the bus interior bulkhead.
    Hybrid means a propulsion system that combines two power sources, at 
least one of which is capable of capturing, storing, and re-using 
energy.
    Major change in chassis design means, for vehicles manufactured on a 
third-party chassis, a change in frame structure, material or 
configuration, or a change in chassis suspension type.
    Major change in components means:

[[Page 572]]

    (1) For those vehicles that are not manufactured on a third-party 
chassis, a change in a vehicle's engine, axle, transmission, suspension, 
or steering components;
    (2) For those that are manufactured on a third-party chassis, a 
change in the vehicle's chassis from one major design to another.
    Major change in configuration means a change that is expected to 
have a significant impact on vehicle handling and stability or 
structural integrity.
    Modified third-party chassis or van means a vehicle that is 
manufactured from an incomplete, partially assembled third-party chassis 
or van as provided by an OEM to a small bus manufacturer. This includes 
vehicles whose chassis structure has been modified to include: A tandem 
or tag axle; 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 where they exist.
    New bus model means a bus model that--
    (1) Has not been used in public transportation 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 a major 
change in components.
    Operator means the operator of the Bus Testing Facility.
    Original equipment manufacturer (OEM) means the original 
manufacturer of a chassis or van supplied as a complete or incomplete 
vehicle to a bus manufacturer.
    Parking brake means a system that prevents the bus from moving when 
parked by preventing the wheels from rotating.
    Partial testing means the performance of only that subset of the 
complete set of bus tests in which significantly different data would 
reasonably be expected compared to the data obtained in previous full 
testing of the baseline bus model at the Bus Testing Facility.
    Partial testing report, also partial test report, means a report 
documenting, for a previously-tested bus model that is produced with 
major changes, the results of performing only that subset of the 
complete set of bus tests in which significantly different data would 
reasonably be expected as a result of the changes made to the bus from 
the configuration documented in the original full Bus Testing Report. A 
partial testing report is not valid unless accompanied by the 
corresponding full Bus Testing Report for the corresponding baseline bus 
configuration.
    Public transportation service means the operation of a vehicle that 
provides general or special service to the public on a regular and 
continuing basis consistent with 49 U.S.C. Chapter 53.
    Recipient means an entity that receives funds under 49 U.S.C. 
Chapter 53, either directly from FTA or through a direct recipient.
    Regenerative braking system means a system that decelerates a bus by 
recovering its kinetic energy for on-board storage and subsequent use.
    Retarder means a system other than the service brakes that slows a 
bus by dissipating kinetic energy.
    Seated load weight means the curb weight of the bus plus the seated 
passenger load simulated by adding 150 pounds of ballast to each seating 
position and 600 pounds per wheelchair position.
    Service brake(s) means the primary system used by the driver during 
normal operation to reduce the speed of a moving bus and to allow the 
driver to bring the bus to a controlled stop and hold it there. Service 
brakes may be supplemented by retarders or by regenerative braking 
systems.
    Small bus manufacturer means a secondary market assembler that 
acquires a chassis or van from an OEM for subsequent modification or 
assembly and sale as 5-year/150,000-mile or 4-year/100,000-mile minimum 
service life vehicle.
    Tailpipe emissions means the exhaust constituents actually emitted 
to the atmosphere at the exit of the vehicle tailpipe or corresponding 
system.
    Third party chassis means a commercially available chassis whose 
design, manufacturing, and quality control are performed by an entity 
independent of the bus manufacturer.
    Unmodified mass-produced van means a van that is mass-produced, 
complete and fully assembled as provided by an

[[Page 573]]

OEM. This shall include 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.
    Unmodified third-party chassis means a third-party chassis that 
either has not been modified, or has been modified in strict conformance 
with the OEM's modification guidelines.



Sec.665.7  Certification of compliance.

    (a) In each application to FTA for the purchase or lease of 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, the 
recipient shall certify that the bus was tested at the Bus Testing 
Facility and that the bus received a passing test score as required in 
this part. The recipient shall receive the appropriate full Bus Testing 
Report and any applicable partial testing report(s) before final 
acceptance of the first vehicle.
    (b) In dealing with a bus manufacturer or dealer, the recipient 
shall be responsible for determining whether a vehicle to be acquired 
requires full testing or partial testing or has already satisfied the 
requirements of this part. A bus manufacturer or recipient may request 
guidance from FTA.



                    Subpart B_Bus Testing Procedures



Sec.665.11  Testing requirements.

    (a) In order to be tested at the Bus Testing Facility, a new model 
bus shall--
    (1) Be a single model that complies with NHTSA requirements at 49 
CFR part 565 Vehicle Identification Number Requirements; 49 CFR part 566 
Manufacturer Identification; 49 CFR part 567 Certification; and where 
applicable, 49 CFR part 568 Vehicle Manufactured in Two or More Stages--
All Incomplete, Intermediate and Final-Stage Manufacturers of Vehicle 
Manufactured in Two or More Stages;
    (2) Have been produced by an entity whose Disadvantaged Business 
Enterprise DBE goals have been submitted to FTA pursuant to 49 CFR part 
26;
    (3) Identify the maximum rated quantity of standee passengers on the 
interior bulkhead in 2 inch tall or greater characters;
    (4) Meet all applicable Federal Motor Vehicle Safety Standards, as 
defined by the National Highway Traffic Safety Administration in part 
571 of this title; and
    (5) Be substantially fabricated and assembled using the techniques, 
tooling, and materials that will be used in production of subsequent 
buses of that model with the manufacturing point of origin for the bus 
structure, the axles, the foundation brakes, the propulsion power system 
and auxiliary power systems (engine, transmission, traction batteries, 
electric motor(s), fuel cell(s)), and the primary energy storage and 
delivery systems (fuel tanks, fuel injectors & manifolds, and the fuel 
injection electronic control unit) identified in the test request 
submitted to FTA during the scheduling process.
    (b) If the new bus model has not previously been tested at the Bus 
Testing Facility, then the new bus model shall undergo the full tests 
requirements for Maintainability, Reliability, Safety, Performance 
(including Braking Performance), Structural Integrity, Fuel Economy, 
Noise, and Emissions Tests.
    (c) If the new bus model has not previously been tested at the Bus 
Testing Facility and is being produced on a third-party chassis that has 
been previously tested on another bus model at the Bus Testing Facility, 
then the new bus model may undergo partial testing in place of full 
testing.
    (d) If the new bus model has previously been tested at the Bus 
Testing Facility, but is subsequently manufactured with a major change 
in chassis or components, then the new bus model may undergo partial 
testing in place of full testing.
    (e) Buses shall be tested according to the service life requirements 
identified in the prevailing published version of FTA Circular 5010.
    (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.

[[Page 574]]



Sec.665.13  Test report and manufacturer certification.

    (a) The operator of the Bus Testing Facility shall implement the 
performance standards and scoring system set forth in this part.
    (b) Upon completion of testing, the operator of the facility shall 
provide the scored test results and the resulting test report to the 
entity that submitted the bus for testing and to FTA. The test report 
will be available to recipients only after both the bus manufacturer and 
FTA have approved it for release. If the bus manufacturer declines to 
release the report, or if the bus did not achieve a passing test score, 
the vehicle will be ineligible for FTA financial assistance.
    (c)(1) A manufacturer or dealer of a new bus model or a bus produced 
with a major change in component or configuration shall provide a copy 
of the corresponding full Bus Testing Report and any applicable partial 
testing report(s) to a recipient during the point in the procurement 
process specified by the recipient, but in all cases before final 
acceptance of the first bus by the recipient.
    (2) A manufacturer who releases a report under paragraph (c)(1) of 
this section also shall provide notice to the operator of the facility 
that the test results and the test report are to be made available to 
the public.
    (d) If a tested bus model with a Bus Testing Report undergoes a 
subsequent major change in component or configuration, the manufacturer 
or dealer shall advise the recipient during the procurement process and 
shall include a description of the change. Any party may ask FTA for 
confirmation regarding the scope of the change.
    (e) A Bus Testing Report shall be available publicly once the bus 
manufacturer makes it available during a recipient's procurement 
process. The operator of the facility shall have copies of all the 
publicly available reports available for distribution. The operator 
shall make the final test results from the approved report available 
electronically and accessible over the internet.
    (f) The Bus Testing Report and the test results are the only 
official information and documentation that shall be made publicly 
available in connection with any bus model tested at the Bus Testing 
Facility.



                          Subpart C_Operations



Sec.665.21  Scheduling.

    (a) All requests for testing, including requests for full, partial, 
or repeat testing, shall be submitted to the FTA Bus Testing Program 
Manager for review prior to scheduling with the operator of the Bus 
Testing Facility. All test requests shall provide: A detailed 
description of the new bus model to be tested; the service life category 
of the bus; engineering level documentation characterizing all major 
changes to the bus model; and documentation that demonstrates 
satisfaction of each one of the testing requirements outlined in section 
665.11(a).
    (b) FTA will review the request, determine if the bus model is 
eligible for testing, and provide an initial response within five (5) 
business days. FTA will prepare a written response to the requester for 
use in scheduling the required testing.
    (c) To schedule a bus for testing, a manufacturer shall contact the 
operator of the Bus Testing Facility and provide the FTA response to the 
test request. Contact information and procedures for scheduling testing 
are available on the operator's Bus Testing Web site, http://
www.altoonabustest.com.
    (d) Upon contacting the operator, the operator shall provide the 
manufacturer with the following:
    (1) A draft contract for the testing;
    (2) A fee schedule; and
    (3) The test procedures for the tests that will be conducted on the 
vehicle.
    (e) The operator shall process vehicles FTA has approved for testing 
in the order in which the contracts are signed.



Sec.665.23  Fees.

    (a) The operator shall charge fees in accordance with a schedule 
approved by FTA, which shall include different fees for partial testing.
    (b) Fees shall be prorated for a vehicle withdrawn from the Bus 
Testing Facility before the completion of testing.

[[Page 575]]

    (c) The manufacturer's portion of the test fee shall be used first 
during the conduct of testing. The operator of the Bus Testing Facility 
shall obtain approval from FTA prior to continuing testing of each bus 
model at the Bus testing program's expense after the manufacturer's fee 
has been expended.



Sec.665.25  Transportation of vehicle.

    A manufacturer shall be responsible for transporting its vehicle to 
and from the Bus Testing Facility at the beginning and completion of the 
testing at the manufacturer's own risk and expense.



Sec.665.27  Procedures during testing.

    (a) Upon receipt of a bus approved for testing the operator of the 
Bus Testing Facility shall:
    (1) Inspect the bus design configuration and compare it to the 
configuration documented in the test request;
    (2) Determine if the bus, when loaded to Gross Weight, does not 
exceed its Gross Vehicle Weight Rating, Gross Axle Weight Ratings, or 
maximum tire load ratings;
    (3) Determine if the bus is capable of negotiating the durability 
test track at curb weight, seated load weight, and Gross Vehicle Weight;
    (4) Determine if the bus is capable of performing the Fuel Economy 
and Emissions Test duty cycles within the established standards for 
speed deviation.
    (b) The operator shall present the results obtained from the 
activities of 665.27(a) and present them to the bus manufacturer and the 
FTA Bus Testing Program Manager for review prior to initiating testing 
using the Bus testing program funds. FTA will provide a written response 
within five (5) business days to authorize the start of testing or to 
request clarification for any discrepancies noted from the activities of 
665.27(a). Testing can commence after five (5) business days if FTA does 
not provide a response.
    (c) The operator shall perform all maintenance and repairs on the 
test vehicle, consistent with the manufacturer's 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 shall be permitted to observe all tests. The 
manufacturer shall not provide maintenance or service unless requested 
to do so by the operator.
    (e) The operator shall investigate each occurrence of unauthorized 
maintenance and repairs and determine the potential impact to the 
validity of the test results. Tests where the results could have been 
impacted must be repeated at the manufacturer's expense.
    (f) The operator shall perform all modifications on the test 
vehicle, consistent with the manufacturer's specifications, unless the 
operator determines that the nature of the modification is best 
performed by the manufacturer under the operator's supervision. All 
vehicle modifications performed after the test has started will first 
require review and approval by FTA. If the modification is determined to 
be a major change, some or all of the tests already completed shall be 
repeated or extended at FTA's discretion.
    (g) The operator shall halt testing after any occurrence of 
unapproved, unauthorized, or unsupervised test vehicle modifications. 
Following an occurrence of unapproved or unsupervised test vehicle 
modifications, the vehicle manufacturer shall submit a new test request 
to FTA that addresses all the requirements in 665.11 to reenter the Bus 
testing program.
    (h) The operator shall perform eight categories of tests on new bus 
models. The eight tests and their corresponding performance standards 
are described in the following paragraphs.
    (1) Maintainability test. The Maintainability test shall include bus 
servicing, preventive maintenance, inspection, and repair. It shall also 
include the removal and reinstallation of the engine and drive-train 
components that would be expected to require replacement during the 
bus's normal life cycle. Much of the maintainability data should be 
obtained during the Bus Durability Test. All servicing, preventive 
maintenance, and repair actions shall be recorded and reported. These 
actions shall be performed by test facility staff, although 
manufacturers shall be allowed to maintain a representative

[[Page 576]]

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 may not be 
familiar with the detailed design of all new bus models that are tested, 
tests to determine the time and skill required for removing and 
reinstalling an engine, a transmission, or other major propulsion system 
components may require advice from the bus manufacturer. All routine and 
corrective maintenance shall be carried out by the operator in 
accordance with the manufacturer's specifications.
    (i) The Maintainability Test Report shall 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 purchaser shall be 
included in the report.
    (ii) The performance standard for Maintainability is that no greater 
than 125 hours of total unscheduled maintenance shall be accumulated 
over the execution of a full test.
    (2) Reliability test. Reliability shall not be a separate test, but 
shall be addressed by recording all bus failures and breakdowns during 
all other testing. The detected bus failures, repair time, and the 
actions required to return the bus to operation shall be presented in 
the report. The performance standard for Reliability is that the vehicle 
under test experience no more than one uncorrected Class 1 failure and 
two uncorrected Class 2 failures over the execution of a full test. 
Class 1 failures are addressed in the Safety Test, below. An uncorrected 
Class 2 failure is a failure mode not addressed by a design or component 
modification that would cause a transit vehicle to be unable to complete 
its transit route and require towing or on-route repairs. A failure is 
considered corrected when a design or component modification is 
validated through sufficient remaining or additional reliability testing 
in which the failure does not reoccur.
    (3) Safety test. The Safety Test shall consist of a Handling and 
Stability Test, a Braking Performance Test, and a review of the Class 1 
reliability failures that occurred during the test. The Handling and 
Stability Test shall be an obstacle avoidance double-lane change test 
performed on a smooth and level test track. The lane change course will 
be set up using pylons to mark off two 12 foot center to center lanes 
with two 100 foot lane change areas 100 feet apart. Bus speed shall be 
held constant throughout a given test run. Individual test runs shall be 
made at increasing speeds up to a specified maximum or until the bus can 
no longer be operated safely over the course, whichever speed is lower. 
Both left- and right-hand lane changes shall be tested. The performance 
standard is that the test vehicle can safely negotiate and remain within 
the lane change test course at a speed of no less than 45 mph.
    (i) The functionality and performance of the service, regenerative 
(if applicable), and parking brake systems shall be evaluated at the 
test track. The test bus shall be subjected to a series of brake stops 
from specified speeds on high, low, and split-friction surfaces. The 
parking brake shall be evaluated with the bus parked facing both up and 
down a steep grade. There are three performance standards for braking. 
The stopping distance from a speed of 45 mph on a high friction surface 
shall satisfy the bus stopping distance requirements of FMVSS 105 or 121 
as applicable. The bus shall remain within a standard 12-foot lane width 
during split coefficient brake stops. The parking brake shall hold the 
test vehicle stationary on a 20 percent grade facing up and down the 
grade for a period of 5 minutes.
    (ii) A review of all the Class 1 failures that occurred during the 
test shall be conducted as part of the Safety Test. Class 1 failures 
include those failures that, when they occur, could result in a loss of 
vehicle control; in serious injury to the driver, passengers, 
pedestrians, or other motorists; and in property damage or loss due to 
collision or fire. The performance standard is that at the completion of 
testing with no uncorrected Class 1 failure modes. A failure is 
considered corrected when a design or component modification is 
validated through sufficient remaining or additional Reliability Tests 
in which the failure does not reoccur over a number of miles equal to or 
greater

[[Page 577]]

than the additional failure up to 100% of the durability test mileage 
for the service life category of the tested bus.
    (4) Performance test. The Performance Test shall measure the maximum 
acceleration, speed, and gradeability capability of the test vehicle. In 
determining the transit vehicle's maximum acceleration and speed, the 
bus shall be accelerated at full throttle from rest until it achieves 
its maximum speed on a level roadway. The performance standard for 
acceleration is that the maximum time that the test vehicle requires to 
achieve 30 mph is 18 seconds on a level grade. The gradeability test of 
the test vehicle shall be calculated based on the data measured on a 
level grade during the Acceleration Test. The performance standard for 
the gradeability test is that the test vehicle achieves a sustained 
speed of at least 40 mph on a 2.5 percent grade and a sustained speed of 
at least 10 mph on a 10 percent grade.
    (5) Structural integrity tests. Two complementary Structural 
Integrity Tests shall be performed. Structural Strength and Distortion 
Tests shall be performed at the Bus Testing Center, and the Structural 
Durability Test shall be performed at the test track.
    (i) Structural strength and distortion tests. (1) The bus shall be 
loaded to GVW, with one wheel on top of a curb and then in a pothole. 
This test shall be repeated for all four wheels. The test verifies:
    (i) Normal operation of the steering mechanism and;
    (ii) Operability of all passenger doors, passenger escape 
mechanisms, windows, and service doors. A water leak test shall be 
conducted in each suspension travel condition. The performance standard 
shall be that all vehicle passenger exits remain operational throughout 
the test.
    (2) Using a load-equalizing towing sling, a static tension load 
equal to 1.2 times the curb weight shall be applied to the bus towing 
fixtures (front and rear). The load shall be removed and the two eyes 
and adjoining structure inspected for damages or permanent deformations. 
The performance standard shall be that no permanent deformation is 
experienced at static loads up to 1.2 times the vehicle curb weight.
    (3) The bus shall be towed at CW with a heavy wrecker truck for 5 
miles at 20 mph and then inspected for structural damage or permanent 
deformation. The performance standard shall be that the vehicle is 
towable with a standard commercial vehicle wrecker without experiencing 
any permanent damage to the vehicle.
    (4) With the bus at CW, probable damages and clearance issues due to 
tire deflating and hydraulic jacking shall be assessed. The performance 
standard shall be that the vehicle is capable of being lifted with a 
standard commercial vehicle hydraulic jack.
    (5) With the bus at CW, possible damages or deformation associated 
with lifting the bus on a two post hoist system or supporting it on jack 
stands shall be assessed. The performance standard shall be that the 
vehicle is capable of being supported by jack stands rated for the 
vehicle's weight.
    (i) Structural durability test. The Structural Durability Test shall 
be performed on the durability course at the test track, simulating 
twenty-five percent of the vehicle's normal service life. The bus 
structure shall be inspected regularly during the test, and the mileage 
and identification of any structural anomalies and failures shall be 
reported in the Reliability Test. There shall be two performance 
standards for the Durability Test, one to address the vehicle frame and 
body structure and one to address the bus propulsion system. The 
performance standard for the vehicle frame and body structure shall be 
that there are no uncorrected failure modes of the vehicle frame and 
body structure at the completion of the full vehicle test. The 
performance standard for the vehicle propulsion system is that there are 
no uncorrected powertrain failure modes at the completion of a full 
test.
    (ii) [Reserved]
    (6) Fuel economy test. The Fuel Economy Test shall be conducted 
using duty cycles that simulate a diverse range of transit service 
operating profiles. This test shall measure the fuel economy or fuel 
consumption of the vehicle and present the results in metrics that 
minimize the number of unit conversions for mass, volume, and energy.

[[Page 578]]

    (i) The Fuel Economy Test shall be designed only to enable FTA 
recipients to compare the relative fuel economy of buses operating at a 
consistent loading condition on the same set of typical transit driving 
cycles. The results of this test are not directly comparable to fuel 
economy estimates by other agencies, such as the National Highway 
Traffic Safety Administration (NHTSA) or U.S. Environmental Protection 
Agency (EPA) or for other purposes.
    (ii) The performance standard for fuel economy shall be the 
prevailing model year fuel consumption standards for heavy-duty 
vocational vehicles outlined in the NHTSA's Medium and Heavy-Duty Fuel 
Efficiency Program (49 CFR part 535).
    (7) Noise test. The Noise Test shall measure interior noise and 
vibration while the bus is idling (or in a comparable operating mode) 
and driving over smooth and irregular road surfaces, and also shall 
measure the transmission of exterior noise to the interior while the bus 
is not running. The exterior noise shall be measured as the bus is 
operated past a stationary measurement instrument. There shall be two 
minimum noise performance standards: One to address the maximum interior 
noise during vehicle acceleration from a stop, and one to address the 
maximum exterior noise during vehicle acceleration from a stop. The 
performance standard for interior noise while the vehicle accelerates 
from 0-35 mph shall be no greater than 80 decibels A-weighted. The 
performance standard for exterior noise while the vehicle accelerates 
from 0-35 miles per hour shall be no greater than 83 decibels A-
weighted.
    (8) Emissions test. The Emissions Test shall measure tailpipe 
emissions of those exhaust constituents regulated by the United States 
EPA for transit bus emissions, plus carbon dioxide (CO2) and 
methane (CH4), as the bus is operated over specific 
repeatable transit vehicle driving cycles. The Emissions test shall be 
conducted using an emission testing laboratory equipped with a chassis 
dynamometer capable of both absorbing and applying power.
    (i) The Emissions Test is not a certification test, and is designed 
only to enable FTA recipients to relatively compare the emissions of 
buses operating on the same set of typical transit driving cycles. The 
results of this test are not directly comparable to emissions 
measurements reported to other agencies, such as the EPA, or for other 
purposes.
    (ii) The emissions performance standard shall be the prevailing EPA 
emissions requirements for heavy-duty vehicles outlined in 40 CFR part 
86 and 40 CFR part 1037.





Sec. Appendix A to Part 665--Bus Model Scoring System and the Pass/Fail 
                                Standard

                       1. Bus Model Scoring System

    The Bus Model Scoring System shall be used to score the test results 
using the performance standards in each category. A bus model that fails 
to meet a minimum performance standard shall be deemed to have failed 
the test and will not receive an aggregate score. For buses that have 
passed all the minimum performance standards, an aggregate score shall 
be generated and presented in each Bus Testing Report. A bus model that 
just satisfies the minimum baseline performance standard and does not 
exceed any of the standards shall receive a score of 60. The maximum 
score a bus model shall receive is 100. The minimum and maximum points 
available in each test category shall be as shown below in Table A. The 
Bus Testing report will include a scoring summary table that displays 
the resulting scores in each of the test categories and subcategories. 
The scoring summary table shall have a disclaimer footnote stating that 
the use of the scoring system is not mandatory, only that the bus being 
procured receive a passing score.

                          2. Pass/Fail Standard

    The passing standard shall be a score of 60. Bus models that fail to 
meet one or more of the minimum baseline performance standards will be 
ineligible to obtain an aggregate passing score.

[[Page 579]]

[GRAPHIC] [TIFF OMITTED] TR01AU16.000


[[Page 580]]


[GRAPHIC] [TIFF OMITTED] TR01AU16.001

                        PARTS 666	669 [RESERVED]



PART 670_PUBLIC TRANSPORTATION SAFETY PROGRAM--Table of Contents



                      Subpart A_General Provisions

Sec.
670.1 Purpose and applicability.
670.3 Policy.
670.5 Definitions.

Subpart B_Inspections, Investigations, Audits, Examinations, and Testing

670.11 General.
670.13 Request for confidential treatment of records.

                          Subpart C_Enforcement

670.21 General.
670.23 Use or withholding of funds.
670.25 General directives.
670.27 Special directives.
670.29 Advisories.

[[Page 581]]

          Subpart D_National Public Transportation Safety Plan

670.31 Purpose and contents of the National Public Transportation Safety 
          Plan.

    Authority: 49 U.S.C. 5329, 49 CFR 1.91.

    Source: 81 FR 53058, Aug. 11, 2016, unless otherwise noted.



                      Subpart A_General Provisions



Sec.670.1  Purpose and applicability.

    This part carries out the mandate of 49 U.S.C. 5329 to improve the 
safety of public transportation systems. This part establishes 
substantive and procedural rules for FTA's administration of the Public 
Transportation Safety Program. This part applies to recipients of 
Federal financial assistance under 49 U.S.C. chapter 53.



Sec.670.3  Policy.

    The Federal Transit Administration (FTA) has adopted the principles 
and methods of Safety Management Systems (SMS) as the basis for 
enhancing the safety of public transportation in the United States. FTA 
will follow the principles and methods of SMS in its development of 
rules, regulations, policies, guidance, best practices and technical 
assistance administered under the authority of 49 U.S.C. 5329.



Sec.670.5  Definitions.

    As used in this part:
    Accountable Executive means a single, identifiable individual who 
has ultimate responsibility for carrying out the Public Transportation 
Agency Safety Plan of a public transportation agency; responsibility for 
carrying out the agency's Transit Asset Management Plan; and control or 
direction over the human and capital resources needed to develop and 
maintain both the agency's Public Transportation Agency Safety Plan in 
accordance with 49 U.S.C. 5329(d), and the agency's Transit Asset 
Management Plan in accordance with 49 U.S.C. 5326.
    Administrator means the Federal Transit Administrator or his or her 
designee.
    Advisory means a notice that informs or warns a recipient of hazards 
or risks to the recipient's public transportation system. An advisory 
may include recommendations for avoiding or mitigating the hazards or 
risks.
    Audit means a review or analysis of records and related materials, 
including, but not limited to, those related to financial accounts.
    Corrective action plan means a plan developed by a recipient that 
describes the actions the recipient will take to minimize, control, 
correct or eliminate risks and hazards, and the schedule for taking 
those actions. Either a State Safety Oversight Agency of FTA may require 
a recipient to develop and carry out a corrective action plan.
    Deputy Administrator means the Federal Transit Deputy Administrator 
or his or her designee.
    Directive means a written communication from FTA to a recipient that 
requires the recipient to take one or more specific actions to ensure 
the safety of the recipient's public transportation system.
    Examination means a process for gathering or analyzing facts or 
information related to the safety of a public transportation system.
    FTA means the Federal Transit Administration.
    Hazard means any real or potential condition that can cause injury, 
illness, or death; damage to or loss of the facilities, equipment, 
rolling stock, or infrastructure of a recipient's public transportation 
system; or damage to the environment.
    Inspection means a physical observation of equipment, facilities, 
rolling stock, operations, or records for the purpose of gathering or 
analyzing facts or information.
    Investigation means the process of determining the causal and 
contributing factors of an accident, incident or hazard for the purpose 
of preventing recurrence and mitigating risk.
    National Public Transportation Safety Plan means the plan to improve 
the safety of all public transportation systems that receive Federal 
financial assistance under 49 U.S.C. Chapter 53.
    Pattern or practice means two or more findings by FTA of a 
recipient's violation of the requirements of 49 U.S.C. 5329 or the 
regulations thereunder.

[[Page 582]]

    Recipient means a State or local governmental authority, or any 
other operator of public transportation that receives financial 
assistance under 49 U.S.C. Chapter 53. The term ``recipient'' includes 
State Safety Oversight Agencies.
    Record means any writing, drawing, map, recording, diskette, DVD, 
CD-ROM, tape, film, photograph, or other documentary material by which 
information is preserved. The term ``record'' also includes any such 
documentary material stored electronically.
    Risk means the composite of predicted severity and likelihood of the 
potential effect of a hazard.
    Safety Management System (SMS) means a formal, top-down, 
organization-wide data-driven approach to managing safety risk and 
assuring the effectiveness of a recipient's safety risk mitigations. SMS 
includes systematic procedures, practices and policies for managing 
risks and hazards.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.
    State Safety Oversight Agency means an agency established by a State 
that meets the requirements and performs the functions specified by 49 
U.S.C. 5329(e) and the regulations set forth in 49 CFR part 659 or 49 
CFR part 674.
    Testing means an assessment of equipment, facilities, rolling stock 
or operations of a recipient's public transportation system.



 Subpart B_Inspections, Investigations, Audits, Examinations and Testing



Sec.670.11  General.

    (a) The Administrator may conduct investigations, inspections, 
audits and examinations, and test the equipment, facilities, rolling 
stock and operations of a recipient's public transportation system.
    (b) To the extent practicable, the Administrator will provide notice 
to a recipient prior to initiating any activities carried out under the 
authorities listed in paragraph (a) of this section.
    (c) The Administrator will conduct activities carried out under this 
section at reasonable times and in a reasonable manner, as determined by 
the Administrator.
    (d) In carrying out this section, the Administrator may require the 
production of relevant documents and records, take evidence, issue 
subpoenas and depositions, and prescribe recordkeeping and reporting 
requirements.



Sec.670.13  Request for confidential treatment of records.

    (a) The Administrator may grant a recipient's request for 
confidential treatment of records produced under Sec.670.11, on the 
basis that the records are--
    (1) Exempt from the mandatory disclosure requirements of the Freedom 
of Information Act (5 U.S.C. 552);
    (2) Required to be held in confidence by 18 U.S.C. 1905; or
    (3) Otherwise exempt from public disclosure under Federal or State 
laws.
    (b) A recipient must submit the record that contains the alleged 
confidential information with the request for confidential treatment.
    (c) A recipient's request for confidential treatment must include a 
statement justifying nondisclosure and provide the specific legal basis 
upon which the request for nondisclosure should be granted.
    (d) A recipient's justification statement must indicate whether the 
recipient is requesting confidentiality for the entire record, or 
whether non-confidential information in the record can be reasonably 
segregated from the confidential information. If a recipient is 
requesting confidentiality for only a portion of the record, the request 
must include a copy of the entire record and a second copy of the record 
where the purportedly confidential information has been redacted. The 
Administrator may assume there is no objection to public disclosure of 
the record in its entirety if the requestor does not submit a second 
copy of the record with the confidential information redacted at the 
time that the request is submitted.
    (e) A recipient must mark any record containing any information for 
which confidential treatment is requested as

[[Page 583]]

follows--``CONFIDENTIAL'' or ``CONTAINS CONFIDENTIAL INFORMATION'' in 
bold letters.
    (f) The Administrator will provide notice to a recipient of his or 
her decision to approve or deny a request, in whole or in part, no less 
than five (5) days prior to the public disclosure of a record by FTA. 
The Administrator will provide an opportunity for a recipient to respond 
to his or her decision prior to the public disclosure of a record.



                          Subpart C_Authorities



Sec.670. 21  General.

    In addition to actions described in Sec. Sec.670.23 through 
670.29, in exercising his or her authority under this part, the 
Administrator may--
    (a) Require more frequent oversight of a recipient by a State Safety 
Oversight Agency that has jurisdiction over the recipient;
    (b) Impose requirements for more frequent reporting by a recipient;
    (c) Order a recipient to develop and carry out a corrective action 
plan; and
    (d) Issue restrictions and prohibitions, if through testing, 
inspection, investigation, audit or research carried out under Chapter 
53, the Administrator determines that an unsafe condition or practice, 
or a combination of unsafe conditions and practices, exist such that 
there is a substantial risk of death or personal injury.



Sec.670.23  Use or withholding of funds.

    (a) Directing the use of funds. The Administrator may require a 
recipient to use Chapter 53 funds to correct safety violations 
identified by the Administrator or a State Safety Oversight Agency 
before such funds are used for any other purpose.
    (b) Withholding of funds. Except as provided under 49 CFR part 674, 
the Administrator may withhold not more than twenty-five (25) percent of 
funds apportioned under 49 U.S.C. 5307 from a recipient when the 
Administrator has evidence that the recipient has engaged in a pattern 
or practice of serious safety violations, or has otherwise refused to 
comply with the Public Transportation Safety Program, as codified at 49 
U.S.C. 5329, or any regulation or directive issued under those laws for 
which the Administrator exercises enforcement authority for safety.
    (c) Notice. The Administrator will issue a notice of violation that 
includes the amount the Administrator proposes to redirect or withhold 
at least ninety (90) days prior to the date from when the funds will be 
redirected or withheld. The notice will contain--
    (1) A statement of the legal authority for its issuance;
    (2) A statement of the regulatory provisions or directives FTA 
believes the recipient has violated;
    (3) A statement of the remedial action sought to correct the 
violation; and
    (4) A statement of facts supporting the proposed remedial action.
    (d) Reply. Within thirty (30) days of service of a notice of 
violation, a recipient may file a written reply with the Administrator. 
Upon receipt of a written request, the Administrator may extend the time 
for filing for good cause shown. The reply must be in writing, and 
signed by the recipient's Accountable Executive or equivalent entity. A 
written reply may include an explanation for the alleged violation, 
provide relevant information or materials in response to the alleged 
violation or in mitigation thereof, or recommend alternative means of 
compliance for consideration by the Administrator.
    (e) Decision. The Administrator will issue a written decision within 
thirty (30) days of his or her receipt of a recipient's reply. The 
Administrator shall consider a recipient's response in determining 
whether to dismiss the notice of violation in whole or in part. If a 
notice of violation is not dismissed, the Administrator may undertake 
any other enforcement action he or she deems appropriate.



Sec.670.25  General directives.

    (a) General. The Administrator may issue a general directive under 
this part that is applicable to all recipients or a subset of recipients 
for the following reasons--
    (1) The Administrator determines that an unsafe condition or 
practice, or a combination of unsafe conditions and practices, exists 
such that there is a

[[Page 584]]

risk of death or personal injury, or damage to property or equipment; or
    (2) For any other purpose where the Administrator determines that 
the public interest requires the avoidance or mitigation of a hazard or 
risk.
    (b) Effective date. A general directive is effective upon final 
notice provided by the Administrator under paragraph (e) of this 
section.
    (c) Notice. The Administrator will provide notice of a general 
directive to recipients in the Federal Register. The notice will include 
at minimum--
    (1) A reference to the authority under which the directive is being 
issued;
    (2) A statement of the purpose of the issuance of the directive, 
including a description of the subjects or issues involved and a 
statement of the remedial actions sought; and
    (3) A statement of the time within which written comments must be 
received by FTA.
    (d) Consideration of comments received. The Administrator will 
consider all timely comments received. Late filed comments will be 
considered to the extent practicable.
    (e) Final notice. After consideration of timely comments received, 
the Administrator will publish a notice in the Federal Register that 
includes both a response to comments and a final general directive or a 
statement rescinding, revising, revoking or suspending the directive.



Sec.670.27  Special directives.

    (a) General. The Deputy Administrator may issue a special directive 
under this part to one or more named recipients for the following 
reasons--
    (1) The Deputy Administrator has reason to believe that a recipient 
is engaging in conduct, or there is evidence of a pattern or practice of 
a recipient's conduct, in violation of the Public Transportation Safety 
Program or any regulation or directive issued under those laws for which 
the Administrator exercises enforcement authority for safety;
    (2) The Deputy Administrator determines that an unsafe condition or 
practice, or a combination of unsafe conditions and practices exists 
such that there is a substantial risk of death or personal injury, or 
damage to property or equipment; or
    (3) For any other purpose where the Deputy Administrator determines 
that the public interest requires the avoidance or mitigation of a 
hazard or risk through immediate compliance.
    (b) Effective date. A special directive is effective upon notice 
provided by the Deputy Administrator under paragraph (c) of this 
section.
    (c) Notice. The Deputy Administrator will provide notice to a 
recipient that is subject to a special directive. The Deputy 
Administrator may initially provide notice through telephonic or 
electronic communication; however, written notice will be served by 
personal service or by U.S. mail following telephonic or electronic 
communication. Notice will include the following information, at 
minimum--
    (1) The name of the recipient or recipients to which the directive 
applies;
    (2) A reference to the authority under which the directive is being 
issued; and
    (3) A statement of the purpose of the issuance of the directive, 
including a description of the subjects or issues involved, a statement 
of facts upon which the notice is being issued, a statement of the 
remedial actions being sought, and the date by which such remedial 
actions must be taken.
    (d) Petition for reconsideration. Within thirty (30) days of service 
of a notice issued under paragraph (c) of this section, a recipient may 
file a petition for reconsideration with the Administrator. Unless 
explicitly stayed or modified by the Administrator, a special directive 
will remain in effect and must be observed pending review of a petition 
for reconsideration. Any such petition:
    (1) Must be in writing and signed by a recipient's Accountable 
Executive or equivalent entity;
    (2) Must include a brief explanation of why the recipient believes 
the special directive should not apply to it or why compliance with the 
special directive is not possible, is not practicable, is unreasonable, 
or is not in the public interest; and
    (3) May include relevant information regarding the factual basis 
upon which

[[Page 585]]

the special directive was issued, information in response to any alleged 
violation or in mitigation thereof, recommend alternative means of 
compliance for consideration, and any other information deemed 
appropriate by the recipient.
    (e) Request for extension. Upon written request, the Administrator 
may extend the time for filing a request for reconsideration for good 
cause shown.
    (f) Filing a petition for reconsideration. A petition must be 
submitted to the Office of the Administrator, Federal Transit 
Administration, using one of the following methods--
    (1) Email to FTA, sent to an email address provided in the notice of 
special directive;
    (2) Facsimile to FTA at 202-366-9854; or
    (3) Mail to FTA at: FTA, Office of the Administrator, 1200 New 
Jersey Ave. SE., Washington, DC 20590.
    (g) Processing of petitions for reconsideration--(1) General. Each 
petition received under this section will be reviewed and disposed of by 
the Administrator no later than ninety days (90) after receipt of the 
petition. No hearing, argument or other proceeding will be held directly 
on a petition before its disposition under this section.
    (2) Grants. If the Administrator determines the petition contains 
adequate justification, he or she may grant the petition, in whole or in 
part.
    (3) Denials. If the Administrator determines the petition does not 
justify modifying, rescinding or revoking the directive, in whole or in 
part, he or she may deny the petition.
    (4) Notification. The Administrator will issue notification to a 
recipient of his or her decision.
    (h) Judicial review. A recipient may seek judicial review in an 
appropriate United States District Court after a final action of FTA 
under this section, as provided in 5 U.S.C. 701-706.



Sec.670.29  Advisories.

    In any instance in which the Administrator determines there are 
hazards or risks to public transportation, the Administrator may issue 
an advisory which recommends corrective actions, inspections, 
conditions, limitations or other actions to avoid or mitigate any 
hazards or risks. The Administrator will issue notice to recipients of 
an advisory in the Federal Register.



          Subpart D_National Public Transportation Safety Plan



Sec.670.31  Purpose and contents of the National Public Transportation
Safety Plan.

    Periodically, FTA will issue a National Public Transportation Safety 
Plan to improve the safety of all public transportation systems that 
receive funding under 49 U.S.C. Chapter 53. The National Public 
Transportation Safety Plan will include the following--
    (a) Safety performance criteria for all modes of public 
transportation, established through public notice and comment;
    (b) The definition of state of good repair;
    (c) Minimum safety performance standards for vehicles in revenue 
operations, established through public notice and comment;
    (d) Minimum performance standards for public transportation 
operations established through public notice and comment;
    (e) The Public Transportation Safety Certification Training Program;
    (f) Safety advisories, directives and reports;
    (g) Best practices, technical assistance, templates and other tools;
    (h) Research, reports, data and information on hazard identification 
and risk management in public transportation, and guidance regarding the 
prevention of accidents and incidents in public transportation; and
    (i) Any other content as determined by FTA.

                           PART 671 [RESERVED]



PART 672_PUBLIC TRANSPORTATION SAFETY CERTIFICATION TRAINING PROGRAM
--Table of Contents



                      Subpart A_General Provisions

Sec.
672.1 Purpose.
672.3 Scope and applicability.
672.5 Definitions.

[[Page 586]]

                     Subpart B_Training Requirements

672.11 Designated personnel who conduct safety audits and examinations.
672.13 Designated personnel of public transportation agencies.
672.15 Evaluation of prior certification and training.

                  Subpart C_Administrative Requirements

672.21 Records.
672.23 Availability of records.

           Subpart D_Compliance and Certification Requirements

672.31 Requirement to certify compliance.

Appendix A to Part 672--Public Transportation Safety Certification 
          Training Program

     Authority: 49 U.S.C. 5329(c) and (f), and 49 CFR 1.91.

    Source: 83 FR 34067, July 19, 2018, unless otherwise noted.



                      Subpart A_General Provisions



Sec.672.1  Purpose.

    (a) This part implements a uniform safety certification training 
curriculum and requirements to enhance the technical proficiency of 
individuals who conduct safety audits and examinations of public 
transportation systems operated by public transportation agencies and 
those who are directly responsible for safety oversight of public 
transportation agencies.
    (b) This part does not preempt any safety certification training 
requirements required by a State for public transportation agencies 
within its jurisdiction.



Sec.672.3  Scope and applicability.

    (a) In general, this part applies to all recipients of Federal 
financial assistance under 49 U.S.C. chapter 53.
    (b) The mandatory requirements of this part will apply only to State 
Safety Oversight Agency personnel and contractors that conduct safety 
audits and examinations of rail fixed guideway public transportation 
systems, and designated personnel and contractors who are directly 
responsible for the safety oversight of a recipient's rail fixed 
guideway public transportation systems.
    (c) Other FTA recipients may participate voluntarily in accordance 
with this part.



Sec.672.5  Definitions.

    As used in this part:
    Administrator means the Federal Transit Administrator or the 
Administrator's designee.
    Contractor means an entity that performs tasks on behalf of FTA, a 
State Safety Oversight Agency, or public transportation agency through 
contract or other agreement.
    Designated personnel means:
    (1) Employees and contractors identified by a recipient whose job 
function is directly responsible for safety oversight of the public 
transportation system of the public transportation agency; or
    (2) Employees and contractors of a State Safety Oversight Agency 
whose job function requires them to conduct safety audits and 
examinations of the rail fixed guideway public transportation systems 
subject to the jurisdiction of the agency.
    Directly responsible for safety oversight means public 
transportation agency personnel whose primary job function includes the 
development, implementation and review of the agency's safety plan, and/
or the SSOA requirements for the rail fixed guideway public 
transportation system pursuant to 49 CFR parts 659 or 674.
    Examination means a process for gathering or analyzing facts or 
information related to the safety of a public transportation system.
    FTA means the Federal Transit Administration.
    Public transportation agency means an entity that provides public 
transportation service as defined in 49 U.S.C. 5302 and that has one or 
more modes of service not subject to the safety oversight requirements 
of another Federal agency.
    Rail fixed guideway public transportation system means any fixed 
guideway system as defined in Sec.674.7 of this chapter.
    Recipient means a State or local governmental authority, or any 
other operator of a public transportation system receiving financial 
assistance under 49 U.S.C. chapter 53.

[[Page 587]]

    Safety audit means a review or analysis of safety records and 
related materials, including, but not limited to, those related to 
financial accounts.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.
    State Safety Oversight Agency (SSOA) means an agency established by 
a State that meets the requirements and performs the functions specified 
by 49 U.S.C. 5329(e) and the regulations set forth in 49 CFR parts 659 
and 674.



                     Subpart B_Training Requirements



Sec.672.11  Designated personnel who conduct safety audits 
and examinations.

    (a) Each SSOA shall designate its personnel and contractors who 
conduct safety audits and examinations of public transportation systems, 
including appropriate managers and supervisors of such personnel, that 
must comply with the applicable training requirements of Appendix A to 
this part.
    (b) Designated personnel shall complete applicable training 
requirements of this part within three (3) years of their initial 
designation. Thereafter, refresher training shall be completed every two 
(2) years. The SSOA shall determine refresher training requirements 
which must include, at a minimum, one (1) hour of safety oversight 
training.



Sec.672.13  Designated personnel of public transportation agencies.

    (a) Each recipient that operates a rail fixed guideway public 
transportation system shall designate its personnel and contractors who 
are directly responsible for safety oversight and ensure their 
compliance with the applicable training requirements set forth in 
Appendix A to this part.
    (b) Each recipient that operates a bus or other public 
transportation system not subject to the safety oversight of another 
Federal agency may designate its personnel who are directly responsible 
for safety oversight to participate in the applicable training 
requirements as set forth in Appendix A to this part.
    (c) Personnel designated under paragraph (a) of this section shall 
complete applicable training requirements of this part within three (3) 
years of their initial designation. Thereafter, refresher training shall 
be completed every two (2) years. The recipient shall determine 
refresher training requirements which must include, at a minimum, one 
(1) hour of safety oversight training.



Sec.672.15  Evaluation of prior certification and training.

    (a) Designated personnel subject to this part may request that FTA 
evaluate safety training or certification previously obtained from 
another entity to determine if the training satisfies an applicable 
training requirement of this part.
    (b) Designated personnel must provide FTA with an official 
transcript or certificate of the training, a description of the 
curriculum and competencies obtained, and a brief statement detailing 
how the training or certification satisfies the applicable requirements 
of this part.
    (c) FTA will evaluate the submission and determine if a training 
requirement of this part may be waived. If a waiver is granted, 
designated personnel are responsible for completing all other applicable 
requirements of this part.



                 Subpart C_Administrative Requirements.



Sec.672.21  Records.

    (a) General requirement. Each recipient shall ensure that its 
designated personnel are enrolled in the PTSCTP. Each recipient shall 
ensure that designated personnel update their individual training record 
as he or she completes the applicable training requirements of this 
part.
    (b) SSOA requirement. Each SSOA shall retain a record of the 
technical training completed by its designated personnel in accordance 
with the technical training requirements of Appendix A to this part. 
Such records shall be retained by the SSOA for at least five (5) years 
from the date the record is created.

[[Page 588]]



Sec.672.23  Availability of records.

    (a) Except as required by law, or expressly authorized or required 
by this part, a recipient may not release information pertaining to 
designated personnel that is required by this part without the written 
consent of the designated personnel.
    (b) Designated personnel are entitled, upon written request to the 
recipient, to obtain copies of any records pertaining to his or her 
training required by this part. The recipient shall promptly provide the 
records requested by designated personnel and access shall not be 
contingent upon the recipient's receipt of payment for the production of 
such records.
    (c) A recipient shall permit access to all facilities utilized and 
records compiled in accordance with the requirements of this part to the 
Secretary of Transportation, the Federal Transit Administration, or any 
State agency with jurisdiction over public transportation safety 
oversight of the recipient.
    (d) When requested by the National Transportation Safety Board as 
part of an accident investigation, a recipient shall disclose 
information related to the training of designated personnel.



           Subpart D_Compliance and Certification Requirements



Sec.672.31  Requirement to certify compliance.

    (a) A recipient of FTA financial assistance described in Sec.
672.3(b) shall annually certify compliance with this part in accordance 
with FTA's procedures for annual grant certification and assurances.
    (b) A certification must be authorized by the recipient's governing 
board or other authorizing official, and must be signed by a party 
specifically authorized to do so.



Sec. Appendix A to Part 672--Public Transportation Safety Certification 
                            Training Program

             A. Required Curriculum Over a Three-Year Period

    (1) FTA/SSOA personnel and contractor support, and public 
transportation agency personnel with direct responsibility for safety 
oversight of rail fixed guideway public transportation systems:
    (a) One (1) hour course on SMS Awareness--e-learning delivery (all 
required participants)
    (b) Two (2) hour courses on Safety Assurance--e-learning delivery 
(all required participants)
    (c) Twenty (20) hours on SMS Principles for Transit (all required 
participants)
    (d) Sixteen (16) hours on SMS Principles for SSO Programs (FTA/SSOA/
contractor support personnel only)
    (e) TSSP curriculum (minus Transit System Security (TSS) course) 
(all required participants--credit will be provided if participant has a 
Course Completion Certificate of previously taken TSSP courses)
    (i) Rail System Safety (36 hours)
    (ii) Effectively Managing Transit Emergencies (32 hours)
    (iii) Rail Incident Investigation (36 hours)
    (2) FTA/SSOA/contractor support personnel (technical training 
component):
    (a) Each SSOA shall develop a technical training plan for designated 
personnel and contractor support personnel who perform safety audits and 
examinations. The SSOA will submit its proposed technical training plan 
to FTA for review and evaluation as part of the SSOA certification 
program in accordance with 49 U.S.C. 5329(e)(7). This review and 
approval process will support the consultation required between FTA and 
SSOAs regarding the staffing and qualification of the SSOAs' employees 
and other designated personnel in accordance with 49 U.S.C. 
5329(e)(3)(D).
    (b) Recognizing that each rail fixed guideway public transportation 
system has unique characteristics, each SSOA will identify the tasks 
related to inspections, examinations, and audits, and all activities 
requiring sign-off, which must be performed by the SSOA to carry out its 
safety oversight requirements, and identify the skills and knowledge 
necessary to perform each task at that system. At a minimum, the 
technical training plan will describe the process for receiving 
technical training in the following competency areas appropriate to the 
specific rail fixed guideway public transportation system(s) for which 
safety audits and examinations are conducted:
    (i) Agency organizational structure
    (ii) System Safety Program Plan and Security Program Plan
    (iii) Knowledge of agency:
    (I) Territory and revenue service schedules
    (II) Current bulletins, general orders, and other associated 
directives that ensure safe operations
    (III) Operations and maintenance rule books
    (IV) Safety rules
    (V) Standard Operating Procedures
    (VI) Roadway Worker Protection

[[Page 589]]

    (VII) Employee Hours of Service and Fatigue Management program
    (VIII) Employee Observation and Testing Program (Efficiency Testing)
    (IX) Employee training and certification requirements
    (X) Vehicle inspection and maintenance programs, schedules and 
records
    (XI) Track inspection and maintenance programs, schedules and 
records
    (XII) Tunnels, bridges, and other structures inspection and 
maintenance programs, schedules and records
    (XIII) Traction power (substation, overhead catenary system, and 
third rail), load dispatching, inspection and maintenance programs, 
schedules and records
    (XIV) Signal and train control inspection and maintenance programs, 
schedules and records
    (c) The SSOA will determine the length of time for the technical 
training based on the skill level of the designated personnel relative 
to the applicable rail transit agency(s). FTA will provide a template as 
requested to assist the SSOA with preparing and monitoring its technical 
training plan and will provide technical assistance as requested. Each 
SSOA technical training plan that is submitted to FTA for review will:
    (i) Require designated personnel to successfully:
    (I) Complete training that covers the skills and knowledge needed to 
effectively perform the tasks.
    (II) Pass a written and/or oral examination covering the skills and 
knowledge required for the designated personnel to effectively perform 
his or her tasks.
    (III) Demonstrate hands-on capability to perform his or her tasks to 
the satisfaction of the appropriate SSOA supervisor or designated 
instructor.
    (ii) Establish equivalencies or written and oral examinations to 
allow designated personnel to demonstrate that they possess the skill 
and qualification required to perform their tasks.
    (iii) Require biennial refresher training to maintain technical 
skills and abilities which includes classroom and hands-on training, as 
well as testing. Observation and evaluation of actual performance of 
duties may be used to meet the hands-on portion of this requirement, 
provided that such testing is documented.
    (iv) Require that training records be maintained to demonstrate the 
current qualification status of designated personnel assigned to carry 
out the oversight program. Records may be maintained either 
electronically or in writing and must be provided to FTA upon request.
    (v) Records must include the following information concerning each 
designated personnel:
    (I) Name;
    (II) The title and date each training course was completed and the 
proficiency test score(s) where applicable;
    (III) The content of each training course successfully completed;
    (IV) A description of the designated personnel's hands-on 
performance applying the skills and knowledge required to perform the 
tasks that the employee will be responsible for performing and the 
factual basis supporting the determination;
    (V) The tasks the designated personnel are deemed qualified to 
perform; and
    (VI) Provide the date that the designated personnel's status as 
qualified to perform the tasks expires, and the date in which biennial 
refresher training is due.
    (vi) Ensure the qualification of contractors performing oversight 
activities. SSOAs may use demonstrations, previous training and 
education, and written and oral examinations to determine if contractors 
possess the skill and qualification required to perform their tasks.
    (vii) Periodically assess the effectiveness of the technical 
training. One method of validation and assessment could be through the 
use of efficiency tests or periodic review of employee performance.

                         B. Voluntary Curriculum

    Bus transit system personnel with direct safety oversight 
responsibility and State DOTs overseeing safety programs for 
subrecipients:
    (a) SMS Awareness--e-learning delivery
    (b) Safety Assurance--e-learning delivery
    (c) SMS Principles for Transit
    (d) Courses offered through the TSSP Certificate (Bus)
    i. Effectively Managing Transit Emergencies
    ii. Transit Bus System Safety
    iii. Fundamentals of Bus Collision Investigation



PART 673_PUBLIC TRANSPORTATION AGENCY SAFETY PLANS--Table of Contents



                            Subpart A_General

673.1 Applicability.
673.3 Policy.
673.5 Definitions.

                         Subpart B_Safety Plans

673.11 General requirements.
673.13 Certification of compliance.
673.15 Coordination with metropolitan, statewide, and non-metropolitan 
          planning processes.

                   Subpart C_Safety Management Systems

673.21 General requirements.
673.23 Safety management policy.

[[Page 590]]

673.25 Safety risk management.
673.27 Safety assurance.
673.29 Safety promotion.

          Subpart D_Safety Plan Documentation and Recordkeeping

673.31 Safety plan documentation.

    Authority: 49 U.S.C. 5329(d) and 5334; 49 CFR 1.91.

    Source: 83 FR 34465, July 19, 2018, unless otherwise noted.



                            Subpart A_General



Sec.673.1  Applicability.

    (a) This part applies to any State, local governmental authority, 
and any other operator of a public transportation system that receives 
Federal financial assistance under 49 U.S.C. Chapter 53.
    (b) This part does not apply to an operator of a public 
transportation system that only receives Federal financial assistance 
under 49 U.S.C. 5310, 49 U.S.C. 5311, or both 49 U.S.C. 5310 and 49 
U.S.C. 5311.



Sec.673.3  Policy.

    The Federal Transit Administration (FTA) has adopted the principles 
and methods of Safety Management Systems (SMS) as the basis for 
enhancing the safety of public transportation in the United States. FTA 
will follow the principles and methods of SMS in its development of 
rules, regulations, policies, guidance, best practices, and technical 
assistance administered under the authority of 49 U.S.C. 5329. This part 
sets standards for the Public Transportation Agency Safety Plan, which 
will be responsive to FTA's Public Transportation Safety Program, and 
reflect the specific safety objectives, standards, and priorities of 
each transit agency. Each Public Transportation Agency Safety Plan will 
incorporate SMS principles and methods tailored to the size, complexity, 
and scope of the public transportation system and the environment in 
which it operates.



Sec.673.5  Definitions.

    As used in this part:
    Accident means an Event that involves any of the following: A loss 
of life; a report of a serious injury to a person; a collision of public 
transportation vehicles; a runaway train; an evacuation for life safety 
reasons; or any derailment of a rail transit vehicle, at any location, 
at any time, whatever the cause.
    Accountable Executive means a single, identifiable person who has 
ultimate responsibility for carrying out the Public Transportation 
Agency Safety Plan of a public transportation agency; responsibility for 
carrying out the agency's Transit Asset Management Plan; and control or 
direction over the human and capital resources needed to develop and 
maintain both the agency's Public Transportation Agency Safety Plan, in 
accordance with 49 U.S.C. 5329(d), and the agency's Transit Asset 
Management Plan in accordance with 49 U.S.C. 5326.
    Chief Safety Officer means an adequately trained individual who has 
responsibility for safety and reports directly to a transit agency's 
chief executive officer, general manager, president, or equivalent 
officer. A Chief Safety Officer may not serve in other operational or 
maintenance capacities, unless the Chief Safety Officer is employed by a 
transit agency that is a small public transportation provider as defined 
in this part, or a public transportation provider that does not operate 
a rail fixed guideway public transportation system.
    Equivalent Authority means an entity that carries out duties similar 
to that of a Board of Directors, for a recipient or subrecipient of FTA 
funds under 49 U.S.C. Chapter 53, including sufficient authority to 
review and approve a recipient or subrecipient's Public Transportation 
Agency Safety Plan.
    Event means any Accident, Incident, or Occurrence.
    FTA means the Federal Transit Administration, an operating 
administration within the United States Department of Transportation.
    Hazard means any real or potential condition that can cause injury, 
illness, or death; damage to or loss of the facilities, equipment, 
rolling stock, or infrastructure of a public transportation system; or 
damage to the environment.

[[Page 591]]

    Incident means an event that involves any of the following: A 
personal injury that is not a serious injury; one or more injuries 
requiring medical transport; or damage to facilities, equipment, rolling 
stock, or infrastructure that disrupts the operations of a transit 
agency.
    Investigation means the process of determining the causal and 
contributing factors of an accident, incident, or hazard, for the 
purpose of preventing recurrence and mitigating risk.
    National Public Transportation Safety Plan means the plan to improve 
the safety of all public transportation systems that receive Federal 
financial assistance under 49 U.S.C. Chapter 53.
    Occurrence means an Event without any personal injury in which any 
damage to facilities, equipment, rolling stock, or infrastructure does 
not disrupt the operations of a transit agency.
    Operator of a public transportation system means a provider of 
public transportation as defined under 49 U.S.C. 5302(14).
    Performance measure means an expression based on a quantifiable 
indicator of performance or condition that is used to establish targets 
and to assess progress toward meeting the established targets.
    Performance target means a quantifiable level of performance or 
condition, expressed as a value for the measure, to be achieved within a 
time period required by the Federal Transit Administration (FTA).
    Public Transportation Agency Safety Plan means the documented 
comprehensive agency safety plan for a transit agency that is required 
by 49 U.S.C. 5329 and this part.
    Rail fixed guideway public transportation system means any fixed 
guideway system that uses rail, is operated for public transportation, 
is within the jurisdiction of a State, and is not subject to the 
jurisdiction of the Federal Railroad Administration, or any such system 
in engineering or construction. Rail fixed guideway public 
transportation systems include but are not limited to rapid rail, heavy 
rail, light rail, monorail, trolley, inclined plane, funicular, and 
automated guideway.
    Rail transit agency means any entity that provides services on a 
rail fixed guideway public transportation system.
    Risk means the composite of predicted severity and likelihood of the 
potential effect of a hazard.
    Risk mitigation means a method or methods to eliminate or reduce the 
effects of hazards.
    Safety Assurance means processes within a transit agency's Safety 
Management System that functions to ensure the implementation and 
effectiveness of safety risk mitigation, and to ensure that the transit 
agency meets or exceeds its safety objectives through the collection, 
analysis, and assessment of information.
    Safety Management Policy means a transit agency's documented 
commitment to safety, which defines the transit agency's safety 
objectives and the accountabilities and responsibilities of its 
employees in regard to safety.
    Safety Management System (SMS) means the formal, top-down, 
organization-wide approach to managing safety risk and assuring the 
effectiveness of a transit agency's safety risk mitigation. SMS includes 
systematic procedures, practices, and policies for managing risks and 
hazards.
    Safety Management System (SMS) Executive means a Chief Safety 
Officer or an equivalent.
    Safety performance target means a Performance Target related to 
safety management activities.
    Safety Promotion means a combination of training and communication 
of safety information to support SMS as applied to the transit agency's 
public transportation system.
    Safety risk assessment means the formal activity whereby a transit 
agency determines Safety Risk Management priorities by establishing the 
significance or value of its safety risks.
    Safety Risk Management means a process within a transit agency's 
Public Transportation Agency Safety Plan for identifying hazards and 
analyzing, assessing, and mitigating safety risk.
    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;

[[Page 592]]

    (2) Results in a fracture of any bone (except simple fractures of 
fingers, toes, or noses);
    (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.
    Small public transportation provider means a recipient or 
subrecipient of Federal financial assistance under 49 U.S.C. 5307 that 
has one hundred (100) or fewer vehicles in peak revenue service and does 
not operate a rail fixed guideway public transportation system.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.
    State of good repair means the condition in which a capital asset is 
able to operate at a full level of performance.
    State Safety Oversight Agency means an agency established by a State 
that meets the requirements and performs the functions specified by 49 
U.S.C. 5329(e) and the regulations set forth in 49 CFR part 674.
    Transit agency means an operator of a public transportation system.
    Transit Asset Management Plan means the strategic and systematic 
practice of procuring, operating, inspecting, maintaining, 
rehabilitating, and replacing transit capital assets to manage their 
performance, risks, and costs over their life cycles, for the purpose of 
providing safe, cost-effective, and reliable public transportation, as 
required by 49 U.S.C. 5326 and 49 CFR part 625.



                         Subpart B_Safety Plans



Sec.673.11  General requirements.

    (a) A transit agency must, within one calendar year after July 19, 
2019, establish a Public Transportation Agency Safety Plan that meets 
the requirements of this part and, at a minimum, consists of the 
following elements:
    (1) The Public Transportation Agency Safety Plan, and subsequent 
updates, must be signed by the Accountable Executive and approved by the 
agency's Board of Directors, or an Equivalent Authority.
    (2) The Public Transportation Agency Safety Plan must document the 
processes and activities related to Safety Management System (SMS) 
implementation, as required under subpart C of this part.
    (3) The Public Transportation Agency Safety Plan must include 
performance targets based on the safety performance measures established 
under the National Public Transportation Safety Plan.
    (4) The Public Transportation Agency Safety Plan must address all 
applicable requirements and standards as set forth in FTA's Public 
Transportation Safety Program and the National Public Transportation 
Safety Plan. Compliance with the minimum safety performance standards 
authorized under 49 U.S.C. 5329(b)(2)(C) is not required until standards 
have been established through the public notice and comment process.
    (5) Each transit agency must establish a process and timeline for 
conducting an annual review and update of the Public Transportation 
Agency Safety Plan.
    (6) A rail transit agency must include or incorporate by reference 
in its Public Transportation Agency Safety Plan an emergency 
preparedness and response plan or procedures that addresses, at a 
minimum, the assignment of employee responsibilities during an 
emergency; and coordination with Federal, State, regional, and local 
officials with roles and responsibilities for emergency preparedness and 
response in the transit agency's service area.
    (b) A transit agency may develop one Public Transportation Agency 
Safety Plan for all modes of service, or may develop a Public 
Transportation Agency Safety Plan for each mode of service not subject 
to safety regulation by another Federal entity.
    (c) A transit agency must maintain its Public Transportation Agency 
Safety Plan in accordance with the recordkeeping requirements in subpart 
D of this part.
    (d) A State must draft and certify a Public Transportation Agency 
Safety Plan on behalf of any small public transportation provider that 
is located in that State. A State is not required

[[Page 593]]

to draft a Public Transportation Agency Safety Plan for a small public 
transportation provider if that agency notifies the State that it will 
draft its own plan. In each instance, the transit agency must carry out 
the plan. If a State drafts and certifies a Public Transportation Agency 
Safety Plan on behalf of a transit agency, and the transit agency later 
opts to draft and certify its own Public Transportation Agency Safety 
Plan, then the transit agency must notify the State. The transit agency 
has one year from the date of the notification to draft and certify a 
Public Transportation Agency Safety Plan that is compliant with this 
part. The Public Transportation Agency Safety Plan drafted by the State 
will remain in effect until the transit agency drafts its own Public 
Transportation Agency Safety Plan.
    (e) Any rail fixed guideway public transportation system that had a 
System Safety Program Plan compliant with 49 CFR part 659 as of October 
1, 2012, may keep that plan in effect until one year after July 19, 
2019.
    (f) Agencies that operate passenger ferries regulated by the United 
States Coast Guard (USCG) or rail fixed guideway public transportation 
service regulated by the Federal Railroad Administration (FRA) are not 
required to develop agency safety plans for those modes of service.



Sec.673.13  Certification of compliance.

    (a) Each transit agency, or State as authorized in Sec.673.11(d), 
must certify that it has established a Public Transportation Agency 
Safety Plan meeting the requirements of this part one year after July 
19, 2019. A State Safety Oversight Agency must review and approve a 
Public Transportation Agency Safety Plan developed by rail fixed 
guideway system, as authorized in 49 U.S.C. 5329(e) and its implementing 
regulations at 49 CFR part 674.
    (b) On an annual basis, a transit agency, direct recipient, or State 
must certify its compliance with this part.



Sec.673.15  Coordination with metropolitan, statewide, and non-
metropolitan planning processes.

    (a) A State or transit agency must make its safety performance 
targets available to States and Metropolitan Planning Organizations to 
aid in the planning process.
    (b) To the maximum extent practicable, a State or transit agency 
must coordinate with States and Metropolitan Planning Organizations in 
the selection of State and MPO safety performance targets.



                   Subpart C_Safety Management Systems



Sec.673.21  General requirements.

    Each transit agency must establish and implement a Safety Management 
System under this part. A transit agency Safety Management System must 
be appropriately scaled to the size, scope and complexity of the transit 
agency and include the following elements:
    (a) Safety Management Policy as described in Sec.673.23;
    (b) Safety Risk Management as described in Sec.673.25;
    (c) Safety Assurance as described in Sec.673.27; and
    (d) Safety Promotion as described in Sec.673.29.



Sec.673.23  Safety management policy.

    (a) A transit agency must establish its organizational 
accountabilities and responsibilities and have a written statement of 
safety management policy that includes the agency's safety objectives.
    (b) A transit agency must establish and implement a process that 
allows employees to report safety conditions to senior management, 
protections for employees who report safety conditions to senior 
management, and a description of employee behaviors that may result in 
disciplinary action.
    (c) The safety management policy must be communicated throughout the 
agency's organization.
    (d) The transit agency must establish the necessary authorities, 
accountabilities, and responsibilities for the management of safety 
amongst the following individuals within its organization, as they 
relate to the development and management of the transit agency's Safety 
Management System (SMS):
    (1) Accountable Executive. The transit agency must identify an 
Accountable

[[Page 594]]

Executive. The Accountable Executive is accountable for ensuring that 
the agency's SMS is effectively implemented, throughout the agency's 
public transportation system. The Accountable Executive is accountable 
for ensuring action is taken, as necessary, to address substandard 
performance in the agency's SMS. The Accountable Executive may delegate 
specific responsibilities, but the ultimate accountability for the 
transit agency's safety performance cannot be delegated and always rests 
with the Accountable Executive.
    (2) Chief Safety Officer or Safety Management System (SMS) 
Executive. The Accountable Executive must designate a Chief Safety 
Officer or SMS Executive who has the authority and responsibility for 
day-to-day implementation and operation of an agency's SMS. The Chief 
Safety Officer or SMS Executive must hold a direct line of reporting to 
the Accountable Executive. A transit agency may allow the Accountable 
Executive to also serve as the Chief Safety Officer or SMS Executive.
    (3) Agency leadership and executive management. A transit agency 
must identify those members of its leadership or executive management, 
other than an Accountable Executive, Chief Safety Officer, or SMS 
Executive, who have authorities or responsibilities for day-to-day 
implementation and operation of an agency's SMS.
    (4) Key staff. A transit agency may designate key staff, groups of 
staff, or committees to support the Accountable Executive, Chief Safety 
Officer, or SMS Executive in developing, implementing, and operating the 
agency's SMS.



Sec.673.25  Safety risk management.

    (a) Safety Risk Management process. A transit agency must develop 
and implement a Safety Risk Management process for all elements of its 
public transportation system. The Safety Risk Management process must be 
comprised of the following activities: Safety hazard identification, 
safety risk assessment, and safety risk mitigation.
    (b) Safety hazard identification. (1) A transit agency must 
establish methods or processes to identify hazards and consequences of 
the hazards.
    (2) A transit agency must consider, as a source for hazard 
identification, data and information provided by an oversight authority 
and the FTA.
    (c) Safety risk assessment. (1) A transit agency must establish 
methods or processes to assess the safety risks associated with 
identified safety hazards.
    (2) A safety risk assessment includes an assessment of the 
likelihood and severity of the consequences of the hazards, including 
existing mitigations, and prioritization of the hazards based on the 
safety risk.
    (d) Safety risk mitigation. A transit agency must establish methods 
or processes to identify mitigations or strategies necessary as a result 
of the agency's safety risk assessment to reduce the likelihood and 
severity of the consequences.



Sec.673.27  Safety assurance.

    (a) Safety assurance process. A transit agency must develop and 
implement a safety assurance process, consistent with this subpart. A 
rail fixed guideway public transportation system, and a recipient or 
subrecipient of Federal financial assistance under 49 U.S.C. Chapter 53 
that operates more than one hundred vehicles in peak revenue service, 
must include in its safety assurance process each of the requirements in 
paragraphs (b), (c), and (d) of this section. A small public 
transportation provider only must include in its safety assurance 
process the requirements in paragraph (b) of this section.
    (b) Safety performance monitoring and measurement. A transit agency 
must establish activities to:
    (1) Monitor its system for compliance with, and sufficiency of, the 
agency's procedures for operations and maintenance;
    (2) Monitor its operations to identify any safety risk mitigations 
that may be ineffective, inappropriate, or were not implemented as 
intended;
    (3) Conduct investigations of safety events to identify causal 
factors; and
    (4) Monitor information reported through any internal safety 
reporting programs.
    (c) Management of change. (1) A transit agency must establish a 
process for identifying and assessing changes that may introduce new 
hazards or impact

[[Page 595]]

the transit agency's safety performance.
    (2) If a transit agency determines that a change may impact its 
safety performance, then the transit agency must evaluate the proposed 
change through its Safety Risk Management process.
    (d) Continuous improvement. (1) A transit agency must establish a 
process to assess its safety performance.
    (2) If a transit agency identifies any deficiencies as part of its 
safety performance assessment, then the transit agency must develop and 
carry out, under the direction of the Accountable Executive, a plan to 
address the identified safety deficiencies.



Sec.673.29  Safety promotion.

    (a) Competencies and training. A transit agency must establish and 
implement a comprehensive safety training program for all agency 
employees and contractors directly responsible for safety in the 
agency's public transportation system. The training program must include 
refresher training, as necessary.
    (b) Safety communication. A transit agency must communicate safety 
and safety performance information throughout the agency's organization 
that, at a minimum, conveys information on hazards and safety risks 
relevant to employees' roles and responsibilities and informs employees 
of safety actions taken in response to reports submitted through an 
employee safety reporting program.



          Subpart D_Safety Plan Documentation and Recordkeeping



Sec.673.31  Safety plan documentation.

    At all times, a transit agency must maintain documents that set 
forth its Public Transportation Agency Safety Plan, including those 
related to the implementation of its Safety Management System (SMS), and 
results from SMS processes and activities. A transit agency must 
maintain documents that are included in whole, or by reference, that 
describe the programs, policies, and procedures that the agency uses to 
carry out its Public Transportation Agency Safety Plan. These documents 
must be made available upon request by the Federal Transit 
Administration or other Federal entity, or a State Safety Oversight 
Agency having jurisdiction. A transit agency must maintain these 
documents for a minimum of three years after they are created.



PART 674_STATE SAFETY OVERSIGHT--Table of Contents



                      Subpart A_General Provisions

Sec.
674.1 Purpose.
674.3 Applicability.
674.5 Policy.
674.7 Definitions.
674.9 Transition from previous requirements for State safety oversight.

                       Subpart B_Role of the State

674.11 State Safety Oversight Program.
674.13 Designation of oversight agency.
674.15 Designation of oversight agency for multi-state system.
674.17 Use of Federal financial assistance.
674.19 Certification of a State Safety Oversight Program.
674.21 Withholding of Federal financial assistance for noncompliance.
674.23 Confidentiality of information.

                Subpart C_State Safety Oversight Agencies

674.25 Role of the State safety oversight agency.
674.27 State safety oversight program standards.
674.29 Public Transportation Agency Safety Plans: general requirements.
674.31 Triennial audits: general requirements.
674.33 Notifications of accidents.
674.35 Investigations.
674.37 Corrective action plans.
674.39 State Safety Oversight Agency annual reporting to FTA.
674.41 Conflicts of interest.

Appendix to Part 674--Notification and reporting of accidents, 
          incidents, and occurrences.

    Authority: 49 U.S.C. 5329(e) and (f), as amended by section 20021(a) 
of the Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub. 
L. 112-141) and the delegations of authority at 49 CFR 1.91.

    Source: 81 FR 14256, Mar. 16, 2016, unless otherwise noted.

[[Page 596]]



                      Subpart A_General Provisions



Sec.674.1  Purpose.

    This part carries out the mandate of 49 U.S.C. 5329(e) for State 
safety oversight of rail fixed guideway public transportation systems.



Sec.674.3  Applicability.

    This part applies to States with rail fixed guideway public 
transportation systems; State safety oversight agencies that oversee the 
safety of rail fixed guideway public transportation systems; and 
entities that own or operate rail fixed guideway public transportation 
systems with Federal financial assistance authorized under 49 U.S.C. 
Chapter 53.



Sec.674.5  Policy.

    (a) In accordance with 49 U.S.C. 5329(e), a State that has a rail 
fixed guideway public transportation system within the State has primary 
responsibility for overseeing the safety of that rail fixed guideway 
public transportation system. A State safety oversight agency must have 
sufficient authority, resources, and qualified personnel to oversee the 
number, size, and complexity of rail fixed guideway public 
transportation systems that operate within a State.
    (b) FTA will make Federal financial assistance available to help an 
eligible State develop or carry out its State safety oversight program. 
Also, FTA will certify whether a State safety oversight program meets 
the requirements of 49 U.S.C. 5329(e) and is adequate to promote the 
purposes of the public transportation safety programs codified at 49 
U.S.C. 5329.



Sec.674.7  Definitions.

    As used in this part:
    Accident means an Event that involves any of the following: A loss 
of life; a report of a serious injury to a person; a collision involving 
a rail transit vehicle; a runaway train; an evacuation for life safety 
reasons; or any derailment of a rail transit vehicle, at any location, 
at any time, whatever the cause. An accident must be reported in 
accordance with the thresholds for notification and reporting set forth 
in Appendix A to this part.
    Accountable Executive means a single, identifiable individual who 
has ultimate responsibility for carrying out the Public Transportation 
Agency Safety Plan of a public transportation agency; responsibility for 
carrying out the agency's Transit Asset Management Plan; and control or 
direction over the human and capital resources needed to develop and 
maintain both the agency's Public Transportation Agency Safety Plan, in 
accordance with 49 U.S.C. 5329(d), and the agency's Transit Asset 
Management Plan in accordance with 49 U.S.C. 5326.
    Administrator means the Federal Transit Administrator or the 
Administrator's designee.
    Contractor means an entity that performs tasks on behalf of FTA, a 
State Safety Oversight Agency, or a Rail Transit Agency, through 
contract or other agreement.
    Corrective action plan means a plan developed by a Rail Transit 
Agency that describes the actions the Rail Transit Agency will take to 
minimize, control, correct, or eliminate risks and hazards, and the 
schedule for taking those actions. Either a State Safety Oversight 
Agency or FTA may require a Rail Transit Agency to develop and carry out 
a corrective action plan.
    Event means an Accident, Incident or Occurrence.
    FRA means the Federal Railroad Administration, an agency within the 
United States Department of Transportation.
    FTA means the Federal Transit Administration, an agency within the 
United States Department of Transportation.
    Hazard means any real or potential condition that can cause injury, 
illness, or death; damage to or loss of the facilities, equipment, 
rolling stock, or infrastructure of a rail fixed guideway public 
transportation system; or damage to the environment.
    Incident means an event that involves any of the following: A 
personal injury that is not a serious injury; one or more injuries 
requiring medical transport; or damage to facilities, equipment, rolling 
stock, or infrastructure that disrupts the operations of a rail

[[Page 597]]

transit agency. An incident must be reported to FTA's National Transit 
Database in accordance with the thresholds for reporting set forth in 
Appendix A to this part. If a rail transit agency or State Safety 
Oversight Agency later determines that an Incident meets the definition 
of Accident in this section, that event must be reported to the SSOA in 
accordance with the thresholds for notification and reporting set forth 
in Appendix A to this part.
    Investigation means the process of determining the causal and 
contributing factors of an accident, incident, or hazard, for the 
purpose of preventing recurrence and mitigating risk.
    National Public Transportation Safety Plan means the plan to improve 
the safety of all public transportation systems that receive Federal 
financial assistance under 49 U.S.C. Chapter 53.
    NTSB means the National Transportation Safety Board, an independent 
Federal agency.
    Occurrence means an Event without any personal injury in which any 
damage to facilities, equipment, rolling stock, or infrastructure does 
not disrupt the operations of a rail transit agency.
    Person means a passenger, employee, contractor, pedestrian, 
trespasser, or any individual on the property of a rail fixed guideway 
public transportation system.
    Public Transportation Agency Safety Plan (PTASP) means the 
comprehensive agency safety plan for a transit agency, including a Rail 
Transit Agency, that is required by 49 U.S.C. 5329(d) and based on a 
Safety Management System. Until one year after the effective date of 
FTA's PTASP final rule, a System Safety Program Plan (SSPP) developed 
pursuant to 49 CFR part 659 will serve as the rail transit agency's 
safety plan.
    Public Transportation Safety Certification Training Program means 
either the certification training program for Federal and State 
employees, or other designated personnel, who conduct safety audits and 
examinations of public transportation systems, and employees of public 
transportation agencies directly responsible for safety oversight, 
established through interim provisions in accordance with 49 U.S.C. 
5329(c)(2), or the program authorized by 49 U.S.C. 5329(c)(1).
    Rail fixed guideway public transportation system means any fixed 
guideway system that uses rail, is operated for public transportation, 
is within the jurisdiction of a State, and is not subject to the 
jurisdiction of the Federal Railroad Administration, or any such system 
in engineering or construction. Rail fixed guideway public 
transportation systems include but are not limited to rapid rail, heavy 
rail, light rail, monorail, trolley, inclined plane, funicular, and 
automated guideway.
    Rail Transit Agency (RTA) means any entity that provides services on 
a rail fixed guideway public transportation system.
    Risk means the composite of predicted severity and likelihood of the 
potential effect of a hazard.
    Risk mitigation means a method or methods to eliminate or reduce the 
effects of hazards.
    Safety risk management means a process within a Rail Transit 
Agency's Safety Plan for identifying hazards and analyzing, assessing, 
and mitigating safety risk.
    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.
    State means a State of the United States, the District of Columbia, 
Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the 
Virgin Islands.
    State Safety Oversight Agency (SSOA) means an agency established by 
a State that meets the requirements and performs the functions specified 
by 49 U.S.C. 5329(e) and the regulations set forth in this part.
    Vehicle means any rolling stock used on a rail fixed guideway public 
transportation system, including but not

[[Page 598]]

limited to passenger and maintenance vehicles.



Sec.674.9  Transition from previous requirements for State safety 
oversight.

    (a) Pursuant to section 20030(e) of the Moving Ahead for Progress in 
the 21st Century Act (Pub. L. 112-141; July 6, 2012) (``MAP-21''), the 
statute now codified at 49 U.S.C. 5330, titled ``State safety 
oversight,'' will be repealed three years after the effective date of 
the regulations set forth in this part.
    (b) No later than three years after the effective date of the 
regulations set forth in this part, the regulations now codified at part 
659 of this chapter will be rescinded.
    (c) A System Safety Program Plan (SSPP) developed pursuant to 49 CFR 
part 659 shall serve as the rail transit agency's safety plan until one 
year one year after the effective date of the Public Transportation 
Agency Safety Plan final rule, which will be codified in part 673 of 
this chapter.



                       Subpart B_Role of the State



Sec.674.11  State Safety Oversight Program.

    Within three years of April 15, 2016, every State that has a rail 
fixed guideway public transportation system must have a State Safety 
Oversight (SSO) program that has been approved by the Administrator. FTA 
will audit each State's compliance at least triennially, consistent with 
49 U.S.C. 5329(e)(9). At minimum, an SSO program must:
    (a) Explicitly acknowledge the State's responsibility for overseeing 
the safety of the rail fixed guideway public transportation systems 
within the State;
    (b) Demonstrate the State's ability to adopt and enforce Federal and 
relevant State law for safety in rail fixed guideway public 
transportation systems;
    (c) Establish a State safety oversight agency, by State law, in 
accordance with the requirements of 49 U.S.C. 5329(e) and this part;
    (d) Demonstrate that the State has determined an appropriate 
staffing level for the State safety oversight agency commensurate with 
the number, size, and complexity of the rail fixed guideway public 
transportation systems in the State, and that the State has consulted 
with the Administrator for that purpose;
    (e) Demonstrate that the employees and other personnel of the State 
safety oversight agency who are responsible for the oversight of rail 
fixed guideway public transportation systems are qualified to perform 
their functions, based on appropriate training, including substantial 
progress toward or completion of the Public Transportation Safety 
Certification Training Program; and
    (f) Demonstrate that by law, the State prohibits any public 
transportation agency in the State from providing funds to the SSOA.



Sec.674.13  Designation of oversight agency.

    (a) Every State that must establish a State Safety Oversight program 
in accordance with 49 U.S.C. 5329(e) must also establish a SSOA for the 
purpose of overseeing the safety of rail fixed guideway public 
transportation systems within that State. Further, the State must ensure 
that:
    (1) The SSOA is financially and legally independent from any public 
transportation agency the SSOA is obliged to oversee;
    (2) The SSOA does not directly provide public transportation 
services in an area with a rail fixed guideway public transportation 
system the SSOA is obliged to oversee;
    (3) The SSOA does not employ any individual who is also responsible 
for administering a rail fixed guideway public transportation system the 
SSOA is obliged to oversee;
    (4) The SSOA has authority to review, approve, oversee, and enforce 
the public transportation agency safety plan for a rail fixed guideway 
public transportation system required by 49 U.S.C. 5329(d);
    (5) The SSOA has investigative and enforcement authority with 
respect to the safety of all rail fixed guideway public transportation 
systems within the State;
    (6) At least once every three years, the SSOA audits every rail 
fixed guideway public transportation system's

[[Page 599]]

compliance with the public transportation agency safety plan required by 
49 U.S.C. 5329(d); and
    (7) At least once a year, the SSOA reports the status of the safety 
of each rail fixed guideway public transportation system to the 
Governor, the FTA, and the board of directors, or equivalent entity, of 
the rail fixed guideway public transportation system.
    (b) At the request of the Governor of a State, the Administrator may 
waive the requirements for financial and legal independence and the 
prohibitions on employee conflict of interest under paragraphs (a)(1) 
and (3) of this section, if the rail fixed guideway public 
transportation systems in design, construction, or revenue operations in 
the State have fewer than one million combined actual and projected rail 
fixed guideway revenue miles per year or provide fewer than ten million 
combined actual and projected unlinked passenger trips per year. 
However:
    (1) If a State shares jurisdiction over one or more rail fixed 
guideway public transportation systems with another State, and has one 
or more rail fixed guideway public transportation systems that are not 
shared with another State, the revenue miles and unlinked passenger 
trips of the rail fixed guideway public transportation system under 
shared jurisdiction will not be counted in the Administrator's decision 
whether to issue a waiver.
    (2) The Administrator will rescind a waiver issued under this 
subsection if the number of revenue miles per year or unlinked passenger 
trips per year increases beyond the thresholds specified in this 
subsection.



Sec.674.15  Designation of oversight agency for multi-state system.

    In an instance of a rail fixed guideway public transportation system 
that operates in more than one State, all States in which that rail 
fixed guideway public transportation system operates must either:
    (a) Ensure that uniform safety standards and procedures in 
compliance with 49 U.S.C. 5329 are applied to that rail fixed guideway 
public transportation system, through an SSO program that has been 
approved by the Administrator; or
    (b) Designate a single entity that meets the requirements for an 
SSOA to serve as the SSOA for that rail fixed guideway public 
transportation system, through an SSO program that has been approved by 
the Administrator.



Sec.674.17  Use of Federal financial assistance.

    (a) In accordance with 49 U.S.C. 5329(e)(6), FTA will make grants of 
Federal financial assistance to eligible States to help the States 
develop and carry out their SSO programs. This Federal financial 
assistance may be used for reimbursement of both the operational and 
administrative expenses of SSO programs, consistent with the uniform 
administrative requirements for grants to States under 2 CFR parts 200 
and 1201. The expenses eligible for reimbursement include, specifically, 
the expense of employee training and the expense of establishing and 
maintaining a SSOA in compliance with 49 U.S.C. 5329(e)(4).
    (b) The apportionments of available Federal financial assistance to 
eligible States will be made in accordance with a formula, established 
by the Administrator, following opportunity for public notice and 
comment. The formula will take into account fixed guideway vehicle 
revenue miles, fixed guideway route miles, and fixed guideway vehicle 
passenger miles attributable to all rail fixed guideway systems within 
each eligible State not subject to the jurisdiction of the FRA.
    (c) The grants of Federal financial assistance for State safety 
oversight shall be subject to terms and conditions as the Administrator 
deems appropriate.
    (d) The Federal share of the expenses eligible for reimbursement 
under a grant for State safety oversight activities shall be eighty 
percent of the reasonable costs incurred under that grant.
    (e) The non-Federal share of the expenses eligible for reimbursement 
under a grant for State safety oversight activities may not be comprised 
of Federal funds, any funds received from a public transportation 
agency, or

[[Page 600]]

any revenues earned by a public transportation agency.



Sec.674.19  Certification of a State Safety Oversight Program.

    (a) The Administrator must determine whether a State's SSO program 
meets the requirements of 49 U.S.C. 5329(e). Also, the Administrator 
must determine whether a SSO program is adequate to promote the purposes 
of 49 U.S.C. 5329, including, but not limited to, the National Public 
Transportation Safety Plan, the Public Transportation Safety 
Certification Training Program, and the Public Transportation Agency 
Safety Plans.
    (b) The Administrator must issue a certification to a State whose 
SSO program meets the requirements of 49 U.S.C. 5329(e). The 
Administrator must issue a denial of certification to a State whose SSO 
program does not meet the requirements of 49 U.S.C. 5329(e).
    (c) In an instance in which the Administrator issues a denial of 
certification to a State whose SSO program does not meet the 
requirements of 49 U.S.C. 5329(e), the Administrator must provide a 
written explanation, and allow the State an opportunity to modify and 
resubmit its SSO program for the Administrator's approval. In the event 
the State is unable to modify its SSO program to merit the 
Administrator's issuance of a certification, the Administrator must 
notify the Governor of that fact, and must ask the Governor to take all 
possible actions to correct the deficiencies that are precluding the 
issuance of a certification for the SSO program. In his or her 
discretion, the Administrator may also impose financial penalties as 
authorized by 49 U.S.C. 5329(e), which may include:
    (1) Withholding SSO grant funds from the State;
    (2) Withholding up to five percent of the 49 U.S.C. 5307 Urbanized 
Area formula funds appropriated for use in the State or urbanized area 
in the State, until such time as the SSO program can be certified; or
    (3) Requiring all rail fixed guideway public transportation systems 
governed by the SSO program to spend up to 100 percent of their Federal 
funding under 49 U.S.C. chapter 53 only for safety-related improvements 
on their systems, until such time as the SSO program can be certified.
    (d) In making a determination whether to issue a certification or a 
denial of certification for a SSO program, the Administrator must 
evaluate whether the cognizant SSOA has sufficient authority, resources, 
and expertise to oversee the number, size, and complexity of the rail 
fixed guideway public transportation systems that operate within the 
State, or will attain the necessary authority, resources, and expertise 
in accordance with a developmental plan and schedule set forth to a 
sufficient level of detail in the SSO program.



Sec.674.21  Withholding of Federal financial assistance for
noncompliance.

    (a) In making a decision to impose financial penalties as authorized 
by 49 U.S.C. 5329(e), and determining the nature and amount of the 
financial penalties, the Administrator shall consider the extent and 
circumstances of the noncompliance; the operating budgets of the SSOA 
and the rail fixed guideway public transportation systems that will be 
affected by the financial penalties; and such other matters as justice 
may require.
    (b) If a State fails to establish a SSO program that has been 
approved by the Administrator within three years of the effective date 
of this part, FTA will be prohibited from obligating Federal financial 
assistance apportioned under 49 U.S.C. 5338 to any entity in the State 
that is otherwise eligible to receive that Federal financial assistance, 
in accordance with 49 U.S.C. 5329(e)(3).



Sec.674.23  Confidentiality of information.

    (a) A State, an SSOA, or an RTA may withhold an investigation report 
prepared or adopted in accordance with these regulations from being 
admitted as evidence or used in a civil action for damages resulting 
from a matter mentioned in the report.
    (b) This part does not require public availability of any data, 
information, or procedures pertaining to the security of a rail fixed 
guideway public transportation system or its passenger operations.

[[Page 601]]



                Subpart C_State Safety Oversight Agencies



Sec.674.25  Role of the State safety oversight agency.

    (a) An SSOA must establish minimum standards for the safety of all 
rail fixed guideway public transportation systems within its oversight. 
These minimum standards must be consistent with the National Public 
Transportation Safety Plan, the Public Transportation Safety 
Certification Training Program, the rules for Public Transportation 
Agency Safety Plans and all applicable Federal and State law.
    (b) An SSOA must review and approve the Public Transportation Agency 
Safety Plan for every rail fixed guideway public transportation system 
within its oversight. An SSOA must oversee an RTA's execution of its 
Public Transportation Agency Safety Plan. An SSOA must enforce the 
execution of a Public Transportation Agency Safety Plan, through an 
order of a corrective action plan or any other means, as necessary or 
appropriate. An SSOA must ensure that a Public Transportation Agency 
Safety Plan meets the requirements at 49 U.S.C. 5329(d).
    (c) An SSOA has primary responsibility for the investigation of any 
allegation of noncompliance with a Public Transportation Agency Safety 
Plan. These responsibilities do not preclude the Administrator from 
exercising his or her authority under 49 U.S.C. 5329(f) or 49 U.S.C. 
5330.
    (d) An SSOA has primary responsibility for the investigation of an 
accident on a rail fixed guideway public transportation system. This 
responsibility does not preclude the Administrator from exercising his 
or her authority under 49 U.S.C. 5329(f) or 49 U.S.C. 5330.
    (e) An SSOA may enter into an agreement with a contractor for 
assistance in overseeing accident investigations; performing independent 
accident investigations; and reviewing incidents and occurrences; and 
for expertise the SSOA does not have within its own organization.
    (f) All personnel and contractors employed by an SSOA must comply 
with the requirements of the Public Transportation Safety Certification 
Training Program as applicable.



Sec.674.27  State safety oversight program standards.

    (a) An SSOA must adopt and distribute a written SSO program 
standard, consistent with the National Public Transportation Safety Plan 
and the rules for Public Transportation Agency Safety Plans. This SSO 
program standard must identify the processes and procedures that govern 
the activities of the SSOA. Also, the SSO program standard must identify 
the processes and procedures an RTA must have in place to comply with 
the standard. At minimum, the program standard must meet the following 
requirements:
    (1) Program management. The SSO program standard must explain the 
authority of the SSOA to oversee the safety of rail fixed guideway 
public transportation systems; the policies that govern the activities 
of the SSOA; the reporting requirements that govern both the SSOA and 
the rail fixed guideway public transportation systems; and the steps the 
SSOA will take to ensure open, on-going communication between the SSOA 
and every rail fixed guideway public transportation system within its 
oversight.
    (2) Program standard development. The SSO program standard must 
explain the SSOA's process for developing, reviewing, adopting, and 
revising its minimum standards for safety, and distributing those 
standards to the rail fixed guideway public transportation systems.
    (3) Program policy and objectives. The SSO program standard must set 
an explicit policy and objectives for safety in rail fixed guideway 
public transportation throughout the State.
    (4) Oversight of Rail Public Transportation Agency Safety Plans and 
Transit Agencies' internal safety reviews. The SSO program standard must 
explain the role of the SSOA in overseeing an RTA's execution of its 
Public Transportation Agency Safety Plan and any related safety reviews 
of the RTA's fixed guideway public transportation system. The program 
standard must describe the process whereby the SSOA will receive and 
evaluate all material submitted under the signature of an

[[Page 602]]

RTA's accountable executive. Also, the program standard must establish a 
procedure whereby an RTA will notify the SSOA before the RTA conducts an 
internal review of any aspect of the safety of its rail fixed guideway 
public transportation system.
    (5) Triennial SSOA audits of Rail Public Transportation Agency 
Safety Plans. The SSO program standard must explain the process the SSOA 
will follow and the criteria the SSOA will apply in conducting a 
complete audit of the RTA's compliance with its Public Transportation 
Agency Safety Plan at least once every three years, in accordance with 
49 U.S.C. 5329. Alternatively, the SSOA and RTA may agree that the SSOA 
will conduct its audit on an on-going basis over the three-year 
timeframe. The program standard must establish a procedure the SSOA and 
RTA will follow to manage findings and recommendations arising from the 
triennial audit.
    (6) Accident notification. The SSO program standard must establish 
requirements for an RTA to notify the SSOA of accidents on the RTA's 
rail fixed guideway public transportation system. These requirements 
must address, specifically, the time limits for notification, methods of 
notification, and the nature of the information the RTA must submit to 
the SSOA.
    (7) Investigations. The SSO program standard must identify 
thresholds for accidents that require the RTA to conduct an 
investigation. Also, the program standard must address how the SSOA will 
oversee an RTA's internal investigation; the role of the SSOA in 
supporting any investigation conducted or findings and recommendations 
made by the NTSB or FTA; and procedures for protecting the 
confidentiality of the investigation reports.
    (8) Corrective actions. The program standard must explain the 
process and criteria by which the SSOA may order an RTA to develop and 
carry out a Corrective Action Plan (CAP), and a procedure for the SSOA 
to review and approve a CAP. Also, the program standard must explain the 
SSOA's policy and practice for tracking and verifying an RTA's 
compliance with the CAP, and managing any conflicts between the SSOA and 
RTA relating either to the development or execution of the CAP or the 
findings of an investigation.
    (b) At least once a year an SSOA must submit its SSO program 
standard and any referenced program procedures to FTA, with an 
indication of any revisions made to the program standard since the last 
annual submittal. FTA will evaluate the SSOA's program standard as part 
of its continuous evaluation of the State Safety Oversight Program, and 
in preparing FTA's report to Congress on the certification status of 
that State Safety Oversight Program, in accordance with 49 U.S.C. 5329.



Sec.674.29  Public Transportation Agency Safety Plans: general 
requirements.

    (a) In determining whether to approve a Public Transportation Agency 
Safety Plan for a rail fixed guideway public transportation system, an 
SSOA must evaluate whether the Public Transportation Agency Safety Plan 
is consistent with the regulations implementing such Plans; is 
consistent with the National Public Transportation Safety Plan; and is 
in compliance with the program standard set by the SSOA.
    (b) In determining whether a Public Transportation Agency Safety 
Plan is compliant with 49 CFR part 673, an SSOA must determine, 
specifically, whether the Public Transportation Agency Safety Plan is 
approved by the RTA's board of directors or equivalent entity; sets 
forth a sufficiently explicit process for safety risk management, with 
adequate means of risk mitigation for the rail fixed guideway public 
transportation system; includes a process and timeline for annually 
reviewing and updating the safety plan; includes a comprehensive staff 
training program for the operations personnel directly responsible for 
the safety of the RTA; identifies an adequately trained safety officer 
who reports directly to the general manager, president, or equivalent 
officer of the RTA; includes adequate methods to support the execution 
of the Public Transportation Agency Safety Plan by all employees, 
agents, and contractors for the rail fixed guideway public 
transportation system; and

[[Page 603]]

sufficiently addresses other requirements under the regulations at 49 
CFR part 673.
    (c) In an instance in which an SSOA does not approve a Public 
Transportation Agency Safety Plan, the SSOA must provide a written 
explanation, and allow the RTA an opportunity to modify and resubmit its 
Public Transportation Agency Safety Plan for the SSOA's approval.



Sec.674.31  Triennial audits: general requirements.

    At least once every three years, an SSOA must conduct a complete 
audit of an RTA's compliance with its Public Transportation Agency 
Safety Plan. Alternatively, an SSOA may conduct the audit on an on-going 
basis over the three-year timeframe. At the conclusion of the three-year 
audit cycle, the SSOA shall issue a report with findings and 
recommendations arising from the audit, which must include, at minimum, 
an analysis of the effectiveness of the Public Transportation Agency 
Safety Plan, recommendations for improvements, and a corrective action 
plan, if necessary or appropriate. The RTA must be given an opportunity 
to comment on the findings and recommendations.



Sec.674.33  Notifications of accidents.

    (a) Two-hour notification. In addition to the requirements for 
accident notification set forth in an SSO program standard, an RTA must 
notify both the SSOA and the FTA within two hours of any accident 
occurring on a rail fixed guideway public transportation system. The 
criteria and thresholds for accident notification and reporting are 
defined in a reporting manual developed for the electronic reporting 
system specified by FTA as required in Sec.674.39(b), and in appendix 
A.
    (b) FRA notification. In any instance in which an RTA must notify 
the FRA of an accident as defined by 49 CFR 225.5 (i.e., shared use of 
the general railroad system trackage or corridors), the RTA must also 
notify the SSOA and FTA of the accident within the same time frame as 
required by the FRA.



Sec.674.35  Investigations.

    (a) An SSOA must investigate or require an investigation of any 
accident and is ultimately responsible for the sufficiency and 
thoroughness of all investigations, whether conducted by the SSOA or 
RTA. If an SSOA requires an RTA to investigate an accident, the SSOA 
must conduct an independent review of the RTA's findings of causation. 
In any instance in which an RTA is conducting its own internal 
investigation of the accident or incident, the SSOA and the RTA must 
coordinate their investigations in accordance with the SSO program 
standard and any agreements in effect.
    (b) Within a reasonable time, an SSOA must issue a written report on 
its investigation of an accident or review of an RTA's accident 
investigation in accordance with the reporting requirements established 
by the SSOA. The report must describe the investigation activities; 
identify the factors that caused or contributed to the accident; and set 
forth a corrective action plan, as necessary or appropriate. The SSOA 
must formally adopt the report of an accident and transmit that report 
to the RTA for review and concurrence. If the RTA does not concur with 
an SSOA's report, the SSOA may allow the RTA to submit a written dissent 
from the report, which may be included in the report, at the discretion 
of the SSOA.
    (c) All personnel and contractors that conduct investigations on 
behalf of an SSOA must be trained to perform their functions in 
accordance with the Public Transportation Safety Certification Training 
Program.
    (d) The Administrator may conduct an independent investigation of 
any accident or an independent review of an SSOA's or an RTA's findings 
of causation of an accident.



Sec.674.37  Corrective action plans.

    (a) In any instance in which an RTA must develop and carry out a 
CAP, the SSOA must review and approve the CAP before the RTA carries out 
the plan; however, an exception may be made for immediate or emergency 
corrective actions that must be taken to ensure immediate safety, 
provided that

[[Page 604]]

the SSOA has been given timely notification, and the SSOA provides 
subsequent review and approval. A CAP must describe, specifically, the 
actions the RTA will take to minimize, control, correct, or eliminate 
the risks and hazards identified by the CAP, the schedule for taking 
those actions, and the individuals responsible for taking those actions. 
The RTA must periodically report to the SSOA on its progress in carrying 
out the CAP. The SSOA may monitor the RTA's progress in carrying out the 
CAP through unannounced, on-site inspections, or any other means the 
SSOA deems necessary or appropriate.
    (b) In any instance in which a safety event on the RTA's rail fixed 
guideway public transportation system is the subject of an investigation 
by the NTSB, the SSOA must evaluate whether the findings or 
recommendations by the NTSB require a CAP by the RTA, and if so, the 
SSOA must order the RTA to develop and carry out a CAP.



Sec.674.39  State Safety Oversight Agency annual reporting to FTA.

    (a) On or before March 15 of each year, an SSOA must submit the 
following material to FTA:
    (1) The SSO program standard adopted in accordance with Sec.
674.27, with an indication of any changes to the SSO program standard 
during the preceding twelve months;
    (2) Evidence that each of its employees and contractors has 
completed the requirements of the Public Transportation Safety 
Certification Training Program, or, if in progress, the anticipated 
completion date of the training;
    (3) A publicly available report that summarizes its oversight 
activities for the preceding twelve months, describes the causal factors 
of accidents identified through investigation, and identifies the status 
of corrective actions, changes to Public Transportation Agency Safety 
Plans, and the level of effort by the SSOA in carrying out its oversight 
activities;
    (4) A summary of the triennial audits completed during the preceding 
twelve months, and the RTAs' progress in carrying out CAPs arising from 
triennial audits conducted in accordance with Sec.674.31;
    (5) Evidence that the SSOA has reviewed and approved any changes to 
the Public Transportation Agency Safety Plans during the preceding 
twelve months; and
    (6) A certification that the SSOA is in compliance with the 
requirements of this part.
    (b) These materials must be submitted electronically through a 
reporting system specified by FTA.



Sec.674.41  Conflicts of interest.

    (a) An SSOA must be financially and legally independent from any 
rail fixed guideway public transportation system under the oversight of 
the SSOA, unless the Administrator has issued a waiver of this 
requirement in accordance with Sec.674.13(b).
    (b) An SSOA may not employ any individual who provides services to a 
rail fixed guideway public transportation system under the oversight of 
the SSOA, unless the Administrator has issued a waiver of this 
requirement in accordance with Sec.674.13(b).
    (c) A contractor may not provide services to both an SSOA and a rail 
fixed guideway public transportation system under the oversight of that 
SSOA, unless the Administrator has issued a waiver of this prohibition.

[[Page 605]]



  Sec. Appendix to Part 674--Notification and Reporting of Accidents, 
                       Incidents, and Occurrences

----------------------------------------------------------------------------------------------------------------
                                                                            Types of events
         Event/threshold             Human factors      Property damage       (examples)            Actions
----------------------------------------------------------------------------------------------------------------
Accident: Rail Transit Agency     --Fatality          --Property damage   --A collision       --RTA to notify
 (RTA) to Notify State Safety      (occurring at the   resulting from a    between a rail      SSOA and FTA
 Oversight Agency (SSOA) SSO and   scene or within     collision           transit vehicle     within 2 hours;
 Federal Transit Administration    30 days following   involving a rail    and another rail    Investigation
 (FTA) within two hours.           the accident).      transit vehicle;    transit vehicle.    required.
                                  --One or more        or any derailment  --A collision at a  --RTA to report to
                                   persons suffering   of a rail transit   grade crossing      FTA within 30
                                   serious injury      vehicle.            resulting in        days via the
                                   (Serious injury                         serious injury or   National Transit
                                   means any injury                        fatality.           Database (NTD).
                                   which: (1)                             --A collision with  --RTA to record
                                   Requires                                a person            for SMS Analysis.
                                   hospitalization                         resulting in
                                   for more than 48                        serious injury or
                                   hours, commencing                       fatality.
                                   within 7 days                          --A collision with
                                   from the date of                        an object
                                   the injury was                          resulting in
                                   received; (2)                           serious injury or
                                   results in a                            fatality.
                                   fracture of any                        --A runaway train.
                                   bone (except                           --Evacuation due
                                   simple fractures                        to life safety
                                   of fingers, toes,                       reasons..
                                   or nose); (3)                          --A derailment
                                   causes severe                           (mainline or
                                   hemorrhages,                            yard)..
                                   nerve, muscle, or                      --Fires resulting
                                   tendon damage;                          in a serious
                                   (4) involves any                        injury or
                                   internal organ;                         fatality..
                                   or (5) involves
                                   second- or third-
                                   degree burns, or
                                   any burns
                                   affecting more
                                   than 5 percent of
                                   the body
                                   surface.).
Incident: RTA to Report to FTA    --A personal        --Non-collision-    --Evacuation of a   --RTA to report to
 (NTD) within 30 days.             injury that is      related damage to   train into the      FTA within 30
                                   not a serious       equipment,          right-of-way or     days via the
                                   injury.             rolling stock, or   onto adjacent       National Transit
                                  --One or more        infrastructure      track; or           Database (NTD).
                                   injuries            that disrupts the   customer self-     --RTA to record
                                   requiring medical   operations of a     evacuation.         for SMS Analysis.
                                   transportation      transit agency.    --Certain low-
                                   away from the                           speed collisions
                                   event.                                  involving a rail
                                                                           transit vehicle
                                                                           that result in a
                                                                           non-serious
                                                                           injury or
                                                                           property damage.
                                                                          --Damage to
                                                                           catenary or third-
                                                                           rail equipment
                                                                           that disrupts
                                                                           transit
                                                                           operations.
                                                                          --Fires that
                                                                           result in a non-
                                                                           serious injury or
                                                                           property damage.
                                                                          --A train stopping
                                                                           due to an
                                                                           obstruction in
                                                                           the tracks/``hard
                                                                           stops''.
                                                                          --Most hazardous
                                                                           material spills..
Occurrence: RTA to record data    --No personal       --Non-collision-    --Close Calls/Near  --RTA will
 and make available for SSO and/   injury.             related damage to   Misses.             collect, track
 or FTA review.                                        equipment,         --Safety rule        and analyze data
                                                       rolling stock, or   violations..        on Occurrences to
                                                       infrastructure     --Violations of      reduce the
                                                       that does not       safety policies..   likelihood of
                                                       disrupt the        --Damage to          recurrence and
                                                       operations of a     catenary or third-  inform the
                                                       transit agency.     rail equipment      practice of SMS.
                                                                           that do not
                                                                           disrupt
                                                                           operations..
                                                                          --Vandalism or
                                                                           theft..
----------------------------------------------------------------------------------------------------------------

                        PARTS 675	699 [RESERVED]

[[Page 607]]



      CHAPTER VII--NATIONAL RAILROAD PASSENGER CORPORATION (AMTRAK)




  --------------------------------------------------------------------
Part                                                                Page
700             Organization, functioning and available 
                    information.............................         609
701             Amtrak Freedom of Information Act program...         611
702-799         [Reserved]

[[Page 609]]



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 610]]


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 611]]

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_AMTRAK FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents



Sec.
701.1 General provisions.
701.2 Definitions.
701.3 Policy.
701.4 Amtrak public information.
701.5 Requirements for making requests.
701.6 Release and processing procedures.
701.7 Timing of responses to requests.
701.8 Responses to requests.
701.9 Business information.
701.10 Appeals.
701.11 Fees.
701.12 Other rights and services.

    Authority: 5 U.S.C. 552; 49 U.S.C. 24301(e).

    Source: 82 FR 9683, Feb. 8, 2017, unless otherwise noted.



Sec.701.1  General provisions.

    This part contains the rules that the National Railroad Passenger 
Corporation (``Amtrak'') follows in processing requests for records 
under the Freedom of Information Act (FOIA), Title 5 of the United 
States Code, section 552. Information routinely provided to the public 
(i.e., train timetables, press releases) may be obtained at Amtrak's Web 
site www.amtrak.com without following Amtrak's FOIA procedures.



Sec.701.2  Definitions.

    Unless the context requires otherwise in this part, masculine 
pronouns include the feminine gender and ``includes'' means ``includes 
but is not limited to.''
    Amtrak or Corporation means the National Railroad Passenger 
Corporation.
    Appeal means a request submitted to the President of Amtrak or 
designee for review of an adverse initial determination.
    Business days means working days; Saturdays, Sundays, and legal 
public holidays are excluded in computing response time for processing 
FOIA requests.
    Disclose or disclosure means making records available for 
examination or copying, or furnishing a copy of nonexempt responsive 
records.
    Electronic data means records and information (including email) that 
are created, stored, and retrievable by electronic means.
    Exempt information means information that is exempt from disclosure 
as permitted by 5 U.S.C. 552.
    Final determination means a decision by the President of Amtrak or 
designee concerning a request for review of an adverse initial 
determination received in response to an FOIA request.
    FOIA Officer means the Amtrak official designated to fulfill the 
responsibilities of implementing and administering the Freedom of 
Information Act as specifically designated under this part.
    Freedom of Information Act or ``FOIA'' means the statute as codified 
in section 552 of Title 5 of the United States Code as amended.
    Initial determination means a decision by the Amtrak FOIA Officer in 
response to a request for information under the FOIA.
    Pages means paper copies of standard office size or the cost 
equivalent in other media.
    President means the President and Chief Executive Officer (CEO) of 
the National Railroad Passenger Corporation (Amtrak) or designee.

[[Page 612]]

    Record means any writing, drawing, map, recording, tape, film, 
photograph, or other documentary material by which information is 
preserved in any format, including electronic format. A record must 
exist and be in the possession and control of Amtrak at the time of the 
request to be subject to this part and the FOIA. The following are not 
included within the definition of the word ``record'':
    (1) Library materials compiled for reference purposes or objects of 
substantial intrinsic value.
    (2) Routing and transmittal sheets, notes, and filing notes which do 
not also include information, comments, or statements of substance.
    (3) Anything that is not a tangible or documentary record such as an 
individual's memory or oral communication.
    (4) Objects or articles, whatever their historical or value as 
evidence.
    Request means any request for records made pursuant to 5 U.S.C. 552.
    Requester or requesting party means any person who has submitted a 
request to Amtrak.
    Responsive records means documents or electronic records determined 
to be within the scope of a FOIA request.



Sec.701.3  Policy.

    (a) Amtrak will make records of the Corporation available to the 
public to the greatest practicable extent in keeping with the spirit of 
the law. Therefore, records of the Corporation are available 
electronically, which can be accessed at the Amtrak FOIA Web site http:/
/www.amtrak.com/foia and www.amtrak.com, as provided in this part with 
the exception of 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.
    (b) A record of the Corporation, or parts thereof, may be withheld 
from disclosure if the Corporation reasonably foresees that disclosure 
would harm an interest protected by a FOIA exemption or when disclosure 
is prohibited by law. Disclosure to a properly constituted advisory 
committee, to Congress, or to Federal agencies does not waive the 
exemption.
    (c) In the event full disclosure of a requested record is not 
possible, any reasonably segregable portion of the record will be made 
available to the requesting person after deletion of the exempt 
portions. The entire record may be withheld if a determination is made 
that nonexempt material is so inextricably intertwined that disclosure 
would leave only essentially meaningless words or phrases, or when it 
can be reasonably assumed that a skillful and knowledgeable person could 
reconstruct the deleted information.
    (d) The procedures in this part 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 or 
to provide a record that will be created in the future.
    (e) Each officer and employee of the Corporation dealing with FOIA 
requests is directed to cooperate in making records available for 
disclosure under the Act in a prompt manner consistent with this part.
    (f) The FOIA time limits will not begin to run until a request has 
been identified as being made under the Act and deemed received by the 
FOIA Office.
    (g) Generally, when a member of the public complies with the 
procedures established in this part for obtaining records under the 
FOIA, the request shall receive prompt attention, and a response shall 
be made within twenty business days.



Sec.701.4  Amtrak public information.

    (a) Amtrak FOIA Web site. Amtrak will make available electronically 
records created by the Corporation that are required under the FOIA to 
be made available for public inspection which can be accessed at the 
Amtrak FOIA Web site http://www.amtrak.com/foia and www.amtrak.com.
    (b) Frequently requested information. The FOIA requires that copies 
of records, regardless of form or format, that have been released 
pursuant to a FOIA request under 5 U.S.C. 552(a)(3) be made publicly 
available in an electronic format if because of the nature

[[Page 613]]

of their subject matter they have become or are likely to become the 
subject of subsequent requests for substantially the same records or 
they have been requested three or more times.
    (1) Amtrak shall decide on a case-by-case basis whether records fall 
into the first category of ``frequently requested FOIA records'' based 
on the following factors:
    (i) Previous experience with similar records;
    (ii) The nature and type of information contained in the records;
    (iii) The identity and number of requesters and whether there is 
widespread media or commercial interest in the records.
    (c) Guide for making requests. A guide on how to use the FOIA for 
requesting records from Amtrak shall be made available to the public 
upon request. Amtrak's major information systems will be described in 
the guide.



Sec.701.5  Requirements for making requests.

    (a) General requirements. (1) A FOIA request can be made by ``any 
person'' as defined in 5 U.S.C. 551(2), which encompasses individuals 
(including foreign citizens; partnerships; corporations; associations; 
and local, state, tribal, and foreign governments). A FOIA request may 
not be made by a Federal agency.
    (2) A request must be in writing, indicate that it is being made 
under the FOIA, and provide an adequate description of the records 
sought. The request should also include applicable information regarding 
fees as specified in paragraphs (d) and (e) of this section.
    (b) How to submit a request. (1) The request letter and envelope 
should be marked prominently that it is a Freedom of Information Act or 
``FOIA'' request to ensure that it is properly routed.
    (2) The request must be addressed to the Freedom of Information 
Office; National Railroad Passenger Corporation; 60 Massachusetts Avenue 
NE., Washington, DC 20002. Requests will also be accepted by facsimile 
at (202) 906-2004 or via email at [email protected]. Amtrak cannot 
assure that a timely or satisfactory response under this part will be 
given to written requests addressed to Amtrak offices, officers, or 
employees other than the FOIA Office. Amtrak employees receiving a 
communication in the nature of a FOIA request shall forward it to the 
FOIA Office expeditiously. Amtrak shall advise the requesting party of 
the date that an improperly addressed request is received by the FOIA 
Office.
    (c) Content of the request--(1) Description of records. 
Identification of records sought under the FOIA is the responsibility of 
the requester. The records sought should be described in sufficient 
detail so that Amtrak personnel can locate them with a reasonable amount 
of effort. When possible, the request should include specific 
information such as dates, title or name, author, recipient, subject 
matter of the record, file designation or number, or other pertinent 
details for each record or category of records sought. Requesters may 
contact Amtrak's FOIA Public Liaison to discuss the records they seek 
and to receive assistance in describing the records.
    (2) Reformulation of a request. Amtrak is not obligated to act on a 
request until the requester provides sufficient information to locate 
the record. Amtrak may offer assistance in identifying records and 
reformulating a request where: The description is considered 
insufficient, the production of voluminous records is required, or a 
considerable number of work hours would be required that would interfere 
with the business of the Corporation. The FOIA Office shall notify the 
requester within ten business days of the type of information that will 
facilitate the search. The requesting party shall be given an 
opportunity to supply additional information and may submit a revised 
request. Requesters may contact Amtrak's FOIA Public Liaison to receive 
assistance in reformulating or modifying their request.
    (d) Payment of fees. The submission of a FOIA request constitutes an 
agreement to pay applicable fees accessed up to $25.00 unless the 
requesting party specifies a willingness to pay a greater or lesser 
amount or seeks a fee waiver or reduction in fees.

[[Page 614]]

    (1) Fees in excess of $25.00. When Amtrak determines or estimates 
that applicable fees are likely to exceed $25.00, the requesting party 
shall be notified of estimated or actual fees, unless a commitment has 
been made in advance to pay all fees. If only a portion of the fee can 
be estimated readily, Amtrak shall advise the requester that the 
estimated fee may be a portion of the total fee.
    (i) In order to protect requesters from large and/or unexpected 
fees, Amtrak will request a specific commitment when it estimates or 
determines that fees will exceed $100.00.
    (ii) A request shall not be considered received and further 
processing shall not be carried out until the requesting party agrees to 
pay the anticipated total fee. Any such agreement must be memorialized 
in writing. A notice under this paragraph will offer the requesting 
party an opportunity to discuss the matter in order to reformulate the 
request to meet the requester's needs at a lower cost.
    (iii) Amtrak will hold in abeyance for a reasonable amount of time 
requests requiring agreement to pay fees and will thereafter deem the 
request closed. This action will not prevent the requesting party from 
refiling the FOIA request with a fee commitment at a subsequent date.
    (2) Fees in excess of $250. When Amtrak estimates or determines that 
allowable charges are likely to exceed $250, an advance deposit of the 
entire fee may be required before continuing to process the request.
    (e) Information regarding fee category. In order to determine the 
appropriate fee category, a request should indicate whether the 
information sought is intended for commercial use or whether the 
requesting party is a member of an educational or noncommercial 
scientific institution or a representative of the news media.
    (f) Records concerning other individuals. If the request is for 
records concerning another individual, either of the following may be 
required in order to process the request:
    (1) A notarized written authorization signed by that individual 
permitting disclosure of those records to the requesting party, together 
with a copy of a photo ID of that individual; or
    (2) Proof that the individual is deceased (i.e., a copy of a death 
certificate or an obituary). A form of identification from the 
requesting party may also be required. Such records are also subject to 
any applicable FOIA exemptions.



Sec.701.6  Release and processing procedures.

    (a) General provisions. In determining records that are responsive 
to a request, Amtrak will ordinarily include only records that exist and 
are in the possession and control of the Corporation as of the date that 
the search is begun. If any other date is used, the requesting party 
will be informed of that date.
    (b) Authority to grant or deny requests. Amtrak's FOIA Officer is 
authorized to grant or deny any request for records.
    (c) Notice of referral. If Amtrak refers all or any part of the 
responsibility for responding to a request to another organization, the 
requesting party will be notified. A referral shall not be considered a 
denial of access within the meaning of this part. All consultations and 
referrals of requests will be handled according to the date that the 
FOIA request was initially received.
    (d) Creating a record. There is no obligation on the part of Amtrak 
to create a record to satisfy a FOIA request. Amtrak may create a new 
record in its sole discretion, however, when doing so would result in a 
more useful response to the requesting party or would be less burdensome 
to Amtrak than providing existing records. The cost of creating such a 
record may not be charged to the requester unless the fee for creating 
the record is equal to or less than the fee that would be charged for 
providing the existing record.
    (e) Incomplete records. If the records requested are not complete at 
the time of a request, Amtrak may, at its discretion, inform the 
requester that complete nonexempt records will be provided when 
available without having to submit an additional request.
    (f) Electronic records. Amtrak is not obligated to process a request 
for electronic records where creation of a record, programming, or a 
particular

[[Page 615]]

format would result in a significant expenditure of resources or 
interfere with the corporation's operations.



Sec.701.7  Timing of responses to requests.

    (a) General. (1) The time limits prescribed in the FOIA will begin 
only after the requirements for submitting a request as established in 
Sec.701.5 have been met, and the request is deemed received by the 
FOIA Office.
    (2) A request for records shall be considered to have been received 
on the later of the following dates:
    (i) The requester has agreed in writing to pay applicable fees in 
accordance with Sec.701.5(d); or
    (ii) The fees have been waived in accordance with Sec.701.11(k); 
or
    (iii) Payment in advance has been received from the requester when 
required in accordance with Sec.701.11(i).
    (3) The time for responding to requests set forth in paragraph (b) 
of this section may be delayed if:
    (i) The request does not sufficiently identify the fee category 
applicable to the request;
    (ii) The request does not state a willingness to pay all fees;
    (iii) A request seeking a fee waiver does not address the criteria 
for fee waivers set forth in Sec.701.11(k);
    (iv) A fee waiver request is denied, and the request does not 
include an alternative statement indicating that the requesting party is 
willing to pay all fees.
    (b) Initial determination. Whenever possible, an initial 
determination to release or deny a record shall be made within twenty 
business days after receipt of the request. In ``unusual circumstances'' 
as described in paragraph (d) of this section, the time for an initial 
determination may be extended for ten business days.
    (c) Multitrack processing. (1) Amtrak may use two or more processing 
tracks by distinguishing between simple, complex, and expedited requests 
based on the amount of work and/or time needed to process a request or 
the number of pages involved.
    (2) In general, when requests are received, Amtrak's FOIA Office 
will review and categorize them for tracking purposes. Requests within 
each track will be processed according to date of receipt.
    (3) The FOIA Office may contact a requester when a request does not 
appear to qualify for fast track processing to provide an opportunity to 
limit the scope of the request and qualify for a faster track. Such 
notification shall be at the discretion of the FOIA Office and will 
depend largely on whether it is believed that a narrowing of the request 
could place the request on a faster track.
    (d) Unusual circumstances. (1) The requesting party shall be 
notified in writing if the time limits for processing a request cannot 
be met because of unusual circumstances, and it will be necessary to 
extend the time limits for processing the request. The notification 
shall set forth the unusual circumstances for such extension and shall 
include the date by which the request can be expected to be completed. 
Where the extension is for more than ten business days, the requesting 
party will be afforded an opportunity to either modify the request so 
that it may be processed within the time limits or to arrange an 
alternative time period for processing the initial request or modified 
request. In such a case, the requesting party has the right to seek 
assistance from Amtrak's FOIA Public Liaison and to seek dispute 
resolution services from the Office of Government Information Services 
(OGIS).
    (2) If Amtrak believes that multiple requests submitted by a 
requester or by a group of requesters acting in concert constitute a 
single request that would otherwise involve unusual circumstances and 
the requests involve clearly related matters, the requests may be 
aggregated. Multiple requests concerning unrelated matters may not be 
aggregated.
    (3) Unusual circumstances that may justify delay include:
    (i) The need to search for and collect the requested records from 
other facilities that are separate from Amtrak's headquarters offices.
    (ii) The need to search for, collect, and examine a voluminous 
amount of separate and distinct records sought in a single request.
    (iii) The need for consultation, which shall be conducted with all 
practicable

[[Page 616]]

speed, with agencies having a substantial interest in the determination 
of the request, or among two or more Amtrak components having a 
substantial subject-matter interest in the request.
    (e) Exceptional circumstances. If a court has determined that 
exceptional circumstances exist, as defined by the FOIA, a failure to 
comply with the time limits shall be excused for the length of time 
provided by the court order.
    (f) Expedited processing. (1) Requests and appeals may be taken out 
of order and given expedited treatment whenever it is determined that 
they involve a compelling need, which means:
    (i) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; and
    (ii) An urgency to inform the public about an actual or alleged 
Amtrak activity, if made by a person primarily engaged in disseminating 
information.
    (2) A request for expedited processing may be made at the time of 
the initial request for records or at a later date.
    (3) A requester seeking expedited processing must submit a 
statement, certified to be true and correct to the best of that person's 
knowledge and belief, explaining in detail the basis for requesting 
expedited processing. This statement must accompany the request in order 
to be considered and responded to within the ten calendar days required 
for decisions on expedited access.
    (4) A requester who is not a full-time member of the news media must 
establish that he is a person whose main professional activity or 
occupation is information dissemination, though it need not be his sole 
occupation. A requester must establish a particular urgency to inform 
the public about the Amtrak activity involved in the request.
    (5) Within ten business days of receipt of a request for expedited 
processing, Amtrak shall determine whether to grant such a request and 
notify the requester of the decision. If a request for expedited 
treatment is granted, the request shall be given priority and shall be 
processed as soon as practicable.
    (6) Amtrak shall provide prompt consideration of appeals of 
decisions denying expedited processing.



Sec.701.8  Responses to requests.

    (a) Granting of requests. When an initial determination is made to 
grant a request in whole or in part, the requesting party shall be 
notified in writing and advised of any fees charged under Sec.
701.11(e). The records shall be disclosed to the requesting party 
promptly upon payment of applicable fees. The requesting party has the 
right to seek assistance from Amtrak's FOIA Public Liaison.
    (b) Adverse determination of requests--(1) Types of denials. The 
requesting party shall be notified in writing of a determination to deny 
a request in any respect. Adverse determinations or denials of records 
consist of:
    (i) A determination to withhold any requested record in whole or in 
part;
    (ii) A determination that a requested record does not exist or 
cannot be located;
    (iii) A denial of a request for expedited treatment; and
    (iv) A determination on any disputed fee matter including a denial 
of a request for a fee waiver.
    (2) Deletions. Records disclosed in part shall be marked clearly to 
show both the amount of the information deleted and the exemption under 
which the deletion was made unless doing so would harm an interest 
protected by an applicable exemption. If technically feasible, the 
amount of the information deleted and the exemption under which the 
deletion is made shall be indicated at the place in the record where 
such deletion is made.
    (3) Content of denial letter. The denial letter shall be signed by 
the FOIA Officer or designee and shall include:
    (i) A brief statement of the reason(s) for the adverse determination 
including any FOIA exemptions applied in denying the request;
    (ii) An estimate of the volume of information withheld (number of 
pages or some other reasonable form of estimation). An estimate does not 
need to be provided if the volume is indicated through deletions on 
records disclosed in part, or if providing an estimate

[[Page 617]]

would harm an interest protected by an applicable exemption;
    (iii) A statement that an appeal may be filed under Sec.701.10 and 
a description of the requirements of that section and of the right of 
the requesting party to seek dispute resolution services from either 
Amtrak's FOIA Public Liaison or the Office of Government Information 
Services (OGIS); and
    (iv) The name and title or position of the person responsible for 
the denial.



Sec.701.9  Business information.

    (a) General. Business information held by Amtrak will be disclosed 
under the FOIA only under this section.
    (b) Definitions. For purposes of this section, the following 
definitions apply:
    (1) Business information means commercial or financial information 
held by Amtrak that may be protected from disclosure under Exemption 4 
of the FOIA, 5 U.S.C. 552(b)(4).
    (2) Submitter means any person or entity including partnerships; 
corporations; associations; and local, state, tribal, and foreign 
governments.
    (c) Designation of business information. A submitter of business 
information will use good faith efforts to designate, by appropriate 
markings, either at the time of submission or at a reasonable time 
thereafter, any portions of its submission that it considers to be 
protected from disclosure under Exemption 4. These designations will 
expire ten years after the date of the submission unless the submitter 
requests and provides justification for a longer designation period.
    (d) Notice to submitters. Amtrak shall provide a submitter with 
prompt written notice of an FOIA request or an appeal that seeks its 
business information when required under paragraph (e) of this section, 
except as provided in paragraph (h) of this section, in order to give 
the submitter an opportunity to object to disclosure of any specified 
portion of the information under paragraph (f). The notice shall either 
describe the business information requested or include copies of the 
requested records or portions of records containing the information.
    (e) When notice is required. Notice shall be given to a submitter 
when:
    (1) The information has been designated in good faith by the 
submitter as information considered protected from disclosure under 
Exemption 4; or
    (2) Amtrak has reason to believe that the information may be 
protected from disclosure under Exemption 4.
    (f) Opportunity to object to disclosure. Amtrak will allow a 
submitter a reasonable amount of time, as determined by Amtrak in its 
sole discretion, to respond to the notice described in paragraph (d) of 
this section.
    (1) A detailed written statement must be submitted to Amtrak if the 
submitter has any objection to disclosure. The statement must specify 
all grounds for withholding any specified portion of the information 
sought under the FOIA. In the case of Exemption 4, it must show why the 
information is a trade secret or commercial or financial information 
that is privileged or confidential.
    (2) Unless otherwise specified, in the event that a submitter fails 
to respond within the time specified in the notice, the submitter may, 
in Amtrak's discretion, be considered to have no objection to disclosure 
of the information sought under the FOIA.
    (3) Information provided by a submitter in response to the notice 
may be subject to disclosure under the FOIA.
    (g) Notice of intent to disclose. Amtrak shall consider a 
submitter's objections and specific grounds for disclosure in making a 
determination whether to disclose the information. In any instance, when 
a decision is made to disclose information over the objection of a 
submitter, Amtrak shall give the submitter written notice which shall 
include:
    (1) A statement of the reason(s) why each of the submitter's 
objections to disclosure was not sustained;
    (2) A description of the information to be disclosed; and
    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice as determined by Amtrak in its sole discretion.
    (h) Exceptions to notice requirements. The notice requirements of 
this section shall not apply if:
    (1) Amtrak determines that the information should not be disclosed;

[[Page 618]]

    (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 the 
FOIA);
    (4) The designation made by the submitter under paragraph (c) of 
this section appears obviously frivolous. In such a case, Amtrak shall, 
prior to a specified disclosure date, give the submitter written notice 
of the final decision to disclose the information; or
    (5) The information requested is not designated by the submitter as 
exempt from disclosure in accordance with this part, unless Amtrak has 
substantial reason to believe that disclosure of the information would 
result in competitive harm.
    (i) Notice of a FOIA lawsuit. Whenever a FOIA requester files a 
lawsuit seeking to compel disclosure of business information, Amtrak 
shall promptly notify the submitter.
    (j) Notice to requesters. (1) When Amtrak provides a submitter with 
notice and an opportunity to object to disclosure under paragraph (f) of 
this section, the FOIA Office shall also notify the requester(s).
    (2) When Amtrak notifies a submitter of its intent to disclose 
requested information under paragraph (g) of this section, Amtrak shall 
also notify the requester(s).
    (3) When a submitter files a lawsuit seeking to prevent the 
disclosure of business information, Amtrak shall notify the 
requester(s).



Sec.701.10  Appeals.

    (a) Appeals of adverse determinations. (1) The requesting party may 
appeal:
    (i) A decision to withhold any requested record in whole or in part;
    (ii) A determination that a requested record does not exist or 
cannot be located;
    (iii) A denial of a request for expedited treatment; or
    (iv) Any disputed fee matter or the denial of a request for a fee 
waiver.
    (2) The appeal must be addressed to the President and Chief 
Executive Officer, in care of the Chief Legal Officer and General 
Counsel; National Railroad Passenger Corporation; 60 Massachusetts 
Avenue NE., Washington, DC 20002.
    (3) The appeal must be in writing and specify the relevant facts and 
the basis for the appeal. The appeal letter and envelope should be 
marked prominently that it is a Freedom of Information Act or ``FOIA'' 
appeal to ensure that it is properly routed.
    (4) The appeal must be received by the President's Office within 
ninety days of the date of denial.
    (5) An appeal will not be acted upon if the request becomes a matter 
of FOIA litigation.
    (b) Responses to appeals. The decision on any appeal shall be made 
in writing.
    (1) A decision upholding an adverse determination in whole or in 
part shall contain a statement of the reason(s) for such action, 
including any FOIA exemption(s) applied. The requesting party shall also 
be advised of the provision for judicial review of the decision 
contained in 5 U.S.C. 552(a)(4)(B).
    (2) Engaging in dispute resolution services provided by OGIS. 
Mediation is a voluntary process. If Amtrak agrees to participate in the 
mediation services provided by OGIS, it will actively engage as a 
partner to the process in an attempt to resolve the dispute.
    (3) If the adverse determination is reversed or modified on appeal 
in whole or in part, the requesting party shall be notified, and the 
request shall be reprocessed in accordance with the decision.
    (c) When appeal is required. The requesting party generally must 
timely appeal any adverse determination prior to seeking judicial 
review.



Sec.701.11  Fees.

    (a) General. Amtrak shall charge for processing requests under the 
FOIA in accordance with this section. A fee of $38 per hour shall be 
charged for search and review. For information concerning other 
processing fees, refer to paragraph (e) of this section. Amtrak shall 
collect all applicable fees before releasing copies of requested records 
to the requesting party. Payment of fees shall be made by check or money 
order payable to the National Railroad Passenger Corporation.
    (b) Definitions. For purposes of this section:
    (1) Direct costs means those expenses actually incurred in searching 
for and

[[Page 619]]

reproducing (and, in the case of commercial use requests, reviewing) 
records to respond to a FOIA request. Direct costs include such costs as 
the salary of the employee performing the work (the basic rate of pay 
for the employee plus applicable benefits and the cost of operating 
reproduction equipment). Direct costs do not include overhead expenses 
such as the costs of space and heating or lighting of the facility.
    (2) Reproduction means the making of a copy of a record or the 
information contained in it in order to respond to a FOIA request. 
Copies can take the form of paper, microform, audiovisual materials, or 
electronic records (i.e., magnetic tape or disk) among others. Amtrak 
shall honor a requester's specified preference for the form or format of 
disclosure if the record is readily reproducible with reasonable effort 
in the requested form or format by the office responding to the request.
    (3) Review means the process of examining a record located in 
response to a request to determine whether one or more of the statutory 
exemptions of the FOIA apply. Processing any record for disclosure 
includes doing all that is necessary to redact the record and prepare it 
for release. Review time includes time spent considering formal 
objection to disclosure by a commercial submitter under Sec.701.9 but 
does not include time spent resolving general legal or policy issues 
regarding the application of exemptions. Review costs are recoverable 
even if a record ultimately is not disclosed.
    (4) Search means the process of looking for and retrieving records 
or information responsive to a request. It includes page-by-page or 
line-by-line identification of information within records and also 
includes reasonable efforts to locate and retrieve information from 
records maintained in electronic form or format.
    (c) Fee categories. There are four categories of FOIA requesters for 
fee purposes: ``commercial use requesters,'' ``representatives of the 
news media,'' ``educational and non-commercial scientific institution 
requesters,'' and ``all other requesters.'' The categories are defined 
in the following paragraphs (c)(1) through (5), and applicable fees, 
which are the same for two of the categories, will be assessed as 
specified in paragraph (d) of this section.
    (1) Commercial requesters. The term ``commercial use'' request 
refers to a request from or on behalf of a person who seeks information 
for a use or purpose that furthers his commercial, trade, or profit 
interests, including furthering those interests through litigation. 
Amtrak shall determine, whenever reasonably possible, the use to which a 
requester will put the records sought by the request. When it appears 
that the requesting party will put the records to a commercial use, 
either because of the nature of the request itself or because Amtrak has 
reasonable cause to doubt the stated intended use, Amtrak shall provide 
the requesting party with an opportunity to submit further 
clarification. Where a requester does not explain the use or where 
explanation is insufficient, Amtrak may draw reasonable inferences from 
the requester's identity and charge accordingly.
    (2) Representative of the news media or news media requester refers 
to any person or entity that gathers information of potential interest 
to a segment of the public, uses its editorial skills to turn the raw 
materials into a distinct work, and distributes that work to an 
audience. In this paragraph, 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 are television or radio stations 
broadcasting to the public at large and publishers of periodicals (but 
only if such entities qualify as disseminators of `news') who make their 
products available for purchase by or subscription by or free 
distribution to the general public. These examples are not all-
inclusive. Moreover, as methods of news delivery evolve (for example, 
the adoption of the electronic dissemination of newspapers through 
telecommunications services), such alternative media shall be considered 
to be news-media entities. A freelance journalist shall be regarded as 
working for a news-media entity if the journalist can demonstrate a 
solid basis for expecting publication through that entity, whether or 
not the journalist is actually employed by the entity. A

[[Page 620]]

publication contract would present a solid basis for such an 
expectation, but Amtrak may also consider the past publication record of 
the requester in making such a determination.
    (3) Educational institution refers to a preschool, a public or 
private elementary or secondary school, an institution of undergraduate 
higher education, an institution of graduate higher education, an 
institution of professional education, or an institution of vocational 
education that operates a program of scholarly research. To be in this 
category, a requester must show that the request is authorized by and is 
made under the auspices of a qualifying institution and that the records 
are not sought for commercial use but to further scholarly research.
    (4) Noncommercial scientific institution refers to an institution 
that is not operated on a ``commercial'' basis, as that term is defined 
in paragraph (c)(1) of this section, and that 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 in this 
category, the requesting party must show that the request is authorized 
by and is made under the auspices of a qualifying institution and that 
the records are not sought for commercial use but to further scientific 
research.
    (5) Other requesters refers to requesters who do not come under the 
purview of paragraphs (c)(1) through (4) of this section.
    (d) Assessing fees. In responding to FOIA requests, Amtrak shall 
charge the following fees unless a waiver or a reduction in fees has 
been granted under paragraph (k) of this section:
    (1) ``Commercial use'' requesters: The full allowable direct costs 
for search, review, and duplication of records.
    (2) ``Representatives of the news media'' and ``educational and non-
commercial scientific institution'' requesters: Duplication charges 
only, excluding charges for the first 100 pages.
    (3) ``All other'' requesters: The direct costs of search and 
duplication of records. The first 100 pages of duplication and the first 
two hours of search time shall be provided without charge.
    (e) Schedule of fees--(1) Manual searches. Personnel search time 
includes time expended in either manual searches for paper records, 
searches using indices, review of computer search results for relevant 
records, and personal computer system searches.
    (2) Computer searches. The direct costs of conducting a computer 
search will be charged. These direct costs will include the cost of 
operating a central processing unit for that portion of the operating 
time that is directly attributable to searching for responsive records 
as well as the costs of operator/programmer salary apportionable to the 
search.
    (3) Duplication fees. Duplication fees will be charged all 
requesters subject to limitations specified in paragraph (d) of this 
section. Amtrak shall charge 25 cents per page for a paper photocopy of 
a record. For copies produced by computer (such as tapes or printouts), 
Amtrak will charge the direct costs, including the operator time in 
producing the copy. For other forms of duplication, Amtrak will charge 
the direct costs of that duplication.
    (4) Review fees. Review fees will be assessed for commercial use 
requests. Such fees will be assessed for review conducted in making an 
initial determination, or upon appeal, when review is conducted to 
determine whether an exemption not previously considered is applicable.
    (5) Charges for other services. The actual cost or amount shall be 
charged for all other types of output, production, and duplication 
(e.g., photographs, maps, or printed materials). Determinations of 
actual cost shall include the commercial cost of the media, the 
personnel time expended in making the item available for release, and an 
allocated cost for the equipment used in producing the item. The 
requesting party will be charged actual production costs when a 
commercial service is required. Items published and available through 
Amtrak will be made available at the publication price.
    (6) Charges for special services. Apart from the other provisions of 
this section, when Amtrak chooses as a matter of discretion to provide a 
special service such as sending records by other than ordinary mail, the 
direct costs of providing such services shall be charged.

[[Page 621]]

    (f) Commitment to pay fees. When Amtrak determines or estimates that 
applicable fees will likely exceed $25.00, the requesting party will be 
notified of the actual or estimated amount unless a written statement 
has been received indicating a willingness to pay all fees. To protect 
requesters from large and/or unexpected fees, Amtrak will request a 
specific commitment when it is estimated or determined that fees will 
exceed $100.00. See Sec.701.5(d) for additional information.
    (g) Restrictions in accessing fees--(1) General. Fees for search and 
review will not be charged for a quarter-hour period unless more than 
half of that period is required.
    (2) Minimum fee. No fees will be charged if the cost of collecting 
the fee is equal to or greater than the fee itself. That cost includes 
the costs to Amtrak for billing, receiving, recording, and processing 
the fee for deposit, which has been deemed to be $10.00.
    (3) Computer searches. With the exception of requesters seeking 
documents for commercial use, Amtrak shall not charge fees for a 
computer search until the cost of search equals the equivalent dollar 
amount of two hours of the salary of the operator performing the search.
    (4) Unusual circumstances. If Amtrak has determined that unusual 
circumstances (as defined in the FOIA) apply and Amtrak has provided 
timely written notice to the requester in accordance with 5 U.S.C. 
552(a)(6)(B), Amtrak may assess search or duplication fees, as 
applicable, for an additional 10 days. If Amtrak fails to comply with 
the extended time limit, no search fees (or, in the case of requesters 
described in paragraph (d)(2) of this section, no duplication fees) may 
be charged unless more than 5,000 pages are necessary to respond to the 
request, timely written notice has been sent out, and Amtrak has 
discussed with the requesting party via written mail, email, or 
telephone (or made not less than three good-faith attempts to do so) how 
the requesting party could effectively limit the scope of the request.
    (h) Nonproductive searches. Amtrak may charge for time spent for 
search and review even if responsive records are not located or if the 
records located are determined to be entirely exempt from disclosure.
    (i) Advance payments. (1) When Amtrak estimates or determines that 
charges are likely to exceed $250, an advance payment of the entire fee 
may be required before continuing to process the request.
    (2) Where a requester has previously failed to pay a properly 
charged FOIA fee within thirty (30) days of the date of billing, Amtrak 
may require the full amount due plus applicable interest and an advance 
payment of the full amount of anticipated fees before beginning to 
process a new request or continuing to process a pending request. The 
time limits of the FOIA will begin only after Amtrak has received such 
payment.
    (3) Amtrak will hold in abeyance for thirty days requests where 
deposits are due.
    (4) Monies owed for work already completed (i.e., before copies are 
sent to a requester) shall not be considered an advance payment.
    (5) Amtrak shall not deem a request as being received in cases in 
which an advance deposit or payment is due, and further work will not be 
done until the required payment is received.
    (j) Charging interest. Amtrak may charge interest on any unpaid bill 
for processing charges starting on the 31st day following the date of 
billing the requester. Interest charges will be assessed at the rate 
that Amtrak pays for short-term borrowing.
    (k) Waiver or reduction of fees--(1) Automatic waiver of fees. When 
the costs for a FOIA request total $10.00 or less, fees shall be waived 
automatically for all requesters regardless of category.
    (2) Other fee waivers. Decisions to waive or reduce fees that exceed 
the automatic waiver threshold shall be made on a case-by-case basis. 
Records responsive to a request will be furnished without charge or at 
below the established charge where Amtrak determines, based on all 
available information, that disclosure of the requested information is 
in the public interest because:
    (i) It is likely to contribute significantly to public understanding 
of the operations or activities of Amtrak, and

[[Page 622]]

    (ii) It is not primarily in the commercial interest of the 
requesting party.
    (3) To determine whether the fee waiver requirement in paragraph 
(k)(2)(i) of this section is met, Amtrak will consider the following 
factors:
    (i) The subject of the request--whether the subject of the requested 
records concerns the operations or activities of Amtrak. The subject of 
the requested records must concern identifiable operations or activities 
of Amtrak with a connection that is direct and clear, not remote or 
attenuated.
    (ii) The informative value of the information to be disclosed--
whether the disclosure is likely to contribute to an understanding of 
Amtrak operations or activities. The disclosable portions of the 
requested records must be meaningfully informative about Amtrak's 
operations or activities in order to be found to be likely to contribute 
to an increased public understanding of those operations or activities. 
The disclosure of information that already is in the public domain, in 
either a duplicative or a substantially identical form, would not be as 
likely to contribute to such understanding where nothing new would be 
added to the public's understanding.
    (iii) The contribution to an understanding of the subject by the 
public likely to result from disclosure--whether disclosure of the 
requested information will contribute to public understanding. The 
disclosure must contribute to the understanding of a reasonably broad 
audience of persons interested in the subject as opposed to the 
individual understanding of the requester. A requester's ability and 
expertise in the subject area as well as the requester's intention to 
effectively convey information to the public shall be considered. It 
shall be presumed that a representative of the news media will satisfy 
this consideration.
    (iv) The significance of the contribution to public understanding--
whether the disclosure is likely to contribute significantly to public 
understanding of Amtrak operations or activities. The public's 
understanding of the subject in question, as compared to the level of 
public understanding existing prior to the disclosure, must be enhanced 
by the disclosure to a significant extent.
    (4) To determine whether the fee waiver requirement in paragraph 
(k)(2)(ii) of this section is met, Amtrak will consider the following 
factors:
    (i) The existence and magnitude of a commercial interest--whether 
the requesting party has a commercial interest that would be furthered 
by the requested disclosure. Amtrak shall consider any commercial 
interest of the requesting party (with reference to the definition of 
``commercial use'' in paragraph (c)(1) of this section) or any person on 
whose behalf the requesting party may be acting that would be furthered 
by the requested disclosure. Requesters shall be given an opportunity to 
provide explanatory information regarding this consideration.
    (ii) The primary interest in disclosure--whether the magnitude of 
the identified commercial interest of the requester is sufficiently 
large in comparison with the public interest in disclosure, that 
disclosure is ``primarily in the commercial interest of the requester.'' 
A fee waiver or reduction is justified where the public interest 
standard is satisfied and public interest is greater in magnitude than 
any identified commercial interest in disclosure.
    (5) Requests for a fee waiver will be considered on a case-by-case 
basis, based upon the merits of the information provided. Where it is 
difficult to determine whether the request is commercial in nature, 
Amtrak may draw inference from the requester's identity and the 
circumstances of the request.
    (6) Requests for a waiver or reduction of fees must address the 
factors listed in paragraphs (k)(3) and (4) of this section. In all 
cases, the burden shall be on the requesting party to present evidence 
of information in support of a request for a waiver of fees.
    (l) Aggregating requests. A requester may not file multiple requests 
at the same time in order to avoid payment of fees. Where Amtrak 
reasonably believes that a requester or a group of requesters acting in 
concert is attempting to divide a request into a series of requests for 
the purpose of avoiding fees, Amtrak may aggregate those requests and 
charge accordingly. Amtrak may presume that multiple requests of this 
type made within a thirty-day period have been made in order to avoid

[[Page 623]]

fees. Where requests are separated by a longer period, Amtrak may 
aggregate them only when there exists a reasonable basis for determining 
that aggregation is warranted in view of all the circumstances involved. 
Multiple requests involving unrelated matters may not be aggregated.



Sec.701.12  Other rights and services.

    Nothing in this part shall be construed as entitling any person, as 
of right, to any service or the disclosure of any record to which such 
person is not entitled under the FOIA.

                        PARTS 702	799 [RESERVED]

[[Page 625]]



           CHAPTER VIII--NATIONAL TRANSPORTATION SAFETY BOARD




  --------------------------------------------------------------------
Part                                                                Page
800             Administrative rules........................         627
801             Public availability of information..........         635
802             Rules implementing the Privacy Act of 1974..         645
803             Official seal...............................         652
804             Rules implementing the Government in the 
                    Sunshine Act............................         653
805             [Reserved]

806             National security information policy and 
                    guidelines, implementing regulations....         657
807             Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the National 
                    Transportation Safety Board.............         658
821             Rules of practice in air safety proceedings.         663
825             Rules of procedure for merchant marine 
                    appeals from decisions of the 
                    Commandant, U.S. Coast Guard............         681
826             Rules implementing the Equal Access to 
                    Justice Act of 1980.....................         684
830             Notification and reporting of aircraft 
                    accidents or incidents and overdue 
                    aircraft, and preservation of aircraft 
                    wreckage, mail, cargo, and records......         690
831             Investigation procedures....................         693
835             Testimony of Board employees................         707
837             Production of records in legal proceedings..         710
840             Rules pertaining to notification of railroad 
                    accidents...............................         712
845             Rules of practice in transportation: 
                    investigative hearings; meetings, 
                    reports, and petitions for 
                    reconsideration.........................         713
850             Coast Guard--National Transportation Safety 
                    Board marine casualty investigations....         718
851-999         [Reserved]

[[Page 627]]



PART 800_ADMINISTRATIVE RULES--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 Office of Aviation Safety, Office 
          of Railroad Safety, Office of Highway Safety, Office of Marine 
          Safety, and Office of Pipeline and Hazardous Materials Safety.
800.26 Delegation to the Chief, Public Inquiries Branch.
800.27 Delegation to investigative officers and employees of the Board.
800.28 Delegation to the Chief Financial Officer.

               Subpart C_Procedures for Adoption of Rules

800.30 Applicability.
800.31 Public reading room.
800.32 Initiation of rulemaking.
800.33 Notice of proposed rulemaking.
800.34 Contents of notices of proposed rulemaking.
800.35 Participation of interested persons.
800.36 Petitions for extension of time to comment.
800.37 Contents of written comments.
800.38 Consideration of comments received.
800.39 Additional rulemaking proceedings.
800.40 Hearings.
800.41 Adoption of final rules.
800.42 Petitions for rulemaking.
800.43 Processing of petition.
800.44 Direct final rulemaking procedures.
800.45 Interim rulemaking procedures.

Appendix to Part 800--Request to the Secretary of the Department of 
          Transportation To Investigate Certain Aircraft Accidents

    Authority: 49 U.S.C. 1101 et seq.; 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 subpart describes the organization, functions, and operation of 
the National Transportation Safety Board (Board).

[49 FR 26232, June 27, 1984, as amended at 81 FR 75730, Nov. 1, 2016]



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 as Vice Chairman. The Members exercise various functions, 
powers, and duties set forth in 49 U.S.C. chapter 11. The Board is an 
independent agency of the United States. More detailed descriptions of 
the Board and its work are contained in other parts of this chapter 
VIII, notably parts 825, 830 through 835, and 840 through 850. 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 Government, Public, and Family Affairs, which 
supplies the Congress and Federal, State, and local government agencies 
with information regarding the Safety Board's activities, programs and 
objectives; supplies the public, the transportation industry and the 
news media with current, accurate information concerning the work, 
programs, and objectives of the Board; coordinates public and private 
responsibilities, including aid to survivors and families of accident 
victims, in the wake of transportation disasters. This

[[Page 628]]

Office maintains the 24-hour Communications Center, which assists in 
coordinating accident notification and launch operations for all modes 
and provides an off-hour base for family assistance functions during 
accident investigations.
    (c) The Office of the General Counsel, which provides legal advice 
and assistance to the Board and its staff; prepares Board rules, 
opinions and/or orders, and advice to all offices on matters of legal 
significance; and represents the Board in judicial matters to which the 
Board is a party or in which the Board is interested.
    (d) The Office of Administrative Law Judges, which conducts all 
formal proceedings arising under 49 U.S.C. 1133, including proceedings 
involving civil penalties and suspension or revocation of certificates, 
and appeals from actions of the Federal Aviation Administrator in 
refusing to issue airman certificates.
    (e) 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.
    (f) The Office of Railroad Safety, which conducts investigations of 
railroad 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 railroad accidents; and conducts 
special investigations into selected rail accidents involving safety 
issues of concern to the Board.
    (g) The Office of Highway Safety, which conducts investigations of 
highway accidents, including railroad grade-crossing 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 highway accidents; and conducts special investigations into 
selected highway accidents involving safety issues of concern to the 
Board.
    (h) The Office of Marine Safety, which conducts investigations of 
marine 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 marine accidents; participates in the 
investigation of accidents that occur in foreign countries and that 
involve U.S.-registered vessels; and conducts special investigations 
into selected marine accidents involving safety issues of concern to the 
Board.
    (i) The Office of Pipeline and Hazardous Materials Safety, which 
conducts investigations of pipeline 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 causes of accidents when 
delegated authority to do so by the Board; initiates safety 
recommendations to prevent future pipeline and hazardous materials 
accidents; and conducts special investigations into selected pipeline 
and hazardous materials accidents involving safety issues of concern to 
the Board.

[[Page 629]]

    (j) The Office of Research and Engineering, which conducts research 
and carries out analytical studies and tests involving all modes, 
including readouts of voice and data recorders, flight path analysis and 
computer simulation/animation, component examination and material 
failure analysis; 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 administers the Board's information technology 
infrastructure, including computer systems, networks, databases, and 
application software.
    (k) The Office of Safety Recommendations & Accomplishments, which 
oversees the Board's safety recommendations program, including the 
Board's ``MOST WANTED'' recommendations, and the Board's safety 
accomplishment program.

[60 FR 61488, Nov. 30, 1996, as amended at 61 FR 14521, Apr. 2, 1995; 63 
FR 71605, Dec. 29, 1998; 64 FR 5621, Feb. 4, 1999; 81 FR 75730, Nov. 1, 
2016]



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:
    (1) All accidents involving civil aircraft, and certain public 
aircraft;
    (2) Highway accidents, including railroad grade-crossing accidents, 
the investigation of which is selected in cooperation with the States;
    (3) Railroad accidents in which there is a fatality, substantial 
property damage, or which involve a passenger train;
    (4) Pipeline accidents in which there is a fatality, significant 
injury to the environment, or substantial property damage; and
    (5) Major marine casualties and marine accidents involving a public 
and a non-public vessel or involving Coast Guard functions.
    (b) The Board makes transportation safety recommendations to 
federal, state, and local agencies and private organizations to reduce 
the likelihood 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 of other Government agencies, and evaluates 
the adequacy of safeguards and procedures concerning the transportation 
of hazardous materials.
    (c) Upon application of affected parties, the Board reviews in 
quasijudicial proceedings, conducted pursuant to the Administrative 
Procedure Act, 5 U.S.C. 551 et seq., denials by the Administrator of the 
Federal Aviation Administration 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 head of the agency in which the 
U.S. Coast Guard is operating, on appeals from orders of administrative 
law judges suspending, revoking, or denying seamen licenses, 
certificates, or documents.
    (d) 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 in accordance with 49 U.S.C. 1133 after reviewing 
on appeal the imposition of a civil penalty or the suspension, 
amendment, modification, revocation, or denial of a certificate or 
license issued by the Secretary of the Department of Transportation (who 
acts through the Administrator of the Federal Aviation Administration) 
or by 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.

[81 FR 75730, Nov. 1, 2016]



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

[[Page 630]]

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 Publishing 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 or the Commandant of 
the United States Coast Guard. 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; 
81 FR 75730, Nov. 1, 2016]



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 20594-003. 
The Board maintains field offices in selected cities throughout the 
United States.

[60 FR 61489, Nov. 30, 1995, as amended at 81 FR 75731, Nov. 1, 2016]



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.



           Subpart B_Delegations of Authority to Staff Members



Sec.800.21  Purpose.

    The purpose of this subpart is to publish special delegations of 
authority to staff members.

[60 FR 61489, Nov. 30, 1995, as amended at 81 FR 75731, Nov. 1, 2016]



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 49 U.S.C. 1131(e), 
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, as amended at 81 FR 75731, Nov. 1, 2016]



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:

[[Page 631]]

    (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 
Sec. Sec.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 49 U.S.C. chapter 11, subchapter IV, 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.
    (j) Dismiss late filed notices of appeal and appeal briefs for lack 
of good cause.

[60 FR 61489, Nov. 30, 1995, as amended at 63 FR 71606, Dec. 29, 1998; 
81 FR 75731, Nov. 1, 2016]



Sec.800.25  Delegation to the Directors of Office of Aviation Safety,
Office of Railroad Safety, Office of Highway Safety, Office of Marine 
Safety, and Office of Pipeline and Hazardous Materials Safety.

    The Board delegates to the Directors of the Offices of Aviation, 
Railroad, Highway, Marine, and Pipeline and Hazardous Materials Safety, 
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.845.31 of this 
chapter shall be acted on by the Board.
    (d) Consistent with Board resources, investigate accidents as 
provided under 49 U.S.C. 1131 and the appendix to this part.

[60 FR 61489, Nov. 30, 1995, as amended at 63 FR 71606, Dec. 29, 1998; 
81 FR 75731, Nov. 1, 2016]

[[Page 632]]



Sec.800.26  Delegation to the Chief, Public Inquiries Branch.

    The Board delegates to the Chief, Public Inquiries Branch, the 
authority to determine, initially, the withholding of a Board record 
from inspection or copying, pursuant to part 801 of this chapter.

[63 FR 71606, Dec. 29, 1998, as amended at 81 FR 75731, Nov. 1, 2016]



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 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, as amended at 81 FR 75731, Nov. 1, 2016]



Sec.800.28  Delegation to the Chief Financial Officer.

    The Board delegates to the Chief Financial Officer the authority to 
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.

[63 FR 71606, Dec. 29, 1998]



               Subpart C_Procedures for Adoption of Rules

    Source: 80 FR 57309, Sept. 23, 2015, unless otherwise noted.



Sec.800.30  Applicability.

    This subpart prescribes rulemaking procedures that apply to the 
issuance, amendment, and revocation of rules pursuant to 49 U.S.C. 
1113(f).

[80 FR 57309, Sept. 23, 2015, as amended at 81 FR 75731, Nov. 1, 2016]



Sec.800.31  Public reading room.

    Information and data relevant to NTSB rulemaking actions, including 
notices of proposed rulemaking; comments received in response to 
notices; petitions for rulemaking and reconsideration; denials of 
petitions for rulemaking; and final rules are maintained in the NTSB's 
public reading room, located at 490 L'Enfant Plaza SW., Washington, DC 
20594-2003.

[80 FR 57309, Sept. 23, 2015, as amended at 81 FR 75731, Nov. 1, 2016]



Sec.800.32  Initiation of rulemaking.

    The NTSB may initiate rulemaking either on its own motion or on 
petition by any interested person after a determination that grant of 
the petition is advisable. The NTSB may also consider the 
recommendations of other agencies of the United States.



Sec.800.33  Notice of proposed rulemaking.

    Unless the NTSB, for good cause, finds 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 5 U.S.C. 553.

[80 FR 57309, Sept. 23, 2015, as amended at 81 FR 75731, Nov. 1, 2016]



Sec.800.34  Contents of notices of proposed rulemaking.

    (a) Each notice of proposed rulemaking is published in the Federal 
Register.
    (b) Each notice 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.800.35  Participation of interested persons.

    (a) Any interested person may participate in a rulemaking proceeding 
by submitting written comments,information, views or arguments.

[[Page 633]]

    (b) In its discretion, the agency may invite any interested person 
to participate in the rulemaking procedures described in this subpart.

[80 FR 57309, Sept. 23, 2015, as amended at 81 FR 75731, Nov. 1, 2016]



Sec.800.36  Petitions for extension of time to comment.

    A petition for extension of the time to submit comments must be 
received not later than 10 days before the end of the comment period 
stated in the notice. The petition must be submitted to: General 
Counsel, National Transportation Safety Board, 490 L'Enfant Plaza SW., 
Washington, DC 20594-2003. 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 the NTSB will 
publish a notice of the extension of the comment period in the Federal 
Register.



Sec.800.37  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 commenter shall submit as a 
part of his or her written comments all material he or she considers 
relevant to any statement of fact made in the comment. Commenters should 
avoid incorporation by reference. However, if incorporation by reference 
is necessary, the incorporated material shall be identified with respect 
to document and page. The NTSB may reject comments if they are 
frivolous, abusive, or repetitious. The NTSB may also reject comments 
filed electronically if the commenter does not adhere to the electronic 
filing instructions at the Federal Docket Management System Web site.



Sec.800.38  Consideration of comments received.

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



Sec.800.39  Additional rulemaking proceedings.

    The NTSB may initiate any further rulemaking proceedings it finds 
necessary or desirable. For example, interested persons may be invited 
to make oral arguments, to participate in conferences between the Board 
or a representative of the Board and interested persons at which minutes 
of the conference are kept, to appear at informal hearings presided over 
by officials designated by the Board, 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.800.40  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, 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 NTSB designates a representative to conduct any hearing held 
under this part. The General Counsel or a designated member of his or 
her staff may serve as legal officer at the hearing.



Sec.800.41  Adoption of final rules.

    Final rules are prepared by representatives of the office concerned 
and the Office of the General Counsel. The rule is then submitted to the 
Board for its consideration. If the Board adopts the rule, it is 
published in the Federal Register.



Sec.800.42  Petitions for rulemaking.

    (a) Any interested person may petition the Chairman to establish, 
amend, or repeal a rule.
    (b) Each petition filed under this section must:
    (1) Be submitted in duplicate to the Chairman, National 
Transportation

[[Page 634]]

Safety Board, 490 L'Enfant Plaza SW., Washington, DC 20594-0003;
    (2) Set forth the text or substance of the rule or amendment 
proposed, or specify the rule the petitioner seeks to have repealed, as 
the case may be;
    (3) Explain the interest of the petitioner in the action requested; 
and
    (4) Contain any information and arguments available to the 
petitioner to support the action sought.



Sec.800.43  Processing of petition.

    (a) Unless the NTSB otherwise specifies, no public hearing, 
argument, or other proceeding is held directly on a petition before its 
disposition under this section.
    (b) Grants. If the agency determines the petition contains adequate 
justification, it initiates rule making action this subpart.
    (c) Denials. If the agency determines the petition does not justify 
rulemaking, it denies the petition.
    (d) Notification. Whenever the agency determines a petition should 
be granted or denied, the Office of the General Counsel prepares a 
notice of the grant or denial for issuance to the petitioner, and the 
agency issues it to the petitioner.



Sec.800.44  Direct final rulemaking procedures.

    A direct final rule makes regulatory changes and states those 
changes will take effect on a specified date unless the NTSB receives an 
adverse comment or notice of intent to file an adverse comment by the 
date specified in the direct final rule published in the Federal 
Register.
    (a) Types of actions appropriate for direct final rulemaking. Rules 
the Board determines to be non-controversial and unlikely to result in 
adverse public comments may be published in the final rule section of 
the Federal Register as direct final rules. These include non-
controversial rules that:
    (1) Make non-substantive clarifications or corrections to existing 
rules;
    (2) Incorporate by reference the latest or otherwise updated 
versions of technical or industry standards;
    (3) Affect internal NTSB procedures;
    (4) Update existing forms; and
    (5) Make minor changes to rules regarding statistics and reporting 
requirements, such as a change in reporting period (for example, from 
quarterly to annually) or eliminating a type of data collection no 
longer necessary.
    (b) Adverse comment. An adverse comment is a comment the NTSB judges 
to be critical of the rule, to suggest the rule should not be adopted, 
or to suggest a change should be made to the rule. Under the direct 
final rule process, the NTSB does not consider the following types of 
comments to be adverse:
    (1) Comments recommending another rule change, unless the commenter 
states the direct final rule will be ineffective without the change;
    (2) Comments outside the scope of the rule and comments suggesting 
the rule's policy or requirements should or should not be extended to 
other topics outside the scope of the rule;
    (3) Comments in support of the rule; or
    (4) Comments requesting clarification.
    (c) Confirmation of effective date. The NTSB will publish a 
confirmation rule document in the Federal Register if it has not 
received an adverse comment or notice of intent to file an adverse 
comment by the date specified in the direct final rule. The confirmation 
rule document informs the public of the effective date of the rule.
    (d) Withdrawal of a direct final rule. (1) If the NTSB receives an 
adverse comment or a notice of intent to file an adverse comment within 
the comment period, it will publish a rule document in the Federal 
Register, before the effective date of the direct final rule, advising 
the public and withdrawing the direct final rule.
    (2) If the NTSB withdraws a direct final rule because of an adverse 
comment, the NTSB may issue a notice of proposed rulemaking if it 
decides to pursue the rulemaking.



Sec.800.45  Interim rulemaking procedures.

    (a) An interim rule may be issued when it is in the public interest 
to promulgate an effective rule while keeping the rulemaking open for 
further refinement. For example, an interim rule

[[Page 635]]

may be issued in instances when normal procedures for notice and comment 
prior to issuing an effective rule are not required, minor changes to 
the final rule may be necessary after the interim rule has been in place 
for some time, or the interim rule only implements portions of a 
proposed rule, while other portions of the proposed rule are still under 
development.
    (b) An interim rule will be published in the Federal Register with 
an effective date on or after the date of publication. After the 
effective date, an interim rule is enforceable and is codified in the 
next annual revision of the Code of Federal Regulations.



Sec. 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, 
aerial 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 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.

[49 FR 26232, June 27, 1984, as amended at 63 FR 71606, Dec. 29, 1998]



PART 801_PUBLIC AVAILABILITY OF INFORMATION--Table of Contents



                   Subpart A_Applicability and Policy

Sec.
801.1 Applicability.
801.2 Presumption of openness.
801.3 Definitions.

                        Subpart B_Administration

801.10 General.

[[Page 636]]

801.11 Segregability of records.
801.12 Protection of records.

                          Subpart C_Time Limits

801.20 Processing of requests.
801.21 Initial determination.
801.22 Final determination.
801.23 Extension.

                Subpart D_Accident Investigation Records

801.30 Records from accident investigations.
801.31 Public hearings regarding investigations.
801.32 Accident reports.

                    Subpart E_Other Agency Documents

801.40 NTSB rules.
801.41 Reports to Congress.

               Subpart F_Exemption From Public Disclosure

801.50 Exemptions from disclosure.
801.51 National defense and foreign policy secrets.
801.52 Internal personnel rules and practices of the NTSB.
801.53 Records exempt by statute from disclosure.
801.54 Trade secrets and commercial or financial information.
801.55 Interagency and intra-agency exchanges.
801.56 Unwarranted invasion of personal privacy.
801.57 Records compiled for law enforcement purposes.
801.58 Records for regulation of financial institutions.
801.59 Geological records.

                         Subpart G_Fee Schedule

801.60 Fee schedule.
801.61 Appeals of fee determinations.

    Authority: 49 U.S.C. 1113(f); 5 U.S.C. 552; 18 U.S.C. 641, 2071; 31 
U.S.C. 3717, 9701; 44 U.S.C. Chapters 21, 29, 31, and 33.

    Source: 82 FR 58356, Dec, 12, 2017, unless otherwise noted.



                   Subpart A_Applicability and Policy



Sec.801.1  Applicability.

    (a) This part contains the rules that the National Transportation 
Safety Board (NTSB) follows in processing requests for records under the 
Freedom of Information Act, as amended (FOIA), 5 U.S.C. 552. These rules 
should be read together with the FOIA, which provides additional 
information about public access to records maintained by the NTSB.
    (b) This part also provides for document services and the fees for 
such services, pursuant to 31 U.S.C. 9701.
    (c) This part applies only to records existing when the request for 
the information is made. The NTSB is not required to create records for 
the sole purpose of responding to a FOIA request.
    (d) Subpart F of this part describes records that are exempt from 
public disclosure.



Sec.801.2  Presumption of openness.

    (a) In implementing the FOIA, it is the policy of the NTSB to make 
information available to the public to the greatest extent possible, 
consistent with the mission of the NTSB. The NTSB will withhold records 
under the FOIA only when the NTSB reasonably foresees that disclosure 
would harm an interest protected by a FOIA exemption or is prohibited by 
law. Whenever the NTSB determines that full disclosure of a requested 
record is not possible, the NTSB will consider whether partial 
disclosure is possible and will take reasonable steps to segregate and 
release nonexempt material. Information the NTSB routinely provides to 
the public as part of a regular NTSB activity (such as press releases 
and information disclosed on the NTSB's public Website) may be provided 
to the public without compliance with this part.
    (b) The NTSB will release on its website a ``public docket'' 
containing documentation that the agency deemed pertinent to the 
investigation. Requesters may access these public dockets without 
submitting a FOIA request. The NTSB encourages all requesters to review 
the public docket materials before submitting a FOIA request.



Sec.801.3  Definitions.

    The following definitions apply in this part:
    Chairman means the Chairman or Acting Chairman of the NTSB.
    FOIA Public Liaison means a supervisory official, designated by the 
Chief FOIA Officer, who is responsible for assisting in reducing delays, 
increasing

[[Page 637]]

transparency and understanding of the status of requests, and assisting 
in resolving disputes.
    Managing Director means the Managing Director of the NTSB.
    Non-docket items include records from an accident that are not 
directly pertinent to the investigation, and are not in the public 
docket.
    Public Docket includes a collection of records from an accident 
investigation that the agency deemed pertinent to the investigation.
    Record, document, or any other term used to reference information 
includes:
    (1) Any writing, drawing, map, recording, tape, film, photo, or 
other documentary material by which information is preserved. In this 
part, ``document'' and ``record'' have the same meaning;
    (2) Any information that would be an agency record subject to the 
requirements of this section when maintained by the NTSB in any format, 
including an electronic format; and
    (3) Any information described under subparagraphs (1) or (2) that is 
maintained for the NTSB by an entity under Government contract, for the 
purposes of records management.
    Redact refers to the act of making a portion of text illegible by 
placing a black mark on top of the text.
    Requester means any person, as defined in 5 U.S.C. 551(2), who 
submits a request pursuant to the FOIA.



                        Subpart B_Administration



Sec.801.10  General.

    (a) The NTSB's Chief FOIA Officer provides high level oversight and 
support to NTSB's FOIA programs, and recommends adjustments to agency 
practices, personnel, and funding as may be necessary to improve FOIA 
administration. The Chief FOIA Officer is responsible for the initial 
determination of whether to release records within the 20-working-day 
time limit, or the extension, specified in the Freedom of Information 
Act. The Chief FOIA Officer is also responsible for designating one or 
more FOIA Public Liaisons.
    (b) The NTSB's Chief, Records Management Division:
    (1) Is responsible for the custody and control of all NTSB records 
required to be preserved under the Federal Records Act, 44 U.S.C. 
Chapters 21, 29, 31, and 33.
    (2) Maintains a public reference room and an electronic reading room 
in accordance with 5 U.S.C. 552(a)(2). The NTSB's public reference room 
is located at 490 L'Enfant Plaza SW, Washington, DC. The NTSB's 
electronic reading room is located on the NTSB's FOIA website, found at 
http://www.ntsb.gov/.
    (3) Maintains a public access link on the NTSB's FOIA Website for 
requesters to electronically submit a FOIA request and track the status 
of the request.
    (c) The NTSB maintains in its electronic reading room and makes 
available for public inspection in its public reference room:
    (1) Records that have been provided pursuant to a FOIA request, and
    (i) Have been requested at least three times or
    (ii) Are likely to be the subject of repeat requests.
    (2) A general index of the records in paragraph (c)(1) of this 
section;
    (3) Final opinions, including concurring and dissenting opinions, as 
well as orders, made in the adjudication of appeals under parts 821 and 
825 of this chapter.
    (4) Statements of policy and interpretations which have been adopted 
by the agency and are not published in the Federal Register;
    (5) Administrative staff manuals and instructions to staff that 
affect a member of the public;
    (6)(i) The annual report submitted to the Attorney General and the 
Office of Government Information Services in the National Archives and 
Records Administration (OGIS), under 5 U.S.C. 552(e)(1); and
    (ii) The raw statistical data used in the annual report in an 
aggregate, searchable, and downloadable format, provided without charge, 
license, or registration requirement;
    (7) A guide for requesting records or information from the NTSB that 
includes an index of the agency's major information systems, major 
information and record locator systems, concise descriptions of FOIA 
exemptions,

[[Page 638]]

and general categories of NTSB records to which the exemptions apply; 
and
    (8) A record of the votes of each Member in NTSB proceedings.
    (d) FOIA requests for records or information not publicly available 
on the NTSB Website may be submitted electronically by email or through 
the public access link, or in writing to: National Transportation Safety 
Board, Attention: FOIA Requester Service Center, CIO-40, 490 L'Enfant 
Plaza SW, Washington, DC 20594-003. All requests must reasonably 
identify the record requested and contain the name, address, email 
address, and telephone number of the person making the request. A 
requester must inform the NTSB of changes to the requester's contact 
information. Requests mailed to the NTSB must prominently display the 
letters ``FOIA'' to distinguish the FOIA request from other types of 
document requests. For requests regarding an investigation of a 
particular accident, requesters should include the date and location of 
the accident, as well as the NTSB investigation number.
    (e) In response to broad requests for records regarding a particular 
investigation, the FOIA Office will notify the requester that a public 
docket has been or will be opened for the investigation, and attempt to 
clarify whether the information in the docket satisfies the request.
    (f) The NTSB will not release records originally generated by other 
agencies or entities. Instead, the NTSB will refer such requests for 
other agencies' records to the appropriate agency, which will make a 
release determination upon receiving and processing the referred 
request.
    (g) Where a requester seeks a record on behalf of another person, 
and the record contains that person's personal information protected by 
5 U.S.C. 552(b)(6) and Sec.801.56, the personal information will not 
be provided to the requester unless the requester submits a notarized 
statement of consent from the person whose personal information is 
contained in the record.
    (h) In general, the NTSB will deny requests for records concerning a 
pending investigation, pursuant to appropriate exemptions under the 
FOIA. The FOIA Office will notify the requester of this denial in 
accordance with Sec.801.21(b), and provide the requester additional 
information regarding how the requester may receive information on the 
investigation once the investigation is complete.



Sec.801.11  Segregability of records.

    The initial decision of the FOIA Officer will include a 
determination of segregability. If it is reasonable to do so, the exempt 
portions of a record will be segregated and, where necessary, redacted, 
and the nonexempt portions will be sent to the requester.



Sec.801.12  Protection of records.

    No person may, without permission, remove from the place where it is 
made available any record made available for inspection or copying under 
Sec.801.10(c). Removing, concealing, altering, mutilating, 
obliterating, or destroying, in whole or in part, such a record is 
deemed a criminal offense pursuant to 18 U.S.C. 641, 2071(a).



                          Subpart C_Time Limits



Sec.801.20  Processing of requests.

    (a) Multi-track processing. The FOIA Office processes FOIA requests 
in one of three tracks:
    (1) Track 1: Requests that meet the criteria for expedited 
processing, or requests that seek records that have been produced in 
response to a prior request.
    (2) Track 2: Requests that do not involve voluminous records or 
lengthy consultations with other entities.
    (3) Track 3: Requests that involve voluminous records and for which 
lengthy or numerous consultations are required, or those requests which 
may involve sensitive records.
    (b) Expedited processing. (1) A requester may submit a statement 
demonstrating with reasonable particularity that the requester has a 
compelling need for expedited processing in Track 1. The requester must 
certify that the statement is true and correct to the best of the 
requester's knowledge. Within 10 calendar days after receipt of the 
statement, the FOIA Office will inform the requester whether the request 
qualifies for expedited processing, and if not, provide the requester 
with the information in Sec.801.21(b).

[[Page 639]]

    (2) In this section, ``compelling need'' means:
    (i) That a failure to expedite the request could reasonably be 
expected to pose an imminent threat to the life or physical safety of an 
individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, urgency to inform the public concerning 
actual or alleged Federal Government activity.
    (3) The requester may appeal the FOIA Office's decision regarding 
expedited processing to the Managing Director within 90 calendar days. 
The Managing Director will decide the appeal on an expedited basis, and 
no later than 20 days (excluding Saturdays, Sundays, and legal public 
holidays) after receipt of the appeal. The final determination will 
notify the requester of the statutory right to seek judicial review of 
the determination pursuant to 5 U.S.C. 552(a)(6)(E)(iii), and will 
inform the requester of the dispute resolution services offered by OGIS.



Sec.801.21  Initial determination.

    (a) The NTSB FOIA Officer will make an initial determination as to 
whether to comply with the request within 20 days (excluding Saturdays, 
Sundays, and legal public holidays) after the request is received.
    (b) Upon the FOIA Office's receipt of a FOIA request, the time limit 
is tolled while the FOIA Office seeks reasonable information from the 
requester:
    (1) About the scope of the request, such as whether docket items and 
other publicly available information on the NTSB website satisfy the 
request; and
    (2) Necessary to resolve fee assessment issues.
    (c) If unusual circumstances exist, this time limit may be extended 
up to 10 additional days (excluding Saturdays, Sundays, and legal public 
holidays) in accordance with Sec.801.23. The requester will be 
notified immediately of an extension in accordance with Sec.801.23. If 
a determination is made to release the requested record(s), such 
record(s) will be made available promptly.
    (d) If the FOIA Officer determines not to release the record(s), the 
FOIA Office will notify the requester of:
    (1) The reason for the determination;
    (2) The right to appeal the determination to the Managing Director 
within 90 calendar days;
    (3) The name and title or positions of each person responsible for 
the denial of the request;
    (4) The right to seek dispute resolution services from the NTSB's 
FOIA Public Liaison or OGIS.



Sec.801.22  Final determination.

    Requesters seeking an appeal of the FOIA Officer's initial 
determination must send a written appeal to the NTSB's Managing Director 
within 90 calendar days. The NTSB's Managing Director will determine 
whether to grant or deny any appeal within 20 days (excluding Saturdays, 
Sundays, and legal public holidays) after receipt of such appeal, except 
that this time limit may be extended by as many as 10 additional days 
(excluding Saturdays, Sundays, and legal public holidays), in accordance 
with Sec.801.23. The final determination will notify the requester of 
the statutory right to seek judicial review of the determination 
pursuant to 5 U.S.C. 552(a)(4)(B), and will inform the requester of the 
dispute resolution services offered by OGIS.



Sec.801.23  Extension.

    (a) In unusual circumstances as specified in this section, the time 
limits prescribed in either Sec.801.21 or Sec.801.22 may be extended 
by no more than 10 days (excluding Saturdays, Sunday, and legal public 
holidays) by providing written notice to the requester setting forth the 
reasons for the extension and the date on which a determination is 
expected to be dispatched.
    (b) If the request cannot be processed within the extended time 
limit specified in paragraph (a) of this section, the requester will be:
    (1) Notified in writing;
    (2) Given an opportunity to limit the scope of the request so that 
it may be processed within that time limit, or an opportunity to arrange 
with the agency an alternative time frame for processing the request or 
a modified request; and
    (3) Advised of the requester's right to seek assistance from the 
NTSB's FOIA

[[Page 640]]

Public Liaison and seek dispute resolution services from OGIS.
    (c) As used in this paragraph (c), ``unusual circumstances,'' as 
they relate to any delay that is reasonably necessary to the proper 
processing of the particular request, means:
    (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 and 
process a voluminous amount of separate and distinct records which are 
the subject of a single request; or
    (3) The need to consult with another agency that 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  Records from accident investigations.

    Upon completion of an accident investigation, the NTSB will compile 
a public docket containing investigators' factual reports, and documents 
and exhibits that the agency deemed pertinent to the investigation. The 
Chief, Records Management Division, will then make the docket available 
on the NTSB Website and available for public inspection and copying in 
the NTSB's public reference room.



Sec.801.31  Public hearings regarding investigations.

    Within approximately four (4) weeks after a public investigative 
hearing conducted in accordance with part 845, subpart A, of this 
chapter, the Chief, Records Management Division, will make the hearing 
transcript available in the electronic reading room and the public 
reference room. On or before the date of the hearing, the Chief, Records 
Management Division, will make the exhibits introduced at the hearing 
available on the NTSB Website and available for public inspection and 
copying in the NTSB's public reference room.



Sec.801.32  Accident reports.

    (a) The NTSB will report the facts, conditions, circumstances, and 
its determination of the probable causes of U.S. civil transportation 
accidents, in accordance with 49 U.S.C. 1131(e).
    (b) These reports will be made available on the NTSB Website and 
available for public inspection and copying in the NTSB's public 
reference room.



                    Subpart E_Other Agency Documents



Sec.801.40  NTSB rules.

    The NTSB's rules are published in the Code of Federal Regulations, 
Title 49, Chapter VIII.



Sec.801.41  Reports to Congress.

    The NTSB submits its annual report to Congress, in accordance with 
49 U.S.C. 1117. The report will be available on the NTSB's website, 
found at http://www.ntsb.gov. Interested parties may purchase the report 
from the U.S. Government Publishing Office or review it in the NTSB's 
public reference room. All other reports or comments to Congress will be 
available in the NTSB's electronic reading room and in its public 
reference room for inspection or by ordering a copy after issuance.



               Subpart F_Exemption From Public Disclosure



Sec.801.50  Exemptions from disclosure.

    Title 5 U.S.C. 552(a) and (b) exempt certain records from public 
disclosure. Examples of records given in this subpart included within a 
particular statutory exemption are not necessarily illustrative of all 
types of records covered by the applicable exemption.



Sec.801.51  National defense and foreign policy secrets.

    Pursuant to 5 U.S.C. 552(b)(1), national defense and foreign policy 
secrets established by Executive Order, as well as properly classified 
documents, are exempt from public disclosure. Requests to the NTSB for 
such records will be transferred to the source agency as appropriate, 
where such classified records are identified.

[[Page 641]]

(See, e.g., Executive Order 12,958, as amended on March 25, 2003.)



Sec.801.52  Internal personnel rules and practices of the NTSB.

    Pursuant to 5 U.S.C. 552(b)(2), the following records are exempt 
from disclosure under FOIA:
    (a) Records relating solely to internal personnel rules and 
practices, including 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) Records regarding:
    (1) Internal matters of a relatively trivial nature that have no 
significant public interest, and
    (2) Predominantly internal matters, the release of which would risk 
circumvention of a statute or agency regulation.



Sec.801.53  Records exempt by statute from disclosure.

    Pursuant to 5 U.S.C. 552(b)(3), the NTSB will not disclose records 
specifically exempted from disclosure by statute (other than 5 U.S.C. 
552(b)), provided that such statute:
    (a)(1) Requires that the matters be withheld from the public in such 
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; and
    (b) If enacted after the date of enactment of the Open FOIA Act of 
2009, Public Law 111-83, Title V, section 564, 123 Stat. 2142, Oct. 28, 
2009, specifically cites to 5 U.S.C. 552(b)(3).



Sec.801.54  Trade secrets and commercial or financial information.

    Pursuant to 5 U.S.C. 552(b)(4), trade secrets and items containing 
commercial or financial information that are obtained from a person and 
are privileged or confidential are exempt from public disclosure.



Sec.801.55  Interagency and intra-agency exchanges.

    (a) Pursuant to 5 U.S.C. 552(b)(5), any record prepared by an NTSB 
employee for internal Government use is exempt from public disclosure to 
the extent that it contains--
    (1) Opinions made in the course of developing official action by the 
NTSB but not actually made a part of that official action, or
    (2) Information concerning any pending NTSB 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 NTSB. These resources must be fully and readily 
available to those officials upon whom the responsibility rests to take 
official NTSB 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, but are 
not limited to, staff papers containing advice, opinions, or suggestions 
preliminary to a decision or action; preliminary notes; advance 
information on such things as proposed plans to procure, lease, or 
otherwise hire and dispose of materials, real estate, or facilities; 
documents exchanged in preparation for anticipated legal proceedings; 
material intended for public release at a specified future time, if 
premature disclosure would be detrimental to orderly processes of the 
NTSB; records of inspections, investigations, and surveys pertaining to 
internal management of the NTSB; and matters that would not be routinely 
disclosed in litigation but which are likely to be the subject of 
litigation.
    (d) The deliberative process privilege does not apply to records 
created 25 years or more before the date on which the records were 
requested.

[[Page 642]]



Sec.801.56  Unwarranted invasion of personal privacy.

    Pursuant to 5 U.S.C. 552(b)(6), any personal, medical, or similar 
file is exempt from public disclosure if its disclosure would harm the 
individual concerned or would be a clearly unwarranted invasion of the 
person's personal privacy.



Sec.801.57  Records compiled for law enforcement purposes.

    Pursuant to 5 U.S.C. 552(b)(7), any records compiled for law or 
regulatory enforcement are exempt from public disclosure 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.801.58  Records for regulation of financial institutions.

    Pursuant to 5 U.S.C. 552(b)(8), records compiled for agencies 
regulating or supervising financial institutions are exempt from public 
disclosure.



Sec.801.59  Geological records.

    Pursuant to 5 U.S.C. 552(b)(9), records concerning geological wells 
are exempt from public disclosure.



                         Subpart G_Fee Schedule



Sec.801.60  Fee schedule.

    (a) Authority. Pursuant to 5 U.S.C. 552(a)(4)(i) and the Office of 
Management and Budget's Uniform Freedom of Information Act Fee Schedule 
and Guidelines, 52 FR 10012, Mar. 27, 1987, the NTSB may charge certain 
fees for processing requests under the FOIA in accordance with paragraph 
(c) of this section, except where fees are limited under paragraph (d) 
of this section, or where a waiver or reduction of fees is granted under 
paragraph (e) of this section. The NTSB does not require advance payment 
of any fee unless the requester has previously failed to pay fees in a 
timely fashion, or the NTSB determines that the fee will exceed $250.00. 
A requester must pay fees in accordance with the instructions provided 
on the invoice the FOIA Office sends to the requester.
    (b) Definitions. For purposes of this section:
    Commercial use request means a request from or on behalf of a person 
who seeks information for a use or purpose that furthers his or her 
commercial, trade, or profit interests. This includes the furtherance of 
commercial interests through litigation. When it appears that the 
requester will use the requested records for a commercial purpose, 
either because of the nature of the request or because the NTSB has 
reasonable cause to doubt a requester's stated use, the NTSB will 
provide the requester with a reasonable opportunity to submit further 
clarification.
    Direct costs mean those expenses that an agency incurs in searching 
for, reviewing, and duplicating records in response to a FOIA request. 
This includes the salaries of NTSB employees performing the work, as 
listed below, but does not include overhead expenses such as the costs 
of office space.
    Duplication means the copying of a record, or of the information 
contained in a record, in response to a FOIA request. Copies can take 
the form of paper, audiovisual materials, or electronic records, among 
others.
    Educational institution means any school, or institution of 
vocational education that operates a program of scholarly research. In 
order for a requester to demonstrate that their request falls within the 
category of an ``educational institution,'' the requester must show that 
the request is authorized by the qualifying institution and that the 
requester does not seek the records for commercial use, but only to 
further scholarly research.
    Representative of the news media or news media requester means any 
person actively gathering news for an entity that is organized and 
operated to publish or broadcast news to the public. For ``freelance'' 
journalists to be regarded as working for a news organization, they must 
demonstrate a solid basis for expecting publication through that 
organization (for example, a journalist may submit a copy of a 
publication contract for which the journalist needs NTSB records).

[[Page 643]]

    Review means the examination of a record located in response to a 
request in order to determine whether any portion of it is exempt from 
disclosure. Review also includes processing the record(s) for 
disclosure, which includes redacting and otherwise preparing releasable 
records for disclosure. Review does not include time spent resolving 
legal or policy issues regarding the application of exemptions nor will 
the NTSB charge for review during the administrative appeal stage, if 
applicable. The NTSB may recover review costs even if the NTSB 
ultimately does not release the record(s).
    Search means the process of looking for and retrieving records or 
information within the scope of a request. Search includes page-by-page 
or line-by-line identification of information within records and also 
includes reasonable efforts to locate and retrieve electronic records. 
The NTSB will make an effort to conduct such searches in the least 
expensive manner.
    (c) Fees. In responding to FOIA requests, the NTSB will charge the 
following fees, subject to the limitations in paragraph (d) of this 
section, unless a waiver or reduction of fees has been granted under 
paragraph (e) of this section:
    (1) Search. (i) The NTSB will charge search fees except for a 
request from an educational institution, a noncommercial scientific 
institution, or a news media representative. The NTSB may charge for 
time spent searching even if the NTSB does not locate any responsive 
record or if the NTSB withholds the record(s) located because such 
record(s) are exempt from disclosure.
    (ii) In searching for and retrieving records, the NTSB will charge 
$4.00 for each quarter of an hour spent by administrative personnel, 
$7.00 for each quarter of an hour spent by professional personnel, and 
$10.25 for each quarter of an hour spent by management personnel.
    (2) Duplication. (i) The NTSB will charge duplication fees. The NTSB 
will honor a requester's preference for receiving a record in a 
particular format when the FOIA Office can readily reproduce it in the 
format requested.
    (ii) The NTSB will charge $0.10 per page for the duplication of a 
standard-size paper record. For other forms of duplication, the NTSB 
will charge the direct costs of the duplication.
    (iii) Where the NTSB certifies records upon request, the NTSB will 
charge the direct cost of certification.
    (3) Review. For a commercial use request, the NTSB will charge fees 
for the initial review of a record to determine whether the record falls 
within the scope of a request and whether the record is exempt from 
disclosure. The NTSB will not charge for subsequent review of the 
request and responsive record. For example, in general, the NTSB will 
not charge additional fees for review at the administrative appeal level 
when the NTSB has already applied an exemption. The NTSB will charge 
review fees at the same rate as those charged for a search under 
paragraph (c)(1)(ii).
    (d) Limitations on charging fees. (1) The NTSB will not charge fees 
if it fails to comply with the time limits in Sec. Sec.801.21 or 
801.22, including an extension of time pursuant to Sec.801.23(a), 
except:
    (i) If the NTSB determines there are unusual circumstances, as 
defined by 5 U.S.C. 552(a)(6)(B)(iii) and Sec.801.23(c), and more than 
5,000 pages are responsive to the request, the FOIA Office may charge 
fees if timely written notice of the unusual circumstances has been 
provided to the requester and the FOIA Office has discussed with the 
requestor (or made not less than three good-faith attempts to do so) how 
the requester could limit the scope of the request.
    (ii) If a court determines there are exceptional circumstances, as 
defined by 5 U.S.C. 552(a)(6)(C), a failure to comply with the time 
limits will be excused for the length of time provided by the court 
order.
    (2) The NTSB will not charge a fee for notices, decisions, orders, 
etc. provided to persons acting as parties in the investigation under 
the procedures set forth in part 831 of this chapter, or where required 
by law to be served on a party to any proceeding or matter before the 
NTSB. Likewise, the NTSB will not charge fees for requests made by 
family members of accident victims, when the NTSB has investigated the

[[Page 644]]

accident that is the subject of the FOIA request.
    (3) The NTSB will not charge a search fee or review fee for a 
quarter-hour period unless more than half of that period is required for 
search or review.
    (4) Except for requesters seeking records for commercial use, the 
NTSB will provide the following items without charge:
    (i) The first 100 pages of duplication (or the cost equivalent) of a 
record; and
    (ii) The first two hours of search (or the cost equivalent) for a 
record.
    (5) Whenever the total fee calculated under paragraph (c) of this 
section is $14.00 or less for any request, the NTSB will not charge a 
fee.
    (6) The NTSB will not charge fees for ordinary packaging and mailing 
costs.
    (7) When the FOIA Office determines or estimates that fees to be 
charged under this section will amount to more than $25.00, the Office 
will notify the requester of the actual or estimated amount of the fees, 
including a breakdown of the fees for the search, review or duplication, 
unless the requester has indicated a willingness to pay fees as high as 
those anticipated. If the FOIA Office is able to estimate only a portion 
of the expected fee, the FOIA Office will advise the requester that the 
estimated fee may be only a portion of the total fee. Where the FOIA 
Office notifies a requester that the actual or estimated fees will 
exceed $25.00, the NTSB will not expend additional agency resources on 
the request until the requester agrees in writing to pay the anticipated 
total fee. The NTSB does not accept payments in installments.
    (8) In circumstances involving a total fee that will exceed $250.00, 
or if the requester has previously failed to pay fees in a timely 
fashion, the NTSB may require the requester to make an advance payment 
or deposit of a specific amount before beginning to process the request. 
If the requester does not pay the advance payment within 30 calendar 
dates after the date of the FOIA Office's fee determination, the request 
will be closed.
    (9) The NTSB may charge interest on any unpaid bill starting on the 
31st day following the date of billing the requester. Interest charges 
will be assessed at the rate provided at 31 U.S.C. 3717 and will accrue 
from the date of the billing until the NTSB receives payment. The NTSB 
will follow the provisions of the Debt Collection Act of 1982, Public 
Law 97-365, 96 Stat. 1749, as amended, and its administrative 
procedures, including the use of consumer reporting agencies, collection 
agencies, and offset.
    (10) Where the NTSB reasonably believes that a requester or group of 
requesters acting together is attempting to divide a request into a 
series of requests for the purpose of avoiding fees, the NTSB may 
aggregate those requests and charge accordingly.
    (11) The NTSB will make the FOIA Public Liaison available to assist 
the requester in reformulating a request to meet the requester's needs 
at a lower cost.
    (e) Requirements for waiver or reduction of fees. (1) For fee 
purposes, the NTSB will determine, whenever reasonably possible, the use 
to which a requester will put the requested records. The NTSB will 
furnish records responsive to a request without charge, or at a reduced 
charge, where the NTSB determines, based on all available information, 
that the requester has shown that:
    (i) Disclosure of the requested information is in the public 
interest because it is likely to contribute significantly to public 
understanding of the operations of activities of the government; and
    (ii) Disclosure of the requested information is not primarily in the 
commercial interest or for the commercial use of the requester.
    (2) In determining whether disclosure of the requested information 
is in the public interest, the NTSB will consider the following factors:
    (i) Whether the subject of the requested records concerns 
identifiable operations or activities of the Federal Government, with a 
connection that is direct and clear, and not remote or attenuated. In 
this regard, the NTSB will consider whether a requester's use of the 
documents would enhance transportation safety or contribute to the 
NTSB's programs.
    (ii) Whether the portions of a record subject to disclosure are 
meaningfully

[[Page 645]]

informative about government operations or activities. The disclosure of 
information already in the public domain, in either a duplicative or 
substantially identical form, would not be as likely to contribute to 
such understanding where nothing new would be added to the public's 
understanding.
    (iii) Whether disclosure of the requested information would 
contribute to the understanding of a reasonably broad audience of 
persons interested in the subject, as opposed to the individual 
understanding of the requester. The NTSB will consider a requester's 
expertise in the subject area and ability to effectively convey 
information to the public.
    (iv) Whether the disclosure is likely to enhance the public's 
understanding of government operations or activities.
    (3) The NTSB's decision to designate the FOIA request as commercial 
will be made on a case-by-case basis based on the NTSB's review of the 
requester's intended use of the information. The NTSB will provide the 
requester with a reasonable opportunity to submit further clarification. 
In determining whether the request is primarily in the commercial 
interest of the requester, the NTSB will consider the following factors:
    (i) The existence and magnitude of any commercial interest the 
requester may have, or of any person on whose behalf the requester may 
be acting. The NTSB will provide requesters with an opportunity in the 
administrative process to submit explanatory information regarding this 
consideration.
    (ii) Whether the commercial interest is greater in magnitude than 
any public interest in disclosure.
    (4) Additionally, the NTSB may, at its discretion, waive search, 
duplication, and review fees for qualifying foreign countries, 
international organizations, nonprofit public safety entities, state and 
federal transportation agencies, and colleges and universities, after 
approval by the Chief, Records Management Division.
    (5) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, the NTSB will grant a waiver for 
those particular records.
    (6) Requests for the waiver or reduction of fees should address the 
factors listed in paragraphs (e)(2) and (3) of this section, insofar as 
they apply to each request. The NTSB will exercise its discretion to 
consider the cost-effectiveness of its use of administrative resources 
in determining whether to grant waivers or reductions of fees.
    (f) Services available free of charge. (1) The following documents 
are available without commercial reproduction cost until limited 
supplies are exhausted:
    (i) Press releases;
    (ii) NTSB regulations (Chapter VIII of Title 49, Code of Federal 
Regulations);
    (iii) Indexes to initial decisions, Board orders, opinion and 
orders, and staff manuals and instructions;
    (iv) Safety recommendations; and
    (v) NTSB Annual Reports.
    (2) The NTSB public Website, http://www.ntsb.gov, also includes an 
email subscription service for press releases, safety recommendations, 
and other announcements.



Sec.801.61  Appeals of fee determinations.

    Requesters seeking an appeal of the FOIA Office's fee or fee waiver 
determination must send a written appeal to the Managing Director within 
90 calendar days. The Managing Director will determine whether to grant 
or deny any appeal made pursuant to Sec.801.21 within 20 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 days (excluding Saturdays, Sundays, and legal public 
holidays), in accordance with Sec.801.23.



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.

[[Page 646]]

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, 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.

[[Page 647]]



              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 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

[[Page 648]]

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 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;

[[Page 649]]

    (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 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.

[[Page 650]]



            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, SW., Washington, DC 20594, 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.

[[Page 651]]

    (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.
---------------------------------------------------------------------------

    (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

[[Page 652]]

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.



                      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: 49 U.S.C. 1111(j), 1113(f).



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

[[Page 653]]

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, 
Office of Administration of the Board.
    (b) The Director, Office 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; 
81 FR 75731, Nov. 1, 2016]



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, Office 
of Administration, National Transportation Safety Board, 490 L'Enfant 
Plaza, SW., Washington, DC 20594-003. 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 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; 
81 FR 775731, Nov. 1, 2016]



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.

[[Page 654]]

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: 5 U.S.C. 552b; 49 U.S.C. 1113(f).

    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 this chapter.

[42 FR 13284, Mar. 10, 1977, as amended at 81 FR 75731, Nov. 1, 2016]



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 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 Sec. Sec.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;

[[Page 655]]

    (d) Disclose trade secrets or privileged or confidential commercial 
or financial information obtained from a person;
    (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.

[42 FR 13284, Mar. 10, 1977, as amended at 81 FR 75731, Nov. 1, 2016]



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, 490 L''Enfant Plaza , 
SW., Washington, DC 20594-003. 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,

[[Page 656]]

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.

[42 FR 13284, Mar. 10, 1977, as amended at 81 FR 75731, Nov. 1, 2016]



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 is 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.

[42 FR 13284, Mar. 10, 1977, as amended at 81 FR 75731, Nov. 1, 2016]



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 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

[[Page 657]]

year after the conclusion of any NTSB proceeding with respect to which 
the meeting, or a portion thereof, was held, whichever occurs later.

[42 FR 13284, Mar. 10, 1977, as amended at 81 FR 75731, Nov. 1, 2016]

                           PART 805 [RESERVED]



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.
    (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

[[Page 658]]

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 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

[[Page 659]]

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]



Sec. Sec.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

[[Page 660]]

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.



Sec. Sec.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 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.

[[Page 661]]

    (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.



Sec. Sec.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.



Sec. Sec.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 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

[[Page 662]]

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.



Sec. Sec.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 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

[[Page 663]]

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.



Sec. Sec.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]



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.

[[Page 664]]

821.3 Description of docket numbering system.

 Subpart B_General Rules Applicable to Petitions for Review, Appeals to 
the Board, and Appeals from Law Judges' Initial Decisions and Appealable 
                                 Orders

821.5 Procedural rules.
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 Extensions 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 Interlocutory appeals from law judges' rulings on motions.
821.17 Motions to dismiss, for judgment on the pleadings and for summary 
          judgment.
821.18 Motion for a more definite statement.
821.19 Depositions and other discovery.
821.20 Subpoenas, witness fees, and appearances of Board Members, 
          officers and employees.
821.21 Official notice.

 Subpart C_Special Rules Applicable to Proceedings Under 49 U.S.C. 44703

821.24 Initiation of proceeding.
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 49 U.S.C. 44709

821.30 Initiation of proceeding.
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_Hearing

821.37 Notice of hearing.
821.38 Evidence.
821.39 Argument and submissions.
821.40 Record.

                       Subpart G_Initial Decision

821.42 Initial decision by law judge.
821.43 Effect of law judge's initial decision or appealable order and 
          appeal therefrom.

                 Subpart H_Appeal from Initial Decision

821.47 Notice of appeal.
821.48 Briefs and oral argument.
821.49 Issues on appeal.
821.50 Petition for rehearing, reargument, reconsideration or 
          modification of an order of the Board.

 Subpart I_Special Rules Applicable to Proceedings Involving Emergency 
                 and Other Immediately Effective Orders

821.52 General.
821.53 Appeal.
821.54 Petition for review of Administrator's determination of 
          emergency.
821.55 Complaint, answer to complaint, motions and discovery.
821.56 Hearing and initial decision or appealable order of law judge.
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 communications.
821.63 Requirement to show cause and imposition of sanction.

                Subpart K_Judicial Review of Board Orders

821.64 Judicial review.

    Authority: 49 U.S.C. 1101-1155, 44701-44723, 46301, Pub. L. 112-153, 
unless otherwise noted.

    Source: 68 FR 22625, Apr. 29, 2003, unless otherwise noted.



                      Subpart A_General Provisions



Sec.821.1  Definitions.

    (a) As used in this part:
    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 airmen;
    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;
    Appealable order means an order of a law judge 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, or

[[Page 665]]

one granting a motion for judgment on the pleadings or summary judgment. 
Appealable order does not include an order granting in part a motion to 
dismiss and requiring an answer to any remaining allegation or 
allegations, an order granting in part judgment on the pleadings or 
summary judgment, or a ruling on an interlocutory matter;
    Board means the National Transportation Safety Board;
    Case Manager means the officer of the Board's Office of 
Administrative Law Judges responsible for the processing of cases within 
that office;
    Certificate means any certificate issued by the Administrator under 
49 U.S.C. Chapter 447;
    Chief Law Judge means the administrative law judge in charge of the 
adjudicative function of the Board's Office of Administrative Law 
Judges;
    Complaint means an order of the Administrator, reissued for pleading 
purposes, from which an appeal to the Board has been taken pursuant to 
sections 49 U.S.C. 44106, 44709 or 46301;
    Emergency order means an order of the Administrator issued pursuant 
to 49 U.S.C. 44709, 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 or 
issues remaining for disposition at the close of a hearing;
    Law judge means the administrative law judge assigned to hear and 
preside over the respective proceeding;
    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 termed the complaint) by 
which the Administrator seeks to amend, modify, suspend or revoke a 
certificate, or impose a civil penalty;
    Petition for review means a petition filed pursuant to 49 U.S.C. 
44703 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 amending, modifying, suspending 
or revoking a certificate, or imposing a civil penalty.
    (b) Terms defined in 49 U.S.C. Chapters 11, 447 and 463 are used as 
so defined.



Sec.821.2  Applicability and description of part.

    The provisions of this part govern all air safety proceedings, 
including proceedings before a law judge on petition for review of the 
denial of any airman certificate (including a medical certificate), or 
on appeal from any order of the Administrator amending, modifying, 
suspending or revoking a 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 such capacity. All proceedings on 
appeal to the Board from any initial decision or order of a law judge 
are also governed by this part.



Sec.821.3  Description of docket numbering system.

    In addition to sequential numbering of cases as received, each case 
formally handled by the Board will receive a letter prefix. These letter 
prefixes reflect the case type: ``SE'' for safety enforcement 
(certificate suspension/revocation) cases; ``SM'' (safety medical) for 
cases involving denials of medical certification; ``CD'' for cases 
involving non-medical certificate denials; ``SR'' for cases involving 
safety registration issues under 49 U.S.C. 44101 et seq.; ``CP'' for 
cases involving the imposition of civil penalties; ``NA'' for cases in 
which a petition for review or appeal is not accepted because of a 
patent procedural deficiency; and ``EAJA'' for

[[Page 666]]

cases involving applications for fees and expenses under the Equal 
Access to Justice Act, governed by Part 826.



 Subpart B_General Rules Applicable to Petitions for Review, Appeals to 
the Board, and Appeals From Law Judges Initial Decisions and Appealable 
                                 Orders



Sec.821.5  Procedural rules.

    In proceedings under subparts C, D, F, and I, for situations not 
covered by a specific Board rule, the Federal Rules of Civil Procedure 
will be followed to the extent practicable.

[78 FR 57534, Sept. 19, 2013]



Sec.821.6  Appearances and rights of witnesses.

    (a) Any party to a proceeding may appear and be heard in person, or 
by an attorney or other representative designated by that party. Upon 
hearing, and for good cause shown, the Board may suspend or bar any 
person from practicing before it.
    (b) Any person appearing in any proceeding governed by this part may 
be accompanied, represented and advised, and may be examined by, his or 
her 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 her, or a copy of any transcript made of his or her 
testimony, on payment of reasonable costs. Original documents, data or 
evidence may be retained by a party upon permission of the law judge or 
the Board, upon substitution of a copy thereof.
    (d) Any party to a proceeding who is represented by an attorney or 
representative shall, in a separate written document, notify the Board 
of the name, address and telephone number of that attorney or 
representative. In the event of a change in representation or a 
withdrawal of representation, the party shall immediately, in a separate 
written document, notify the Board (in the manner provided in Sec.
821.7) and the other parties to the proceeding (pursuant to Sec.
821.8), before the new attorney or representative may participate in the 
proceeding in any way. Parties, and their attorneys and representatives, 
must notify the Board immediately of any changes in their contact 
information.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63251, Oct. 16, 2012]



Sec.821.7  Filing of documents with the Board.

    (a) Filing address, method and date of filing. (1) Except as 
provided in paragraph (a)(2) of this section, documents are to be filed 
with the Office of Administrative Law Judges, National Transportation 
Safety Board, 490 L'Enfant Plaza East SW., Washington, DC 20594, and 
addressed to the assigned law judge, if any. If the proceeding has not 
yet been assigned to a law judge, documents shall be addressed to the 
Case Manager. Paragraph (a)(3) of this section provides the acceptable 
methods for filing documents under this provision.
    (2) Subsequent to the filing of a notice of appeal with the Office 
of Administrative Law Judges from a law judge's initial decision or 
appealable order, the issuance of a decision permitting an interlocutory 
appeal, or the expiration of the period within which an appeal from the 
law judge's initial decision or appealable order may be filed, all 
documents are to be filed with the Office of General Counsel, National 
Transportation Safety Board, 490 L'Enfant Plaza East SW., Washington, DC 
20594. Paragraph (a)(3) of this section provides the acceptable methods 
for filing documents under this provision.
    (3) Documents shall be filed: By personal delivery, by U.S. Postal 
Service first-class mail, by overnight delivery service, by facsimile or 
by electronic mail as specified on the ``Administrative Law Judges'' Web 
page on the NTSB's public Web site. Documents filed by electronic mail 
must be signed and transmitted as specified on the ``Administrative Law 
Judges'' Web page on the NTSB's public Web site.
    (4) Documents shall be deemed filed on the date of personal 
delivery; on the send date shown on the facsimile or the item of 
electronic mail; and, for mail delivery service, on the mailing date 
shown on the certificate of service, on

[[Page 667]]

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. Where the document bears a postmark that 
cannot reasonably be reconciled with the mailing date shown on the 
certificate of service, the document will be deemed filed on the date of 
the postmark.
    (b) Number of copies. Service on the Board of petitions for review, 
appeals from orders of the Administrator, and notices of appeal from law 
judges' initial decisions and appealable orders shall be by executed 
original and 3 copies. Service of all other documents shall be by 
executed original and one copy. Copies need not be signed, but the name 
of the person signing the original shall be shown thereon.
    (c) Form. (1) Petitions for review, appeals to the Board from orders 
of the Administrator, and notices of appeal from law judges' initial 
decisions and appealable orders may be in the form of a letter signed by 
the petitioner or appealing party, and shall be typewritten or in 
legible handwriting.
    (2) Documents filed with the Board consisting of more than one page 
may be affixed only in the upper left-hand corner by staple or clip, and 
shall not be bound or hole-punched. Any document failing to comply with 
this requirement is subject to being returned to the filing party.
    (d) Content. Each document filed with the Board shall contain a 
concise and complete statement of the facts relied upon, and the relief 
sought, by the filing party.
    (e) Subscription. The original of every document filed shall be 
signed by the filing party, or by that party's attorney or 
representative.
    (f) Designation of person to receive service. The initial document 
filed by a party in a proceeding governed by this part, and any 
subsequent document advising the Board of any representation or change 
in representation of a party that is filed pursuant to Sec.821.6(d), 
shall show on the first page the name, address and telephone number of 
the person or persons who may be served with documents on that party's 
behalf.
    (g) To whom directed. All motions, requests and documents submitted 
in connection with petitions for review and appeals to the Board from 
orders of the Administrator shall designate, and be addressed to, the 
law judge to whom the proceeding has been assigned, if any. If the 
proceeding has not yet been assigned to a law judge, the document shall 
bear the designation ``unassigned,'' and shall be addressed to the Case 
Manager. All motions, requests and documents submitted subsequent to the 
filing of a notice of appeal from a law judge's initial decision or 
appealable order, or a decision permitting an interlocutory appeal, or 
after the expiration of the period within which an appeal from the law 
judge's initial decision or appealable order may be filed, shall be 
addressed to the Board's General Counsel.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63251, Oct. 16, 2012]



Sec.821.8  Service of documents.

    (a) Who must be served. (1) Copies of all documents filed with the 
Board must be simultaneously served on (i.e., sent to) all other parties 
to the proceeding, on the date of filing, by the person filing them. A 
certificate of service shall be a part of each document and any copy or 
copies thereof tendered for filing, and shall certify concurrent service 
on the Board and the parties. A certificate of service shall be in 
substantially the following form:

    I hereby certify that I have this day served the foregoing [specify 
document] on the following party's counsel or designated representatives 
[or party, if without counsel or representative], at the address 
indicated, by [specify the method of service (e.g., first-class mail, 
electronic mail, personal service, etc.)] [List names and addresses of 
all persons served] Dated at ___this__ day of_____ 20_ (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 directly on the party.
    (b) Method of Service. (1) Service of documents by any party on any 
other party shall be accomplished by any method prescribed in Sec.
821.7(a)(3) for the filing of documents with the Board. A party may 
waive the applicability of

[[Page 668]]

this paragraph, and elect to be served with documents by the other 
parties to the proceeding solely by electronic mail, by filing a written 
document with the Board (with copies to the other parties) expressly 
stating such a preference.
    (2) Notices of hearing, written initial decisions, law judges' 
appealable orders and Board orders on appeal shall be served by the 
Board on parties other than the Administrator by certified mail. Such 
documents may be served on the Administrator by first-class mail or 
facsimile. The Board may serve all other documents on the parties by 
first-class mail or facsimile.
    (c) Where service shall be made. Except for electronic mail, 
personal service, parties shall be served at the address appearing in 
the official record, which the Board must receive under Sec. Sec.
821.6(d) and 821.7(f). In the case of an agent designated by an air 
carrier under 49 U.S.C. 46103, service 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 receipt has been acknowledged 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);
    (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 unclaimed or refused; or
    (3) When a document is transmitted by facsimile or electronic mail 
and there is evidence to confirm its successful transmission to the 
intended recipient.
    (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)(4).

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012]



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 has a property, financial or other legitimate interest that will 
not be adequately represented by the existing parties, and that such 
intervention will not unduly broaden the issues or delay the proceeding. 
Except for good cause shown, no motion for leave to intervene will be 
entertained if filed less than 15 days prior to the hearing. The extent 
to which an intervenor may participate in the proceeding is wholly 
within the law judge's discretion.
    (b) Amicus curiae briefs. A brief of amicus curiae in a matter on 
appeal from a law judge's initial decision or appealable order may be 
filed, if accompanied by written consent of all the parties, or by leave 
of the General Counsel if, in his or her opinion, the brief will not 
unduly broaden the matters at issue or prejudice any party to the 
proceeding. A brief may be conditionally filed with motion for leave. 
The motion for leave 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 briefing time allowed the party 
whose position the brief would support, unless good cause for late 
filing is shown, in which event the General Counsel may provide an 
opportunity for response in determining whether to accept the amicus 
brief.



Sec.821.10  Computation of time.

    In computing any period of time prescribed or allowed by this part, 
by notice or order of a law judge or the Board, 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 not a 
Saturday, Sunday or legal holiday. In all cases, Saturdays, Sundays and 
legal holidays for the Board shall be included in the computation of 
time, except they shall not be included in computations of time 
respecting petitions for review of determinations as to the existence of 
emergencies under Sec.821.54.

[[Page 669]]



Sec.821.11  Extensions of time.

    (a) On written request filed with the Board and served on all other 
parties, or oral request with any extension granted confirmed in writing 
and served on all other parties by the requestor, and for good cause 
shown, the law judge or the Board may grant an extension of time to file 
any document; however, no extension of time will be granted for the 
filing of a document to which a statutory time limit applies.
    (b) Extensions of time to file petitions for reconsideration shall 
not be granted upon a showing of good cause, but only in extraordinary 
circumstances.
    (c) The General Counsel is authorized to grant unopposed extensions 
of time on timely oral request without a showing of good cause in cases 
on appeal to the Board from a law judge's initial decision or appealable 
order. Written confirmation of such a grant of extension of time must 
promptly be sent by the requesting party to the Board and served on all 
other parties to the proceeding.



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 its pleadings by filing an amended pleading with the 
Board and serving copies thereof on all other parties. After that time, 
amendment shall be allowed only at the discretion of the law judge. In 
the case of amendment of an answerable pleading, the law judge shall 
allow any 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 a petition for review, an 
appeal to the Board, a complaint, or an appeal from a law judge's 
initial decision or appealable order, pleadings may be withdrawn only 
upon approval of the law judge or the Board. The law judge may dismiss 
the case after receiving a motion to dismiss based on withdrawal of the 
complaint. The law judge shall accept arguments or motions, oral or 
written, from the parties, if offered, on the issue of whether a 
dismissal resulting from the withdrawal of a complaint should be deemed 
to occur with or without prejudice.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012]



Sec.821.13  Waivers.

    Waivers of any rights provided by statute or regulation shall either 
be in writing or by stipulation made at the hearing and entered into the 
record, and shall set forth the precise terms and conditions of the 
waiver.



Sec.821.14  Motions.

    (a) General. Any application to a law judge or to the Board for an 
order or ruling not otherwise provided for in this part shall be by 
motion. Prior to the assignment of the proceeding to a law judge, all 
motions shall be addressed to the Case Manager. Thereafter, and prior to 
the expiration of the period within which an appeal from the law judge's 
initial decision may be filed, all motions shall be addressed to the law 
judge. At all other times, motions shall be addressed to the General 
Counsel.
    (b) Form and content. Unless made during a hearing, motions shall be 
made in writing, shall state with particularity the grounds for the 
relief requested, and shall be accompanied by affidavits or other 
evidence relied upon. Motions introduced during a hearing may be made 
orally on the record, unless the law judge directs otherwise.
    (c) Replies to motions. Except when a motion is made during a 
hearing, any party may file a reply, accompanied by such affidavits or 
other evidence as that party desires to rely upon, within 15 days after 
the date of service of the motion on that party. Upon notice to the 
parties, the law judge or the Board may, where appropriate, set a 
shorter time for filing a reply. Where a motion is made during a 
hearing, the reply 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 a 
motion unless the law judge or the Board directs otherwise.
    (e) Effect of pendency of motions. Except as provided in Sec. Sec.
821.17(a) and 821.18(a), the filing or pendency of a

[[Page 670]]

motion shall not automatically alter or extend the time fixed in this 
part (or any extension thereof previously granted) for the parties to 
take any actions.



Sec.821.15  Motion to disqualify a Board Member.

    A motion requesting that a Board Member disqualify himself or 
herself from participating in a proceeding under this part shall be 
filed in writing with the Board.



Sec.821.16  Interlocutory appeals from law judges' rulings on motions.

    Rulings of law judges on motions which are not dispositive of the 
proceeding as a whole 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. 
Interlocutory appeals shall be disallowed unless the law judge finds, 
either orally 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 a party. If an interlocutory 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.



Sec.821.17  Motions to dismiss, for judgment on the pleadings and for
summary judgment.

    (a) Motions to dismiss petition for review or complaint. A motion to 
dismiss a petition for review or a complaint may be filed in lieu of an 
answer, within the time limit for filing an answer set forth in Sec.
821.24(c) or Sec.821.31(b). If such motion is not granted in its 
entirety, the answer shall be filed within 10 days after service of the 
law judge's order on the motion.
    (b) Motions to dismiss for lack of jurisdiction. A motion to dismiss 
on the ground that the Board lacks jurisdiction may be made by any party 
at any time.
    (c) Motions for judgment on the pleadings. A party may file a motion 
for judgment on the pleadings on the basis that no answer has been 
filed, or that the pleadings disclose that there are no material issues 
of fact to be resolved and that party is entitled to judgment as a 
matter of law.
    (d) Motions for summary judgment. A party may file a motion for 
summary judgment on the basis that the pleadings and other supporting 
documentation establish that there are no material issues of fact to be 
resolved and that party is entitled to judgment as a matter of law.
    (e) Appeals of dismissal, judgment on the pleadings and summary 
judgment orders. When a law judge grants a motion to dismiss, a motion 
for judgment on the pleadings or a motion for summary judgment, 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 motion to dismiss, a motion for judgment on the pleadings or a motion 
for summary judgment is granted in part, Sec.821.16 applies.



Sec.821.18  Motion for a more definite statement.

    (a) A party may, in lieu of an answer, file a motion requesting that 
the petitioner's statement of reasons and supporting facts in a petition 
for review or the Administrator's allegations of fact in a complaint be 
made more definite and certain. The motion shall cite the defects 
complained of and the details sought. If the motion is granted and the 
law judge's order is not complied with within 15 days after service 
thereof, the law judge shall strike the portion or portions of the 
petition for review or complaint to which the motion is directed. If the 
motion is denied, the moving party shall file an answer within 10 days 
after service of the law judge's order on the motion.
    (b) A party may file a motion to clarify an answer in the event that 
the answer fails to respond clearly to the petition for review or the 
complaint.



Sec.821.19  Depositions and other discovery.

    (a) Depositions. 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,

[[Page 671]]

stating the name of the witness and the time and place of the taking of 
the deposition, in accordance with the Federal Rules of Civil Procedure. 
A copy of any notice of deposition shall be served on the law judge to 
whom the proceeding has been assigned or, if no law judge has been 
assigned, on the Case Manager. In other respects, the taking of any 
deposition shall be compliance with the provisions of 49 U.S.C. 
46104(c).
    (b) Exchange of information by the parties. The parties must 
exchange information in accordance with the Federal Rules of Civil 
Procedure. Copies of discovery requests and responses shall be served on 
the law judge to whom the proceeding has been assigned or, if no law 
judge has been assigned, on the Case Manager. 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 or if the 
assigned law judge is unavailable) may issue an appropriate order, 
including an order directing compliance with any ruling previously made 
with respect to discovery.
    (c) Failure to provide or preserve evidence. The failure of any 
party to comply with a law judge's order compelling discovery, or to 
cooperate with a timely request for the preservation of evidence, may 
result in a negative inference against that party with respect to the 
matter sought and not provided or preserved, a preclusion order, 
dismissal or other relief deemed appropriate by the law judge.
    (d) Failure to provide copy of releasable portion of Enforcement 
Investigative Report (EIR). (1) Except as provided in Sec.821.55 with 
respect to emergency proceedings, where the respondent requests the EIR 
and the Administrator fails to provide the releasable portion of the EIR 
to the respondent by the time he or she serves the complaint on the 
respondent, the respondent may move to dismiss the complaint or for 
other relief and, unless the Administrator establishes good cause for 
that failure, the law judge shall order such relief as he or she deems 
appropriate, after considering the parties' arguments.
    (2) The releasable portion of the EIR shall include all information 
in the EIR, except for the following:
    (i) Information that is privileged;
    (ii) Information that constitutes work product or reflects internal 
deliberative process;
    (iii) Information that would disclose the identity of a confidential 
source;
    (iv) Information of which applicable law prohibits disclosure;
    (v) Information about which the law judge grants leave to withhold 
as not relevant to the subject matter of the proceeding or otherwise, 
for good cause shown; or
    (vi) Sensitive security information, as defined at 49 U.S.C. 40119 
and 49 CFR 15.5.
    (3) Nothing in this section shall be interpreted as preventing the 
Administrator from releasing to the respondent information in addition 
to that which is contained in the releasable portion of the EIR.

[77 FR 63245, Oct. 16, 2012, as amended at 78 FR 57534, Sept. 19, 2013; 
79 FR 41650, July 17, 2014]



Sec.821.20  Subpoenas, witness fees, and appearances of Board Members,
officers and employees.

    (a) Subpoenas. Except as provided in paragraph (c) of this section, 
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 presiding law judge (or the chief 
law judge, if the proceeding has not been assigned to a law judge) 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 of the 
subpoena, but in any event prior to the return date thereof, file with 
the law judge who issued the subpoena a motion to quash or modify the 
subpoena, and such filing shall stay the effectiveness of the subpoena 
pending final action by the law judge on the motion.
    (b) Witness fees. Witnesses shall be entitled to the same fees and 
expenses for mileage as are paid to witnesses in the courts of the 
United States. The fees and expenses shall be paid by the party

[[Page 672]]

at whose request 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 and 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 and employees, or the production 
of documents in their custody. Applications for subpoenas requiring the 
attendance of such persons, or the production of such documents, must be 
addressed to the General Counsel, and shall set forth the need of the 
moving party for the testimony or documents sought, and a showing that 
such material is not now, and was not otherwise, reasonably available 
from other sources. Only upon the General Counsel's written approval for 
the issuance of a subpoena requiring a Board Member, officer or employee 
to provide testimony and/or to produce documents in connection with 
discovery or at a hearing may a law judge issue such a subpoena. The law 
judge shall not permit the testimony or documentary evidence provided by 
a Board Member, officer or employee to include any expression of 
opinion, or any account of statements of a party made during the Board's 
investigation of any accident.



Sec.821.21  Official notice.

    Where a 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 
disputing that fact.



 Subpart C_Special Rules Applicable to Proceedings Under 49 U.S.C. 44703



Sec.821.24  Initiation of proceeding.

    (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 denial. The petition must be filed with the Board within 
60 days after the date on which notice of the Administrator's denial was 
served on the petitioner.
    (b) Form and content of petition. The petition may be in letter 
form. It shall identify the Administrator's certificate denial action, 
and contain a complete but concise statement of the reasons why the 
petitioner believes the certificate denial was erroneous.
    (c) Answer to petition. The Administrator shall file an answer to 
the petition for review within 20 days after the date of service of the 
petition. The answer shall specifically address each of the reasons set 
forth in the petition as to why the petitioner believes the certificate 
denial was erroneous.
    (d) Stay of proceeding pending request for special issuance 
(restricted) medical certificate. The Board lacks the authority to 
review requests for special issuance (restricted) medical certificates, 
or to direct that they be issued. Where a request for a special issuance 
certificate has been filed with the Administrator pursuant to the 
Federal Aviation Regulations, the Board will, upon the petitioner's 
written request, hold a petition for review of a denial of an 
unrestricted medical certificate in abeyance pending final action by the 
Administrator on the special issuance request, but for no longer than 
180 days after the date on which the unrestricted medical certificate 
denial was issued.
    (e) New evidence. Where review of a denial of an unrestricted 
medical certificate is at issue, if the 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, 
such new medical evidence must be served on the Administrator at least 
30 days prior to the hearing. Absent good cause, failure to so timely 
serve the new medical evidence on the Administrator will result in the 
exclusion of such evidence from the record. The Administrator may amend 
his or her answer to respond to such new medical evidence within 10 days 
after the date on which he or she was served therewith.

[[Page 673]]



Sec.821.25  Burden of proof.

    In proceedings under 49 U.S.C. 44703, 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 limit for filing an 
answer, a petition for review shall be dismissed for lack of standing in 
either of the following instances:
    (a) If the petition seeks the issuance of the same type of 
certificate that was under an order of suspension on the date of the 
denial; or
    (b) If the petition seeks the issuance of the same type of 
certificate that had been revoked within one year of the date of the 
denial, unless the order revoking such certificate provides otherwise.



 Subpart D_Special Rules Applicable to Proceedings Under 49 U.S.C. 44709



Sec.821.30  Initiation of proceeding.

    (a) Appeal. Where the Administrator has issued an order amending, 
modifying, suspending or revoking a certificate, the affected 
certificate holder (respondent) may file with the Board an appeal from 
the Administrator's order. The respondent shall simultaneously serve a 
copy of the appeal on the Administrator. The appeal must be filed with 
the Board within 20 days after the date on which the Administrator's 
order was served on the respondent, except as provided with respect to 
emergency and other immediately effective orders under Sec.821.53(a).
    (b) Form and content of appeal. The appeal may be in letter form. It 
shall identify the certificate or certificates affected and the 
Administrator's action from which the appeal is sought.
    (c) Effect of filing 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 where the order appealed 
from is an emergency or other immediately effective order, in which case 
the effectiveness of the order will not be so stayed during the pendency 
of the appeal.



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 Administrator shall (except as provided in Sec.
821.55(a) with respect to emergency proceedings) file the complaint with 
the Board within 10 days after the date on which he or she was served 
with the appeal by the respondent, and shall simultaneously serve a copy 
of the complaint on the respondent. If the Administrator has determined 
that the respondent lacks qualification to be a certificate holder, the 
order filed as the complaint, or an accompanying statement, shall 
identify the pleaded factual allegations on which this determination is 
based.
    (b) Answer to complaint. The respondent shall (except as provided in 
Sec.821.55(b) with respect to emergency proceedings) file with the 
Board an answer to the complaint within 20 days after the date on which 
the complaint was served by the Administrator, and shall simultaneously 
serve a copy of the answer on the Administrator. Failure by the 
respondent 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. The answer shall also identify any affirmative 
defenses that the respondent intends to raise at the hearing. The answer 
may be amended to include affirmative defenses in accordance with the 
provisions of Sec.821.12(a).



Sec.821.32  Burden of proof.

    In proceedings under 49 U.S.C. 44709, 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 the respondent 
as to reasons for proposed action under 49 U.S.C. 44709(c), the 
respondent may move to dismiss such allegations as

[[Page 674]]

stale pursuant to the following provisions:
    (a) In those cases where the complaint does not allege lack of 
qualification of the respondent:
    (1) The Administrator shall be required to show, by reply filed 
within 15 days after the date of service of the respondent's motion, 
that good cause existed for the delay in providing such advice, 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 the imposition of a sanction in the public interest 
notwithstanding the delay, the law judge shall dismiss the stale 
allegations and proceed to adjudicate the remaining portion of the 
complaint, if any.
    (b) In those cases where the complaint alleges lack of qualification 
of the respondent, the law judge shall first determine whether an issue 
of lack of qualification would be presented if all of the allegations, 
stale and timely, are assumed to be true. If so, the law judge shall 
deny the respondent's motion. If not, the law judge shall proceed as in 
paragraph (a) of this section.



                          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 each proceeding. 
Until such assignment, motions, requests and documents shall be 
addressed to the Case Manager for handling by the chief law judge, who 
may handle these matters personally or delegate them to other law judges 
for decision. After assignment of a proceeding to a law judge, all 
motions, requests and documents shall be addressed to that law judge. 
The authority of the assigned law judge shall terminate upon the 
expiration of the period within which appeals from initial decisions or 
appealable orders may be filed, or upon the law judge's withdrawal from 
the proceeding.
    (b) Powers of law judge. 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 hold conferences, before or during the hearing, for the 
settlement or simplification of issues;
    (3) To issue subpoenas, and to take depositions or cause depositions 
to be taken;
    (4) To dispose of procedural requests or similar matters;
    (5) To rule on motions;
    (6) To regulate the conduct of hearings;
    (7) To administer oaths and affirmations;
    (8) To examine witnesses;
    (9) To receive evidence and rule upon objections and offers of 
proof; and
    (10) To issue initial decisions and dispositional orders.
    (c) Disqualification. A law judge shall withdraw from a proceeding 
if, at any time, he or she deems himself or herself disqualified. If the 
law judge does not withdraw, and if an appeal from the law judge's 
initial decision is filed, the Board will, on motion of a party, 
determine whether the law judge should have withdrawn and, if so, order 
appropriate relief.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012]



                            Subpart F_Hearing



Sec.821.37  Notice of hearing.

    (a) Time and location of hearing. The law judge to whom the 
proceeding is assigned (or the chief judge) shall set a reasonable date, 
time and place for the hearing. Except as provided with respect to 
emergency proceedings in Sec.821.56(a), a written notice of hearing 
shall be served on the parties at least 30 days in advance of the 
hearing. The law judge may set the hearing for a date fewer than 30 days 
after the date of the issuance of the notice of hearing if all of the 
parties consent to an earlier hearing date. In setting the date of the 
hearing, due regard shall be given to the parties' discovery needs. In 
setting the place of the hearing, due regard shall be given to the 
location of the subject incident, the convenience of the parties and 
their witnesses, and

[[Page 675]]

the conservation of Board funds. Another relevant factor in determining 
the place of the hearing is the convenience of the hearing site to 
scheduled transportation service. Only in the most extraordinary 
circumstances may consideration be given to locating a hearing in a 
foreign country.
    (b) Hearing in several sessions. Where appropriate, the law judge 
may hold a hearing in more than one session, at the same or different 
locations.



Sec.821.38  Evidence.

    In any proceeding under the rules in this part, all evidence which 
is relevant, material, reliable and probative, and not unduly 
repetitious or cumulative, shall be admissible. All other evidence shall 
be excluded. The Federal Rules of Evidence will be applied in these 
proceedings to the extent practicable.

[78 FR 57534, Sept. 19, 2013]



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 proposed rulings. Prior to the 
issuance of 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 before the law judge, shall 
constitute the exclusive record of the proceeding. Copies of the 
transcript may be obtained by any party upon payment of the reasonable 
cost thereof. A copy of the transcript may be examined at the National 
Transportation Safety Board, Office of Administrative Law Judges, Public 
Docket Section.



                       Subpart G_Initial Decision



Sec.821.42  Initial decision by law judge.

    (a) Written or oral decision. The law judge may render his or her 
initial decision orally at the close of the hearing, or in writing at a 
later date, except as provided with respect to emergency proceedings in 
Sec.821.56(c).
    (b) Content. The initial decision shall include findings and 
conclusions upon all material issues of fact, credibility of witnesses, 
law and discretion presented on the record, together with a statement of 
the reasons therefor.
    (c) Furnishing parties with, and issuance date of, oral decision. If 
the initial decision is rendered orally, a copy thereof, excerpted from 
the hearing transcript, shall be furnished to the parties by the Office 
of Administrative Law Judges. Irrespective of the date on which the copy 
of the decision is transmitted to the parties, the issuance date of the 
decision shall be the date on which it was orally rendered.



Sec.821.43  Effect of law judge's initial decision or appealable order
and appeal therefrom.

    If no appeal from the law judge's initial decision or appealable 
order is timely filed, the initial decision or order shall become final 
with respect to the parties, but shall not be binding precedent for the 
Board. The filing of a timely notice of appeal with the Board shall stay 
the effectiveness of the law judge's initial decision or order, unless 
the basis for the decision or order is that the Board lacks 
jurisdiction.



                 Subpart H_Appeal From Initial Decision



Sec.821.47  Notice of appeal.

    (a) Time within which to file notice of appeal. A party may appeal 
from a law judge's initial decision or appealable order by filing with 
the Board, and simultaneously serving on the other parties, a notice of 
appeal, within 10 days after the date on which the oral initial decision 
was rendered or the written initial decision or appealable order was 
served (except as provided in Sec.821.57(a) with respect to emergency 
proceedings). At any time before the time limit for filing an appeal 
from an initial decision or appealable order has passed, the law judge 
may, for good cause, reopen the matter on notice to the parties.
    (b) Request for reconsideration of law judge's initial decision or 
order. A law

[[Page 676]]

judge may not reconsider an initial decision or appealable order after 
the time for appealing to the Board from the decision or order has 
expired, or after an appeal has been filed with the Board. However, a 
timely request for reconsideration by the law judge of the initial 
decision or appealable order, filed before an appeal to the Board is 
taken, will stay the deadline for filing an appeal until 10 days after 
the date on which the law judge serves his or her decision on the 
reconsideration request. For the purpose of this paragraph, if a request 
for reconsideration and a notice of appeal are filed on the same day, 
the reconsideration request will be deemed to have been filed first.



Sec.821.48  Briefs and oral argument.

    (a) Appeal brief. Except as provided in Sec.821.57(b) with respect 
to emergency proceedings, each appeal must be perfected, within 50 days 
after the date on which the oral initial decision was rendered, or 30 
days after the date on which the written initial decision or appealable 
order was served, by the filing, and simultaneous service on the other 
parties, of a brief in support of the appeal. An appeal may be dismissed 
by the Board, either on its own initiative or on motion of another 
party, where a party who has filed a notice of appeal fails to perfect 
the appeal by filing a timely appeal brief.
    (b) Form and content of appeal brief. (1) In addition to the general 
form requirements for documents set forth in Sec.821.7(c)(2), the 
appeal brief must be typewritten, double-spaced, on 8\1/2\-by-11 inch 
paper. The appeal brief shall set forth the name, address and telephone 
number of the party, or the attorney or other representative filing the 
brief on the party's behalf. No appeal brief may contain more than 35 
pages of text without prior leave of the General Counsel, upon a showing 
of good cause.
    (2) The appeal brief shall enumerate the appealing party's 
objections to the law judge's initial decision or appealable order, and 
shall state the reasons for such objections, including any legal 
precedent relied upon in support thereof.
    (3) Any error contained in the initial decision which is not 
objected to in the appeal brief may be deemed waived.
    (c) Reply brief. Any other party to the proceeding may file a brief 
in reply to the appeal brief within 30 days after the date on which the 
appeal brief was served on that party (except as provided in Sec.
821.57(b) with respect to emergency proceedings). A copy of the reply 
brief shall simultaneously be served on the appealing party and any 
other parties to the proceeding. The form requirements governing the 
appeal brief set forth in paragraph (b)(1) also apply to the reply 
brief.
    (d) Other filings. Subsequent to the filing of the appeal and reply 
briefs, the parties may file citations to supplemental authorities. This 
procedure may be used only for identifying new and relevant legal 
authority, and not to correct omissions in briefing or to respond to a 
reply brief. No argument may be included with such a filing. Such filing 
shall include a reference to the page of the brief to which the cited 
legal authority pertains. Any response shall be filed within 10 days of 
the date of service of the supplemental filing, and shall be similarly 
limited in scope. With these exceptions, the parties may make no other 
submissions, except by leave of the Board, upon on a showing of good 
cause.
    (e) Oral argument. Oral argument before the Board will not be held 
in proceedings under this part unless the Board, on motion of a party or 
on its own initiative, determines that oral argument is needed.



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 or her initial decision or order should be changed, the 
Board may make any necessary findings and may issue an order in lieu of 
the law judge's

[[Page 677]]

initial decision or order, or may remand the proceeding for any such 
purpose as the Board may deem necessary.



Sec.821.50  Petition for rehearing, reargument, reconsideration
or modification of an order of the Board.

    (a) General. Any party to a proceeding may petition the Board for 
rehearing, reargument, reconsideration or modification of a Board order 
on appeal from a law judge's initial decision or order. An initial 
decision or appealable order of a law judge that has become final 
because no timely appeal was taken therefrom may not be the subject of a 
petition under this section.
    (b) Timing and service. The petition must be filed with the Board, 
and simultaneously served on the other parties, within 30 days after the 
date of service of the Board's order on appeal from the law judge's 
initial decision or order.
    (c) Content. The petition shall state briefly and specifically the 
matters of record alleged to have been erroneously decided, and the 
ground or grounds relied upon. 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 of why such substantiation is unavailable, and 
shall explain why such new matter could not have been discovered in the 
exercise of due diligence prior to the date on which the evidentiary 
record closed. To the extent the petition is not based upon new matter, 
the Board will not consider arguments that could have been made in the 
appeal or reply briefs received prior to the Board's decision.
    (d) Repetitious petitions. Repetitious petitions will not be 
entertained by the Board, and will be summarily dismissed.
    (e) Reply to petition. Any other party to the proceeding may file a 
reply to the petition within 15 days after the date on which the 
petition was served on that party. A copy of such reply shall 
simultaneously be served on the petitioner and any other parties to the 
proceeding.
    (f) Stay of effective date of Board's order. The filing of a 
petition under this section shall operate to stay the effective date of 
the Board's order, unless the Board directs otherwise.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012]



 Subpart I_Special Rules Applicable to Proceedings Involving Emergency 
                 and Other Immediately Effective Orders



Sec.821.52  General.

    (a) Applicability. This subpart shall apply to any order issued by 
the Administrator under 49 U.S.C. 44709 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 on which written advice of the emergency 
character of the Administrator's order is received and docketed by the 
Board.
    (c) Computation of time. Time shall be computed in accordance with 
the provisions of Sec.821.10.
    (d) Waiver. Except as provided in Sec.821.54(f), or where the law 
judge or the Board determines that it would unduly burden another party 
or the Board, a certificate holder (respondent) affected by an emergency 
or other immediately effective order of the Administrator may, at any 
time after filing an appeal from such an order, waive the applicability 
of the accelerated time limits of this subpart; however, such a waiver 
shall not serve to lengthen any period of time for doing an act 
prescribed by this subpart which expired before the date on which the 
waiver was made.
    (e) Acceptable methods of filing and service. All documents 
submitted by a party in a proceeding governed by this subpart must be 
filed with the Board by overnight delivery, facsimile or electronic 
mail, and simultaneously served on all other parties by the same means. 
If filing by electronic mail, parties must adhere to the requirements in 
Sec.821.7(a)(3).

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012]

[[Page 678]]



Sec.821.53  Appeal.

    (a) Time within which to file appeal. An appeal from an emergency or 
other immediately effective order of the Administrator must be filed 
within 10 days after the date on which the Administrator's order was 
served on the respondent. The respondent shall simultaneously serve a 
copy of the appeal on the Administrator.
    (b) Form and content of appeal. The appeal may be in letter form. It 
shall identify the certificate or certificates affected and indicate 
that an emergency or other immediately effective order of the 
Administrator is being appealed.



Sec.821.54  Petition for review of Administrator's determination
of emergency.

    (a) Time within which to file petition. A respondent may, within 2 
days after the date of receipt of an emergency or other immediately 
effective order of the Administrator, file with the Board a petition for 
review of the Administrator's determination that an emergency, requiring 
the order to be effective immediately, exists. This 2-day time limit is 
statutory and the Board has no authority to extend it. If the respondent 
has not previously filed an appeal from the Administrator's emergency or 
other immediately effective order, the petition shall also be considered 
a simultaneously filed appeal from the order under Sec.821.53.
    (b) Form, content and service of petition. The petition may be in 
letter form. A copy of the Administrator's order, from which review of 
the emergency determination is sought, must be attached to the petition. 
If a copy of the order is not attached, the petition will be dismissed. 
While the petition need only request that the Board review the 
Administrator's determination as to the existence of an emergency 
requiring the order be effective immediately, it may also enumerate the 
respondent's reasons for believing that the Administrator's emergency 
determination is not warranted in the interest of aviation safety. The 
respondent may include attachments to the petition for review (e.g., 
affidavits, other documents or records) limited to evidence the 
respondent believes supports the reasons enumerated in the petition for 
why the Administrator's emergency determination is not warranted in the 
interest of aviation safety. The petition must be filed with the Board 
by overnight delivery service or facsimile and simultaneously served on 
the Administrator by the same means.
    (c) Reply to petition. If the petition enumerates the respondent's 
reasons for believing that the Administrator's emergency determination 
is unwarranted, the Administrator may, within 2 days after the date of 
service of the petition, file a reply, which shall be strictly limited 
to matters of rebuttal. No submissions other than the respondent's 
petition and the Administrator's reply in rebuttal will be accepted, 
except in accordance with paragraph (d) of this section.
    (d) Hearing. No hearing shall be held on a petition for review of an 
emergency determination. However, the law judge may, on his or her own 
initiative, and strictly in keeping with the prohibition on ex parte 
communications set forth in Sec.821.61, solicit from the parties 
additional information to supplement that previously provided by the 
parties.
    (e) Disposition. Within 5 days after the Board's receipt of the 
petition, the chief law judge (or, if the case has been assigned to a 
law judge other than the chief law judge, the law judge to whom the case 
is assigned) shall dispose of the petition by written order, and, in so 
doing, shall consider whether, based on the acts and omissions alleged 
in the Administrator's order, and assuming the truth of such factual 
allegations, the Administrator's emergency determination was appropriate 
under the circumstances, in that it supports a finding that aviation 
safety would likely be compromised by a stay of the effectiveness of the 
order during the pendency of the respondent's appeal. In making this 
determination, however, the law judge is not so limited to the order's 
factual allegations themselves, but also shall permit evidence, if 
appropriate, pertaining to the propriety of the emergency determination, 
presented by the respondent with the petition and the Administrator with 
the reply to the petition. This evidence can

[[Page 679]]

include affidavits or other such records.
    (f) Effect of law judge's ruling. If the law judge grants the 
petition, the effectiveness of the Administrator's order shall be stayed 
until final disposition of the respondent's appeal by a law judge or by 
the Board. In such cases, the remaining provisions of this subpart 
(Sec. Sec.821.55-821.57) shall continue to apply, unless the 
respondent, with the Administrator's consent, waives their 
applicability. If the petition is denied, the Administrator's order 
shall remain in effect, and the remaining provisions of this subpart 
shall continue to apply, unless their applicability is waived by the 
respondent. The law judge's ruling on the petition shall be final, and 
is not appealable to the Board. However, in the event of an appeal to 
the Board from a law judge's decision on the merits of the emergency or 
other immediately effective order, the Board may, at its discretion, 
note, in its order disposing of the appeal, its views on the law judge's 
ruling on the petition, and such views shall serve as binding precedent 
in all future cases.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63252, Oct. 16, 2012; 
79 FR 41650, July 17, 2014]



Sec.821.55  Complaint, answer to complaint, motions and discovery.

    (a) Complaint. In proceedings governed by this subpart, the 
Administrator's complaint shall be filed and simultaneously served on 
the respondent within 3 days after the date on which the Administrator 
received the respondent's appeal, or within 3 days after the date of 
service of an order disposing of a petition for review of an emergency 
determination, whichever is later.
    (b) Answer to complaint. The respondent shall file with the Board an 
answer to the complaint within 5 days after the date on which the 
complaint was served by the Administrator, and shall simultaneously 
serve a copy of the answer on the Administrator. Failure by the 
respondent 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. The answer shall also identify any affirmative 
defenses that the respondent intends to raise at the hearing.
    (c) Motion to dismiss and motion for more definite statement. In 
proceedings governed by this subpart, no motion to dismiss the complaint 
or for a more definite statement of the complaint's allegations 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.
    (d) Discovery. Discovery is authorized in proceedings governed by 
this subpart. Given the short time available for discovery, the parties 
shall cooperate to ensure timely completion of the discovery process 
prior to the hearing. Discovery requests shall be served by the parties 
as soon as possible. A motion to compel discovery should be 
expeditiously filed where any dispute arises, and the law judge shall 
promptly rule on such a motion. Time limits for compliance with 
discovery requests shall be set by the parties so as to accommodate, and 
not conflict with, the accelerated adjudication schedule set forth in 
this subpart. The provisions of Sec.821.19 shall apply, modified as 
necessary to meet the exigencies of this subpart's accelerated 
timeframes.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63253, Oct. 16, 2012]



Sec.821.56  Hearing and initial decision or appealable order
of law judge.

    (a) Notice of hearing. Within 3 days after the date on which the 
Board receives the Administrator's complaint, or immediately upon the 
issuance of a law judge's order disposing of a petition for review of 
the Administrator's emergency determination, if later, the parties shall 
be served with a written notice of hearing, setting forth the date, time 
and place of the hearing. The hearing shall be set for a date no later 
than 30 days after the date on which the respondent's appeal was 
received and docketed. To the extent that they are not inconsistent with 
this section, the provisions of Sec.821.37(a) shall also apply.
    (b) Conduct of hearing. The provisions of Sec. Sec.821.38, 821.39 
and 821.40, concerning

[[Page 680]]

the taking of evidence, argument and submissions by the parties, and the 
composition of the hearing record, shall apply to proceedings governed 
by this subpart.
    (c) Initial decision and effect of initial decision or appealable 
order. The law judge's initial decision shall be made orally on the 
record at the termination of the hearing. The provisions of Sec.
821.42, concerning the content of the initial decision, the furnishing 
of copies of the initial decision to the parties and the issuance date 
of the initial decision, and the provisions of Sec.821.43, concerning 
the effect of the law judge's initial decision or appealable order and 
any appeal therefrom, shall apply to proceedings governed by this 
subpart.



Sec.821.57  Procedure on appeal.

    (a) Time within which to file notice of appeal. A party may appeal 
from a law judge's initial decision or appealable order by filing with 
the Board, and simultaneously serving on the other parties, a notice of 
appeal, within 2 days after the date on which the initial decision was 
orally rendered or the appealable order was served. The time limitations 
for the filing of documents respecting appeals governed by this subpart 
will not be extended by reason of the unavailability of the hearing 
transcript.
    (b) Briefs and oral argument. Each appeal in proceedings governed by 
this subpart must be perfected, within 5 days after the date on which 
the notice of appeal was filed, by the filing, and simultaneous service 
on the other parties, of a brief in support of the appeal. Any other 
party to the proceeding may file a brief in reply to the appeal brief 
within 7 days after the date on which the appeal brief was served on 
that party. A copy of the reply brief shall simultaneously be served on 
the appealing party and any other parties to the proceeding. Aside from 
the time limits specifically mandated by this paragraph, the provisions 
of Sec. Sec.821.7(a)(3) and 821.48 shall apply.
    (c) Issues on appeal. The provisions of Sec.821.49(a) and (b) 
shall apply in proceedings governed by this subpart.
    (d) Petition for rehearing, reargument, reconsideration or 
modification of order. The only petitions for rehearing, reargument, 
reconsideration or modification of an order which the Board will 
entertain in proceedings governed by this subpart are those based on the 
ground that new matter has been discovered. Such petitions must:
    (1) Set forth the new matter;
    (2) Contain affidavits of prospective witnesses, authenticated 
documents, or both, or an explanation of why such substantiation is 
unavailable; and
    (3) Contain a statement explaining why such new matter could not 
have been discovered in the exercise of due diligence prior to the date 
on which the evidentiary record closed.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63253, Oct. 16, 2012]



                    Subpart J_Ex Parte Communications

    Authority: Sec. 4, Pub. L. 94-409, 5 U.S.C. 556(d) and 557; 49 
U.S.C. 1101-1155, 44701-44723, 46301.



Sec.821.60  Definitions.

    As used in this subpart:
    Board decisional employee means a Board Member, 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 does 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 
petition for review or an appeal is filed unless the person responsible 
for the communication has knowledge that a petition for review or an 
appeal will be filed, in which case the prohibitions shall apply at the 
time of the acquisition of such knowledge. Such prohibitions shall 
continue until the time of the Board's final disposition of the 
petition, appeal and any ancillary matters, such as the adjudication of 
a claim for fees and expenses under the Equal Access to Justice Act.

[[Page 681]]

    (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 decisional employee an ex parte 
communication relevant to the merits of the proceeding;
    (2) No Board decisional 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 solely relating to matters of Board procedure or practice 
are not prohibited by this section.



Sec.821.62  Procedures for handling ex parte communications.

    A Board decisional employee who receives, makes or knowingly causes 
to be made a communication prohibited by Sec.821.61 shall place in 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 communications 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 made or knowingly caused to be 
made by a party in violation of Sec.821.61, the presiding law judge 
(or the chief law judge, if the proceeding has not been assigned to a 
law judge) or the Board may, to the extent consistent with the interests 
of justice and the policy of the underlying statutes it administers, 
require the party to show cause why its 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 interest of 
justice and the policy of the underlying statutes it administers, 
consider a violation of Sec.821.61 sufficient grounds for a decision 
adverse to a party who has knowingly committed or knowingly caused such 
a violation to occur. Alternatively, the Board may impose a sanction on 
the party's attorney or representative, including suspending or barring 
the attorney or representative from practicing before it, where such 
action would be appropriate and penalizing the party represented would 
not be in the interest of justice.



                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 49 U.S.C. 1153 and 46110 by the filing of a 
petition for review with the appropriate United States Court of Appeals 
or United States District Court, pursuant to the provisions of Pub. L. 
112-53, 126 Stat. 1159 (August 3, 2012), 49 U.S.C. 44703 note. Such 
petition is due within 60 days of the date of entry (i.e., service date) 
of the Board's order. Under the applicable statutes, any party may 
appeal the Board's decision. The Board is not a party in interest in 
such appellate proceedings and, accordingly, does not typically 
participate in the judicial review of its decisions. In matters appealed 
by the Administrator, the other parties should anticipate the need to 
make their own defense.
    (b) Stay pending judicial review. No request for a stay pending 
judicial review will be entertained unless it is served on the Board 
within 15 days after the date of service of the Board's order. The non-
moving party may, within 5 days after the date of service of such a 
motion, file a reply thereto.

[68 FR 22625, Apr. 29, 2003, as amended at 77 FR 63245, Oct. 16, 2012; 
77 FR 63253, Oct. 16, 2012; 78 FR 57534, Sept. 19, 2013]



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.

[[Page 682]]

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;
    (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.

[[Page 683]]



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
    (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

[[Page 684]]

such violation or knowingly caused such violation to occur.

(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; 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. An eligible party may receive an award when it prevails 
over the Federal Aviation Administration (FAA), unless the FAA'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 
this Board will use to make them. As used hereinafter, the term 
``Administrator'' refers to the Administrator of the FAA.

[77 FR 63253, Oct. 16, 2012]



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 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

[[Page 685]]

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 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.

[[Page 686]]



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 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

[[Page 687]]

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 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

[[Page 688]]

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, 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

[[Page 689]]

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 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).

[[Page 690]]



Sec.826.40  Payment of award.

    Within 5 days of the Board's service of a final decision granting an 
award of fees and expenses to an applicant, the Administrator shall 
transmit to the applicant instructions explaining how the applicant may 
obtain the award. These instructions may require, but are not limited 
to, the submission of the following information to the Administrator: a 
statement that the applicant will not seek review of the decision in the 
United States courts, bank routing numbers to which the Administrator 
may transmit payment, and the applicant's tax identification or Social 
Security number. The Administrator will pay the applicant the amount 
awarded within 60 days of receiving the necessary information from the 
applicant, 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.

[77 FR 63253, Oct. 16, 2012]



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: 49 U.S.C. 1101-1155; Pub. L. 85-726, 72 Stat. 731 
(codified as amended at 49 U.S.C. 40101).

    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.
    (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. For purposes of this 
part, the definition of ``aircraft accident'' includes ``unmanned 
aircraft accident,'' as defined herein.
    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

[[Page 691]]

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.
    Unmanned aircraft accident means an occurrence associated with the 
operation of any public or civil unmanned aircraft system that takes 
place between the time that the system is activated with the purpose of 
flight and the time that the system is deactivated at the conclusion of 
its mission, in which:
    (1) Any person suffers death or serious injury; or
    (2) The aircraft has a maximum gross takeoff weight of 300 pounds or 
greater and sustains substantial damage.

[53 FR 36982, Sept. 23, 1988, as amended at 60 FR 40112, Aug. 7, 1995; 
75 FR 51955, Aug. 24, 2010]



  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 (NTSB) office,\1\ when:
---------------------------------------------------------------------------

    \1\ NTSB headquarters is located at 490 L'Enfant Plaza SW., 
Washington, DC 20594. Contact information for the NTSB's regional 
offices is available at http://www.ntsb.gov. To report an accident or 
incident, you may call the NTSB Response Operations Center, at 844-373-
9922 or 202-314-6290.

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

[[Page 692]]

    (a) An aircraft accident or any of the following listed serious 
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 any internal turbine engine component that results in 
the escape of debris other than out the exhaust path;
    (4) In-flight fire;
    (5) Aircraft collision 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.
    (8) Release of all or a portion of a propeller blade from an 
aircraft, excluding release caused solely by ground contact;
    (9) A complete loss of information, excluding flickering, from more 
than 50 percent of an aircraft's cockpit displays known as:
    (i) Electronic Flight Instrument System (EFIS) displays;
    (ii) Engine Indication and Crew Alerting System (EICAS) displays;
    (iii) Electronic Centralized Aircraft Monitor (ECAM) displays; or
    (iv) Other displays of this type, which generally include a primary 
flight display (PFD), primary navigation display (PND), and other 
integrated displays;
    (10) Airborne Collision and Avoidance System (ACAS) resolution 
advisories issued when an aircraft is being operated on an instrument 
flight rules flight plan and compliance with the advisory is necessary 
to avert a substantial risk of collision between two or more aircraft.
    (11) Damage to helicopter tail or main rotor blades, including 
ground damage, that requires major repair or replacement of the 
blade(s);
    (12) Any event in which an operator, when operating an airplane as 
an air carrier at a public-use airport on land:
    (i) Lands or departs on a taxiway, incorrect runway, or other area 
not designed as a runway; or
    (ii) Experiences a runway incursion that requires the operator or 
the crew of another aircraft or vehicle to take immediate corrective 
action to avoid a collision.
    (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; 
75 FR 927, Jan. 7, 2010; 75 FR 35330, June 22, 2010; 80 FR 77587, Dec. 
15, 2015]



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

[[Page 693]]

    (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 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_INVESTIGATION PROCEDURES--Table of Contents



                            Subpart A_General

Sec.
831.1 Applicability of this subpart.
831.2 Responsibility of the NTSB.
831.3 Authority of Directors.
831.4 Nature of investigation.
831.5 Priority of NTSB investigations.
831.6 Request to withhold information.
831.7 Representation during an interview.
831.8 Investigator-in-charge.
831.9 Authority during investigations.
831.10 Autopsies and postmortem testing.
831.11 Parties to the investigation.
831.12 Access to and release of wreckage, records, mail, and cargo.
831.13 Provision and dissemination of investigative information.
831.14 Proposed findings.
831.15 Civil penalties.

                    Subpart B_Aviation Investigations

831.20 Authority of NTSB in aviation investigations.
831.21 Other Government agencies and NTSB aviation investigations.
831.22 International aviation investigations.

[[Page 694]]

                    Subpart C_Highway Investigations

831.30 Authority of NTSB in highway investigations.

  Subpart D_Railroad, Pipeline, and Hazardous Materials Investigations

831.40 Authority of NTSB in railroad, pipeline, and hazardous materials 
          investigations.

                     Subpart E_Marine Investigations

831.50 Applicability of this subpart.
831.51 Definitions.
831.52 Responsibility of NTSB in marine investigations.
831.53 Authority of Director, Office of Marine Safety.
831.54 Nature of investigation.
831.55 Relationships with other agencies.
831.56 Request to withhold information.
831.57 Representation during an interview.
831.58 Investigator-in-charge.
831.59 Authority during investigations.
831.60 Autopsies and postmortem testing.
831.61 Parties to the investigation.
831.62 Access to and release of wreckage, records, mail, and cargo.
831.63 Provision and dissemination of investigative information.
831.64 Proposed findings.

    Authority: 49 U.S.C. 1113(f).
    Section 831.15 also issued under Pub. L. 101-410, 104 Stat. 890, 
amended by Pub. L. 114-74, sec. 701, 129 Stat. 584 (28 U.S.C. 2461 
note).

    Source: 82 FR 29685, June 29, 2017, unless otherwise noted.



                            Subpart A_General



Sec.831.1  Applicability of this subpart.

    (a) Except as provided in Subpart E of this part regarding marine 
casualties, and unless specified by the National Transportation Safety 
Board (NTSB), the provisions of this subpart apply to all NTSB 
investigations conducted under its statutory authority.
    (b) Consistent with its statutory authority, the NTSB conducts 
investigations of transportation accidents that include, but are not 
limited to: accidents, collisions, crashes, derailments, explosions, 
incidents, mishaps, ruptures, or other similar accidents. Use of the 
term ``accident'' throughout this part includes all such occurrences.
    (c) Throughout this part, the term ``IIC'' means the NTSB 
investigator-in-charge.



Sec.831.2  Responsibility of the NTSB.

    The NTSB is required to investigate--
    (a) Aviation accidents as described in subpart B of this part;
    (b) Highway accidents as described in subpart C of this part;
    (c) Railroad, pipeline, and hazardous materials accidents as 
described in subpart D of this part; and
    (d) Any accident that occurs in connection with the transportation 
of people or property that, in the judgment of the NTSB, is 
catastrophic, involves problems of a recurring nature or would otherwise 
carry out the intent of its authorizing statutes. This authority 
includes selected events involving the transportation of hazardous 
materials, including their release.



Sec.831.3  Authority of Directors.

    Subject to the provisions of Sec.831.2 of this part and part 800 
of this chapter, the Directors of the Office of Aviation Safety, Office 
of Highway Safety, or Office of Railroad, Pipeline and Hazardous 
Materials Investigations, may order an investigation into any 
transportation accident.



Sec.831.4  Nature of investigation.

    (a) General. The NTSB conducts investigations, or has them 
conducted, to determine the facts, conditions, and circumstances 
relating to an accident. The NTSB uses these results to determine one or 
more probable causes of an accident, and to issue safety recommendations 
to prevent or mitigate the effects of a similar accident. The NTSB is 
required to report on the facts and circumstances of accidents it 
investigates. The NTSB begins an investigation by monitoring the 
situation and assessing available facts to determine the appropriate 
investigative response. Following an initial assessment, the NTSB 
notifies persons and organizations it anticipates will be affected as to 
the extent of its expected investigative response.
    (b) NTSB products. An investigation may result in a report or brief 
of the NTSB's conclusions or other products designed to improve 
transportation safety. Other products may include factual records, 
safety recommendations, and other safety information.

[[Page 695]]

    (c) NTSB investigations are fact-finding proceedings with no adverse 
parties. The investigative proceedings are not subject to the 
Administrative Procedure Act (5 U.S.C. 551 et seq.), and are not 
conducted for the purpose of determining the rights, liabilities, or 
blame of any person or entity, as they are not adjudicatory proceedings.



Sec.831.5  Priority of NTSB investigations.

    (a) Relationships with other agencies. (1) Except as provided in 49 
U.S.C. 1131(a)(2)(B) and (C) regarding suspected criminal actions, an 
investigation conducted under the authority of the NTSB has priority 
over any investigation conducted by another Federal agency.
    (2) The NTSB will provide for appropriate participation by other 
Federal agencies in any NTSB investigation. Such agencies may not 
participate in the NTSB's probable cause determination.
    (3) The NTSB has first right to access wreckage, information, and 
resources, and to interview witnesses the NTSB deems pertinent to its 
investigation.
    (4) As indicated in Sec.831.9(c) of this part, the NTSB has 
exclusive authority to decide when and how the testing and examination 
of evidence will occur.
    (5) The NTSB and other Federal agencies will exchange information 
obtained or developed about the accident in the course of their 
investigations in a timely manner. Nothing in this section prohibits the 
NTSB from sharing factual information with other agencies.
    (6) Incident command system. The NTSB recognizes the role of 
incident command systems to address emergencies. The NTSB does not 
assume the role of a first responder agency.
    (i) The NTSB IIC or his designee will participate in the incident 
command system to identify and coordinate investigative needs related to 
the preservation and collection of information and evidence.
    (ii) The NTSB may collect information and evidence from the incident 
command in a timely and reasonable manner so as not to interfere with 
its operations.
    (b) Investigations by other Federal agencies. (1) Nothing in this 
section limits the authority of any Federal agency to conduct an 
investigation of an accident or incident under applicable provisions of 
law or to obtain information directly from parties involved in, and 
witnesses to, a transportation accident. Other agencies are expected to 
coordinate with the NTSB IIC to avoid interference with, and duplication 
of, the NTSB's investigative efforts. These agencies will not 
participate in the NTSB's probable cause determination.
    (2) The NTSB recognizes that state and local agencies may conduct 
activities related to an accident under investigation by the NTSB. These 
agencies will not participate in the NTSB's probable cause 
determination.
    (3) Except as described in Sec.831.30 of this part regarding 
highway investigations, the NTSB may request that a Federal agency 
provide to the NTSB the results of that agency's investigation of an 
accident when such investigation is intended to result in safety 
improvements or remedial action. The NTSB will not routinely request 
regulatory enforcement records or investigation results.



Sec.831.6  Request to withhold information.

    (a) Applicability. This section applies to information the NTSB 
receives from any source that may be subject to the Trade Secrets Act 
(18 U.S.C. 1905) or the Freedom of Information Act (FOIA, 5 U.S.C. 552).
    (b) Disclosure. The NTSB is authorized by 49 U.S.C. 1114(b) to 
disclose, under certain circumstances, confidential commercial 
information that would otherwise be subject to penalties for disclosure 
under the Trade Secrets Act, or excepted from disclosure under FOIA. The 
NTSB may exercise this authority when disclosure is necessary to support 
a key finding, a safety recommendation, or the NTSB's statement of 
probable cause of an accident.
    (c) Disclosure procedures. Information submitted to the NTSB that 
the submitter believes qualifies as a trade secret or as confidential 
commercial information subject either to the Trade Secrets Act or 
Exemption 4 of FOIA

[[Page 696]]

must be so identified by the submitter on each page that contains such 
information. In accordance with 49 U.S.C. 1114(b), the NTSB will provide 
the submitter of identified information (or information the NTSB has 
reason to believe qualifies as subject to the Trade Secrets Act or 
Exemption 4 of FOIA) the opportunity to comment on any disclosure 
contemplated by the NTSB. In all instances in which the NTSB decides to 
disclose such information pursuant to 49 U.S.C. 1114(b) or 5 U.S.C. 552, 
the NTSB will provide at least 10 days' advance notice to the submitter.
    (d) Voluntarily provided safety information. (1) The NTSB will not 
disclose safety-related information voluntarily submitted to the NTSB if 
the information is not related to the exercise of the NTSB's 
investigation authority, and if the NTSB finds disclosure of the 
information might inhibit the voluntary provision of that type of 
information.
    (2) The NTSB will review voluntarily provided safety information for 
confidential content, and will de-identify or anonymize any confidential 
content referenced in its products.
    (e) Other. Any person may make written objection to the public 
disclosure of any other information, such as interview summaries or 
transcripts, contained in any report or document filed, or otherwise 
obtained by the NTSB, stating the grounds for such objection. The NTSB 
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 
FOIA (see part 801 of this chapter), and its release is found not to be 
in the public interest.



Sec.831.7  Representation during an interview.

    (a) Any person interviewed in any manner by the NTSB has the right 
to be accompanied during the interview by no more than one 
representative of the witness's choosing. The representative--
    (1) May be an attorney;
    (2) May provide support and counsel to the witness;
    (3) May not supplement the witness's testimony; and
    (4) May not advocate for the interests of a witness's other 
affiliations (e.g., the witnesses employer).
    (b) An investigator conducting the interview may take any necessary 
action (including removal of the representative from the interview) to 
ensure a witness's representative acts in accordance with the provisions 
of paragraph (a) of this section during the interview, and to prevent 
conduct that may be disruptive to the interview.



Sec.831.8  Investigator-in-charge.

    In addition to the subpoena and deposition authority delegated to 
investigative officers under this chapter, a person designated as IIC 
for an investigation is authorized to--
    (a) Organize, conduct, control, and manage the field phase of an 
investigation, even when a Board Member is present;
    (b) Coordinate all resources and supervise all persons (including 
persons not employed by the NTSB) involved in an on-site investigation; 
and
    (c) Continue his or her organizational and management 
responsibilities through all phases of the investigation, including 
consideration and adoption of a report or brief determining one or more 
probable causes of an accident.



Sec.831.9  Authority during investigations.

    (a) General authority of investigators. To carry out the statutory 
responsibilities of the agency, an NTSB investigator may--
    (1) Conduct hearings;
    (2) Administer oaths;
    (3) Require, by subpoena or otherwise, the production of evidence 
and witnesses;
    (4) Enter any property where an accident subject to the NTSB's 
jurisdiction has occurred, or wreckage from any such accident is 
located, and take all actions necessary to conduct a complete 
investigation of the accident;
    (5) Inspect, photograph, or copy any records or information 
(including medical records pursuant to paragraph

[[Page 697]]

(b)(2) of this section), and correspondence regardless of the date of 
their creation or modification, for the purpose of investigating an 
accident;
    (6) Take possession of wreckage, records or other information if it 
determines such possession is necessary for an investigation; and
    (7) Question any person having knowledge relevant to a 
transportation accident.
    (b) Subpoenas. The NTSB may issue a subpoena, enforceable in Federal 
District Court, to obtain testimony or evidence related to an accident, 
including but not limited to personal electronic devices.
    (1) The NTSB's authority to issue subpoenas includes access to 
medical records and specimens.
    (2) For purposes of the Health Insurance Portability and 
Accountability Act of 1996 (HIPAA), Public Law 104-191, and the 
regulations promulgated by the DHHS, 45 CFR 164.501 et seq., the NTSB is 
a ``public health authority'' to which protected health information may 
be disclosed by a HIPAA ``covered entity'' without the prior written 
authorization of the subject of the records. In addition, the NTSB may 
issue a subpoena to gain access to such information.
    (c) Examination of evidence. In accordance with 49 U.S.C. 1134(d), 
the NTSB has exclusive authority to decide timing, manner and method of 
testing and examination of evidence, and extraction of data.



Sec.831.10  Autopsies and postmortem testing.

    When a person dies as a result of having been involved in a 
transportation accident within the jurisdiction of the NTSB--
    (a) The NTSB is authorized to obtain, with or without reimbursement, 
a copy of a report of autopsy performed by a State or local authority on 
such person.
    (b) The NTSB may order an autopsy or other postmortem tests of any 
person as may be related to its investigation of a transportation 
accident. The IIC may direct that an autopsy or other test be performed 
if necessary for an investigation. Provisions of local law protecting 
religious beliefs with respect to autopsies shall be observed to the 
extent they are consistent with the needs of the investigation.



Sec.831.11  Parties to the investigation.

    (a) Participants. (1) The IIC may designate one or more entities to 
serve as parties in an investigation. Party status is limited to those 
persons, Federal, state, or local government agencies and organizations 
whose employees, functions, activities, or products were involved in the 
accident and that can provide suitable qualified technical personnel to 
actively assist in an investigation. To the extent practicable, a 
representative proposed by party organizations to participate in the 
investigation may not be a person who had direct involvement in the 
accident under investigation.
    (2) Except for the FAA, no entity has a right to participate in an 
NTSB investigation as a party.
    (3) The participation of the Administrator of the FAA and other 
Federal entities in aviation accident investigations is addressed in 
Sec.831.21 of this part.
    (4) Participants in an investigation (e.g., party representatives, 
party coordinators, and/or the larger party organization) must follow 
all directions and instructions from NTSB representatives. Party status 
may be revoked or suspended if a party fails to comply with assigned 
duties and instructions, withholds information, or otherwise acts in a 
manner prejudicial or disruptive to an investigation.
    (b) Prohibitions on serving as party representatives. (1) In 
accordance with Sec.845.6 of this chapter, no party representative may 
occupy a legal position or be a person who also represents claimants or 
insurers.
    (2) Failure to comply with these provisions may result in sanctions, 
including loss of party status.
    (c) Disclosures. (1) The name of a party and its representative may 
be disclosed in documents the NTSB places in the public docket for the 
investigation.
    (2) The NTSB may share information considered proprietary or 
confidential by one party with other parties during the course of an 
investigation, but will

[[Page 698]]

preserve the confidentiality of the information to the greatest extent 
possible.
    (3) Section 831.6(d) of this part describes how the NTSB will handle 
voluntarily submitted safety information, and the NTSB's determination 
whether to share any such information. The NTSB will de-identify the 
source of such information when deciding to share it.
    (d) Party agreement. Except for representatives of other Federal 
agencies, all party representatives must sign the ``Statement of Party 
Representatives to NTSB Investigation'' (Statement) upon acceptance of 
party status. Failure to timely sign the statement may result in 
sanctions, including loss of party status. Representatives of other 
Federal agencies, while not required to sign the Statement, will be 
provided notice of and must comply with the responsibilities and 
limitations set forth in the agreement.
    (e) Internal review by a party. (1) To assure coordination of 
concurrent efforts, a party to an investigation that conducts or 
authorizes a review of its own processes and procedures as a result of 
an accident the NTSB is investigating, by signing the party agreement, 
agrees to, in a timely manner--
    (i) Inform the IIC of the nature of the review; and
    (ii) Provide the IIC with the findings from the review.
    (2) If the findings from a review contain privileged information--,
    (i) The submitting party must inform the IIC that the review 
contains privileged information;
    (ii) The submitting party must identify the privileged content at 
the time of submission to the IIC; and
    (iii) The NTSB must, if informed that such information is being 
submitted, review the information for relevancy to the investigation, 
and determine whether public disclosure of the information is necessary 
for the investigation.
    (3) The NTSB may use the protections described in Sec.831.6 of 
this part, as applicable, to protect certain findings from public 
disclosure.
    (4) Investigations performed by other Federal agencies during an 
NTSB investigation are addressed in Sec.831.5 of this part.



Sec.831.12  Access to and release of wreckage, records, mail, 
and cargo.

    (a) Only persons authorized by the NTSB IIC may be permitted access 
to wreckage, records, mail, or cargo.
    (b) Wreckage, records, mail, and cargo in the NTSB's custody will be 
released when the NTSB determines it has no further need for such items. 
Recipients of released wreckage must sign an acknowledgement of release 
provided by the NTSB.



Sec.831.13  Provision and dissemination of investigative information.

    (a) Applicability. This section applies to:
    (1) Information related to the accident or incident;
    (2) Any information collected or compiled by the NTSB as part of its 
investigation, such as photographs, visual representations of factual 
data, physical evidence from the scene of the accident, interview 
statements, wreckage documentation, flight data and cockpit voice 
recorder information, and surveillance video; and
    (3) Any information regarding the status of an investigation, or 
activities conducted as part of the investigation.
    (b) Provision of information. All information described in paragraph 
(a) of this section and obtained by any person or organization 
participating in the investigation must be promptly provided to the 
NTSB, except where the NTSB authorizes the party to retain the 
information.
    (c) Release of information. Parties are prohibited from releasing 
information obtained during an investigation at any time prior to the 
NTSB's public release of information unless the release is consistent 
with the following criteria:
    (1) Information released at the scene of an accident--
    (i) Is limited to factual information concerning the accident and 
the investigation released in coordination with the IIC; and
    (ii) Will be made by the Board Member present at the scene as the 
official spokesperson for the NTSB. Additionally, the IIC or 
representatives from

[[Page 699]]

the NTSB's Office of Safety Recommendations and Communications may 
release information to media representatives, family members, and 
elected officials as deemed appropriate.
    (2) The release of information described in paragraph (a)(1) of this 
section by the NTSB at the scene of an accident does not authorize any 
party to the investigation to comment publicly on the information during 
the course of the investigation. Any dissemination of factual 
information by a party may be made only as provided in this section.
    (3) A party may disseminate information related to an investigation 
to those individuals within its organization who have a need to know for 
the purpose of addressing a safety issue including preventive or 
remedial actions. If such internal release of information results in a 
planned safety improvement, the party must inform the IIC of such 
planned improvement in a timely manner before it is implemented.
    (4) Any other release of factual information related to the 
investigation must be approved by the IIC prior to release, including:
    (i) Dissemination within a party organization, for a purpose not 
described in paragraph (b)(3) of this section;
    (ii) Documents that provide information concerning the 
investigation, such as written directives or informational updates for 
release to employees or customers of a party;
    (iii) Information related to the investigation released to an 
organization or person that is not a party to the investigation;
    (d) The release of recordings or transcripts from certain recorders 
may be made only in accordance with the statutory limitations of 49 
U.S.C. 1114(c) and (d).



Sec.831.14  Proposed findings.

    (a) General. Any party to the investigation designated under Sec.
831.11 may submit to the NTSB written proposed findings to be drawn from 
the evidence produced during the course of the investigation, a proposed 
probable cause, and/or proposed safety recommendation(s) designed to 
prevent future accidents.
    (b) Timing of submissions. The IIC will inform parties when 
submissions are due. All written submissions must be received by the IIC 
by the due date. If there is a Board meeting, the due date will be set 
prior to the date the matter is published in the Federal Register.



Sec.831.15  Civil penalties.

    The NTSB is required by the Federal Civil Penalties Inflation 
Adjustment Act of 1990, Public Law 101-410, 104 Stat. 890, as amended by 
the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 
2015, Public Law 114-74, sec. 701, 129 Stat. 584 (codified at 28 U.S.C. 
2461 note) to adjust the maximum amount of each civil monetary penalty 
within its jurisdiction by the rate of inflation. Accordingly, for 
violations of 49 U.S.C. 1132, 1134(b), 1134(f)(1), or 1136(g), the NTSB 
may assess a civil penalty pursuant to 49 U.S.C. 1155(a) no greater than 
$1,692 against any person, except a member of the armed forces of the 
United States or an employee of the Department of Defense subject to the 
Uniform Code of Military Justice, when the member or employee is 
performing official duties.

[82 FR 47402, Oct. 12, 2017, as amended at 84 FR 45687, Aug. 30, 2019]



                    Subpart B_Aviation Investigations



Sec.831.20  Authority of NTSB in aviation accident investigations.

    (a) Scope. The NTSB is authorized to investigate--
    (1) Each accident involving a civil aircraft in the United States, 
and any civil aircraft registered in the United States when an accident 
occurs in international waters;
    (2) Each accident involving a public aircraft as defined in 49 
U.S.C. 40102(a)(41), except for aircraft operated by the U.S. Armed 
Forces or by an intelligence agency of the United States;
    (3) With the participation of appropriate military authorities, each 
accident involving a military aircraft and--
    (i) a civil aircraft; or
    (ii) certain public aircraft as described in paragraph (a)(2) of 
this section.
    (b) Authority to examine or test. Pursuant to Sec.831.9 of this 
part, a credentialed

[[Page 700]]

employee of the NTSB is authorized to examine or test any civil or 
certain public aircraft, aircraft engine, propeller, appliance, or 
property aboard such aircraft involved in an accident or incident 
subject to the NTSB's authority.



Sec.831.21  Other Government agencies and NTSB aviation investigations.

    (a) Pursuant to 49 U.S.C. 1132(c) and 106(g)(1)(A), the NTSB will 
provide for the participation of the Administrator of the FAA in the 
investigation of an aircraft accident when participation is necessary to 
carry out the duties and powers of the FAA Administrator.
    (b) Title 49 U.S.C. 1131(a)(2) provides for the appropriate 
participation by other departments, agencies, or instrumentalities of 
the United States Government in the investigation of an aircraft 
accident by the NTSB.
    (c) Rights and duties of other Federal agencies. (1) The FAA and 
other Federal agencies named as parties to an aircraft accident 
investigation will be accorded the same rights and privileges, and are 
subject to the same limitations, as other parties. Participation in an 
investigation includes the duty to timely share with the NTSB any 
information that has been developed by the FAA or other Federal agency 
in the exercise of that agency's investigative authority.
    (2) In exercising its authority, the FAA or other Federal agency may 
obtain information directly from a party to an accident or incident 
under investigation by the NTSB.
    (3) Information obtained by another Federal agency must be timely 
shared with the NTSB.
    (4) Investigative activities by another Federal agency must be 
coordinated to ensure that they do not interfere with the NTSB's 
investigation.
    (5) Under no circumstances may an NTSB aviation accident 
investigation for which the FAA or any other Federal agency has 
conducted fact-finding be considered a joint investigation with shared 
responsibility. Decisions about what information to include in the 
public docket will be made by the NTSB.
    (6) Notwithstanding the rights and duties described in paragraphs 
(c)(1) through (5) of this section, determining the probable cause of an 
accident is exclusively the right and duty of the NTSB.
    (d) An FAA employee designated to act by the NTSB IIC has the same 
authority as an NTSB investigator when conducting activities under this 
part. The investigation remains that of the NTSB.
    (e) Nothing in this section may be construed as inhibiting the FAA 
from proceeding with activities intended to fulfill a statutory 
requirement or objective, including the collection of data for safety 
management or enforcement purposes. Section 831.5 of this part also 
applies to the investigation of aviation accidents.



Sec.831.22  International aviation investigations.

    (a) General. (1) Annex 13 to the Convention on International Civil 
Aviation, Aircraft Accident and Incident Investigation (Annex 13) 
contains standards and recommended practices for the notification, 
investigation, and reporting of certain accidents involving 
international civil aviation.
    (2) Annex 13 provides that the state of occurrence of an accident or 
incident is responsible for the investigation when the state is a 
signatory to the Convention.
    (b) The NTSB--
    (1) Is the U.S. agency that fulfills the obligations of the United 
States under Annex 13, in coordination with and consistent with the 
requirements of the United States Department of State.
    (2) Participates in the investigation as the accredited 
representative to an international investigation when the accident 
involves a civil aircraft--
    (i) of a U.S. operator;
    (ii) of U.S. registry;
    (iii) of U.S. manufacture; or
    (iv) when the U.S. is the state of design or manufacture of the 
aircraft or parts thereof.
    (c) Technical advisers. Once designated the accredited 
representative in an international investigation, the NTSB may elect to 
receive assistance by appointing one or more advisers to serve under the 
NTSB's direction. Such technical advisers--

[[Page 701]]

    (1) Work at the direction and under the supervision of the NTSB 
accredited representative.
    (2) Are subject to the provisions of Sec.831.13 of this part while 
working under the supervision of the NTSB accredited representative.
    (d) If an accident occurs in a foreign state that is not a signatory 
to the Convention, or if an accident or incident involves an aircraft 
that is not a civil aircraft, the NTSB will participate in the 
investigation in accordance with any agreement between the United States 
and the foreign state that addresses such occurrences.
    (e) The NTSB's disclosure of records of a foreign investigation is 
limited by statute (49 U.S.C 1114(f)) and by Sec.831.6 of this part.



                    Subpart C_Highway Investigations



Sec.831.30  Authority of NTSB in highway investigations.

    (a) Scope. The NTSB is responsible for the investigation of selected 
highway accidents (e.g., collisions, crashes and explosions), including 
at railroad grade-crossing accidents. Such investigations will be 
conducted in cooperation with the designated authorities of the state or 
local jurisdiction in which the accident occurred.
    (b) Authority to examine or test. Pursuant to Sec.831.9 of this 
part, a credentialed employee of the NTSB is authorized to examine or 
test any item, including any vehicle, part of a vehicle, equipment, or 
contents of any vehicle or equipment involved in an accident subject to 
the NTSB's authority. Examination or testing will be conducted--
    (1) To the extent practicable, so as to not interfere with or 
obstruct the transportation services provided by the owner or operator 
of a vehicle or equipment; and
    (2) In a manner that preserves evidence relating to the 
transportation accident, in cooperation with the owner or operator of 
the vehicle or equipment, and consistent with the needs of the 
investigation.
    (c) Any Federal, state, or local agency that conducts an 
investigation of the same highway accident the NTSB is investigating 
shall provide the results of its investigation to the NTSB.



  Subpart D_Railroad, Pipeline, and Hazardous Materials Investigations



Sec.831.40  Authority of NTSB in railroad, pipeline, and hazardous
materials investigations.

    (a) Scope. (1) Railroads. Consistent with its statutory authority, 
the NTSB is responsible for the investigation of railroad accidents, 
collisions, crashes, derailments, explosions, incidents, and releases in 
which there is a fatality, substantial property damage, or which involve 
a passenger train, as described in part 840 of this chapter.
    (2) Pipelines. The NTSB is responsible for the investigation of 
pipeline accidents, explosions, incidents, and ruptures in which there 
is a fatality, significant injury to the environment, or substantial 
property damage. This excludes accidents involving pipelines only 
carrying water or sewage.
    (3) Hazardous Materials. The NTSB is responsible for evaluating the 
adequacy of safeguards and procedures for the transportation of 
hazardous materials, and the performance of other entities of the 
Federal government responsible for the safe transportation of hazardous 
materials. Such evaluations may take place as part of the investigation 
of a transportation accident subject to the NTSB's authority and include 
applicable regulations in other subparts of this part.
    (b) Authority to examine or test. Pursuant to Sec.831.9 of this 
part, during an investigation, a credentialed employee of the NTSB is 
authorized to examine or test any rolling stock, track, or pipeline 
component, or any part of any such item (or contents therein) when such 
examination or testing is determined to be required for purposes of such 
investigation. Examination or testing will be conducted--
    (1) To the extent practicable, so as to not interfere with or 
obstruct the transportation services provided by the owner or operator 
of such rolling stock, track, signal, rail shop, property, or pipeline 
component; and
    (2) In a manner that preserves evidence relating to the 
transportation

[[Page 702]]

accident consistent with the needs of the investigation.



                     Subpart E_Marine Investigations

    Authority: 49 U.S.C. 1113(f), 1116, 1131, 1134, unless otherwise 
noted.

    Source: 82 FR 29694, June 29, 2017, unless otherwise noted.



Sec.831.50  Applicability of this subpart.

    (a) The regulations in this subpart apply when the NTSB is leading a 
marine or major marine casualty investigation.
    (b) In a marine or major marine casualty investigation led by the 
United States Coast Guard (USCG), this subpart applies if:
    (1) Upon USCG's request for assistance, the NTSB is leading an 
associated investigative activity; or
    (2) Upon coordination with the USCG, the NTSB elects to collect, 
test or analyze additional evidence beyond the scope of the USCG's 
investigation.



Sec.831.51  Definitions.

    The following definitions apply throughout this subpart.
    IIC means the NTSB investigator-in-charge.
    Investigative activity means an activity performed by or under the 
direction of the NTSB during a casualty investigation led by the USCG.
    Major marine casualty is defined in joint regulations of the NTSB 
and USCG at 49 CFR 850.5(e) and 46 CFR 4.40-5(d), respectively.
    Marine casualty means--
    (1) Any casualty, accident or event described in 46 CFR 4.03-1
    (2) An occurrence that results in an abandonment of a vessel
    (3) Other marine occurrences that the NTSB or USCG, or both, 
determine require investigation.



Sec.831.52  Responsibility of NTSB in marine investigations.

    (a) The NTSB may conduct an investigation of a major marine casualty 
or a marine casualty of a vessel (including, but not limited to, 
allisions, abandonments, and accidents) alone or jointly with the USCG 
pursuant to the joint regulations in part 850 of this chapter.
    (b) Nothing in this part may be construed to conflict with the 
regulations in part 850 of this chapter, which were prescribed jointly 
by the NTSB and USCG under the authority of 49 U.S.C. 1131(a)(1)(E).
    (c) In an investigation led by the USCG, the NTSB may perform 
separate activities in furtherance of its own analysis or at the request 
of the USCG. The NTSB and USCG will coordinate to ensure the agencies do 
not duplicate work or hinder the progress of the investigation.
    (d) Pursuant to 49 U.S.C. 1131(a)(1)(F), the NTSB is responsible for 
the investigation of other accidents that may include marine and boating 
accidents not covered by part 850 of this chapter, and certain accidents 
involving transportation and/or release of hazardous materials.



Sec.831.53  Authority of Director, Office of Marine Safety.

    The Director, Office of Marine Safety, subject to the provisions of 
Sec.831.52 of this part and part 800 of this chapter, may order an 
investigation into any major marine casualty or marine casualty.



Sec.831.54  Nature of investigation.

    (a) General. The NTSB conducts investigations, or has them 
conducted, to determine the facts, conditions, and circumstances 
relating to a major marine casualty or a marine casualty. The NTSB uses 
these results to determine one or more probable causes of a major marine 
casualty or a marine casualty, and to issue safety recommendations to 
prevent or mitigate the effects of a similar major marine casualty or a 
marine casualty. The NTSB is required to report on the facts and 
circumstances of major marine casualties or marine casualties it 
investigates. The NTSB begins an investigation by monitoring casualty 
situations and assessing available facts to determine the appropriate 
investigative response. Following an initial assessment, the NTSB 
notifies persons and organizations it anticipates will be affected as to 
the extent of its expected investigative response.
    (b) NTSB products. An investigation may result in a report or brief 
of the NTSB's conclusions and other products

[[Page 703]]

designed to improve transportation safety. Other products may include 
factual records, safety recommendations, and other safety information.
    (c) NTSB investigations are fact-finding proceedings with no adverse 
parties. The investigative proceedings are not subject to the 
Administrative Procedure Act (5 U.S.C. 551 et seq.), and are not 
conducted for the purpose of determining the rights, liabilities, or 
blame of any person or entity, as they are not adjudicatory proceedings.



Sec.831.55  Relationships with other agencies.

    (a) Relationship with the USCG. (1) The NTSB conducts marine 
casualty and major marine casualty investigations, in accordance with 49 
U.S.C. 1131(a)(1)(E) and (F), and part 850 of this chapter. The NTSB and 
USCG work together to collect evidence related to marine casualties and 
major marine causalities.
    (2) The NTSB and USCG coordinate to avoid duplicative efforts to the 
maximum extent practicable.
    (3) The NTSB independently analyzes the evidence and determines the 
probable cause of marine casualties and major marine causalities.
    (b) Relationships with other Federal agencies. (1) Except as 
provided in 49 U.S.C. 1131(a)(2)(B) and (C) regarding suspected criminal 
actions, an investigation conducted under the authority of the NTSB has 
priority over any investigation conducted by another Federal agency.
    (2) The NTSB will provide for appropriate participation by other 
Federal agencies in any NTSB investigation. Such agencies may not 
participate in the NTSB's probable cause determination.
    (3) The NTSB has first right to access wreckage, information, and 
resources, and to interview witnesses the NTSB deems pertinent to its 
investigation.
    (4) The NTSB and other Federal agencies will exchange information 
obtained or developed in the course of their investigations in a timely 
manner. Nothing in this section prohibits the NTSB from sharing factual 
information with other agencies.
    (c) As indicated in Sec.831.59(c) of this part, the NTSB has 
exclusive authority to determine when and how the testing and 
examination of evidence will occur.
    (d) The NTSB may take possession of records, wreckage, or 
information if it determines such possession is necessary for an 
investigation.
    (e) Investigations by Federal agencies. (1) Nothing in this section 
impairs the authority of any other Federal agency to conduct an 
investigation of a marine casualty or major marine casualty.
    (f) Incident command system. (1) The NTSB recognizes the role of 
incident command systems to address emergencies. The NTSB does not 
assume the role of a first responder agency.
    (2) The NTSB IIC or his designee will participate in the incident 
command system to identify and coordinate investigative needs as it 
relates to the preservation and collection of information and evidence.
    (3) The NTSB IIC or his designee will coordinate with the Coast 
Guard Investigation Officer to identify and coordinate investigative 
needs as it relates to the preservation and collection of information 
and evidence.
    (4) The NTSB may collect information and evidence from an incident 
command in a timely and reasonable manner so as not to interfere with 
its operations.



Sec.831.56  Request to withhold information.

    (a) Applicability. This section applies to information the NTSB 
receives from any source that may be subject to the Trade Secrets Act 
(18 U.S.C. 1905) or the Freedom of Information Act (FOIA, 5 U.S.C. 552).
    (b) Disclosure. The NTSB is authorized by 49 U.S.C. 1114(b) to 
disclose, under certain circumstances, confidential commercial 
information that would otherwise be subject to penalties for disclosure 
under the Trade Secrets Act, or excepted from disclosure under FOIA. The 
NTSB may exercise this authority when disclosure is necessary to support 
a key finding, a safety recommendation, or the NTSB's statement of 
probable cause of a major marine casualty or a marine casualty.

[[Page 704]]

    (c) Disclosure procedures. Information submitted to the NTSB that 
the submitter believes qualifies as a trade secret or as confidential 
commercial information subject either to the Trade Secrets Act or 
Exemption 4 of FOIA must be so identified by the submitter on each page 
that contains such information. In accordance with 48 U.S.C. 1114(b), 
the NTSB will provide the submitter of identified information (or 
information the NTSB has reason to believe qualifies as subject to the 
Trade Secrets Act or Exemption 4 of FOIA) the opportunity to comment on 
any disclosure contemplated by the NTSB. In all instances in which the 
NTSB decides to disclose such information pursuant to 49 U.S.C. 1114(b) 
or 5 U.S.C. 552, the NTSB will provide at least 10 days' notice to the 
submitter.
    (d) Voluntarily provided safety information. (1) The NTSB will not 
disclose safety-related information voluntarily submitted to the NTSB if 
the information is not related to the exercise of the NTSB's 
investigation authority, and if the NTSB finds disclosure of the 
information might inhibit the voluntary provision of that type of 
information.
    (2) The NTSB will review voluntarily provided safety information for 
confidential content, and will de-identify or anonymize any confidential 
content referenced in its products.
    (e) Other. Any person may make written objection to the public 
disclosure of any other information, such as interview summaries or 
transcripts, contained in any report or document filed, or otherwise 
obtained by the Board, stating the grounds for such objection. 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.



Sec.831.57  Representation during an interview.

    (a) Any person interviewed in any manner by the NTSB has the right 
to be accompanied during the interview by no more than one 
representative of the witness's choosing. The representative--
    (1) May be an attorney;
    (2) May provide support and counsel to the witness;
    (3) May not supplement the witness's testimony; and
    (4) May not advocate for the interests of a witness's other 
affiliations.
    (b) An investigator conducting the interview may take any necessary 
action (including removal of the representative from the interview) to 
ensure a witness's representative acts in accordance with the provisions 
of paragraph (a) of this section during the interview, and to prevent 
conduct that may be disruptive to the interview.



Sec.831.58  Investigator-in-charge.

    (a) In addition to the subpoena and deposition authority delegated 
to investigative officers under this chapter, a person designated as IIC 
for an investigation is authorized to--
    (1) Organize, conduct, control, and manage the field phase of an 
investigation, even when a Board Member is present.
    (2) Coordinate all resources and provide direction to all persons 
(including persons not employed by the NTSB) involved in an on-site 
investigation.
    (3) Work with other Federal agencies in the investigation of a 
marine casualty or major marine casualty when other agencies are 
participating, to ensure all agencies will obtain the information, 
evidence, and resources needed for the investigation(s) or investigative 
activities.
    (4) Work with the USCG to ensure the agencies do not duplicate work 
to the maximum extent practicable.
    (5) Continue his or her organizational and management 
responsibilities through all phases of the investigation, including 
consideration and adoption of a report or brief determining one or more 
probable causes of a marine casualty or major marine casualty.



Sec.831.59  Authority during investigations.

    (a) General authority of investigators. To carry out the statutory 
responsibilities of the agency, an NTSB investigator may--

[[Page 705]]

    (1) Conduct hearings;
    (2) Administer oaths;
    (3) Require, by subpoena or other means, the production of evidence 
and witnesses;
    (4) Enter any property where a major marine casualty or marine 
casualty subject to the NTSB's jurisdiction has occurred, or wreckage 
from any such major marine casualty or marine casualty is located, and 
take all actions necessary to conduct a complete investigation;
    (5) Inspect, photograph, or copy any records or information 
(including medical records pursuant to paragraph (b)(2) of this 
section), and correspondence regardless of the date of its creation or 
modification, for the purpose of investigating an accident;
    (6) Question any person having knowledge relevant to a marine 
casualty or major marine casualty.
    (b) Subpoenas. The NTSB may issue a subpoena, enforceable in Federal 
District Court, to obtain testimony or evidence related to its 
investigation of a marine casualty or major marine casualty, including 
but not limited to personal electronic devices.
    (1) The NTSB's authority to issue subpoenas includes access to 
medical records and specimens.
    (2) For purposes of the Health Insurance Portability and 
Accountability Act of 1996 (HIPAA), Public Law 104-191, and the 
regulations promulgated by the Department of Health and Human Services, 
45 CFR 164.501 et seq., the NTSB is a ``public health authority'' to 
which protected health information may be disclosed by a HIPAA ``covered 
entity'' without the prior written authorization of the subject of the 
records. In addition, the NTSB may issue a subpoena to gain access to 
such information.
    (c) Examination of evidence. In accordance with 49 U.S.C. 1134(d), 
the NTSB has exclusive authority to decide when, and in what manner, 
testing, extraction of data, and examination of evidence will occur.



Sec.831.60  Autopsies and postmortem testing.

    When a person dies as a result of having been involved in a marine 
casualty or major marine casualty within the jurisdiction of the NTSB--
    (a) The NTSB is authorized to obtain, with or without reimbursement, 
a copy of a report of autopsy performed by a State or local authority on 
such person.
    (b) The NTSB may order an autopsy or other postmortem tests of any 
person as may be related to its investigation of a marine casualty or 
major marine casualty. The IIC may direct that an autopsy or other test 
be performed if necessary for an investigation. Provisions of local law 
protecting religious beliefs with respect to autopsies shall be observed 
to the extent they are consistent with the needs of the investigation.



Sec.831.61  Parties to the investigation.

    (a) Participants. (1) The IIC may designate one or more entities to 
serve as parties in an investigation. The NTSB will provide to the USCG 
the opportunity to participate in all NTSB investigations and 
investigative activities the NTSB conducts under this subpart. For all 
other organizations, party status is limited to those persons, 
government agencies (Federal, state, or local), companies, and 
organizations whose employees, functions, activities, or products were 
involved in the marine casualty or major marine casualty and that can 
provide suitable qualified technical personnel actively to assist in an 
investigation. To the extent practicable, a representative proposed by 
party organizations to participate in the investigation may not be a 
person who had direct involvement in the major marine casualty or marine 
casualty under investigation.
    (2) Except the USCG, no entity has a right to participate in an NTSB 
marine investigation as a party.
    (3) Participants in an investigation (e.g., party representatives, 
party coordinators, and the larger party organization) must respond to 
direction from NTSB representatives.
    (4) No party representative may--
    (i) Occupy a legal position; or
    (ii) Be a person who also represents claimants or insurers.
    (5) Party status may be revoked or suspended if a party fails to 
comply with either paragraph (a)(3) or (a)(4) of

[[Page 706]]

this section. Sanctions may also be imposed if a party withholds 
information or acts in a manner prejudicial or disruptive to an 
investigation.
    (b) Disclosures. (1) The name of a party or its representative may 
be disclosed in documents the NTSB places in the public docket for the 
investigation.
    (2) The NTSB may share information considered proprietary or 
confidential by one party with other parties during the course of an 
investigation, but will preserve the confidentiality of the information 
to the greatest extent possible.
    (3) Section 831.6(c) of this part describes how the NTSB will handle 
voluntarily submitted safety information, and the NTSB's determination 
whether to share any such information. The NTSB will de-identify the 
source of such information when deciding to share it.
    (c) Party agreement. All party representatives must sign the 
``Statement of Party Representatives to NTSB Investigation'' (Statement) 
upon acceptance of party status. Failure to timely sign the Statement 
may result in sanctions, including loss of party status. Representatives 
of Federal agencies are not required to sign the Statement, but must 
comply with the responsibilities and limitations set forth in the 
agreement.
    (d) Internal review by a party. (1) To assure coordination of 
concurrent efforts, a party to an investigation that conducts or 
authorizes a review of its own processes and procedures as a result of a 
major marine casualty or a marine casualty the NTSB is investigating 
must inform the IIC in a timely manner of the nature of its review. A 
party performing such review must provide the IIC with the findings from 
this review.
    (2) If the findings from a review contain privileged information--
    (i) The submitting party must inform the IIC that the review 
contains privileged information;
    (ii) The submitting party must identify the privileged content at 
the time of submission to the IIC;
    (iii) The NTSB must, when informed that such information is being 
submitted, review the information for relevancy to the investigation, 
and determine whether the information is needed for the investigation or 
may be excluded from the party's response.
    (3) The NTSB may use the protections described in Sec.831.56 of 
this part, as applicable, to protect certain findings from public 
disclosure.
    (4) Investigations performed by other Federal agencies during an 
NTSB investigation are addressed in Sec.831.55 of this part.



Sec.831.62  Access to and release of wreckage, records, mail, 
and cargo.

    (a) Only persons authorized by the NTSB to participate in any 
particular investigation, examination or testing may be permitted access 
to wreckage, records, mail, or cargo.
    (b) Wreckage, records, mail, and cargo in the NTSB's custody will be 
released when the NTSB determines it has no further need for such items. 
Prior to release, the NTSB will inform the USCG of the upcoming release 
of wreckage or evidence. Recipients of released wreckage must sign an 
acknowledgement of release provided by the NTSB.



Sec.831.63  Provision and dissemination of investigative information.

    (a) Applicability. This section applies to:
    (1) Any information related to a marine casualty or major marine 
casualty;
    (2) Any information collected or compiled by the NTSB as part of its 
investigation, such as photographs, visual representations of factual 
data, physical evidence from the scene of the major marine casualty or 
the marine casualty, interview statements, wreckage documentation, 
voyage data recorder information, and surveillance video;
    (3) Any information regarding the status of an investigation, or 
activities conducted as part of the investigation.
    (b) Provision of information. All information described in paragraph 
(a) of this section and obtained by any person or organization 
participating in the investigation must be provided to the NTSB, except 
for information the NTSB authorizes the party to retain.

[[Page 707]]

    (c) Release of information. Parties are prohibited from releasing 
information obtained during an investigation at any time prior to the 
NTSB's public release of information unless the release is consistent 
with the following criteria:
    (1) Information released at the scene of a marine casualty or major 
marine casualty:
    (i) Is limited to factual developments concerning the accident and 
the investigation released in coordination with the IIC; and
    (ii) Will be made by the Board Member present at the scene as the 
official spokesperson for the NTSB. If no Board Member is present, 
information will be released by a representative of the NTSB's Office of 
Media Relations or the IIC. To the maximum extent practicable, the NTSB 
will inform the USCG of its planned releases of information before the 
release occurs.
    (2) The release of information described in paragraph (a)(1) of this 
section by the NTSB at the scene of a marine casualty or major marine 
casualty does not authorize any party to the investigation to comment 
publicly on the information during the course of the investigation. Any 
dissemination of factual information by a party may be made only as 
provided in this section.
    (3) A party may disseminate information related to an investigation 
to those individuals within its organization who have a need to know for 
the purpose of addressing a safety issue, including preventive or 
remedial actions. If such internal release of information results in a 
planned safety improvement, the party must inform the IIC of such 
planned improvement in a timely manner before it is implemented.
    (4) Any other release of factual information related to the 
investigation must be approved by the IIC prior to release, including:
    (i) Dissemination within a party organization, for a purpose not 
described in paragraph (b)(3) of this section;
    (ii) Documents that provide information concerning the 
investigation, such as written directives or informational updates for 
release to employees or customers of a party; and
    (iii) Information related to the investigation released to an 
organization or person that is not a party to the investigation.
    (d) The release of recordings or transcripts from certain recorders 
may be made only in accordance with the statutory limitations of 49 
U.S.C. 1114(c), 1114(d), and 1154(a).



Sec.831.64  Proposed findings.

    (a) General. Any party to an investigation designated under Sec.
831.61 may submit to the NTSB written proposed findings to be drawn from 
the evidence produced during the course of the investigation, a proposed 
probable cause, and/or proposed safety recommendation(s) designed to 
prevent future major marine casualties and marine casualties.
    (b) Timing of submissions. The IIC will inform parties when 
submissions are due. All written submissions must be received by the due 
date. If there is a Board meeting, the due date will be set prior to the 
date the matter is published in the Federal Register.



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 in civil litigation.
835.6 Request for testimony in civil litigation.
835.7 Testimony of former Board employees.
835.8 Testimony by current Board employees regarding prior activity.
835.9 Procedure in the event of a subpoena in civil litigation.
835.10 Testimony in Federal, State, or local criminal investigations and 
          other proceedings.
835.11 Obtaining Board accident reports, factual accident reports, and 
          supporting information.

    Authority: 5 U.S.C. 301; Independent Safety Board Act of 1974, as 
amended (49 U.S.C. 1101 et seq.).



Sec.835.1  Purpose.

    This part prescribes 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

[[Page 708]]

accidents when such testimony is in an official capacity and arises out 
of or is related to accident investigation. 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.

[63 FR 71607, Dec. 29, 1998]



Sec.835.2  Definitions.

    Accident, for purposes of this part includes ``incident.''
    Board 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 (FA Act), and section 304(c) of the Independent Safety Board Act of 
1974 (49 U.S.C. 1154(b)) (Safety Act), no part of a Board accident 
report may be admitted as evidence or used in any suit or action for 
damages growing out of any matter mentioned in such reports.
    Factual accident report means the report containing the results of 
the investigator's investigation of the accident. The Board does not 
object to, and there is no statutory bar to, admission in litigation of 
factual accident reports. In the case of a major investigation, group 
chairman factual reports are factual accident reports.

[63 FR 71607, Dec. 29, 1998, as amended at 64 FR 5622, Feb. 4, 1999]



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.
    (c) Board employees may testify about the firsthand information they 
obtained during an investigation that is not reasonably available 
elsewhere, including observations recorded in their own factual accident 
reports. Consistent with the principles cited in Sec.835.1 and this 
section, current Board employees are not authorized to testify regarding 
other employee's reports, or other types of Board documents, including 
but not limited to safety recommendations, safety studies, safety 
proposals, safety accomplishments, reports labeled studies, and analysis 
reports, as they contain staff analysis and/or Board conclusions.
    (d) Briefs of accidents may be released in conjunction with factual 
accident reports. Nevertheless, they are not part of those reports and 
are not to be admitted in evidence or used in a deposition approved 
under this part.
    (e) Not all material in a factual accident report may be the subject 
of testimony. The purpose of the factual accident report, in great part, 
is to inform the public at large, and as a result the factual accident 
report may contain information and conclusions for which testimony is 
prohibited by this part.
    (f) No employee may testify in any matter absent advance approval by 
the

[[Page 709]]

General Counsel as provided in this part.

[55 FR 41541, Oct. 12, 1990, as amended at 63 FR 71607, Dec. 29, 1998; 
64 FR 5622, Feb. 4, 1999]



Sec.835.4  Use of reports.

    (a) As a testimonial aid and to refresh their memories, Board 
employees may use copies of the factual accident report they prepared, 
and may refer to and cite from that report during testimony.
    (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.

[55 FR 41541, Oct. 12, 1990, as amended at 63 FR 71607, Dec. 29, 1998]



Sec.835.5  Manner in which testimony is given in civil litigation.

    (a) Testimony of Board employees with unique, firsthand information 
may be made available for use in civil actions or civil 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 civil 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, the 
original of the transcript will be provided the deponent for signature 
and correction, which the Board does not waive. A copy of the transcript 
of the testimony and any videotape shall be furnished, at the expense of 
the party requesting the deposition, to the Board's General Counsel at 
Washington, DC headquarters for the Board's files.

[55 FR 41541, Oct. 12, 1990, as amended at 63 FR 71607, Dec. 29, 1998]



Sec.835.6  Request for testimony in civil litigation.

    (a) A written request for testimony by deposition or interrogatories 
of a Board employee relating to an accident shall be addressed to the 
General Counsel, who may approve or deny the request consistent with 
this part. Such request shall set forth the title of the civil 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) Where testimony is sought in connection with civil litigation, 
the General Counsel shall not approve it until the factual accident 
report is issued (i.e., in the public docket). In the case of major 
accident investigations where there are multiple factual reports issued 
and testimony of group chairmen is sought, the General Counsel may 
approve depositions regarding completed group factual reports at any 
time after incorporation of the report in the public docket. However, no 
deposition will be approved prior to the Board's public hearing, where 
one is scheduled or contemplated. The General Counsel may approve a 
deposition in the absence of a factual accident report when such a 
report will not be issued but all staff fact-finding is complete.
    (c) The General Counsel shall attach to the approval of any 
deposition such reasonable conditions as may be deemed appropriate in 
order that the testimony will be consistent with Sec.835.1, will be 
limited to the matters delineated in Sec.835.3, will not interfere 
with the performance of the duties of the employee as set forth in Sec.
835.5, and will otherwise conform to the policies of this part.
    (d) A subpoena shall not be served upon a Board employee in 
connection

[[Page 710]]

with the taking of a deposition in civil litigation.

[63 FR 71607, Dec. 29, 1998]



Sec.835.7  Testimony of former Board employees.

    It is not necessary to request Board approval for testimony of a 
former Board employee, nor is testimony limited to depositions. However, 
the scope of permissible testimony continues to be constrained by all 
the limitations set forth in Sec.835.3 and Sec.835.4.

[63 FR 71608, Dec. 29, 1998]



Sec.835.8  Testimony by current Board employees regarding prior
activity.

    Any testimony regarding any accident within the Board's 
jurisdiction, or any expert testimony arising from employment prior to 
Board service is prohibited absent approval by the General Counsel. 
Approval shall only be given if testimony will not violate Sec.835.1 
and Sec.835.3, and is subject to whatever conditions the General 
Counsel finds necessary to promote the purposes of this part as set 
forth in Sec.835.1 and Sec.835.3.

[63 FR 71608, Dec. 29, 1998]



Sec.835.9  Procedure in the event of a subpoena in civil litigation.

    (a) If the Board employee has received a subpoena to appear and 
testify in connection with civil litigation, 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 all information requested by the 
General Counsel.
    (c) The General Counsel shall determine the course of action to be 
taken and will so advise the employee.

[63 FR 71608, Dec. 29, 1998]



Sec.835.10  Testimony in Federal, State, or local criminal 
investigations and other proceedings.

    (a) As with civil litigation, the Board prefers that testimony be 
taken by deposition if court rules permit, and that testimony await the 
issuance of the factual accident report. The Board recognizes, however, 
that in the case of coroner's inquests and grand jury proceedings this 
may not be possible. The Board encourages those seeking testimony of 
Board employees to contact the General Counsel as soon as such testimony 
is being considered. Whenever the intent to seek such testimony is 
communicated to the employee, he shall immediately notify the General 
Counsel.
    (b) In any case, Board employees are prohibited from testifying in 
any civil, criminal, or other matter, either in person or by deposition 
or interrogatories, absent advance approval of the General Counsel. The 
Board discourages the serving of a subpoena for testimony but, if 
issued, it should be served on the General Counsel, rather than the 
employee.
    (c) If permission to testify by deposition or in person is granted, 
testimony shall be limited as set forth in Sec.835.3. Only factual 
testimony is authorized; no expert or opinion testimony shall be given.

[63 FR 71608, Dec. 29, 1998]



Sec.835.11  Obtaining Board accident reports, factual accident
reports, and supporting information.

    It is the responsibility of the individual requesting testimony to 
obtain desired documents. There are a number of ways to obtain Board 
accident reports, factual accident reports, and accompanying accident 
docket files. Our rules at parts 801 and 837 of this chapter explain our 
procedures, as will our web site, at www.ntsb.gov. Or, you may call our 
Public Inquiries Branch, at (800) 877-6799. Documents will not be 
supplied by witnesses at depositions, nor will copying services be 
provided by deponents.

[63 FR 71608, Dec. 29, 1998]



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.

[[Page 711]]


    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. 
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

[[Page 712]]

the proceeding, and containing a certification, with support, that the 
information is not available from other sources, including Board 
materials described in Sec. Sec.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:
    (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

[[Page 713]]

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 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: INVESTIGATIVE HEARINGS;
MEETINGS, REPORTS, AND PETITIONS FOR RECONSIDERATION--
Table of Contents



Sec.
845.1 Applicability.

                    Subpart A_Investigative Hearings

845.2 Investigative hearings.
845.3 Sessions open to the public.
845.4 Determination to hold hearing.
845.5 Board of inquiry.
845.6 Designation of parties.
845.7 Hearing officer.
845.8 Technical panel.

[[Page 714]]

845.9 Prehearing conference.
845.10 Right of representation.
845.11 Examination of witnesses.
845.12 Evidence.
845.13 Proposed findings.
845.14 Transcript.
845.15 Payment of witnesses.

                           Subpart B_Meetings

845.20 Meetings.
845.21 Symposiums, forums, and conferences.

                   Subpart C_Miscellaneous Provisions

845.30 Board products.
845.31 Public docket.
845.32 Petitions for reconsideration or modification of report.
845.33 Investigation to remain open.

    Authority: Sec. 515, Pub. L. 106-554, App. C, 114 Stat. 2763, 2763A-
153 (44 U.S.C. 3516 note); 49 U.S.C. 1112, 1113(f), 1116, 1131, unless 
otherwise noted.

    Source: 80 FR 80287, Dec. 24, 2015, unless otherwise noted.



Sec.845.1  Applicability.

    Unless otherwise specifically ordered by the National Transportation 
Safety Board (NTSB), the provisions of this part shall govern all NTSB 
proceedings conducted under the authority of 49 U.S.C. 1113 and 1131, 
and reports issued by the Board.



                    Subpart A_Investigative Hearings



Sec.845.2  Investigative hearings.

    Investigative hearings are convened to assist the NTSB in further 
developing the facts, conditions, and circumstances of the 
transportation accident or incident, which will ultimately assist the 
Board in determining the cause or probable cause of the accident or 
incident, and in ascertaining measures that will tend to prevent such 
accidents or incidents and promote transportation safety. Investigative 
hearings are fact-finding proceedings with no adverse parties. They are 
not subject to the provisions of the Administrative Procedure Act (5 
U.S.C. 554) and are not conducted for the purpose of determining the 
rights, liabilities, or blame of any person or entity.



Sec.845.3  Sessions open to the public.

    (a) All investigative hearings shall normally be open to the public. 
However, no person shall be allowed at any time to interfere with the 
proper and orderly functioning of the hearing.
    (b) Sessions shall not be open to the public when evidence of a 
classified nature or which affects national security is to be received.



Sec.845.4  Determination to hold hearing.

    (a) The Board may order an investigative hearing as part of an 
investigation whenever a hearing is deemed necessary in the public 
interest.
    (b) If a quorum of the Board is not immediately available in the 
event of a catastrophic accident, the determination to hold an 
investigative hearing may be made by the Chairman of the Board.



Sec.845.5  Board of inquiry.

    (a) Composition of board of inquiry. The board of inquiry shall 
consist of a chairman of the board of inquiry, as specified in paragraph 
(c) of this section, and other members in accordance with Board policy.
    (b) Duties of board of inquiry. The board of inquiry shall examine 
witnesses and secure, in the form of a public record, facts pertaining 
to the accident or incident under investigation and surrounding 
circumstances and conditions from which the Board may determine probable 
cause and may formulate recommendations and/or other documents for 
corrective or preventative action.
    (c) Chairman of board of inquiry. The chairman of the board of 
inquiry, or his or her designee, shall have the following powers:
    (1) To designate parties to the investigative hearing and revoke 
such designations;
    (2) To open, continue, or adjourn the investigative hearing;
    (3) To determine the admissibility of and to receive evidence and to 
regulate the course of the investigative hearing;
    (4) To dispose of procedural requests or similar matters; and
    (5) To take any other appropriate action to ensure the orderly 
conduct of the investigative hearing.

[[Page 715]]



Sec.845.6  Designation of parties.

    (a) The chairman of the board of inquiry shall designate as parties 
to the investigative hearing those persons and organizations 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 to the investigative hearing shall be 
represented by suitable representatives who do not occupy legal 
positions.
    (b) No party to the investigation and/or investigative hearing 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 to the investigative hearing.



Sec.845.7  Hearing officer.

    The investigative hearing officer, upon designation by the NTSB 
Chairman or a Board Member designated by the Chairman, shall have the 
following powers:
    (a) To give notice concerning the time and place of investigative 
hearing;
    (b) To administer oaths and affirmations to witnesses; and
    (c) To issue subpoenas requiring the attendance and testimony of 
witnesses and production of documents. The investigative hearing officer 
may, in consultation with the chairman of the board of inquiry and the 
NTSB Managing Director, add witnesses until the time of the prehearing 
conference.



Sec.845.8  Technical panel.

    The appropriate office director(s) and/or the hearing officer, in 
consultation with the NTSB Managing Director, shall determine if a 
technical panel is needed and, if so, shall designate members of the 
NTSB technical staff to participate in the investigative hearing. 
Members of the technical panel may conduct pre-screening of witnesses 
through interviews, and may take other actions to prepare for the 
hearing. At the hearing, the technical panel will initially examine the 
witnesses through questioning. The technical panel shall examine 
witnesses and secure, in the form of a public record, facts pertaining 
to the accident or incident under investigation and surrounding 
circumstances and conditions.



Sec.845.9  Prehearing conference.

    (a) Except as provided in paragraph (d) of this section, the 
chairman of the board of inquiry, or his/her designee, shall hold a 
prehearing conference with the parties to the investigative hearing at a 
convenient time and place prior to the hearing. At the prehearing 
conference, the parties shall be advised of the witnesses to be called 
at the investigative hearing, the topics about which they will be 
examined, and the exhibits that will be offered in evidence.
    (b) At the prehearing conference, parties to the investigative 
hearing shall submit copies of any additional documentary exhibits they 
desire to offer for admission at the hearing.
    (c) A party to the investigative hearing who, at the time of the 
prehearing conference, fails to advise the chairman of the board of 
inquiry of additional exhibits he or she intends to submit, or 
additional witnesses he or she desires to examine, shall be prohibited 
from introducing such evidence unless the chairman of the board of 
inquiry determines for good cause shown that such evidence should be 
admitted.
    (d) The board of inquiry may hold an investigative hearing on an 
expedited schedule. The chairman of the board of inquiry may hold a 
prehearing conference for an expedited investigative hearing. When an 
expedited investigative hearing is held, the chairman of the board of 
inquiry may waive the requirements in paragraphs (b) and (c) of this 
section concerning the identification of witnesses, exhibits or other 
evidence.



Sec.845.10  Right of representation.

    Any person who appears to testify at an investigative hearing has 
the right to be accompanied, represented, or advised by counsel or by 
any other representative.



Sec.845.11  Examination of witnesses.

    (a) Examination. In general, the technical panel shall initially 
examine witnesses. Following such examination, parties to the 
investigative hearing

[[Page 716]]

shall be given the opportunity to examine such witnesses. The board of 
inquiry shall then conclude the examination following the parties' 
questions.
    (b) Objections. (1) 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 investigative 
hearing or any other person.
    (2) Such matters shall be controlled by rulings of the chairman of 
the board of inquiry on his or her own motion. If the examination of a 
witness by a party to the investigative hearing is interrupted by a 
ruling of the chairman of the board of inquiry, the party shall have the 
opportunity to show materiality, relevancy, or competency of the 
testimony or evidence sought to be elicited from the witness.



Sec.845.12  Evidence.

    In accordance with Sec.845.2, the chairman of the board of inquiry 
shall receive all testimony and evidence that may be of aid in 
determining the probable cause of the transportation accident or 
incident. He or she may exclude any testimony or exhibits that are not 
pertinent to the investigation or are merely cumulative.



Sec.845.13  Proposed findings.

    Following the investigative hearing, any party to the hearing 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 or incidents. The proposals shall be submitted 
within the time specified by the investigative hearing officer at the 
close of the hearing, and shall be made a part of the public docket. 
Parties to the investigative hearing shall serve copies of their 
proposals on all other parties to the hearing.



Sec.845.14  Transcript.

    A verbatim report of the investigative hearing shall be taken. Any 
interested person may obtain copies of the transcript from the NTSB or 
from the court reporting firm preparing the transcript upon payment of 
the fees fixed therefor. (See part 801, subpart G, Fee schedule.)



Sec.845.15  Payment of witnesses.

    Any witness subpoenaed to attend the investigative hearing under 
this part shall be paid such fees for travel and attendance for which 
the hearing officer shall certify.



                           Subpart B_Meetings



Sec.845.20  Meetings.

    The Board may hold a meeting concerning an investigation or Board 
product, as described in Sec.804.3 of this chapter or any other 
circumstance, when the Board determines holding a meeting is in the 
public interest.



Sec.845.21  Symposiums, forums, and conferences.

    (a)(1) Definitions. (i) A symposium is a public proceeding focused 
on a specific topic, where invited participants provide presentations of 
their research, views or expertise on the topic and are available for 
questions.
    (ii) A forum is a public proceeding generally organized in a 
question-and-answer format with various invited participants who may 
make presentation and are available for questioning by the Board or 
designated NTSB staff as individuals in a panel format.
    (iii) A conference is a large, organized proceeding where 
individuals present materials, and a moderator or chairperson 
facilitates group discussions.
    (2) These proceedings are related to transportation safety matters 
and will be convened for the purpose of focusing attention, raising 
awareness, encouraging dialogue, educating the NTSB, or generally 
advancing or developing safety recommendations. The goals of the 
proceeding will be clearly articulated and outlined, and will be 
consistent with the mission of the NTSB.
    (b) A quorum of Board Members is not required to attend a forum, 
symposium, or conference. All three types of proceedings described in 
paragraph (a) of this section may have a relationship to previous or 
ongoing investigative activities; however, their purpose is not to 
obtain evidence for a specific investigation.

[[Page 717]]

    (c) Symposiums, forums, and conferences are voluntary for all 
invited participants.



                   Subpart C_Miscellaneous Provisions



Sec.845.30  Board products.

    (a) Reports of investigations. (1) The Board will adopt a report on 
the investigation. The report will set forth the relevant facts, 
conditions, and circumstances relating to the accident or incident and 
the probable cause thereof, along with any appropriate safety 
recommendations and/or safety alerts formulated on the basis of the 
investigation. The scope and format of the report will be determined in 
accordance with Board procedures.
    (2) The probable cause and facts, conditions, and circumstances of 
other accidents or incidents will be reported in a manner and form 
prescribed by the Board. The NTSB allows the appropriate office 
director, under his or her delegated authority as described in Sec.
800.25 of this chapter, to issue a ``brief,'' which includes the 
probable cause and relevant facts, conditions, and circumstances 
concerning the accident or incident. Such briefs do not include 
recommendations. In particular circumstances, the Board in its 
discretion may choose to approve a brief.
    (b) Studies and reports--(1) NTSB studies and reports. The NTSB may 
issue reports describing investigations of more than one accident or 
incident that share commonalities. Such reports are similar to accident 
or incident investigation reports, as described in paragraph (a)(1) of 
this section. Such reports often include safety recommendations and/or 
safety alerts, which the Board adopts.
    (2) Safety studies and reports. The NTSB issues safety studies and 
reports, which usually examine safety concerns that require the 
investigation of a number of related accidents or incidents to determine 
the extent and severity of the safety issues. Such studies and reports 
often include safety recommendations and/or safety alerts, which the 
Board adopts.
    (c) Safety recommendations. The Board may adopt and issue safety 
recommendations, either as part of a Board report or as a stand-alone 
Board product.



Sec.845.31  Public docket.

    (a) Investigations. (1) As described in Sec.801.3 of this chapter, 
the public docket shall include factual information concerning the 
accident or incident. Proposed findings submitted pursuant to Sec.
831.14 or Sec.845.13 and petitions for reconsideration and 
modification submitted pursuant to Sec.845.32, comments thereon by 
other parties, and the Board's rulings on proposed findings and 
petitions shall also be placed in the public docket.
    (2) The NTSB shall establish the public docket following the 
accident or incident, and material shall be added thereto as it becomes 
available. Where an investigative hearing is held, the exhibits will be 
introduced into the record at the hearing and will be included in the 
public docket.
    (b) Other Board reports and documents. The NTSB may elect to open 
and place materials in a public docket concerning a safety study or 
report, special investigation report, or other agency product. The NTSB 
will establish the public docket following its issuance of the study or 
report.
    (c) Availability. The public docket shall be made available to any 
person for review, as described in Sec.801.30 of this chapter. Records 
within the public docket are available at www.ntsb.gov.



Sec.845.32  Petitions for reconsideration or modification of report.

    (a) Requirements. (1) The Board will only consider petitions for 
reconsideration or modification of findings and determination of 
probable cause from a party or other person having a direct interest in 
an investigation.
    (2) Petitions must be in writing and addressed to the NTSB Chairman. 
Please send your petition via email to [email protected]. In the 
alternative, you may send your petition via postal mail to: NTSB 
Headquarters at 490 L'Enfant Plaza SW., Washington, DC 20594.
    (3) Petitions must be based on the discovery of new evidence or on a 
showing that the Board's findings are erroneous. (i) Petitions based on 
the discovery of new matter shall: Identify

[[Page 718]]

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.
    (ii) Petitions based on a claim of erroneous findings shall set 
forth in detail the grounds upon which the claim is based.
    (b) Acceptance of petitions. The Board will not consider petitions 
that are repetitious of proposed findings submitted pursuant to Sec.
845.13, or of positions previously advanced.
    (c) Proof of service. (1) 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 investigative hearing and proof of service shall be 
attached to the petition.
    (2) Any party served with a copy of the petition may file comments 
no later than 90 days after service of the petition.
    (d) Oral presentation. Oral presentation normally will not form a 
part of proceedings under this section. However, oral presentation may 
be permitted where a party or interested person specifically shows the 
written petition for reconsideration or modification is an insufficient 
means by which to present the party's or person's position.



Sec.845.33  Investigation to remain open.

    The Board never officially closes an investigation, but provides for 
the submission of new and pertinent evidence by any interested person. 
If the Board finds such evidence is relevant and probative, the evidence 
shall be made a part of the public docket and, where appropriate, the 
Board will provide parties 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;

[[Page 719]]

    (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.
    (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.

[[Page 720]]

    (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 Sec. Sec.850.20 and 850.30 are 
available to the public under 49 CFR part 801.

                        PARTS 851	999 [RESERVED]

[[Page 721]]



                              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.


  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 723]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2019)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Department of Housing and Urban Development (Parts 
                2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 724]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

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

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 725]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  U.S. International Development Finance Corporation 
                (Parts 4300--4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 726]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)
        CI  National Mediation Board (Part 10101)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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 Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       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  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 800--899)

[[Page 727]]

        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)
       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)
        XX  Local Television Loan Guarantee Board (Parts 2200--
                2299)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, 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  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of 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)

[[Page 728]]

                    Title 8--Aliens and Nationality

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

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Department of 
                Agriculture (Parts 300--599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

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

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  (Parts 600--699) [Reserved]
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)
      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)

[[Page 729]]

       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  National Technical Information Service, Department of 
                Commerce (Parts 1100--1199)

[[Page 730]]

      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            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) [Reserved]

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

                     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)

[[Page 731]]

        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

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

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 732]]

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

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

[[Page 733]]

                           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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900--999)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           Title 27--Alcohol, Tobacco Products and Firearms

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

                   Title 28--Judicial Administration

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

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)

[[Page 734]]

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

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)

[[Page 735]]

      VIII  Office of Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Homeland Security (Parts 
                1--199)
        II  Corps of Engineers, Department of the Army, Department 
                of Defense (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)

[[Page 736]]

        IV  Office of Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  (Parts 1100--1199) [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

[[Page 737]]

                       Title 39--Postal Service

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

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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 Service, Department of 
                Labor (Parts 61-1--61-999)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       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)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)

[[Page 738]]

       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             Title 44--Emergency Management and Assistance

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

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                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)

[[Page 739]]

        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        IX  Denali Commission (Parts 900--999)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Administration for Children and Families, 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 of Fine Arts (Parts 2100--2199)
     XXIII  Arctic Research Commission (Parts 2300--2399)
      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 Homeland Security (Parts 
                1--199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Homeland Security (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)

[[Page 740]]

         2  Defense Acquisition Regulations System, 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  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        30  Department of Homeland Security, Homeland Security 
                Acquisition Regulation (HSAR) (Parts 3000--3099)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]
        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

[[Page 741]]

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Pipeline and Hazardous Materials Safety 
                Administration, Department of Transportation 
                (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Motor Carrier Safety Administration, 
                Department of Transportation (Parts 300--399)
        IV  Coast Guard, Department of Homeland Security (Parts 
                400--499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       XII  Transportation Security Administration, Department of 
                Homeland Security (Parts 1500--1699)

                   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)

[[Page 743]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2019)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  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 of                          32, VII
  Federal Acquisition Regulation Supplement       48, 53
Air Transportation Stabilization Board            14, VI
Alcohol and Tobacco Tax and Trade Bureau          27, I
Alcohol, Tobacco, Firearms, and Explosives,       27, II
     Bureau of
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX

[[Page 744]]

Architectural and Transportation Barriers         36, XI
     Compliance Board
Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
Army, Department of                               32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Career, Technical, and Adult Education, Office    34, IV
     of
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazard Investigation Board    40, VI
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce, Department of                           2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51

[[Page 745]]

  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
Disability, National Council on                   5, C; 34, XII
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical, and Adult Education, Office  34, IV
       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
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Policy, National Commission for        1, IV
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 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
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  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
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II

[[Page 746]]

  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 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
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               31, IX
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                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Food and Drug Administration                      21, I
Food and Nutrition 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 Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5

[[Page 747]]

  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
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

[[Page 748]]

Industry and Security, Bureau of                  15, VII
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, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior, Department of                           2, XIV
  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
  Land Management, Bureau of                      43, II
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 Finance Corporation,    5, XXXIII; 22, VII
     U.S.
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
Investment Security, Office of                    31, VIII
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 of                            2, XXVIII; 5, XXVIII; 28, 
                                                  I, XI; 40, IV
  Alcohol, Tobacco, Firearms, and Explosives,     27, II
       Bureau of
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration Review, Executive Office for        8, V
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor, Department of                              2, XXIX; 5, XLII
  Employee Benefits Security Administration       29, XXV
  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

[[Page 749]]

  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Libraries and Information Science, National       45, XVII
     Commission on
Library of Congress                               36, VII
  Copyright Royalty Board                         37, III
  U.S. Copyright Office                           37, II
Local Television Loan Guarantee Board             7, XX
Management and Budget, Office of                  5, III, LXXVII; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          5, CI; 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                       2, XXV; 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
[[Page 750]]

National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy, Department of                               32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Patent and Trademark Office, United States        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                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory 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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
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
Safety and Environmental Enforcement, Bureau of   30, II
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                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V

[[Page 751]]

Social Security Administration                    2, XXIII; 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 of                              2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury, Department of the                       2, X;5, XXI; 12, XV; 17, 
                                                  IV; 31, IX
  Alcohol and Tobacco Tax and Trade Bureau        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs and Border Protection                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
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
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs, Department of                   2, VIII; 38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 753]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2014 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.govinfo.gov. For changes to this volume of the 
CFR prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 
1964-1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. 
The ``List of CFR Sections Affected 1986-2000'' is available at 
www.govinfo.gov.

                                  2014

49 CFR
                                                                   79 FR
                                                                    Page
Chapter V
573 Policy statement...............................................13258
573.6 (c)(10) revised..............................................43677
573.7 (a) revised..................................................43677
573.15 (b)(8) revised..............................................43677
577 Policy statement...............................................13258
577.5 (a) revised..................................................43678
577.7 (a)(1) amended...............................................43678
577.14 Added.......................................................43678
579 Policy statement...............................................13258
579.4 (c) amended..................................................43679
579.21 (a), (b)(2) and (c) amended.................................43679
    Regulation at 78 FR 51424 eff. date delayed to 1-1-15...43671, 47591
579.22 Regulation at 78 FR 51425 eff. date delayed to 1-1-15.......47591
585 Authority citation revised.....................................19249
585.121--585.127 (Subpart M) Added.................................19249
592.6 (d)(1)(i) and (ii) added.....................................45376
593 Appendix A revised.............................................56991
594 Authority citation revised.....................................57007
594.6 (a) introductory text, (b) and (i) revised; (d) and (h) 
        amended....................................................57007
594.7 (e) amended..................................................57007
594.8 (b) and (c) amended..........................................57007
594.9 (c) and (e) revised..........................................57007
594.10 (d) amended.................................................57007
595 Authority citation revised.....................................38795
595.7 (c)(2) revised; (c)(17) added................................38795
Chapter VI
602 Revised........................................................60361
613 Policy statement...............................................31214
622 Authority citation revised......................................2119
    Authority citation revised; eff. 10-16-14......................55403
    Authority citation revised.....................................60116
622.101 Revised; eff. 10-16-14.....................................55403
Chapter VIII
821.19 (d) correctly revised.......................................41650
821.54 (b) revised.................................................41650

                                  2015

49 CFR
                                                                   80 FR
                                                                    Page
Chapter V
572 Authority citation revised.....................................35860
572.170 (b)(1), (2) introductory text and (3) correctly revised....35860
572.171 (a)(1), (2) and (3) introductory text correctly revised....35860
572.177 (a)(1) and (2) correctly amended; (c)(18) and (19) 
        correctly added............................................35860
572.198 (b)(10) correctly reinstated; CFR correction...............22655
574 Authority citation revised.....................................19560
574.5 Revised......................................................19560

[[Page 754]]

574.6 Revised......................................................19560
577.5 (g)(1)(i) and (vi) revised; eff. 11-13-15....................55037
577.6 (b)(9)(i)(B) revised; eff. 11-13-15..........................55037
579.26 introductory text, (a) and (d) amended......................19564
583 Hearings; comment period extended..............................44863
591 Authority citation revised.....................................53013
    Regulation at 80 FR 53013 confirmed............................79718
591.5 Introductory text revised; interim...........................53013
    Regulation at 80 FR 53013 confirmed............................79718
591.6 Introductory text and (a) through (g) revised; interim.......53013
    Regulation at 80 FR 53013 confirmed............................79718
592 Authority citation revised.....................................53014
    Regulation at 80 FR 53014 confirmed............................79718
592.6 (a) revised; interim.........................................53014
    Regulation at 80 FR 53014 confirmed............................79718
593 Appendix A revised.............................................55552
Chapter VI
Chapter VI Policy statement........................................10619
611 Policy statement...............................................46514
Chapter VIII
800 Heading and authority citation revised; eff. 10-23-15..........57309
800.30--800.45 (Subpart C) Added; eff. 10-23-15....................57309
830 Policy statement...............................................54736
    Policy statement corrected.....................................61317
    Authority citation revised.....................................77587
830.5 Introductory text, (a) introductory text and (10) revised....77587
845 Revised........................................................80287

                                  2016

49 CFR
                                                                   81 FR
                                                                    Page
Subtitle A
Chapter V
578 Authority citation revised.......................10527, 43528, 95492
578.1 Revised......................................................10527
578.2 Revised......................................................10527
578.3 Revised......................................................10527
578.4 Amended......................................................10528
578.6 (a)(4) added; (f) revised....................................10528
    Revised; interim...............................................43528
    (h) revised....................................................95492
578.8 Added........................................................10528
585 Authority citation revised.....................................90521
585.128--585.134 (Subpart N) Added.................................90521
593 Appendix A revised.............................................68361
Chapter VI
613 Revised........................................................34164
613 Authority citation revised.....................................93473
622 Authority citation revised....................................34274,
625 Added..........................................................48962
630 Authority citation revised.....................................48969
630.3 (c) amended..................................................48969
630.4 (a) revised..................................................48970
630.5 Revised......................................................48970
661 Policy statement...............................................60278
665 Revised; eff. 10-31-16.........................................50387
670 Added..........................................................53058
674 Added..........................................................14256
    Technical correction...........................................28031
Chapter VIII
800 Authority citation revised.....................................75730
800.1 Amended......................................................75730
800.2 Introductory text and (d) amended............................75730
800.3 Revised......................................................75730
800.4 (b) and (e) amended..........................................75730
800.5 Amended......................................................75731
800.21 Amended.....................................................75731
800.22 (a)(2) amended..............................................75731
800.24 (f) amended.................................................75731
800.25 (c) and (d) amended.........................................75731
800.26 Amended.....................................................75731
800.27 Amended.....................................................75731
800.30 Amended.....................................................75731
800.31 Amended.....................................................75731
800.33 Amended.....................................................75731
800.35 (a) amended.................................................75731
800.41 Amended.....................................................75731
803 Authority citation revised.....................................75731
803.3 Amended......................................................75731
803.5 (c) amended..................................................75731
804 Authority citation revised.....................................75731
804.1 (b) amended..................................................75731
804.5 (d) revised..................................................75731
804.6 (b) amended..................................................75731
804.7 (b)(2) amended...............................................75731
804.10 Amended.....................................................75731
830 Regulation at 80 FR 77587 eff. date confirmed...................6458
830.5 Regulation at 80 FR 77587 eff. date confirmed.................6458

[[Page 755]]

                                  2017

49 CFR
                                                                   82 FR
                                                                    Page
Subtitle B
578 Comment request................................................32140
578.6 Regulation at 81 FR 95492 eff. date delayed to 3-28-17........8694
    Regulation at 81 FR 95492 eff. date further delayed to 6-26-17
                                                                   15302
    Regulation at 81 FR 95492 eff. date further delayed to 7-10-17
                                                                   29009
    Regulation at 81 FR 95492 delayed indefinitely.................32139
585.128--585.134 (Subpart N) Regulation at 81 FR 90521 eff. date 
        delayed to 3-21-17..........................................9368
    Regulation at 81 FR 90521 eff. date further delayed to 5-22-17
                                                                   14477
    Regulation at 81 FR 90521 eff. date further delayed to 6-5-17 
                                                                   23150
    Regulation at 81 FR 90521 eff. date further delayed to 9-5-17 
                                                                   26360
593 Appendix A revised.............................................49134
Chapter VI
613 Authority citation revised.....................................56545
Chapter VII
701 Revised.........................................................9683
Chapter VIII
801 Revised; interim...............................................58356
831 Authority citation revised.....................................47402
    Revised........................................................29685
831.15 Added.......................................................47402
831.50--831.64 (Subpart E) Added; interim..........................29694

                                  2018

49 CFR
                                                                   83 FR
                                                                    Page
Subtitle B
Chapter V
578 Authority citation revised.....................................60753
578.5 Revised......................................................60753
578.6 (a) through (g) and (i) revised..............................60753
585.130 Revised.....................................................8197
585.132 Revised.....................................................8197
585.133 (a) revised.................................................8198
585.134 Revised.....................................................8198
Chapter VI
622 Authority citation revised.....................................54508
639 Removed........................................................47576
650 Added..........................................................24677
655 Policy statement...............................................63812
672 Added..........................................................34067
673 Added; eff. 7-19-19............................................34465

                                  2019

  (Regulations published from January 1, 2019, through October 1, 2019)

49 CFR
                                                                   84 FR
                                                                    Page
Subtitle B
578 Authority citation revised..............................36033, 37078
578.6 (a) through (g) and (i) revised..............................37078
    (h) revised....................................................36034
Chapter VI
655.21 (b)(3) revised..............................................16775
Chapter VIII
831.15 Amended.....................................................45687


                                  [all]