Last updated on December 6th, 2021 at 10:18 pm
Title 49 – Transportation–Volume 6
Subtitle B – Other Regulations Relating to Transportation (Continued)
CHAPTER IV – COAST GUARD, DEPARTMENT OF HOMELAND SECURITY
SUBCHAPTER A [RESERVED]
SUBCHAPTER B – SAFETY APPROVAL OF CARGO CONTAINERS
PARTS 400-449 [RESERVED]
PART 450 – GENERAL
Subpart A – General Provisions
§ 450.1 Purpose.
This subchapter establishes requirements and procedures for safety approval and periodic examination of cargo containers used in international transport, as defined in the International Safe Container Act.
§ 450.3 Definitions.
(a) In this subchapter: (1) Approval Authority means a delegate of the Commandant authorized to approve containers within the terms of the convention, the International Safe Container Act and this subchapter.
(2) Container means an article of transport equipment:
(i) Of a permanent character and suitable for a repeated use.
(ii) Specially design to facilitate the transport of goods, by one or more modes of transport, without intermediate reloading.
(iii) Designed to be secured and readily handled, having corner fittings for these purposes.
(iv) Of a size that the area enclosed by the four outer bottom corners is either:
(A) At least 14 sq.m. (150 sq.ft.), or
(B) At least 7 sq.m. (75 sq.ft.) if it has top corner fittings.
(v) The term container includes neither vehicles nor packaging; however, containers when carried on chassis are included.
(3) Convention means the International Convention for Safe Containers (CSC) done at Geneva, December 2, 1972 and ratified by the United States on January 3, 1978.
(4) District Commander means the Coast Guard officer designated by the Commandant to command a Coast Guard District.
(5) New Container means a container, the construction of which began on or after September 6, 1977.
(6) Existing Container means a container that is not a new container.
§ 450.5 General requirements and applicability.
(a) Every owner of a new or existing container used or offered for movement in international transport shall have the container approved in accordance with the procedures established by the Administration of any contracting party to the convention, except that existing containers need not be approved until September 6, 1982.
(b) Every owner of an approved container used or offered for movement in international transport who:
(1) Is domiciled in the United States and has the head office in the United States, or
(2) Is domiciled in a country which is not a contracting party to the convention but has the principal office in the United States, shall have the container periodically examined in accordance with part 452 of this subchapter.
(c) Every owner of an approved container used or offered for movement in international transport who:
(1) Is domiciled in the United States but has the principal office in the jurisdiction of another contracting party to the convention, or
(2) Is domiciled in the jurisdiction of another contracting party to the convention but has the principal office in the United States, but elects to have the container examined in accordance with the procedures prescribed by the United States, shall conform to part 452 of this subchapter.
(d) Every owner of an approved container used or offered for movement in international transport who is neither domiciled in nor has the principal office in the jurisdiction of a contracting party to the convention, but elects to have the container examined in accordance with procedures prescribed by the United States, shall conform to part 452 of this subchapter.
§ 450.7 Marking.
(a) On each container that construction begins on or after January 1, 1984, all maximum gross weight markings on the container must be consistent with the maximum gross weight information on the safety approval plate.
(b) On each container that construction begins before January 1, 1984, all maximum gross weight markings on the container must be consistent with the gross weight information on the safety approval plate no later than January 1, 1989.
Subpart B – Procedure for Delegation to Approval Authorities
(a) Any person or organization seeking delegation of authority to act as an Approval Authority may apply to the Commandant (CG-OES), Attn: Office of Operating and Environmental Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. Each application must be signed and certified by the applicant or, if the applicant is an organization, by an authorized officer of the organization. A list of delegated approval authorities may be obtained from the Commandant (CG-OES).
(b) The application must include the following information:
(1) Name and address, including place of incorporation, if a corporation.
(2) A description of the organization, including the ownership, managerial structure, organizational components and directly affiliated agencies and their functions utilized for supporting technical services.
(3) A listing of the basic technical services offered.
(4) A general description of the geographic area served.
(5) A general description of the clients being served or intended to be served.
(6) A description of the types of work performed by the applicant in the past, noting the amount and extent of such work performed within the previous three years.
(7) A description of the personnel to be utilized, indicating general background and qualifications, particularly for the surveyors to be involved in the actual witnessing of tests.
(8) A description of its means of assuring continued competence of its personnel.
(9) A detailed schedule of the fees proposed to be charged for the approval service.
(10) Evidence of financial stability.
(11) At least three business references who will furnish information regarding work performed by the applicant.
(12) A statement that the Coast Guard may inspect the applicant’s facilities and records of approvals under the convention and these regulations.
(c) The application may contain any additional information the applicant deems to be pertinent.
(d) The applicant must furnish any additional information to evaluate the applicant’s qualifications, if requested by the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard.
(e) Applications from foreign nationals or organizations must contain an affidavit stating that the agency responsible for implementing the Convention in their country has delegated to the applicant an approval authority, and that it also delegates similar authority to United States citizens or organizations having delegations from the United States. The affidavit must also contain the name and address of the agency to which U.S. citizens or organizations must apply for delegation as an approval authority.
§ 450.12 Criteria for selection of Approval Authorities.
(a) The Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard selects persons or organizations in accordance with the following criteria:
(1) The person or organization is independent of manufacturers and owners in that:
(i) It has sufficient breadth of interest or activity, so that the loss or award of a specific contract to approve containers would not be a substantial factor in the financial well-being of the organization.
(ii) The employment status of the personnel of the organization is free from influence or control of manufacturers, owners, operators or lessors of containers.
(2) The person or organization has demonstrated the ability to competently carry out the procedures required for approval.
(3) The person or organization has an acceptable degree of financial security.
§ 450.13 Granting of delegation.
(a) The Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard acts on applications for delegation within 60 days of receipt.
(b) If an applicant for delegation does not provide sufficient information with regard to all the criteria for delegation, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard denies the application. A denial of an application on this basis is without prejudice to the submission of a new or amended application.
(c) If an applicant satisfies all the criteria for delegation the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard sends the applicant a letter of delegation, and assigns to the Approval Authority an alphabetic Approval Authority identification code.
(d) If an applicant fails to satisfy all the criteria for delegation, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard gives the applicant written notice of denial of his application. The notice contains all the reasons for the denial. The applicant may contest the denial by submitting additional oral or written evidence in support of its qualifications. Upon review of the evidence, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard notifies the applicant of the final decision.
§ 450.14 Conditions of delegation.
(a) The following conditions are part of every delegation:
(1) The Approval Authority shall use only testing equipment that it has determined by inspection to be suitable for the purpose.
(2) All approval numbers issued by the Approval Authority must contain the identification code, assigned to the Approval Authority by the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard.
(3) Each Approval Authority shall maintain the following records for a period of at least 15 years from the date of approval. (When the Approval Authority’s delegation is withdrawn before such time, the records relating to the approvals issued within the prior 15 years must be turned over to the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard):
(i) Each notice of approval issued.
(ii) A copy of the application and final approved drawings (if applicable) to which each approval refers.
(iii) The manufacturer’s serial numbers and the owner’s identification numbers of all containers covered by each approval.
(4) Each Approval Authority shall establish and make available to the public a schedule of fees for the approval services performed under these regulations. The fees must not be disproportionate to the costs (including transportation expense, if any) actually incurred.
(5) The Approval Authority shall grant the Coast Guard the right to inspect records and shall cooperate in the conduct of such inspections.
(6) The Approval Authority shall comply with any other term or condition stated in its letter of delegation.
§ 450.15 Termination of delegation.
(a) An Approval Authority may voluntarily terminate its delegation by giving written notice of its intent to the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard. This notice must contain the date on which the termination is to be effective.
§ 450.16 Withdrawal of delegation.
(a) The Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard withdraws a delegation if: (1) It is determined that the application for delegation contained a material misrepresentation.
(2) An Approval Authority fails to comply with a condition of delegation.
(3) An Approval Authority is incompetent.
(b) When a delegation is withdrawn, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard gives to the Approval Authority:
(1) Written notice of the facts or conduct believed to warrant the withdrawal.
(2) Opportunity to submit oral or written evidence.
(3) Opportunity to demonstrate or achieve compliance with the applicable requirement.
PART 451 – TESTING AND APPROVAL OF CONTAINERS
Subpart A – Approval of Existing Containers
§ 451.1 Application for approval.
(a) Any owner of an existing container may apply for approval to the Commandant (CG-OES), Attn: Office of Operating and Environmental Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509 or to any Approval Authority.
(b) Each application must include the following for each container:
(1) Date and place of manufacture.
(2) Manufacturer’s identification number, if available.
(3) Maximum operating gross weight capacity.
(4) Allowable stacking weight for 1.8G (1.8 × Gross weight in kilograms or pounds).
This value is the total load the container is designed to support when subjected to a vertical acceleration of 1.8G.
(5) A statement that the owner possesses documentary evidence that:
(i) Container of this type has been safely used in marine or inland transport for a period of at least two years; or
(ii) The container was manufactured to a design type which had been tested and found to comply with the technical conditions set out in Annex II to the convention with the exception of those technical conditions relating to the end-wall and side-wall strength tests; or
(iii) The container was constructed to standards that were equivalent to the technical conditions set out in Annex II to the convention with the exception of those technical conditions relating to end-wall and side-wall strength tests.
(6) A certification by the owner, or, if the owner is a corporation, partnership or unincorporated association, by a person authorized to make such statements for the organization, that the information provided in the application is true and correct.
§ 451.3 Action by Approval Authority.
(a) The Approval Authority (or the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard, if the application was submitted to the Coast Guard) issues to the owner a notice of approval or notifies the owner in writing that approval is denied, setting forth the deficiencies causing denial. Notification of approval entitles the owner to affix a safety approval plate to each container after an examination of each container concerned has been carried out in accordance with part 452 of this subchapter. In the case of an application submitted to the Coast Guard, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard acts on the application within 30 days of receipt of the application.
§ 451.5 Resubmission or appeal.
(a) Upon receipt of a denial of approval for certain containers, an owner may correct the noted deficiencies and resubmit the application without prejudice.
(b) An applicant aggrieved by a decision of an approval authority may obtain review of the decision by the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard. The decision of the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard is a final agency action.
§ 451.7 Alternative approval of existing containers.
(a) Existing containers that do not qualify for approval under this subpart may be presented for approval under the provisions of subpart B of this part. For such containers, the requirements of subpart B of this part, relating to the end and sidewall strength tests, do not apply. Upon showing that the containers have performed satisfactorily in service, the applicant may omit the presentation of drawings and testing, other than the lifting and floor strength test, if permitted by the approval authority.
Subpart B – Approval of New Containers
§ 451.11 Application for approval-general.
(a) An owner of a new container, or a manufacturer acting on behalf of an owner, may apply for approval to any approval authority.
§ 451.12 Application for approval by design type.
(a) For approval of new containers by design type, each application must include the following:
(1) Engineering drawings and plans showing platform, end framing, welds and hardware, connections of cross-members, top and bottom rails, roof bows, detailed subassemblies of major structural components and attachments, and any other plans and drawings required by the approval authority.
(2) Design and material specifications including type and size of materials. Material specifications of the safety approval plate must also be given.
(3) The manufacturer’s identification number assigned to each container in the type series.
(4) The identification code assigned to each container in the series by the owner, lessee, or bailee responsible for maintenance.
(5) The written assurance from the manufacturer, that the manufacturer will:
(i) Produce to the approval authority such containers as the approval authority may wish to examine;
(ii) Advise the approval authority of any change in the design or specification and await its approval before affixing the Safety Approval Plate to the container;
(iii) Affix the Safety Approval Plate to each container in the design type and to no others;
(iv) Keep a record of containers manufactured to the approved design type containing at least the manufacturer’s identification numbers, date of delivery, and names and addresses of customers to whom the containers are delivered; and
(v) Supply to the approval authority the information contained in paragraphs (a)(3) and (4) of this section if not available at the time of original application.
(6) A statement as to whether this design type has been examined by any approval authority previously and judged unacceptable. Affirmative statements must be documented with the name of the approving authority, the reason for nonacceptance, and the nature of modifications made to the design type.
(a) The approval authority arranges with the manufacturer, with notification to the owner, to witness the prototype tests required by the convention, and to examine any number of containers that the approval authority considers appropriate. Upon witnessing successful completion of prototype tests and examination of several containers the approval authority issues to the owner, a notice of approval which authorizes the attachment of safety approval plates to the containers. Absence of individual inspections will not relieve the manufacturer of any responsibility to maintain proper quality control. If a prototype container fails to pass the tests, the approval authority may require testing of as many further representative containers as necessary to ensure the adequacy of the design.
§ 451.14 Alternative approval of new containers by design type.
(a) New containers manufactured before June 16, 1978 without being approved under the preceding section may be approved by submission to an approval authority of an application corresponding to that required under § 451.1(b) for existing containers. All new containers so approved must have safety approval plates affixed and receive their first periodic examination in accordance with the procedures prescribed in § 452.3 by January 1, 1985.
§ 451.15 Application for individual approval.
(a) For approval of new containers by individual approval, each application must include the following:
(1) The manufacturer’s identification number.
(2) The identification code of the owner, lessee, or bailee responsible for maintenance of the container.
(a) The approval authority arranges with the manufacturer or owner to witness testing in accordance with Annex II to the convention. Upon witnessing successful completion of the tests, the approval authority issues to the owner a notice of approval that authorizes the attachment of a safety approval plate.
§ 451.18 Review of denials of approval.
(a) An applicant aggrieved by a decision of an approval authority may obtain review of the decision by the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard. The decision of the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard is a final agency action.
Subpart C – Safety Approval Plate
§ 451.21 Safety approval plate required.
(a) The safety approval plate must be supplied by the owner or manufacturer.
§ 451.23 Plate specifications.
(a) The safety approval plate must be of the size and in the format specified in the appendix to Annex I to the convention.
(b) The safety approval plate must be:
(1) Designed to withstand and remain legible after a 15 minute exposure to a medium intensity fire producing a temperature of 1,000 °F (540 °C), when mounted on the specified material of construction of the container.
(2) Designed to resist the corrosive effects of its environment, both at sea and ashore, so as to remain legible for the working life of the container.
(3) Designed to have a legible life expectancy equal to or greater than the life expectancy of the container to which the plate is affixed.
§ 451.25 Required information.
(a) The safety approval number appearing on line 1 of the safety approval plate must be of the form “USA/(approval number, which includes the approval authority identification code)/(year in which approval was granted).”
(b) The date upon which approval was granted must be the same for all containers of a design-type or type-series covered by one notice of approval.
(c) The safety approval number must be the same for all containers of a design-type or type-series covered by one notice of approval.
(d) The owner’s International Organization for Standardization (ISO) alpha numeric identification numbers may be used in place of the manufacturer’s identification numbers on line 3 of the safety approval plate. If owner’s identification numbers are used and the manufacturer’s are available, the owner shall keep records correlating the owner’s identification numbers used with the manufacturer’s number. If a container marked with owner’s identification numbers changes ownership, and the owner’s identification number is changed as a result, the new owner must add the new owner’s identification number, following the original owner’s identification number on line 3 of the safety approval plate. In the event that the new owner’s identification number cannot be legibly added to line 3 of the safety approval plate following the original owner’s identification number, the new owner is authorized to put a new safety approval plate on the freight container provided that all the information contained on the original safety approval plate is retained in the owners files.
PART 452 – EXAMINATION OF CONTAINERS
§ 452.1 Periodic examination required.
(a) Except as provided for in § 452.7, each owner of an approved container subject to this part shall examine the container or have it examined in accordance with the procedures prescribed in § 452.3 at intervals of not more than 30 months, except that for containers approved as new containers, the interval from the date of manufacture to the date of the first examination must not exceed five years. For containers approved, examined and plated as existing containers before January 1, 1985 and containers approved and plated as new containers before January 1, 1985, the subsequent examination must be carried out in accordance with the following schedule:
| Date of initial plating | Subsequent examination |
|---|---|
| Existing containers before Sept. 30, 1981 and new containers before Dec. 31, 1978 | Before Jan. 1986. |
| Existing containers between Oct. 1, 1981 and Sept. 30, 1982 and new containers between Jan. 1, 1979 and Dec. 31, 1979 | Before May 1986. |
| Existing containers between Oct. 1, 1982 and Sept. 30, 1983 and new containers between Jan. 1, 1980 and Dec. 31, 1980 | Before Sept. 1986. |
| Existing containers between Oct. 1, 1983 and Dec. 31, 1984 and new containers between Jan. 1, 1981 and Dec. 31, 1981 | Before Jan. 1987. |
Containers plated under § 451.14 are considered existing containers in the above schedule.
(b) Upon completion of an examination required by this part, the owner shall mark on the safety approval plate, or on the container itself as close as practicable to the safety approval plate, the month and year before which the container must next be examined. This marking must be on all containers by January 1, 1987. The marking may be by a decal, sticker, stencil, or other means so long as it is capable of remaining legible for at least 24 months. Affixing such a marking to a container that has not been examined in accordance with § 452.3 constitutes a misrepresentation in a matter within the jurisdiction of an agency of the United States, and makes the owner punishable under 18 U.S.C. 1001.
(c) The owner of containers subject to this section shall have those containers examined in accordance with the program prescribed in this section regardless of whether the examinations are preformed within or outside the United States.
§ 452.3 Elements of periodic examinations.
(a) Periodic examinations required by § 452.1 must conform to the following minimum requirements:
(1) Each examination must include a detailed visual inspection for defects such as cracks, failures, corrosion, missing or deteriorated fasteners, and any other safety related deficiency or damage which could place any person in danger. Any such deficiencies disclosed by the examination must be corrected by the owner before the container is continued in service.
(2) Each examination must take into account the particular characteristics of various kinds of containers and materials of construction.
(3) Each examination must be performed by qualified personnel, trained and experienced in the detection of container structural damage.
(4) The examinations must be scheduled so as to allow adequate time for thorough performance.
(5) Each examination must apply owner established or industry accepted pass/fail criteria to determine whether a container has any deficiency that must be remedied before the container is returned to service.
(b) Examinations must be documented, and the records retained by the owner, until the next examination is completed and recorded. The records must include, in addition to identification of the container, a record of the date of last examination and a means of identifying the examiner. The records must be maintained in an office under the control of the owner and be made available for inspection by the Coast Guard upon demand. If the original records are maintained outside the United States, its territories or possessions, supplementary records must be available in written or data processing form to be produced on demand of the Commandant or his representative.
§ 452.5 Examinations made in conjunction with other inspections.
(a) Periodic examinations may be made in conjunction with or as part of routine change-of-custody inspections, or in any other manner convenient to the owner so long as the examinations conform to the requirements of § 452.3.
§ 452.7 Continuous examination program.
(a) In lieu of a periodic examination under § 452.1, each owner of an approved container meeting § 450.5 may examine the container or have it examined using an approved continuous examination program. An owner must submit the continuous examination program for approval to the Commandant (CG-OES), Attn: Office of Operating and Environmental Standards, U.S. Coast Guard Stop 7509, 2703 Martin Luther King Jr. Avenue SE., Washington, DC 20593-7509. When submitting a continuous examination program for approval the owner must show the continuous examination complies with § 452.9.
(b) The owner must mark the container with the letters “ACEP/USA/(year continuous examination program is approved)” to indicate the container is being periodically examined under an approved continuous examination program. This marking must be as close as practicable to the safety approval plate. This marking must be on all containers covered by a continuous examination program by January 1, 1987.
(c) The owner of containers subject to this section shall have those containers examined in accordance with the program prescribed in this section regardless of whether the examinations are performed within or outside the United States.
§ 452.9 Elements of a continuous examination program.
(a) Examinations required by § 452.7 must conform to the following minimum requirements:
(1) A thorough examination that must include a detailed visual inspection for defects such as cracks, failures, corrosion, missing or deteriorated fasteners, and any other safety related deficiency or damage that could place any person in danger. Any such deficiencies disclosed by the examination must be corrected by the owner before the container is continued in service. A thorough examination must be done each time a container undergoes a major repair, refurbishment or on-hire/off-hire interchange. In no case is the time period between thorough examinations to exceed 30 months.
(2) Each thorough examination must be performed by qualified personnel, trained and experienced in the detection of container structural damage.
(3) Each thorough examination must apply owner established or industry accepted pass/fail criteria to determine whether a container has any deficiency that must be remedied before the container is returned to service.
(b) Thorough examinations must be documented, and the records retained by the owner, until the next examination is completed and recorded. The records must include, in addition to identification of the container, a record of the date of last examination and a means of identifying the examiner. The records must be maintained in an office under the control of the owner and be made available for inspection by the Coast Guard upon demand. If the original records are maintained outside the United States, its territories or possessions, supplementary records must be available in written or data processing form to be produced on demand of the Commandant or his representative.
PART 453 – CONTROL AND ENFORCEMENT
§ 453.1 Unsafe and noncomplying containers subject to detention or control.
(a) Any container used in or offered for movement in international transport which does not have a valid safety approval plate attached to it is subject to detention or other control by a District Commander or Captain of the Port. However, upon receipt of evidence that a container which does not have a valid safety approval plate attached to it meets the standards of the convention, the District Commander or Captain of the Port may authorize limited movement of such container under conditions he deems appropriate. This paragraph becomes effective on January 3, 1979 for new containers and on January 1, 1985 for existing containers.
(b) If a District Commander or Captain of the Port finds that a container used in or offered for movement in international transport, even though it has a valid safety approval plate attached to it, is in a condition that creates an obvious risk to safety, he issues a detention order causing the container to be removed from service until it is restored to a safe condition. In addition to removing a container from transport, a detention order may require any special handling, including unloading prior to movement, necessary to ensure safety.
(c) If a District Commander or Captain of the Port finds that a container used or offered for movement in international transport has not been timely examined, the District Commander or Captain of the Port affixes to the container, at a place on the container where it will be readily noticeable to anyone loading or unloading the container, a mark or tag indicating that the container must be examined before being reloaded and again used in international transport. The mark or tag affixed by the District Commander or Captain of the Port indicates the place and the date on which it was affixed, and is capable of remaining legible and in place for at least 12 months. Such mark or tag must not be removed until the container is examined in accordance with § 452.3 of this subchapter. If a District Commander or Captain of the Port finds that container marked or tagged as provided for in this paragraph was reloaded and used or offered for movement in international transport without having been examined, the District Commander or Captain of the Port issues a detention order causing the container to be removed from service until it is brought into compliance.
§ 453.3 Detention orders and other orders.
(a) The terms of any detention order or other order issued under § 453.1, to the maximum extent practicable, make provisions to avoid loss or damage to cargo.
(b) Written notice of any detention order or other order issued under § 453.1 is given immediately to the terminal operator, stevedore, or other person having actual control over the container involved. Prompt notification is also given to the owner of the container, or his agent. The notification identifies the container involved, its location, and describes the condition which gave rise to the order.
§ 453.5 Termination of detention orders and other orders.
(a) When a container, which is the subject of a detention order or other order, is restored to a safe condition or otherwise brought into compliance, it must be examined in accordance with § 452.3 and a new re-examination date marked on the container in accordance with § 452.1(b) of this subchapter.
(b) The owner or the owner’s agent shall notify the District Commander or Captain of the Port who issue the order, in writing, that the container has been brought into compliance. Upon giving such notice, the owner, or his agent, may return the container to service.
§ 453.7 Appeal provisions.
(a) The owner, his agent, or the custodian of a container subject to a detention order or other order, may petition the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard to review that order.
(b) The Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard requires independent surveys to determine the extent of deficiencies, if necessary. Upon completion of his review, including review of the results of any required independent surveys, the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard affirms, sets aside, or modifies the order.
(c) The owner of a container is liable for any costs incident to a petition for review including any independent surveys, and for any other costs incident to or resulting from detention or other control of a container.
(d) Unless otherwise determined by the Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard, a detention order or other order remains in effect pending the outcome of any petition or appeal of that order.
(e) The Chief, Office of Operating and Environmental Standards (CG-OES), U.S. Coast Guard acts on all appeals within ten days of receipt.
PARTS 454-499 [RESERVED]
CHAPTER V – NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
PART 500 [RESERVED]
PART 501 – ORGANIZATION AND DELEGATION OF POWERS AND DUTIES
§ 501.1 Purpose.
This part describes the organization of the National Highway Traffic Safety Administration (NHTSA), an operating administration within the U.S. Department of Transportation, and provides for the performance of duties imposed on, and the exercise of powers vested in, the Administrator of NHTSA.
§ 501.2 General.
The responsibilities and authorities delegated to NHTSA and the Administrator are set forth in §§ 1.81, 1.94, and 1.95 of this title.
§ 501.3 Organization and general responsibilities.
NHTSA consists of a headquarters organization located in Washington, DC, a unified field organization consisting of ten geographic regions with a Regional Office located in each region, the Vehicle Research and Test Center located in East Liberty, Ohio, and the Uniform Tire Quality Grading Test Facility located in San Angelo, Texas. The organization of, and general spheres of responsibility within, NHTSA are as follows:
(a) Office of the Administrator – (1) Administrator. (i) Represents the Department and is the principal advisor to the Secretary in all matters related to 49 U.S.C. chapters 301, 303, 321, 323, 325, 327, 329 and 331; 23 U.S.C. chapter 4, except section 409; 23 U.S.C. 153, 154, 158, 161, 163, 164 and 313 (with respect to matters within the primary responsibility of NHTSA); and such other responsibilities and authorities as are delegated by the Secretary of Transportation (49 CFR 1.94 and 1.95);
(ii) Establishes NHTSA program policies, objectives, and priorities and directs the development of action plans to accomplish the NHTSA mission;
(iii) Directs, controls, and evaluates the organization, program activities, performance of NHTSA staff, program and field offices;
(iv) Approves broad legislative, budgetary, fiscal and program proposals and plans; and
(v) Takes management actions of major significance, such as those relating to changes in basic organizational structure, appointment of key personnel, allocation of resources, and matters of special political or public interest or sensitivity.
(2) Deputy Administrator. Assists the Administrator in discharging responsibilities. Directs and coordinates the Administration’s management and operational programs, and related policies and procedures at headquarters and in the field.
(3) Executive Director. As the principal advisor to the Administrator and Deputy Administrator, provides direction on internal management and mission support programs. Provides executive direction over the Associate Administrators, Chief Financial Officer, and Chief Information Officer.
(4) Director, Office of Civil Rights. As the principal advisor to the Administrator and Deputy Administrator on all matters pertaining to civil rights, serves as Director of Equal Employment Opportunity and of Title VI Compliance (Civil Rights Act of 1964, as amended, and related regulations). Assures agency compliance with Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act (ADA), and other nondiscrimination statutes, regulations, Executive Orders, and policies. Periodically reviews and evaluates the civil rights programs of State Department of Motor Vehicles and Highway Safety Offices to ensure that recipients of NHTSA financial assistance meet applicable Federal civil rights requirements. Monitors the implementation of and compliance with civil rights requirements, investigates complaints of discrimination, conducts compliance reviews, provides technical assistance to recipients of NHTSA financial assistance and stakeholders, and provides assistance to the Office of the Secretary in investigating and adjudicating formal complaints of discrimination.
(5) Director, Office of Governmental Affairs, Policy & Strategic Planning. As the principal advisor to the Administrator and Deputy Administrator on all intergovernmental matters, including communications with Congress, communicates agency policy and serves as coordinator on legislative affairs. Also, serves as coordinator of agency policy discussions and activities and communicates with other operating administrations and the Office of Secretary on strategic planning efforts.
(6) Director of Communications. As the principal advisor to the Administrator and Deputy Administrator on external communications and information dissemination, serves as coordinator on public affairs.
(b) Chief Counsel. As chief legal officer for the Administrator and the Administration, provides general legal services and legal services related to legislative activities; prepares litigation and issues subpoenas; and effects rulemaking actions.
(c) Associate Administrators, Chief Financial Officer, and Chief Information Officer – (1) Associate Administrator for Administration. Administers and conducts NHTSA’s personnel management activities; initiates and oversees a comprehensive program of administrative support services to meet agency requirements, including development, maintenance, and operation of NHTSA’s manuals, notices, and orders, property management, and the purchase, delivery, and administration of a range of supplies, equipment, and other support services; is responsible for administrative operational expenses and working capital fund operations; serves as the agency’s technical expert for all administrative activities; and administers an executive correspondence program and maintains policy files for the Administrator and Deputy Administrator.
(2) Associate Administrator for Communications and Consumer Information. Represents NHTSA to the general public and others; provides reliable, timely, and accurate traffic safety information to the general public, consumers, partner organizations, and citizens groups through media and public education efforts; and provides scheduling and speechwriting support for the Administrator.
(3) Associate Administrator for Enforcement. Directs matters related to the enforcement of motor vehicle safety, fuel economy, theft prevention, damageability, consumer information, and odometer laws and regulations; conducts testing, inspection, and investigation necessary for the identification and correction of safety-related defects in motor vehicles and motor vehicle equipment; and ensures recalls of noncomplying and defective vehicles and motor vehicle equipment are effective and are conducted in accordance with Federal law and regulations.
(4) Associate Administrator for National Center for Statistics and Analysis. Provides the data, analysis, and evaluation to support determination of the nature, causes, and injury outcomes of motor vehicle traffic crashes, the strategies and interventions that will reduce crashes and their consequences, and the potential impact, costs, and benefits of highway safety programs and regulatory activities; targets the collection and analysis of data and the dissemination of information to identify potential highway safety problems, evaluate expected program and regulatory impact and actual goal achievement, and support data driven decisions; and identifies, advances, and promotes new methodologies, technologies, systems, and procedures that improve the completeness, accuracy, timeliness, and accessibility of data collection, analysis, and evaluation.
(5) Associate Administrator for Regional Operations and Program Delivery. Directs the management of State and community highway safety programs; administers and coordinates all Regional activities, including activities having a headquarters-regional interface; develops, reviews, implements, and coordinates related programs, policies, and procedures; and coordinates with the Federal Highway Administration, the Federal Motor Carrier Safety Administration, and other Federal agencies on traffic safety programs, as appropriate.
(6) Associate Administrator for Research and Program Development. Administers traffic safety programs and provides national leadership and technical assistance to States, local communities, national organizations, and other partners in the identification, research, planning, development, demonstration, implementation, evaluation, and dissemination of highway safety programs designed to prevent or reduce traffic-related crashes and the resulting deaths, injuries, property damage, and associated costs. Coordinates with the Federal Highway Administration, the Federal Motor Carrier Safety Administration, and other Federal agencies on traffic safety programs, as appropriate.
(7) Associate Administrator for Rulemaking. Develops and promulgates Federal standards dealing with motor vehicle safety, theft prevention, consumer information, the National Driver Register, and fuel economy, and directs programs relating to bumper standards, safety performance standards, and other regulations for new and used motor vehicles and equipment, including tires. Develops and conducts the New Car Assessment Program.
(8) Associate Administrator for Vehicle Safety Research. Develops and conducts research, development, test, and evaluation programs and projects necessary to support consumer information programs, guidelines, industry voluntary standards, and Federal motor vehicle regulations; manages the facilities and programs related to these activities; and conducts crash data analyses in defining safety problems.
(9) Chief Financial Officer. Administers the agency planning and budget activities in coordination with the Department of Transportation, the Office of Management and Budget, and Congress; assures the appropriate development of budget requests and the subsequent execution of operating budgets within the agency to meet all programmatic requirements; conducts all necessary accounting transactions to assure full and accurate accountability for all financial resources of the agency; initiates and oversees a comprehensive program of acquisition support for agency buying and supplier requirements, including acquisition planning, purchasing, payments, and administration; facilitates, coordinates, tracks, and monitors all external audits, reviews, and other oversight activities of agency programs, finances, transactions, or activities – working closely with responsible program and operational officials; facilitates and oversees the agency travel program, including the administration and operation of the travel management system, the travel card program, and the provision of travel management advice and guidance; and serves as the agency’s technical expert for all financial management activities.
(10) Chief Information Officer. Administers all NHTSA Information Technology functions and needs to ensure that IT resources are effectively acquired and managed to maximize mission performance and return on IT investments.
§ 501.4 Succession to Administrator.
(a) The Deputy Administrator is the “first assistant” to the Administrator for purposes of the Federal Vacancies Reform Act of 1998 (5 U.S.C. 3345-3349d) and shall, in the event the Administrator dies, resigns, or is otherwise unable to perform the functions and duties of the office, serve as the Acting Administrator, subject to the limitations established by law.
(b) In the event both the Administrator and the Deputy Administrator die, resign, and/or are otherwise unable to perform the functions and duties of their respective offices, or in the event that both positions are vacant, the following officials, subject to paragraph (c) and in the order indicated, shall serve as Acting Deputy Administrator and shall perform the functions and duties of the Administrator, except for any non-delegable statutory and/or regulatory functions and duties:
(1) The Chief Counsel;
(2) The Executive Director;
(3) Further officials as may be designated in an internal order on succession.
(c) In order to qualify for the line of succession, officials must be encumbered in their position on a permanent basis.
(a) All authorities lawfully vested in and reserved to the Administrator in this title, part, or other NHTSA regulation or directive may be exercised by the Deputy Administrator and, in the absence or disability of both officials, by the Chief Counsel, unless specifically prohibited by statute, regulation, or order.
(b) In exercising the powers and performing the duties delegated by this part, officers of NHTSA and their delegates are governed by applicable laws, executive orders, regulations, and other directives, and by policies, objectives, plans, standards, procedures, and limitations as may be issued from time to time by or on behalf of the Secretary of Transportation, the Administrator, the Deputy Administrator, the Chief Counsel, and the Executive Director or, with respect to matters under their jurisdiction, by or on behalf of the Associate Administrators, the Regional Administrators, and the Directors of Staff Offices.
(c) Each officer to whom authority is delegated by this part may redelegate and authorize successive redelegations of that authority subject to any conditions the officer prescribes.
(d) Each officer to whom authority is delegated will administer and perform the functions described in the officer’s respective functional statements.
The authorities reserved to the Secretary of Transportation are set forth in § 1.21 of this title.
The delegations of authority in this part do not extend to the following authority, which is reserved to the Administrator, except when exercised pursuant to §§ 501.4 and 501.5(a):
(a) The authority under 23 U.S.C. chapter 4 (except section 403) and any uncodified provision of law to apportion authorization amounts and distribute obligation limitations or award grants to States for highway safety programs or other highway safety purposes;
(b) The authority to issue, amend, or revoke uniform State highway safety guidelines and rules identifying highly effective highway safety programs under 23 U.S.C. 402;
(c) The authority to fix the rate of compensation for non-government members of agency sponsored committees which are entitled to compensation.
(d) The authority under 49 U.S.C. chapter 301 to:
(1) Issue, amend, or revoke final Federal motor vehicle safety standards and regulations;
(2) Make final decisions concerning alleged safety-related defects and noncompliances with Federal motor vehicle safety standards;
(3) Grant or renew temporary exemptions from Federal motor vehicle safety standards; and
(4) Grant or deny appeals from determinations upon a manufacturer’s petition for decision of inconsequential defect or noncompliance and exemption from the notification and remedy requirements of 49 U.S.C. chapter 301 in connection with a defect or noncompliance.
(e) The authority under 49 U.S.C. chapters 303, 321, 323, 325, and 329 (except section 32916(b)) to:
(1) Issue, amend, or revoke final rules and regulations; and
(2) Assess civil penalties and approve manufacturer fuel economy credit plans under chapter 329.
(f) The authority to carry out, in coordination with the Federal Motor Carrier Safety Administrator, the authority vested in the Secretary by 49 U.S.C. chapter 311 subchapter III, to promulgate safety standards for commercial motor vehicles and equipment subsequent to initial manufacture when the standards are based upon and similar to a Federal Motor Vehicle Safety Standard promulgated, either simultaneously or previously, under 49 U.S.C. chapter 301.
§ 501.8 Delegations.
(a) Deputy Administrator. The Deputy Administrator is delegated authority to act for the Administrator, except where specifically limited by law, order, regulation, or instructions of the Administrator. The Deputy Administrator is delegated authority to assist the Administrator in providing executive direction to all organizational elements of NHTSA.
(b) Executive Director. The Executive Director is delegated line authority for executive direction over the Associate Administrators, the Chief Financial Officer, and the Chief Information Officer.
(c) Director, Office of Civil Rights. The Director, Office of Civil Rights is delegated authority to:
(1) Serve as the Director of Equal Employment Opportunity.
(2) Serve as the compliance coordinator for:
(i) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), as amended, and related regulations;
(ii) Section 504 of the Rehabilitation Act of 1973;
(iii) The Americans with Disabilities Act (ADA); and
(iv) Other nondiscrimination statutes, regulations, Executive Orders, and policies.
(3) Investigate complaints of civil rights discrimination, conduct compliance reviews, and provide technical assistance to recipients of NHTSA financial assistance and stakeholders.
(4) Review and evaluate the civil rights programs of State Department of Motor Vehicles and Highway Safety Offices to ensure that recipients of NHTSA financial assistance meet applicable Federal civil rights requirements.
(d) Chief Counsel. The Chief Counsel is delegated authority to:
(1) Exercise the powers and perform the duties of the Administrator with respect to:
(i) Issuing odometer regulations authorized under 49 U.S.C. chapter 327.
(ii) Providing technical assistance and granting extensions of time to the states under 49 U.S.C. 32705.
(iii) Granting or denying petitions for approval of alternate motor vehicle mileage disclosure requirements under 49 U.S.C. 32705.
(2) Establish the legal sufficiency of all investigations and enforcement actions conducted under the authority of 49 U.S.C. chapters 301, 303, 321, 323, 325, 327, 329 and 331; to make an initial penalty demand based on a violations of any of these chapters; and to compromise:
(i) Any civil penalty imposed under 49 U.S.C. 30165 in an amount of $1,000,000 or less.
(ii) Any civil penalty or monetary settlement other than those imposed under 49 U.S.C. 30165 in an amount of $100,000 or less.
(3) Exercise the powers of the Administrator under 49 U.S.C. 30166(c), (g), (h), (i), and (k).
(4) Issue subpoenas, after notice to the Administrator, for the attendance of witnesses and production of documents pursuant to 49 U.S.C. chapters 301, 321, 323, 325, 327, 329 and 331.
(5) Issue authoritative interpretations of the statutes administered by NHTSA and the regulations issued by the agency.
(6) Administer 5 U.S.C. 552 (FOIA) and 49 CFR part 7 (Public Availability of Information) in connection with the records of NHTSA.
(7) Administer the Privacy Act of 1974, 5 U.S.C. 552a, and 49 CFR part 10 (Maintenance of and Access to Records Pertaining to Individuals) in connection with the records of NHTSA.
(8) Carry out the functions and exercise the authority vested in the Secretary for 23 U.S.C. 313 (Buy America), with respect to matters within the primary responsibility of NHTSA.
(e) Associate Administrator for Administration. The Associate Administrator for Administration is delegated authority to administer and conduct NHTSA’s personnel management activities; conduct administrative and management services in support of NHTSA missions and programs; and administer an executive correspondence program.
(f) Associate Administrator for Communications and Consumer Information. The Associate Administrator for Communications and Consumer Information is delegated authority to manage and coordinate market research, planning coordination, development, and promotion of public education campaigns for both paid media and unpaid public services to support program efforts; develop overall agency messaging and communications strategies in support of program initiatives; and develop agency policies on messaging and communications procedures and processes.
(g) Associate Administrator for Enforcement. The Associate Administrator for Enforcement is delegated authority to administer the NHTSA enforcement program for all laws, standards, and regulations pertinent to vehicle safety, fuel economy, theft prevention, damageability, consumer information, and odometers, authorized under 49 U.S.C. chapters 301, 323, 325, 327, 329, and 331; conduct testing, inspection, and investigation necessary for the identification and correction of safety-related defects in motor vehicles and motor vehicle equipment and noncompliances with Federal motor vehicle safety standards; make initial decisions concerning alleged safety-related defects and noncompliances with Federal motor vehicle safety standards; grant or deny a manufacturer’s petition for decision of inconsequential defect or noncompliance and exemption from the notification and remedy requirements of 49 U.S.C. chapter 301 in connection with a defect or noncompliance; issue regulations relating to the importation of motor vehicles under 49 U.S.C. 30141-30147; and grant and deny petitions for import eligibility determinations submitted to NHTSA by motor vehicle manufacturers and registered importers under 49 U.S.C. 30141.
(h) Associate Administrator for National Center for Statistics and Analysis. The Associate Administrator for National Center for Statistics and Analysis is delegated authority to provide the data, analysis, and evaluation and create and maintain information systems necessary to support the purposes of 49 U.S.C. chapters 301, 303, 323, 325, 327, 329, and 331, 23 U.S.C. chapter 4, any uncodified provisions of law related to such issues, and any cross-cutting safety initiatives; to develop, maintain, and operate the National Driver Register and a nationwide clearinghouse of problem drivers; and to support State integrated highway and traffic records safety information systems.
(i) Associate Administrator for Regional Operations and Program Delivery. The Associate Administrator for Regional Operations and Program Delivery is delegated authority, except for authority reserved to the Administrator, to exercise the powers and perform the duties of the Administrator with respect to grants to States for highway safety programs or other State programs under 23 U.S.C. chapter 4 (except section 403) and uncodified provisions of law, including approval and disapproval of State highway safety plans and vouchers, in accordance with the procedural requirements of the Administration. The Associate Administrator for Regional Operations and Program Delivery is also delegated authority over programs with respect to the authority vested by section 210(2) of the Clean Air Act, as amended (42 U.S.C. 7544(2)); the authority vested by 49 U.S.C. 20134(a) with respect to laws administered by NHTSA pertaining to highway, traffic, and motor vehicle safety, in coordination with the Associate Administrator for Research and Program Development; the authority vested by 23 U.S.C. 153, 154, 158, 161, 163, and 164, in coordination with the Federal Highway Administrator as appropriate; and the authority vested by 23 U.S.C. 404, in coordination with the Associate Administrator for Communications and Consumer Information.
(j) Associate Administrator for Research and Program Development. The Associate Administrator for Research and Program Development is delegated authority to develop and conduct research and development programs and projects necessary to support the purposes of 23 U.S.C. chapter 4, any uncodified provisions of law related to that chapter, and cross-cutting safety initiatives; conduct research and development activities described or specifically enumerated in 23 U.S.C. 403; carry out the functions and exercise the authority vested in the Secretary and Administrator under section 10202 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, Public Law 109-59 [42 U.S.C. 300d-4], as amended by section 31108 of the Moving Ahead for Progress in the 21st Century Act, Public Law 112-141, relating to emergency medical services, except for authority reserved to the Secretary under § 1.21 or the Administrator under § 501.7; and exercise the authority vested by 49 U.S.C. 20134(a) with respect to laws administered by NHTSA pertaining to highway, traffic, and motor vehicle safety, in coordination with the Associate Administrator for Regional Operations and Program Delivery.
(k) Associate Administrator for Rulemaking. The Associate Administrator for Rulemaking is delegated authority, except for authority reserved to the Administrator or delegated to the Chief Counsel, to exercise the powers and perform the duties of the Administrator with respect to the setting of motor vehicle safety and theft prevention standards, fuel economy standards, procedural regulations, the National Driver Register, and the development of consumer information and odometer regulations authorized under 49 U.S.C. chapters 301, 303, 321, 323, 325, 327, 329, and 331, and any uncodified provisions of law related to such issues. The Associate Administrator for rulemaking is also delegated authority to perform activities that support the development of these regulations and standards; extend comment periods (both self-initiated and in response to a petition or request for extension of time) for noncontroversial rulemakings; make technical amendments or corrections to a final rule; extend the effective date of a noncontroversial final rule; and develop and conduct the New Car Assessment Program.
(l) Associate Administrator for Vehicle Safety Research. The Associate Administrator for Vehicle Safety Research is delegated authority to develop and conduct research, development, test, and evaluation programs and projects necessary to support the purposes of 49 U.S.C. chapters 301, 323, 325, 327, 329, and 331, any uncodified provisions of law related to such issues, and any cross-cutting safety initiatives.
(m) Chief Financial Officer. The Chief Financial Officer is delegated authority to direct the NHTSA planning and evaluation system in conjunction with Departmental requirements and planning goals; coordinate the development of the Administrator’s plans, budgets, and programs, and analyses of their expected impact; exercise procurement authority with respect to NHTSA requirements; administer NHTSA financial management programs, including systems of funds control and accounts of all financial transactions; and enter into inter- and intra-departmental reimbursable agreements other than with the head of another Department or agency, provided that this authority to enter into such agreements may be redelegated only to Office Directors and Contracting Officers.
(n) Chief Information Officer. The Chief Information Officer is delegated authority to formulate IT policy, guidance, procedures, security, and best practices; implement an IT capital planning program, an integrated Enterprise Architecture program, and a mission information protection program that ensures privacy, security, and critical infrastructure protection for NHTSA systems and data; and provide for other NHTSA IT functions to support the agency’s mission, performance goals, and objectives.
PART 509 – OMB CONTROL NUMBERS FOR INFORMATION COLLECTION REQUIREMENTS
§ 509.1 Purpose.
This part collects and displays the control numbers assigned to information collection requirements of NHTSA by the Office of Management and Budget (OMB). NHTSA intends that this part comply with the requirements of 44 U.S.C. 3507(f), which mandates that agencies display a current control number assigned by the Director of the OMB for each agency information collection requirement.
§ 509.2 Display.
| 49 CFR part or section containing information collection requirement | OMB control No. |
|---|---|
| Part 512 | 2127-0025 |
| Part 537 | 2127-0019 |
| Part 538 | 2127-0554 |
| Part 541 | 2127-0510 |
| Part 542 | 2127-0539 |
| Part 543 | 2127-0542 |
| Part 544 | 2127-0547 |
| Section 551.45 | 2127-0040 |
| Part 552 and Part 527 | 2127-0046 |
| Part 556 | 2127-0045 |
| Part 557 | 2127-0039 |
| Part 566 | 2127-0043 |
| Consolidated owners’ manual requirements for vehicles and equipment (§§ 571.126, 571.205 571.208, 571.210, and 575.105) | 2127-0541 |
| Consolidatd labeling requirements for tires and rims (parts 569 and 574, §§ 571.109, 571.110, 571.117, 571,119, and 571.120) | 2127-0503 |
| Consolidated VIN and Theft Prevention Standard and Labeling Requirements (parts 541, 565, 567 and § 571.115) | 2127-0510 |
| Consolidated lighting requirements (part 564 and § 571.108) | 2127-0563 |
| Section 571.106 | 2127-0052 |
| Section 571.116 | 2127-0521 |
| Section 571.125 | 2127-0506 |
| Section 571.205 | 2127-0038 |
| Section 571.209 | 2127-0512 |
| Section 571.213 | 2127-0511 |
| Section 571.214 | 2127-0558 |
| Section 571.217 | 2127-0505 |
| Section 571.218 | 2127-0518 |
| Part 573 | 2127-0004 |
| Part 574 | 2127-0050 |
| Part 575 excluding UTQGS | 2127-0049 |
| Section 575.104 (UTQGS) | 2127-0519 |
| Part 576 | 2127-0042 |
| Part 580 | 2127-0047 |
| Part 585 | 2127-0535 |
| Parts 591 and 592 | 2127-0002 |
PART 510 – INFORMATION GATHERING POWERS
§ 510.1 Scope and purpose.
This rule governs the use of the information gathering powers of the National Highway Traffic Safety Administration contained in section 112 of the National Traffic and Motor Vehicle Safety Act of 1966, as amended 15 U.S.C. 1401, and sections 104, 204, 414, and 505 of the Motor Vehicle Information and Cost Savings Act, as amended 15 U.S.C. 1914, 1944, 1990d, and 2005.
§ 510.2 Definitions.
(a) NHTSA means the National Highway Traffic Safety Administration.
(b) Administrator means the Administrator of the National Highway Traffic Safety Administration.
(c) Chief Counsel means the Chief Counsel of the National Highway Traffic Safety Administration.
(d) Deputy Administrator means the Deputy Administrator of the National Highway Traffic Safety Administration.
(e) Person includes agents, officers, and employees of sole proprietorships, partnerships, corporations, and other entities.
§ 510.3 Compulsory process, the service thereof, claims for confidential treatment, and terms of compliance.
(a) NHTSA may use any of the following means to conduct investigations, inspections, or inquiries to obtain information to carry out its functions under the National Traffic and Motor Vehicle Safety Act of 1966, as amended, 15 U.S.C. 1381 et seq., and the Motor Vehicle Information and Cost Savings Act, as amended, 15 U.S.C. 1901 et seq.:
(1) Subpoenas;
(2) Information gathering hearings;
(3) Administrative depositions;
(4) General or special orders; and
(5) Written requests for the production of documents and things.
(b) A person, sole proprietorship, partnership, corporation, or other entity served with compulsory process under this part shall be provided with the following information at the time of the service:
(1) The name of the person, sole proprietorship, partnership, corporation, or other entity to which the process is addressed;
(2) The statutory provision under which the compulsory process is issued;
(3) The date, time, and place of return;
(4) A brief statement of the subject matter of the investigation, inspection, or inquiry; and
(5) In the case of a subpoena duces tecum or a written request for the production of documents and things, a reasonably specific description of the documents or things to be produced.
(c) Service of the compulsory processes specified in paragraph (a) of this section is effected:
(1) By personal service upon the person, agent-in-charge, or agent designated to receive process under 15 U.S.C. 1399(e) of the sole proprietorship, partnership, corporation or other entity being investigated, inspected, or inquired of; or
(2) By mail (registered or certified) or delivery to the last known residence or business address of such person or agent.
(d) The date of service of any compulsory process specified in paragraph (a) of this section is the date on which the process is mailed by the agency, or delivered in person, as the case may be. Whenever a period is prescribed for compliance with compulsory process, and the process is served upon the party by mail, 3 days are added to the period.
(e)(1) Any person, sole proprietorship, partnership, corporation, or other entity submitting information or producing documents or things in response to any compulsory process issued under this part may request confidential treatment for all or part of that information or for those documents or things.
(2)(i) Except as provided in paragraph (e)(2)(ii) of this section, requests for confidentiality shall be in writing, and addressed to the Chief Counsel.
(ii) Requests for confidentiality made during an information gathering hearing or an administrative deposition may be made orally to the presiding officer. Any oral request for confidentiality shall be supplemented by a written request, and this written request must be addressed to the Chief Counsel and received by NHTSA within five days of the date of the oral request.
(iii) A written request for confidentiality under paragraph (e) of this section shall specify the information, documents, or things which are to be kept confidential, specify the grounds upon which the claim is based, provide such information as may be necessary to permit the NHTSA to determine whether the claim is valid, and specify the period of time for which confidential treatment is requested.
(f) The Chief Counsel, or his or her delegate, is authorized to negotiate and approve the terms of satisfactory compliance with any compulsory process issued under this part.
§ 510.4 Subpoenas, generally.
NHTSA may issue to any person, sole proprietorship, partnership, corporation, or other entity a subpoena requiring the production of documents or things (subpoena duces tecum) and testimony of witnesses (subpoena ad testificandum), or both, relating to any matter under investigation or the subject of any inquiry. Subpoenas are issued by the Chief Counsel. When a person, sole proprietorship, partnership, corporation, or other entity is served with a subpoena ad testificandum under this part, the subpoena will describe with reasonable particularity the matters on which the testimony is required. In response to a subpoena ad testificandum, the sole proprietorship, partnership, corporation, or other entity so named shall designate one or more officers, directors, or managing agents, or other persons who consent to testify on its behalf, and set forth, for each person designated, the matters on which he or she will testify. The persons so designated shall testify as to matters known or reasonably available to the entity.
§ 510.5 Information gathering hearings.
(a) NHTSA may issue a subpoena to compel any person, sole proprietorship, partnership, corporation, or other entity to provide information at an information gathering hearing. The subpoenas are used for the purpose of obtaining testimony from a witness under oath and obtaining relevant documents and things. The Administrator, or a NHTSA employee designated by the Administrator, presides at the hearing. Information gathering hearings are open to the public unless the presiding officer rules otherwise, and the hearings are stenographically reported.
(b) In addition to the presiding officer, one or more other persons may comprise the panel. Each member of the panel may question any witness at the hearing. No person who is not a member of the panel may ask questions of a witness. However, any person may submit to the panel, in writing, proposed questions to be asked of a witness. A member of the panel may pose these questions to the witness if that member deems the questions useful and appropriate. Proposed questions may be submitted to the panel at any time before or during the course of the hearing.
(c) The stenographic record of each witness’s testimony will be available to the public, unless the testimony was not given publicly and the witness requests confidential treatment for some or all of his or her testimony. When an oral request for confidential treatment is made during the course of a witness’s testimony, the presiding officer may order the hearing closed to the public at that point and continue the questioning of the witness, or may note the request for confidentiality and direct the witness not to answer the question at that time, but require the witness to answer the question in writing within some specified period, or take such other action as the presiding officer deems appropriate. If a request for confidential treatment is made, the release of the record is governed by the applicable laws or regulations relating to the handling of allegedly confidential information. To the extent that some or all of a witness’s testimony is not publicly available, that witness may procure a copy of his or her testimony as recorded upon payment of lawfully prescribed costs.
(d)(1) Any person who is required by subpoena or designated by an entity that is required by subpoena to provide information at an information gathering hearing conducted under this section may be accompanied, represented, and advised by counsel. Any member of the bar of a Federal court or the courts of any State or Territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia, and any representative, official, or employee of the sole proprietorship, partnership, corporation or other entity under subpoena may act as counsel.
(2) A witness appearing in response to subpoena may confer in confidence with his or her counsel or representative concerning any questions asked of the witness. If such witness, counsel, or representative objects to a question, he or she shall state the objection and basis therefor on the record.
(e) The presiding officer at an information gathering hearing takes all necessary action to regulate the course of the hearing, to avoid delay, and to assure that reasonable standards of orderly and ethical conduct are maintained. In any case in which counsel for or a representative of a witness has refused to comply with the presiding officer’s directions, or to adhere to reasonable standards of orderly and ethical conduct in the course of a hearing, the presiding officer states on the record the reasons given, if any, for the refusal and, if the presiding officer is someone other than the Administrator, immediately reports the refusal to the Administrator. The Administrator thereupon takes such action as the circumstances warrant.
(f) Where appropriate, the procedures established in this subsection may be utilized in informal hearings conducted by NHTSA pursuant to its authority under sections 152 and 156 of the Safety Act (15 U.S.C. 1412, 1416) to receive data, views and arguments concerning alleged safety-related defects. The rights accorded to witnesses in this subsection may also be accorded to witnesses who appear voluntarily at such hearings.
§ 510.6 Administrative depositions.
(a) NHTSA may issue a subpoena to compel any person, sole proprietorship, partnership, corporation, or other entity to provide information as a witness at an administrative deposition. These depositions are for the purpose of obtaining information from the witness under oath and receiving documents and things relevant to an agency investigation. These depositions shall be taken before an officer authorized to administer oaths by the laws of the United States or of the place where the deposition is taken. Unless otherwise ordered by the Administrator, administrative depositions are closed to the public.
(b) Any person who is required by subpoena or designated by an entity that is required by subpoena to produce documents or things or to give testimony as a witness at an administrative deposition conducted under this section may be accompanied, represented, and advised by counsel. Any member of the bar or a Federal court or the courts of any State or Territory of the United States, the Commonwealth of Puerto Rico, or the District of Columbia and any representative, official, or employee of the person, sole proprietorship, partnership, corporation, or other entity under subpoena may act as counsel.
(c) During an administrative deposition:
(1) The presiding officer before whom the deposition is to be taken puts the witness on oath and personally, or by someone acting under his or her direction and in his or her presence, records the testimony of the witness. The testimony is stenographically reported.
(2) After NHTSA has examined the witness at the deposition, that witness’ counsel or representative may examine the witness. NHTSA may then reexamine the witness and the witness’ counsel or representative may reexamine the witness and so forth, as appropriate.
(3) A witness appearing in response to a subpoena may confer in confidence with his or her counsel or representative concerning any questions asked of the witness. If such witness, counsel, or representative objects to a question, he or she shall state the objection and the basis therefor on the record.
(4) Objections to the qualifications of the officer taking the deposition, or to the manner of taking it, or to the evidence presented, and any other objection to the proceedings shall be noted by the officer on the record, and shall be treated as continuing. Evidence objected to shall be taken subject to the objections. Errors and irregularities occurring at a deposition in the manner of the taking of the deposition, in the form of questions or answers, or in the oath or affirmation, and errors of any kind which might be obviated, removed, or cured if promptly presented shall be deemed to be waived unless reasonable objection is made thereto at the taking of the deposition.
(5) If the witness refuses to answer any question or answers evasively, or if the witness or his or her counsel engages in conduct likely to delay or obstruct the administrative deposition, such refusal, evasive answer or conduct shall be a failure to comply with the subpoena issued to the witness.
(6) Upon completion of the examination of a witness, the witness may clarify on the record any of his or her answers.
(d) The transcript of the testimony of a witness who testified in response to a subpoena at an administrative deposition is submitted to the witness for signature, unless the witness waives the right to sign the transcript. If a witness desires to make any changes in the form or substance contained in the transcript, the witness shall submit, together with the transcript, a separate document setting forth the changes and stating the reasons for such changes. If the deposition is not signed by the witness within 30 days of its submission to the witness, or such other period as the NHTSA may designate, the officer before whom the deposition was taken or a NHTSA employee signs the transcript and states on the record the fact of the waiver of the right to sign or the fact of the witness’ unavailability or inability or refusal to sign together with the reasons, if any, given therefor.
(e) The transcript of the testimony of a witness will be inspected by NHTSA to determine if there are any errors in the transcription of the questions posed to the witness and the testimony in response to those questions. If NHTSA discovers any errors, it notes that fact and forwards the notation of errors together with the transcript to the witness, requesting the witness to stipulate that the transcript is in error and that the corrections made by NHTSA are accurate. If the witness will not make this stipulation, NHTSA may make a motion to the presiding officer to include its notation of error and its corrections in the record along with the version of the testimony signed by the witness.
(f)(1) Upon payment of lawfully prescribed costs, any person who is required by subpoena or designated by a sole proprietorship, partnership, corporation, or other entity that is required by subpoena to appear as a witness at an administrative deposition may procure a copy of the deposition as recorded, except that in a nonpublic investigatory proceeding, the witness may, for good cause, be limited to an inspection of the record of the deposition.
(2) A copy of the record of the deposition may be furnished to the witness without charge or at a reduced charge if the Associate Administrator for Administration determines that waiver of the fee is in the public interest because furnishing the copy can be considered as primarily benefitting the general public. Any witness who seeks a waiver of the copying charge may apply in writing to the Associate Administrator for Administration, and shall state the reasons justifying waiver of the fee in the application.
(g) The testimony obtained in an adminstrative deposition may be used or considered by the NHTSA in any of its activities, and may be used or offered into evidence in any administrative proceeding in accordance with the provisions of 5 U.S.C. 554, or in any judicial proceeding.
§ 510.7 General or special orders.
The NHTSA may require by the issuance of general or special orders any person, sole proprietorship, partnership, corporation, or other entity to file with the NHTSA, in such form as NHTSA may prescribe, periodic or special reports or answers in writing to specific questions. The responses to general or special orders will provide NHTSA with such information as it may require, including, but not limited to, information relating to the organization of that person, sole proprietorship, partnership, corporation, or other entity, its business, conduct, practices, management, and relation to any other person or entity. General or special orders which are required to be answered under oath are issued by the Chief Counsel. Any general or special order issued under this section contains the information specified in § 510.3(b). Reports and answers filed in response to general or special orders must be made under oath, or otherwise, as NHTSA may prescribe.
§ 510.8 Written requests for the production of documents and things.
The NHTSA may, by the issuance of a written request for the production of documents and things, require any person, sole proprietorship, partnership, corporation, or other entity to produce documents or things. A written request for the production of documents and things may be issued alone, or as a part of a general or special order issued under § 510.7. Written requests for the production of documents and things are issued by the Chief Counsel. Any written request for the production of documents and things issued under this section shall contain the information specified in § 510.3(b).
§ 510.9 Motions to modify, limit, or quash process.
(a)(1) Any person, sole proprietorship, partnership, corporation, or other entity served with a subpoena issued under § 510.4 may file with the Deputy Administrator a motion to modify, limit, or quash that subpoena. If there is no Deputy Administrator, or the Deputy Administrator is not available, such motions shall be filed with and decided by the Associate Administrator for Administration. A motion to modify, limit, or quash must be filed not later than 15 days after the service of the process or five days before the return date specified in the process, whichever is earlier, except that, if the process is served within five days of its return date, such motion may be filed at any time before the return date. Any motion must set forth the grounds and theories of why and how the party believes the process should be modified, limited, or quashed and must contain all facts and arguments which support those grounds and theories.
(2) The Deputy Administrator may, upon receiving a motion filed pursuant to paragraph (a)(1) of this section:
(i) Deny the motion;
(ii) Modify the return date of the subpoena;
(iii) Modify, limit or quash the subpoena;
(iv) Condition granting the motion upon certain requirements; or
(v) Take any other action he or she believes to be appropriate in the circumstances.
(3) The Office of the Deputy Administrator serves the decision on the motion on the moving party or the counsel or representative of the moving party. This service may be made by personal service, by registered or certified mail, or by reading a copy of the decision to the moving party or the counsel or representative of the moving party.
(4) A denial of any motion properly filed under this section shall be in writing, and shall contain a brief statement of the facts involved and the conclusions drawn from those facts by the Deputy Administrator.
(b) The Deputy Administrator’s decision on the motion to modify, limit, or quash, filed under paragraph (a) of this section is not subject to reconsideration by NHTSA.
§ 510.10 Supplementation of responses to process.
(a) A person, sole proprietorship, partnership, corporation, or other entity which has provided NHTSA with information under this part, which information was complete and accurate at the time the information was given to NHTSA, is not required to supplement that information in the light of after acquired information, except:
(1) The person or entity to whom the process is addressed shall supplement the response with respect to any question directly addressed to the identity and location of persons having knowledge of information obtainable under this part.
(2) The person or entity to whom the process is addressed shall seasonably amend a prior response if that person or entity obtains information upon the basis of which the person or entity knows that the response was incorrect when made or the person or entity knows that the response, though correct when made, is no longer true and the circumstances are such that a failure to amend the response is in substance a knowing concealment.
(b) The requirement to supplement information set forth in paragraph (a) of this section terminates when:
(1) The compulsory process stated that it was issued in connection with a contemplated rulemaking action, and a final rule is issued on that subject or a notice is issued announcing that the rulemaking action has been suspended or terminated.
(2) The compulsory process stated that it was issued in connection with an enforcement investigation, and the investigation is closed.
(3) The compulsory process does not state that it is issued in connection with a specific rulemaking action or enforcement investigation, and 18 months have passed since the date of the original response.
(c) This section in no way limits NHTSA’s authority to obtain supplemental information by specific demands through the means specified in § 510.3.
§ 510.11 Fees.
Any person compelled to appear in person in response to a subpoena issued under this part at an information gathering hearing or an administrative deposition is paid the same attendance and mileage fees as are paid witnesses in the courts of the United States, in accordance with title 28, U.S.C., section 1821.
§ 510.12 Remedies for failure to comply with compulsory process.
Any failure to comply with compulsory process authorized by law and issued under this part is a violation of this part. In the event of such failure to comply, NHTSA may take appropriate action pursuant to the authority conferred by the National Traffic and Motor Vehicle Safety Act or the Motor Vehicle Information and Cost Savings Act, as appropriate, including institution of judicial proceedings to enforce the order and to collect civil penalties.
PART 511 – ADJUDICATIVE PROCEDURES
Subpart A – Scope of Rules; Nature of Adjudicative Proceedings, Definitions
§ 511.1 Scope of the rules.
This part establishes rules of practice and procedure for adjudicative proceedings conducted pursuant to section 508(a)(2) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. Pub. L. 94-163, 89 Stat. 911, section 2008(a)(2)), which are required by statute to be determined on the record after opportunity for a public hearing.
§ 511.2 Nature of adjudicative proceedings.
Adjudicative proceedings shall be conducted in accordance with title 5, U.S.C., sections 551 through 559 and this part. It is the policy of the agency that adjudicative proceedings shall be conducted expeditiously and with due regard to the rights and interests of all persons affected, and to the public interest. Therefore, the presiding officer and all parties shall make every effort at each stage of a proceeding to avoid unnecessary delay.
§ 511.3 Definitions.
(a) As used in this part:
(1) The term application means an ex parte request by a party for an order that may be granted or denied without opportunity for response by any other party.
(2) The term NHTSA means the National Highway Traffic Safety Administration.
(3) The term Administrator means the Administrator of the National Highway Traffic Safety Administration.
(4) The term Complaint Counsel means prosecuting counsel for the NHTSA.
(5) The term motion means a request by a party for a ruling or order that may be granted or denied only after opportunity for response by each affected party.
(6) The term party means the NHTSA, and any person named as a respondent in a proceeding governed by this part.
(7) The term person means any individual, partnership, corporation, association, public or private organization, or Federal, State or municipal governmental entity.
(8) The term petition means a written request, made by a person or a party and addressed to the Presiding Officer or the Administrator, that the addressee take some action.
(9) The term Presiding Officer means the person who conducts an adjudicative hearing under this part, who shall be an administrative law judge qualified under title 5, U.S.C., section 3105 and assigned by the Chief Administrative Law Judge, Office of Hearings, United States Department of Transportation.
(10) The term Respondent means any person against whom a complaint has been issued.
(11) The term Office of Hearings means the Officer of Hearings, Department of Transportation.
(12) The term staff means the staff of the National Highway Traffic Safety Administration.
(13) The term Chief Administrative Law Judge means the Chief Administrative Law Judge of the Office of Hearings, Department of Transportation.
(14) The term Docket Section means the Docket Section, Office of the Secretary of Transportation.
Subpart B – Pleadings; Form; Execution; Service of Documents
§ 511.11 Commencement of proceedings.
(a) Notice of institution of an enforcement proceeding. An adjudicative proceeding under this part is commenced by the issuance of a complaint by the NHTSA.
(b) Form and content of complaint. The complaint shall be signed by the Complaint Counsel and shall contain the following:
(1) Recital of the legal authority for instituting the proceeding, with specific designation of the statutory provisions involved in each allegation.
(2) Identification of each respondent.
(3) A clear and concise statement of the charges, sufficient to inform each respondent with reasonable definiteness of the factual basis of the allegations of violation. A list and summary of documentary evidence supporting the charges shall be attached.
(4) A statement of the civil penalty which the Complaint Counsel believes is in the public interest, or which is required by law. In the case of civil penalties assessed for violations of section 507(3) of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2007(3)), the amount of such penalty shall be calculated from the time of the alleged violation. In the case of civil penalties assessed for violations of section 507 (1) or (2) of that Act, any monetary credits available to offset those civil penalties shall be specified.
(5) The right of the respondent to a hearing on the alleged violations.
(c) Notice to the public. Once a complaint is issued, notice of it shall be immediately submitted to the
§ 511.12 Answer.
(a) Time for filing. A respondent shall have twenty (20) days after service of a complaint within which to file an answer.
(b) Content of answer. An answer shall conform to the following:
(1) Request for hearing. Respondent shall state whether it requests a full, adjudicatory hearing or whether it desires to proceed on the basis of written submissions. If a hearing is requested, respondent shall specify those issues on which a hearing is desired.
(2) Contested allegations. An answer in which the allegations of a complaint are contested shall contain:
(i) Specific admission or denial of each allegation in the complaint. If the respondent is without knowledge or information sufficient to form a belief as to the truth of an allegation, respondent shall so state. Such a statement shall have the effect of a denial. Denials shall fairly meet the substance of the allegations denied. Allegations not thus answered shall be deemed to have been admitted.
(ii) A concise statement of the factual and/or legal defenses to each allegation of the complaint.
(3) Admitted allegations. If the respondent admits or fails to deny any factual allegation, he or she shall be deemed to have waived a hearing as to such allegation.
(c) Default. Failure of the respondent to file an answer within the time provided (or within an extended time, if provided), shall be deemed to constitute a waiver of the right to appear and contest the allegations set forth in the complaint and to authorize the Presiding Officer to make such findings of fact as are reasonable under the circumstances.
§ 511.13 Amendments and supplemental pleadings.
Whenever determination of a controversy on the merits will be facilitated thereby, the Presiding Officer upon motion, may allow appropriate amendments and supplemental pleadings which do not unduly broaden the issues in the proceeding or cause undue delay.
§ 511.14 Form and filing of documents.
(a) Filing. Except as otherwise provided, all documents submitted to the Administrator or a Presiding Officer shall be filed with the Docket Section, Office of the Secretary, Department of Transportation, Room 4107, 400 Seventh Street, SW., Washington, DC 20590. Documents may be filed in person or by mail and shall be deemed filed on the day of filing or mailing.
(b) Caption. Every document shall contain a caption setting forth the name of the action in connection with which it is filed, the docket number, and the title of the document.
(c) Copies. An original and nine (9) copies of all documents shall be filed. Documents may be reproduced by printing or any other process, provided that all copies filed are clear and legible.
(d) Signature. (1) The original of each document filed shall be signed by a representative of record for the party; or in the case of parties not represented, by the party; or by a partner, officer, or regular employee of any corporation, partnership, or association, who files an appearance on behalf of the party.
(2) The act of signing a document constitutes a representation by the signer that the signer has read it; that to the best of the signer’s knowledge, information and belief, the statements made in it are true; and that it is not filed for purposes of delay.
§ 511.15 Time.
(a) Computation. In computing any period of time prescribed or allowed by the rules in this part, the day of the act, event, or default from which the designated period of time begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period runs until the end of the next day which is not a Saturday, a Sunday, or a legal holiday. When the period of time prescribed or allowed is less than 7 days, intermediate Saturdays, Sundays, and legal holidays shall be excluded in the computation. As used in this part, “legal holiday” includes New Year’s Day, Washington’s Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran’s Day, Thanksgiving Day, Christmas Day, and any other day appointed as a holiday by the President or the Congress of the United States.
(b) Additional time after service by mail. Whenever a party is required or permitted to do an act within a prescribed period after service of a document and the document is served by mail, three (3) days shall be added to the prescribed period.
(c) Extensions. For good cause shown, the Presiding Officer may extend any time limit prescribed or allowed under this part or by order of the Administrator or the Presiding Officer, except those governing the filing of interlocutory appeals and appeals from Initial Decisions and those expressly requiring the Administrator’s action. Except as otherwise provided by law, the Administrator, for good cause shown, may extend any time limit prescribed under this part, or by order of the Administrator or the Presiding Officer. A party or participant may petition the Presiding Officer or the Administrator, as appropriate, for an extension under this paragraph. Such a petition shall be filed prior to the occurrence of the time limit which is the subject of the petition.
§ 511.16 Service.
(a) Mandatory service. Every document filed with the Office of Hearings shall be served upon all parties and participants to a proceeding, i.e., Complaint Counsel, respondent(s), and participants, and upon the Presiding Officer.
(b) Service of complaint, ruling, order, decision, or subpoena. Service of a complaint, ruling, order, decision, or subpoena may be effected as follows:
(1) By registered or certified mail. A copy of the document shall be addressed to the person, partnership, corporation or unincorporated association to be served at his or its residence or principal office or place of business; registered or certified; and mailed; or
(2) By delivery to an individual. A copy of the document may be delivered to the person to be served; or to a member of the partnership to be served; or to the president, secretary, or other executive officer, or a director of the corporation or unincorporated association to be served; or to an agent authorized by appointment or by law to receive service; or
(3) By delivery to an address. A copy of the document may be left at the principal office or place of business of the person, partnership, corporation, unincorporated association, or authorized agent with an officer, a managing or general agent; or it may be left with a person of suitable age and discretion residing therein, at the residence of the person or of a member of the partnership or of an executive officer, director, or agent of the corporation or unincorporated association to be served.
(c) Service of documents with prescribed response periods. When service of a document starts the running of a prescribed period of time for the submission of a responsive document or the occurrence of an event, the document shall be served as provided in paragraph (b) of this section.
(d) Service of other documents. All documents other than those specified in paragraph (c) of this section may be served as provided in paragraph (b) of this section, or by ordinary first-class mail, properly addressed, postage prepaid.
(e) Service on a representative. When a party has appeared by an attorney or other representative, service upon that attorney or other representative shall constitute service on the party.
(f) Certificate of service. The original of every document filed with the agency and required to be served upon all parties to a proceeding shall be accompanied by a certificate of service signed by the party making service, stating that such service has been made upon each party to the proceeding. Certificates of service may be in substantially the following form:
I hereby certify that I have this day served the foregoing document upon all parties of record in this proceeding by mailing, postage prepaid (or by delivering in person) a copy to each such party.
Dated at __________ this __ day of __________, 19__.
(g) Date of service. The date of service of a document shall be the date on which the document is deposited in the United States mail or is delivered in person.
§ 511.17 Public participation.
Participant Status. Any person interested in a proceeding commenced pursuant to § 511.11 who desires to participate in the proceeding, shall file with the Docket Section a notice of intention to participate in the proceeding and shall serve a copy of such notice on each party to the proceeding. A notice of intention to participate shall be filed not later than the commencement of the hearing. Untimely filings will not be accepted absent a determination by the Presiding Officer that the person making the request has made a substantial showing of good cause for failure to file on time. Any person who files a notice to participate in the proceeding as a nonparty shall be known as a “participant” and shall have the rights specified in § 511.41(d).
§ 511.18 Joinder of proceedings.
Two or more matters which have been scheduled for adjudicative proceedings, and which involve one or more common questions of law or fact, may be consolidated for the purpose of hearing, appeal or the Administrator’s review. A motion for consolidation for the purpose of hearing may be filed with the Presiding Officer by any party to such proceedings not later than thirty (30) days prior to the hearing. A motion for consolidation for the purpose of appeal may be filed by any party to such proceedings within 10 days after issuance of the Initial Decision. A motion to consolidate shall be served upon all parties to all proceedings whose joinder is contemplated. The proceedings may be consolidated where to do so would tend to avoid unnecessary costs or delay. Such consolidation may also be ordered upon the initiative of the Presiding Officer or the Administrator, as appropriate. The Presiding Officer may order separate hearings on any issue where to do so would promote economy or convenience or would avoid prejudice to a party.
Subpart C – Prehearing Procedures; Motions; Interlocutory Appeals; Summary Judgment; Settlement
§ 511.21 Prehearing conferences.
(a) When held. (1) A prehearing conference shall be held in person or by conference telephone call, except in unusual circumstances, approximately fifty (50) days after publication in the
(i) Motions for consolidation of proceedings;
(ii) Identification, simplification and clarification of the issues;
(iii) Necessity or desirability of amending the pleadings;
(iv) Stipulations and admissions of fact and of the content and authenticity of documents;
(v) Oppositions to notices of oral examination;
(vi) Motions for protective orders to limit or modify discovery;
(vii) Issuance of subpoenas to compel the appearance of witnesses and the production of documents;
(viii) Limitation of the number of witnesses, particularly the avoidance of duplicate expert witnesses;
(ix) Matters of which official notice will be taken and matters which may be resolved by reliance upon findings of other Federal agencies; and
(x) Other matters which may expedite the conduct of the hearing.
§ 511.22 Prehearing briefs.
Not later ten (10) days prior to the hearing, the parties shall, except when ordered otherwise by the Presiding Officer in unusual circumstances, simultaneously serve and file prehearing briefs, which shall set forth (a) a statement of the facts expected to be proved, and of the anticipated order of proof; (b) a statement of the issues and the legal argument in support of the party’s contentions with respect to each issue; and (c) a table of authorities with a designation by asterisk of the principal authorities relied upon.
§ 511.23 Motions.
(a) Presentations and dispositions. During the time a proceeding is before a Presiding Officer, all motions, whether oral or written, except those filed under § 511.42(e), shall be addressed to the Presiding Officer, who shall rule upon them promptly after affording an opportunity for response.
(b) Written motions. All written motions shall state the particular order, ruling, or action desired and the grounds therefor. If a motion is supported by memoranda, affidavits or other documents, they shall be served and filed with the motion. All motions shall contain a proposed order setting forth the relief sought. All written motions shall be filed with the Executive Secretary and served on all parties, and all motions addressed to the Administrator shall be in writing.
(c) Responses. Within ten (10) days after service of any written motion or petition or within such longer or shorter time as may be designated by these Rules or by the Presiding Officer or the Administrator, the opposing party or parties shall file a written response to such motion. Where a motion would affect only a single party, or an identifiable group of parties, the Presiding Officer or Administrator may limit the response to the motion to the affected party or parties. Failure to respond to a written motion may, in the discretion of the Presiding Officer be deemed as consent to the granting of the relief sought in the motion. The moving party shall have no right to reply, except as permitted by the Presiding Officer or the Administrator.
(d) Rulings on motions for dismissal. When a motion to dismiss a complaint or motion for other relief is granted with the result that the proceeding before the Presiding Officer is terminated, the Presiding Officer shall issue an Initial Decision and Order thereon in accordance with the provisions of § 511.51. If such a motion is granted as to all issues alleged in the complaint in regard to some, but not all, of the respondents, or is granted as to any part of the allegations in regard to any or all of the respondents, the Presiding Officer shall enter an order on the record and consider the remaining issues in the Initial Decision. The Presiding Officer may elect to defer ruling on a motion to dismiss until the close of the case.
§ 511.24 Interlocutory appeals.
(a) General. Rulings of the Presiding Officer may not be appealed to the Administrator prior to the Initial Decision, except as provided herein.
(b) Exceptions – (1) Interlocutory appeals to Administrator. The Administrator may, in his or her discretion, entertain interlocutory appeals where a ruling of the Presiding Officer:
(i) Requires the production or disclosure of records claimed to be confidential;
(ii) Requires the testimony of a supervisory official of the agency other than one especially cognizant of the facts of the matter in adjudication;
(iii) Excludes an attorney from participation in a proceeding pursuant to § 511.42(b).
(2) Procedures for interlocutory appeals. Within ten (10) days of issuance of a ruling, any party may petition the Administrator to entertain an interlocutory appeal on a ruling in the categories enumerated above. The petition shall not exceed fifteen (15) pages. Any other party may file a response to the petition within ten (10) days of its service. The response shall not exceed fifteen (15) pages. The Administrator shall thereupon act upon the petition, or the Administrator shall request such further briefing or oral presentation as he may deem necessary.
(3) Interlocutory appeals from all other rulings – (i) Grounds. Interlocutory appeals from all other rulings by the Presiding Officer may proceed only upon motion to the Presiding Officer and a determination by the Presiding Officer in writing, with justification in support thereof, that the ruling involves a controlling question of law or policy as to which there is substantial ground for differences of opinion and that an immediate appeal from the ruling may materially advance the ultimate termination of the litigation, or that subsequent review will be an inadequate remedy.
(ii) Form. If the Presiding Officer determines, in accordance with paragraph (b)(3)(i) of this section that an interlocutory appeal may proceed, a petition for interlocutory appeal may be filed with and acted upon by the Administrator in accordance with paragraph (b)(2) of this section.
(c) Proceedings not stayed. A petition for interlocutory appeal under this part shall not stay the proceedings before the Presiding Officer unless the Presiding Officer shall so order, except that a ruling of the Presiding Officer requiring the production of records claimed to be confidential shall be automatically stayed for a period of (10) days following the issuance of such ruling to allow an affected party the opportunity to file a petition for an interlocutory appeal pursuant to § 511.24(b)(2). The filing of such a petition shall automatically extend the stay of such a ruling pending the Administrator’s action on such petition.
§ 511.25 Summary decision and order.
(a) Motion. Any party may move, with a supporting memorandum, for a Summary Decision and Order in its favor upon all or any of the issues in controversy. Complaint Counsel may so move at any time after thirty (30) days following issuance of a complaint, and any other party may so move at any time after issuance of a complaint. Any such motion by any party shall be filed at least twenty (20) days before the date fixed for the adjudicatory hearing.
(b) Response to motion. Any other party may, within ten (10) days after service of the motion, file a response thereto with a supporting memorandum.
(c) Grounds. A Summary Decision and Order shall be granted if the pleadings and any testimony upon oral examination, answers to interrogatories, admissions, and/or affidavits show that there is no genuine issue as to any material fact and that the moving party is entitled to a Summary Decision and Order as a matter of law.
(d) Legal effect. A Summary Decision and Order upon all the issues being adjudicated shall constitute the Initial Decision of the Presiding Officer, and may be appealed to the Administrator in accordance with § 511.53. A Summary Decision, interlocutory in character, may be rendered on fewer than all issues and may not be appealed prior to issuance of the Initial Decision, except in accordance with § 511.24.
(e) Case not fully adjudicated on motion. A Summary Decision and Order that does not dispose of the whole case shall include a statement of those material facts as to which there is no substantial controversy, and of those material facts that are actually and in good faith controverted. The Summary Order shall direct such further proceedings as are just.
§ 511.26 Settlement.
(a) Applicability. This section applies only to cases of alleged violations of section 507(3) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(3)). Settlement in other cases may be made only in accordance with subpart G of this part.
(b) Availability. Any party shall have the opportunity to submit an offer of settlement to the Presiding Officer.
(c) Form. Offers of settlement shall be in the form of a consent agreement and order, shall be signed by the party submitting the offer or his representative, and may be signed by any other party. Each offer of settlement shall be accompanied by a motion to transmit to the Administrator the proposed agreement and order, outlining the substantive provisions of the agreement, and the reasons why it should be accepted.
(d) Contents. The proposed consent agreement and order which constitute the offer of settlement shall contain the following:
(1) An admission of all jurisdictional facts;
(2) An express waiver of further procedural steps, and of all rights to seek judicial review or otherwise to contest the validity of the order;
(3) A description of the alleged noncompliance, or violation;
(4) Provisions to the effect that the allegations of the complaint are resolved by the proposed consent agreement and order;
(5) A listing of the acts or practices from which the respondent shall refrain;
(6) A detailed statement of the corrective action(s) which the respondent shall excute and the civil penalty, if any, that respondent shall pay.
(e) Transmittal. The Presiding Officer shall transmit to the Administrator for decision all offers of settlement and accompanying memoranda that meet the requirements enumerated in paragraph (d) of this section. The Presiding Officer may, but need not, recommend acceptance or rejection of such offers. Any party or participant may object to a proposed consent agreement by filing a motion and supporting memorandum with the Administrator.
(f) Stay of proceedings. When an offer of settlement has been agreed to by the parties and has been transmitted to the Administrator, the proceedings shall be stayed until the Administrator has ruled on the offer. When an offer of settlement has been made and transmitted to the Administrator but has not been agreed to by all parties, the proceedings shall not be stayed pending the Administrator’s decision on the offer.
(g) Administrator’s ruling. The Administrator will rule upon all transmitted offers of settlement. If the Administrator accepts the offer, the Administrator shall issue an appropriate order. The order shall become effective upon issuance. In determining whether to accept an offer of settlement, the Administrator will consider the gravity of the alleged violation, and any good faith efforts by the respondent to comply with applicable requirements.
(h) Rejection. If the Administrator rejects an offer of settlement, the Administrator shall give written notice of that decision and the reasons therefor to the parties and the Presiding Officer. Promptly thereafter, the Presiding Officer shall issue an order notifying the parties of the resumption of the proceedings, including any modifications to the schedule resulting from the stay of the proceedings.
(i) Effect of rejected offer. Rejected offers of settlement shall not be admissible in evidence over the objection of any signatory, nor shall the fact of the proposal of the offer be admissible in evidence.
Subpart D – Discovery; Compulsory Process
§ 511.31 General provisions governing discovery.
(a) Applicability. The discovery rules established in this subpart are applicable to the discovery of information among the parties to a proceeding. Parties seeking information from persons not parties may do so by subpoena in accordance with § 511.38.
(b) Discovery methods. Parties may obtain discovery by one or more of the following methods: (1) Written interrogatories; (2) requests for production of documents or things; (3) requests for admissions; or (4) testimony upon oral examination. Unless the Presiding Officer otherwise orders under paragraph (d) of this section, the frequency of use of these methods is not limited.
(c) Scope of discovery. The scope of discovery is as follows:
(1) In general. Parties may obtain discovery regarding any matter not privileged, which is relevant to the subject matter involved in the proceedings, whether it relates to the claim or defense of the party seeking discovery or to the claim or defense of any other party. It is not ground for objection that the information sought will be inadmissible at the hearing if the information sought appears reasonably calculated to lead to the discovery of admissible evidence.
(2) Exception. Parties may not obtain discovery of documents which accompanied the staff’s recommendation as to whether a complaint should issue or of documents or portions thereof which would be exempt from discovery under Rule 26(b)(3) of the Federal Rules of Civil Procedure.
(3) Hearing preparation: Experts. A party may obtain discovery of facts known and opinions held by experts, regardless of whether they are acquired or developed in anticipation of or for litigation. Such discovery may be had by any of the methods provided in paragraph (b) of this section.
(d) Protective orders. Upon motion by a party or person and for good cause shown, the Presiding Officer may make any order which justice requires to protect such party or person from annoyance, embarrassment, competitive disadvantage, oppression or undue burden or expense, including one or more of the following: (1) That the discovery shall not be had; (2) that the discovery may be had only on specified terms and conditions, including a designation of the time and/or place; (3) that the discovery shall be had only by a method of discovery other than that selected by the party seeking discovery; (4) that certain matters shall not be inquired into, or that the scope of discovery shall be limited to certain matters; (5) that discovery shall be conducted with no one present except persons designated by the Presiding Officer; (6) that a trade secret or other confidential research, development, or commercial information shall not be disclosed or shall be disclosed only in a designated way or only to designated parties; and (7) that responses to discovery shall be placed in camera in accordance with § 511.45.
(e) Sequence and timing of discovery. Discovery may commence at any time after filing of the answer. Unless otherwise provided in these Rules or by order of the Presiding Officer, methods of discovery may be used in any sequence and the fact that a party is conducting discovery shall not operate to delay any other party’s discovery.
(f) Supplementation of responses. A party who has responded to a request for discovery shall supplement the response with information thereafter acquired.
(g) Completion of discovery. All discovery shall be completed as soon as practical but in no case longer than one hundred fifty (150) days after issuance of a complaint unless otherwise ordered by the Presiding Officer in exceptional circumstances and for good cause shown. All discovery shall be served by a date which affords the party from whom discovery is sought the full response period provided by these Rules.
(h) Service and filing of discovery. All discovery requests and written responses, and all notices of the taking of testimony, shall be filed with the Docket Section and served on all parties and the Presiding Officer.
(i) Control of discovery. The use of these discovery procedures is subject to the control of the Presiding Officer, who may issue any just and appropriate order for the purpose of ensuring their timely completion.
§ 511.32 Written interrogatories to parties.
(a) Availability; procedures for use. Any party may serve upon any other party written interrogatories to be answered by the party served or, if the party served is a public or private corporation or a partnership or association or governmental agency, by any officer or agent, who shall furnish such information as is available to the party. Interrogatories may, without leave of the Presiding Officer, be served upon any party after filing of the answer.
(b) Procedures for response. Each interrogatory shall be answered separately and fully in writing under oath, unless it is objected to, in which event the reasons for objection shall be stated in lieu of an answer. The answers are to be signed by a responsible representative of the respondent and the objections signed by the representative making them. The party upon whom the interrogatories have been served shall serve a copy of the answers, and objections if any, within 30 days after service of the interrogatories. The Presiding Officer may allow a shorter or longer time for response. The party submitting the interrogatories may move for an order under § 511.36 with respect to any objection to or other failure to answer an interrogatory.
(c) Scope of interrogatories. Interrogatories may relate to any matters which can be inquired into under § 511.31(c)(1), and the answers may be used to the extent permitted under this part. An interrogatory otherwise proper is not objectionable merely because an answer to the interrogatory would involve an opinion or contention that relates to fact or to the application of law to fact, but the Presiding Officer may order that such an interrogatory need not be answered until a later time.
(d) Option to produce business records. Where the answer to an interrogatory may be derived or ascertained from the business records of the party upon whom the interrogatory has been served, or from an examination, audit or inspection of such business records, or from a compilation, abstract or summary based thereon, and the burden of deriving the answer is substantially the same for the party serving the interrogatory as for the party served, it is a sufficient answer to the interrogatory to specify the records from which the answer may be derived or ascertained and to afford to the party serving the interrogatory reasonable opportunity to examine, audit or inspect such records and to make copies, complications, abstracts, or summaries.
§ 511.33 Production of documents and things.
(a) Scope. Any party may serve upon any other party a request (1) to produce and permit the party making the request, or someone acting on behalf of that party, to inspect and copy any designated documents (including writings, drawings, graphs, charts, photographs, phono-records, and any other data-compilation from which information can be obtained, translated, if necessary, by the party in possession into reasonably usable form), or (2) to inspect and copy, test or sample tangible things which constitute or contain matters within the scope of § 511.31(c)(1) and which are in the possession, custody or control of the party upon whom the request is served.
(b) Procedure for request. The request may be served at any time after the filing of the answer without leave of the Presiding Officer. The request shall set forth the items to be inspected either by individual item or by category, and shall describe each item or category with reasonable particularity. The request shall specify a reasonable time, place and manner for making the inspection and performing the related acts.
(c) Procedure for response. The party upon whom the request is served shall serve a written response within twenty (20) days after service of the request. The Presiding Officer may allow a shorter or longer time for response. The response shall state, with respect to each item or category requested, that inspection and related activities will be permitted as requested, unless the request is objected to, in which event the reasons for objection shall be stated. If objection is made to only part of an item or category, that part shall be so specified. The party submitting the request may move for an order under § 511.36 with respect to any objection to or other failure to respond to the request or any part thereof, or to any failure to permit inspection as requested.
§ 511.34 Requests for admission.
(a) Procedure for request. A party may serve upon any other party a written request for the admission, for the purposes of the pending proceeding only, of the truth of any matters within the scope of § 511.31(c)(1) set forth in the request that relate to statements or opinions of fact or of the application of law to fact, including the genuineness of documents described in the request. Copies of documents shall be served with the request unless they have been, or are otherwise furnished or made available for inspection and copying. The request may, without leave of the Presiding Officer, be served upon any party after filing of the answer. Each matter as to which an admission is requested shall be separately set forth.
(b) Procedure for response. The matter as to which an admission is requested is deemed admitted unless within thirty (30) days after service of the request, or within such shorter or longer time as the Presiding Officer may allow, the party to whom the request is directed serves upon the party requesting the admission a written answer or objection addressed to the matter, signed by the party or the party’s representatives. If objection is made, the reasons therefore shall be stated.
(c) Effect of admission. Any matter admitted under this section is conclusively established unless the Presiding Officer on motion permits withdrawal or amendment of such admission. The Presiding Officer may permit withdrawal or amendment when the presentation of the merits of the action will be served thereby and the party that obtained the admission fails to satisfy the Presiding Officer that withdrawal or amendment will prejudice that party in maintaining an action or defense on the merits.
§ 511.35 Testimony upon oral examination.
(a) When testimony may be taken. At any time after the answer is filed under § 511.12, upon leave of the Presiding Officer and under such terms and conditions as the Presiding Officer may prescribe, any party may take the testimony of any other party, including the agents, employees, consultants or prospective witnesses of that party at a place convenient to the witness. The attendance of witnesses and the production of documents and things at the examination may be compelled by subpoena as provided in § 511.38.
(b) Notice of oral examination – (1) Examination of a party. A party desiring to examine another party to the proceeding shall, after obtaining leave from the Presiding Officer, serve written notice of the examination on all other parties and the Presiding Officer at least ten (10) days before the date of the examination. The notice shall state (i) the time and place for making the examination; (ii) the name and address of each person to be examined, if known, or if the name is not known, a general description sufficient to identify him; and (iii) the subject matter of the expected testimony. If a subpoena duces tecum is to be served on the person to be examined, the designation of the materials to be produced, as set forth in the subpoena, shall be attached to or included in the notice of examination.
(2) Examination of a nonparty. A party desiring to examine a person who is not a party to the proceeding shall make application for a subpoena, in accordance with § 511.38, to compel the attendance, testimony and/or production of documents by such person who is not a party. The party desiring such examination shall serve written notice of the examination on all other parties to the proceeding, after issuance of the subpoena by the Presiding Officer or a designated alternate.
(3) Opposition to notice. A person served with a notice of examination may, within 3 days of the date of service, oppose, in writing, the examination. The Presiding Officer shall rule on the notice and any opposition and may order the taking of all noticed examinations, upon a showing of good cause therefor. The Presiding Officer may, for good cause shown, enlarge or shorten the time for the taking of an examination.
(c) Persons before whom examinations may be taken. Examinations may be taken before any person authorized to administer oaths by the laws of the United States or of the place where the examination is held. No examination shall be taken before a person who is a relative or employee or attorney or representative of any party, or who is a relative or employee of such attorney or representative, or who is financially interested in the action.
(d) Procedure – (1) Examination. Each witness shall be duly sworn, and all testimony shall be duly recorded. All parties or their representatives may be present and participate in the examination. Examination and cross-examination of witnesses may proceed as permitted at the hearing. Questions objected to shall be answered subject to the objections. Objections shall be in short form, and shall state the grounds relied upon. The questions propounded and the answers thereto, together with all objections made, shall be recorded by the official reporter before whom the examination is made. The original or a verified copy of all documents and things produced for inspection during the examination of the witness shall, upon a request of any party present, be marked for identification and annexed to the record of the examination.
(2) Motion to terminate or limit examination. At any time during the examination, upon motion of any party or of the witness, and upon showing that the examination is being conducted in bad faith or in such manner as unreasonably to annoy, embarrass or oppress the witness or party, the Presiding Officer may, upon motion, order the party conducting the examination to terminate the examination, or may limit the scope and manner of the examination as provided in § 511.31(d).
(3) Participation by parties not present. In lieu of attending an examination, any party may serve written questions in a sealed envelope on the party conducting the examination. That party shall transmit the envelope to the official reporter, who shall unseal it and propound the questions contained therein to the witness.
(e) Transcription and filing of testimony – (1) Transcription. Upon request by any party, the testimony recorded at an examination shall be transcribed. When the testimony is fully transcribed, the transcript shall be submitted to the witness for examination and signing, and shall be read to or by the witness, unless such examination and signature are waived by the witness. Any change in form or substance which the witness desires to make shall be entered upon the transcript of the official reporter with a statement of the reasons given by the witness for making them. The transcript shall then be signed by the witness, unless the parties by stipulation waive the signing, or the witness is ill or cannot be found or refuses to sign. If the transcript is not signed by the witness within thirty (30) days of its submission to him, the official reporter shall sign it and state on the record the fact of the waiver of signature or of the illness or absence of the witness or the fact of the refusal to sign, together with a statement of the reasons therefor. The testimony may then be used as fully as though signed, in accordance with paragraph (i) of this section.
(2) Certification and filing. The official reporter shall certify on the transcript that the witness was duly sworn and that the transcript is a true record of the testimony given and corrections made by the witness. The official reporter shall then seal the transcript in an envelope endorsed with the title and docket number of the action and marked “Testimony of [name of witness]” and shall promptly file the transcript with the Docket Section. The Presiding Officer shall notify all parties of the filing of the transcript and the Docket Section shall furnish a copy of the transcript to any party or to the witness upon payment of reasonable charges therefor.
(f) Costs of examination. The party who notices the examination shall pay for the examination. The party who requests transcription of the examination shall pay for the transcription.
(g) Failure to attend or to serve subpoena; expenses. If a party who notices an examination fails to attend and proceed therewith and another party attends in person or by a representative pursuant to the notice, the Presiding Officer may order the party who gave the notice to pay the attending party the reasonable expenses incurred. If a party who notices an examination fails to serve a subpoena upon the witness and as a result the witness does not attend, and if another party attends in person or by a representative because that party expects the examination to be made, the Presiding Officer may order the party who gave notice to pay the attending party the reasonable expenses incurred.
(h) Examination to preserve testimony – (1) When available. By leave of the Presiding Officer, a party may examine a witness for the purpose of perpetuating the testimony of that witness. A party who wishes to conduct such an examination shall obtain prior leave of the Presiding Officer by filing a motion. The motion shall include a showing of substantial reason to believe that the testimony could not be presented at the hearing. If the Presiding Officer is satisfied that the perpetuation of the testimony may prevent a failure of justice or is otherwise reasonably necessary, he or she shall order that the deposition be taken.
(2) Procedure. Notice of an examination to preserve testimony shall be served at least fifteen (15) days prior to the examination. The examination shall be taken in accordance with the provisions of paragraph (d) of this section. Any examination taken to preserve testimony shall be fully transcribed and filed in accordance with paragraph (e) of this section.
(i) Use of testimony obtained under this section. At the hearing or upon a motion or an interlocutory proceeding, any part or all of a deposition, so far as admissible under the rules of evidence applied as though the witness were then present and testifying, may be used against any party who was present or represented at the taking of the deposition or who had reasonable notice thereof, in accordance with any of the following provisions:
(1) Any deposition may be used by any party for the purpose of contradicting or impeaching the testimony of the deponent as a witness.
(2) The deposition of a party or of a person who at the time of the taking of his testimony was an officer, director or managing agent of a party may be used against that party for any purpose.
(3) The deposition of a witness, whether or not a party, may be used by any party for any purpose if the Presiding Officer finds:
(i) That the witness is dead; or
(ii) That the witness is at a greater distance than 100 miles from the place of the hearing, or is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or
(iii) That the witness is unable to attend or testify because of age, illness, infirmity, or imprisonment; or
(iv) That the party offering the deposition has been unable to procure the attendance of the witness by subpoena; or
(v) Upon application and notice, that such exceptional circumstances exist as to make it desirable, in the interest of justice and with due regard to the importance of presenting the testimony of witnesses orally in open court, to allow the deposition to be used.
(4) If only part of a deposition is offered in evidence by a party, an adverse party may require him to introduce any other part which ought in fairness to be considered with the part introduced, and any party may introduce any other parts.
§ 511.36 Motions to compel discovery.
If a party fails to respond to discovery, in whole or in part, the party seeking discovery may move within twenty (20) days for an order compelling an answer, or compelling inspection or production of documents, or otherwise compelling discovery. For purposes of this subsection, an evasive or incomplete response is to be treated as a failure to respond. If the motion is granted, the Presiding Officer shall issue an order compelling discovery. If the motion is denied in whole or in part, the Presiding Officer may make such protective order as he or she would have been empowered to make on a motion pursuant to § 511.31(d). When making oral examinations, the discovering party shall continue the examination to the extent possible with respect to other areas of inquiry before moving to compel discovery.
§ 511.37 Sanctions for failure to comply with order.
If a party fails to obey an order to provide or permit discovery, the Presiding Officer may take such action as is just, including but not limited to the following:
(a) Infer that the admission, testimony, document or other evidence would have been adverse to the party;
(b) Order that for the purposes of the proceeding, the matters regarding which the order was made or any other designated facts shall be taken to be established in accordance with the claim of the party obtaining the order;
(c) Order that the party withholding discovery not introduce into evidence or otherwise rely, in support of any claim or defense, upon the documents or other evidence withheld;
(d) Order that the party withholding discovery not introduce into evidence or otherwise use at the hearing, information obtained in discovery;
(e) Order that the party withholding discovery not be heard to object to introduction and use of secondary evidence to show what the withheld admission, testimony, documents, or other evidence would have shown;
(f) Order that a pleading, or part of a pleading, or a motion or other submission by the party, concerning which the order was issued, be stricken, or that decision on the pleadings be rendered against the party, or both; and
(g) Exclude the party or representative from proceedings, in accordance with § 511.42(b).
§ 511.38 Subpoenas.
(a) Availability. A subpoena shall be addressed to any party or any person not a party for the purpose of compelling attendance, testimony and production of documents at a hearing or oral examination.
(b) Form. A subpoena shall identify the action with which it is connected; shall specify the person to whom it is addressed and the date, time and place for compliance with its provisions; and shall be issued by order of the Presiding Officer and signed by the Chief Counsel, or by the Presiding Officer. A subpoena duces tecum shall specify the books, papers, documents, or other materials or data-compilations to be produced.
(c) How obtained – (1) Content of application. An application for the issuance of a subpoena stating reasons shall be submitted in triplicate to the Presiding Officer.
(2) Procedure of application. The original and two copies of the subpoena, marked “original,” “duplicate” and “triplicate,” shall accompany the application. The Presiding Officer shall rule upon an application for a subpoena ex parte, by issuing the subpoena or by issuing an order denying the application.
(d) Issuance of a subpoena. The Presiding Officer shall issue a subpoena by signing and dating, or ordering the Chief Counsel to sign and date, each copy in the lower right-hand corner of the document. The “duplicate” and “triplicate” copies of the subpoena shall be transmitted to the applicant for service in accordance with these Rules; the “original” copy shall be retained by or forwarded to the Chief Counsel for retention in the docket of the proceeding.
(e) Service of a subpoena. A subpoena may be served in person or by certified mail, return receipt requested, as provided in § 511.16(b). Service shall be made by delivery of the signed “duplicate” copy to the person named therein.
(f) Return of service. A person serving a subpoena shall promptly execute a return of service, stating the date, time, and manner of service. If service is effected by mail, the signed return receipt shall accompany the return of service. In case of failure to make service, a statement of the reasons for the failure shall be made. The “triplicate” of the subpoena, bearing or accompanied by the return of service, shall be returned forthwith to the Chief Counsel after service has been completed.
(g) Motion to quash or limit subpoena. Within five (5) days of receipt of a subpoena, the person against whom it is directed may file with the Presiding Officer a motion to quash, modify, or limit the subpoena, setting forth the reasons why the subpoena should be withdrawn or why it should be modified or limited in scope. Any such motion shall be answered within five (5) days of service, and shall be ruled on immediately thereafter. The order shall specify the date, if any, for compliance with the specifications of the subpoena and the reasons for the decision.
(h) Consequences of failure to comply. In the event of failure to comply with a subpoena, the Presiding Officer may take any of the actions enumerated in § 511.37 or may order any other appropriate relief to compensate for the withheld testimony, documents, or other materials. If in the opinon of the Presiding Officer such relief is insufficient, the Presiding Officer shall certify to the Administrator a request for judicial enforcement of the subpoena.
§ 511.39 Orders requiring witnesses to testify or provide other information and granting immunity.
(a) A party who desires the issuance of an order requiring a witness to testify or provide other information upon being granted immunity from prosecution under title 18, U.S.C., section 6002, may make a motion to that effect. The motion shall be made and ruled on in accordance with § 511.22, and shall include a showing:
(1) That the testimony or other information sought from a witness or prospective witness may be necessary to the public interest; and
(2) That such individual has refused or is likely to refuse to testify or provide such information on the basis of that individual’s privilege against self-incrimination.
(b) If the Presiding Officer determines that the witness’ testimony appears necessary and that the privilege against self-incrimination may be invoked, he or she may certify to the Administrator a request that he or she obtain the approval of the Attorney General of the United States for the issuance of an order granting immunity.
(c) Upon application to and approval of the Attorney General of the United States, and after the witness has invoked the privilege against self-incrimination, the Presiding Officer shall issue the order granting immunity unless he or she determines that the privilege was improperly invoked.
(d) Failure of a witness to testify after a grant of immunity or after a denial of the issuance of an order granting immunity shall result in the imposition of appropriate sanctions as provided in § 511.37.
Subpart E – Hearings
§ 511.41 General rules.
(a) Public hearings. All hearings pursuant to this part shall be public unless otherwise ordered by the Presiding Officer. Notice of the time and location of the hearing shall be served on each party and participant, and published in the
(b) Expedition. Hearings shall proceed with all reasonable speed, insofar as practicable and with due regard to the convenience of the parties and shall continue without suspension until concluded, except in unusual circumstances.
(c) Rights of parties. Every party shall have the right of timely notice and all other rights essential to a fair hearing, including, but not limited to, the rights to present evidence, to conduct such cross-examination as may be necessary in the judgment of the Presiding Officer for a full and complete disclosure of the facts, and to be heard by objection, motion, brief, and argument.
(d) Rights of participants. Every participant shall have the right to make a written or oral statement of position, file proposed findings of fact, conclusions of law and a posthearing brief, in accordance with § 511.17(b).
(e) Rights of witnesses. Any person compelled to testify in a proceeding in response to a subpoena may be accompanied, represented, and advised by counsel or other representative, and may obtain a transcript of his or her testimony at no cost.
§ 511.42 Powers and duties of Presiding Officer.
(a) General. A Presiding Officer shall have the duty to conduct full, fair, and impartial hearings, to take appropriate action to avoid unnecessary delay in the disposition of proceedings, and to maintain order. He or she shall have all powers necessary to that end, including the following powers:
(1) To administer oaths and affirmations;
(2) To compel discovery and to impose appropriate sanctions for failure to make discovery;
(3) To issue subpoenas;
(4) To rule upon offers of proof and receive relevant and probative evidence;
(5) To regulate the course of the hearings and the conduct of the parties and their representatives therein;
(6) To hold conferences for simplification of the issues, settlement of the proceedings, or any other proper purposes;
(7) To consider and rule, orally or in writing, upon all procedural and other motions appropriate in an adjudicative proceeding;
(8) To issue initial decisions, rulings, and orders, as appropriate;
(9) To certify questions to the Administrator for determination; and
(10) To take any action authorized in this part or in conformance with the provisions of title 5, U.S.C., sections 551 through 559.
(b) Exclusion of parties by Presiding Officer. A Presiding Officer shall have the authority, for good cause stated on the record, to exclude from participation in a proceeding any party, participant, and/or representative who shall violate requirements of § 511.76. Any party, participant and/or representative so excluded may appeal to the Administrator in accordance with the provisions of § 511.23. If the representative of a party or participant is excluded, the hearing shall be suspended for a reasonable time so that the party or participant may obtain another representative.
(c) Substitution of Presiding Officer. In the event of the substitution of a new Presiding Officer for the one originally designated, any motion predicated upon such substitution shall be made within five (5) days of the substitution.
(d) Interference. In the performance of adjudicative functions, a Presiding Officer shall not be responsible to or subject to the supervision or direction of the Administrator or of any officer, employee, or agent engaged in the performance of investigative or prosecuting functions for NHTSA. All directions by the Administrator to a Presiding Officer concerning any adjudicative proceeding shall appear on and be made a part of the record.
(e) Disqualification of Presiding Officer. (1) When a Presiding Officer deems himself or herself disqualified to preside in a particular proceeding, he or she shall withdraw by notice on the record and shall notify the Chief Administrative Law Judge of the withdrawal.
(2) Whenever, for any reason, any party shall deem the Presiding Officer to be disqualified to preside, or to continue to preside, in a particular proceeding, that party may file with the Chief Administrative Law Judge a motion to disqualify and remove, supported by affidavit(s) setting forth the alleged grounds for disqualification. A copy of the motion and supporting affidavit(s) shall be served by the Chief Administrative Law Judge on the Presiding Officer whose removal is sought. The Presiding Officer shall have ten (10) days from service to reply in writing. Such motion shall not stay the proceeding unless otherwise ordered by the Presiding Officer or the Administrator. If the Presiding Officer does not disqualify himself or herself, the Administrator will determine the validity of the grounds alleged, either directly or on the report of another Presiding Officer appointed to conduct a hearing for that purpose, and shall in the event of disqualification take appropriate action, by assigning another Presiding Officer or requesting assignment of another Administrative Law Judge through the Office of Hearings.
§ 511.43 Evidence.
(a) Applicability of Federal Rules of Evidence. The Federal Rules of Evidence shall apply to proceedings held under this part only as a general guide. The Presiding Officer may admit any relevent and probative evidence.
(b) Burden of proof. (1) Complaint counsel shall have the burden of sustaining the allegations of any complaint.
(2) Any party who is the proponent of a legal and/or factual proposition shall have the burden of sustaining the proposition.
(c) Presumptions. A presumption imposes on the party against whom it is directed the burden of going forward with evidence to rebut or meet the presumption, but does not shift to such party the burden of proof in the sense of the risk of nonpersuasion, which remains throughout the hearing upon the party on whom it was originally cast.
(d) Admissibility. All relevant and reliable evidence is admissible, but may be excluded if its probative value is substantially outweighed by unfair prejudice or by considerations of undue delay, waste of time, immateriality, or needless presentation of cumulative evidence.
(e) Official notice – (1) Definition. Official notice means use by the Presiding Officer of extra-record facts and legal conclusions drawn from those facts. An officially noticed fact or legal conclusion must be one not subject to reasonable dispute in that it is either (i) generally known within the jurisdiction of the Presiding Officer or (ii) known by the Presiding Officer in areas of his or her expertise; or (iii) capable of accurate and ready determination by resort to sources whose accuracy cannot reasonably be questioned.
(2) Method of taking official notice. The Presiding Officer may at any time take official notice upon motion of any party or upon its own initiative. The record shall reflect the facts and conclusions which have been officially noticed.
(3) Opportunity to challenge. Any party may upon application in writing rebut officially noticed facts and conclusions by supplementing the record. The Presiding Officer shall determine the permissible extent of this challenge; that is, whether to limit the party to presentation of written materials, whether to allow presentation of testimony, whether to allow cross-examination, or whether to allow oral argument. The Presiding Officer shall grant or deny the application on the record.
(f) Objections and exceptions. Objections to evidence shall be timely interposed, shall appear on the record, and shall contain the grounds upon which they are based. Rulings on all objections, and the bases therefore, shall appear on the record. Formal exception to an adverse ruling is not required to preserve the question for appeal.
(g) Offer of proof. When an objection to proffered testimony or documentary evidence is sustained, the sponsoring party may make a specific offer, either in writing or orally, of what the party expects to prove by the testimony or the document. When an offer of proof is made, any other party may make a specific offer, either in writing or orally, of what the party expects to present to rebut or contradict the offer of proof. Written offers of proof or of rebuttal, adequately marked for identification, shall accompany the record and be available for consideration by any reviewing authority.
§ 511.44 Expert witnesses.
(a) Definition. An expert witness is one who, by reason of education, training, experience, or profession, has peculiar knowlege concerning the matter of science or skill to which his or her testimony relates and from which he or she may draw inferences based upon hypothetically stated facts or from facts involving scientific or technical knowledge.
(b) Method of presenting testimony of expert witness. Except as may be otherwise ordered by the Presiding Officer, a detailed written statement of the elements of the direct testimony of an expert witness shall be filed on the record and exchanged between the parties no later than 10 days preceding the commencement of the hearing. The statement must contain a full explanation of the methodology underlying any analysis, and a full disclosure of the basis of any opinion. The direct testimony of an expert witness shall not include points not contained in the written statement. A party may waive direct examination of an expert witness by indicating that the written statement be considered the testimony of the witness. In such a case, the written testimony shall be incorporated into the record and shall constitute the testimony of the witness.
(c) Cross-examination and redirect examination of expert witness. Cross-examination, redirect examination, and re-cross-examination of an expert witness will proceed in due course based upon the written testimony and any amplifying oral testimony.
(d) Failure to file and/or to exchange written statement. Failure to file and/or to exchange the written statement of an expert witness as provided in this section shall deprive the sponsoring party of the use of the expert witness and of the conclusions which that witness would have presented.
§ 511.45 In camera materials.
(a) Definition. In camera materials are documents, testimony, or other data which by order of the Presiding Officer or the Administrator, as appropriate under this part, are kept confidential and excluded from the public record. Only materials exempt under the Freedom of Information Act may be kept confidential and excluded from the public record. Pursuant to 49 CFR part 512, the Chief Counsel of the NHTSA is responsible for determining whether an alleged confidential business record is exempt from the Freedom of Information Act. The right of the Presiding Officer, the Administrator and reviewing courts to order disclosure of in camera materials is specifically reserved.
(b) In camera treatment of documents and testimony. The Presiding Officer or the Administrator, as appropriate under this part, shall have authority, when good cause is found on the record, to order documents or testimony offered in evidence, whether admitted or rejected, to be received and preserved in camera. The order shall specify the length of time for in camera treatment and shall include:
(1) A description of the documents and/or testimony;
(2) The reasons for granting in camera treatment for the specified length of time.
(c) Access and disclosure to parties. (1) The Administrator and Presiding Officer, and their immediate advisory staffs shall have complete access to all in camera materials. All other parties shall also have complete access to all in camera materials, except that these parties may seek access only in accordance with paragraph (c)(2) of this section when:
(i) The in camera materials consist of information obtained by the government from persons not parties to the proceeding; or
(ii) The in camera materials consist of information provided by one of the parties to the proceeding which is confidential as to the other parties to the proceeding.
(2) Any party desiring access to and/or disclosure of the in camera materials specified in paragraph (c)(1) (i) and (ii) of this section for the preparation and presentation of that party’s case shall make a motion which sets forth the justification therefor. The Presiding Officer or the Administrator, as appropriate under this part, may grant such motion on the record for substantial good cause shown and shall enter a protective order prohibiting unnecessary disclosure and requiring other necessary safeguards. The Presiding Officer or the Administrator, as appropriate, may examine the in camera materials and excise portions thereof before disclosing the materials to the moving party.
(d) Segregation of in camera materials. In camera materials shall be segregated from the public record and protected from public view.
(e) Public release of in camera materials. In camera materials constitute a part of the confidential records of the NHTSA and shall not be released to the public until the expiration of in camera treatment.
(f) Reference to in camera materials. In the submission of proposed findings, conclusions, briefs, or other documents, all parties shall refrain from disclosing specific details of in camera materials. Such refraining shall not preclude general references to such materials. To the extent that parties consider it necessary to include specific details of in camera materials, the references shall be incorporated into separate proposed findings, briefs, or other documents marked “CONFIDENTIAL, CONTAINS IN CAMERA MATERIAL,” which shall be placed in camera and become part of the in camera record. These documents shall be served only on parties accorded access to the in camera materials in accordance with paragraph (c)(2) of this section.
§ 511.46 Proposed findings, conclusions, and order.
Within a reasonable time after the closing of the record and receipt of the transcript, all parties and participants may, simultaneously, file post-hearing briefs, including proposed findings of fact, conclusions of law and a proposed order, together with reasons therefore. The Presiding Officer shall establish a date certain for the filing of the briefs, which shall not exceed 45 days after the close of the record except in unusual circumstances. The briefs shall be in writing, shall be served upon all parties, and shall contain adequate references to the record and authorities relied on. Replies shall be filed within fifteen (15) days of the date for the filing of briefs unless otherwise established by the Presiding Officer. The parties and participants may waive either or both submissions.
§ 511.47 Record.
(a) Reporting and transcription. Hearings shall be recorded and transcribed under the supervision of the Presiding Officer by a reporter appointed by the Administrator. The original transcript shall be a part of the record and the official transcript. Copies of transcripts are available from the reporter at a cost not to exceed the maximum rates fixed by contract between the NHTSA and the reporter.
(b) Corrections. Corrections of the official transcript may be made only when they involve errors affecting substance and then only in the manner herein provided. The Presiding Officer may order corrections, either on his or her own motion or on motion of any party. The Presiding Officer shall determine the corrections to be made and so order. Corrections shall be interlineated or otherwise inserted in the official transcript so as not to obliterate the original text.
§ 511.48 Official docket.
(a) The official docket in adjudicatory proceedings will be maintained in the Docket Section, Office of the Secretary, Room 4107, 400 Seventh Street SW., Washington, DC 20590, and will be available for inspection during normal working hours (9:00 a.m.-5:00 p.m.) Monday through Friday.
(b) Fees for production or disclosure of records contained in the official docket shall be levied as prescribed in the Department of Transportation’s regulations on Public Availability of Information (49 CFR part 7).
§ 511.49 Fees.
(a) Witnesses. Any person compelled to appear in person in response to a subpoena or notice of oral examination shall be paid at least the same attendance and mileage fees as are paid witnesses in the courts of the United States, in accordance with title 28, U.S.C., section 1821.
(b) Responsibility. The fees and mileage referred to in this section shall be paid by the party at whose instance witnesses appear.
Subpart F – Decision
§ 511.51 Initial decision.
(a) When filed. The Presiding Officer shall endeavor to file an Initial Decision with the Administrator within sixty (60) days of the close of the record, the filing of post-hearing briefs, or the filing of replies thereto, whichever is latest.
(b) Content. The Initial Decision shall be based upon a consideration of the entire record and it shall be supported by reliable, probative, and substantial evidence. It shall include:
(1) Findings and conclusions, as well as the reasons or bases therefor, upon the material questions of fact, material issues of law, or discretion presented on the record, and should, where practicable, be accompanied by specific page citations to the record and to legal and other materials relied upon.
(2) An appropriate order.
(c) By whom made. The Initial Decision shall be made and filed by the Presiding Officer who presided over the hearing, unless otherwise ordered by the Administrator.
(d) Reopening of proceeding by presiding officer; termination of jurisdiction. (1) At any time prior to or concomitant with the filing of the Initial Decision, the Presiding Officer may reopen the proceedings for the reception of further evidence.
(2) Except for the correction of clerical errors, the jurisdiction of the Presiding Officer is terminated upon the filing of the Initial Decision, unless and until the proceeding is remanded to the Presiding Officer by the Administrator.
§ 511.52 Adoption of initial decision.
The Initial Decision and Order shall become the Final Decision and Order of the Administrator forty (40) days after issuance unless an appeal is noted and perfected or unless review is ordered by the Administrator. Upon the expiration of the fortieth day, the Executive Secretary shall prepare, sign and enter an order adopting the Initial Decision and Order.
§ 511.53 Appeal from initial decision.
(a) Who may file notice of intention. Any party may appeal an Initial Decision to the Administrator provided that within ten (10) days after issuance of the Initial Decision such party files and serves a notice of intention to appeal.
(b) Appeal brief. The appeal shall be in the form of a brief, filed within forty (40) days after service of the Initial Decision, duly served upon all parties and participants. The appeal brief shall contain, in the order indicated, the following:
(1) A subject index of the matters in the brief, with page references, and a table of cases (alphabetically arranged), textbooks, statutes, and other material cited, with page references thereto;
(2) A concise statement of the case;
(3) A specification of the position urged;
(4) The argument, presenting clearly the points of fact and law relied upon in support of the position on each question, with specific page references to the record and the legal or other material relied upon; and
(5) A proposed form of order for the Administrator’s consideration in lieu of the order contained in the Initial Decision.
(c) Answering brief. Within thirty (30) days after service of the appeal brief upon all parties and participants, any party may file an answering brief which shall also contain a subject index, with page references, and a table of cases (alphabetically arranged), textbooks, statutes, and other material cited, with page references thereto. Such brief shall present clearly the points of fact and law relied upon in support of the position taken on each question, with specific page references to the record and legal or other material relied upon.
(d) Participant’s brief. Within thirty (30) days after service of the appeal brief upon all parties and participants, any participant may file an appeal brief which should contain a subject index, with page references, and a table of authorities being relied upon. Such brief shall present clearly the position taken by the participant on each question raised by the appellant(s).
(e) Cross appeal. If a timely notice of appeal is filed by a party, any other party may file a notice of cross-appeal within ten (10) days of the date on which the first notice of appeal was filed. Cross-appeals shall be included in the answering brief and shall conform to the requirements for form, content and filing specified in paragraph (c) of this section. If an appeal is noticed but not perfected, no cross-appeal shall be permitted and the notice of cross-appeal shall be deemed void.
(f) Reply brief. A reply brief shall be limited to rebuttal of matters in answering briefs, including matters raised in cross-appeals. A reply brief shall be filed and within fourteen (14) days after service of an answering brief, or on the day preceding the oral argument, whichever comes first.
(g) Oral argument. The purpose of an oral argument is to emphasize and clarify the issues. Any party may request oral argument. The Administrator may order oral argument upon request or upon his or her own initiative. All oral arguments shall be reported and transcribed.
§ 511.54 Review of initial decision in absence of appeal.
The Administrator may, by order, review a case not otherwise appealed by a party. Thereupon the parties shall and participants may file briefs in accordance with § 511.53(b), (c), (d), (e), and (f) except that the Administrator may, in his or her discretion, establish a different briefing schedule in his or her order. Any such order shall issue within forty (40) days of issuance of the Initial Decision. The order shall set forth the issues which the Administrator will review.
§ 511.55 Final decision on appeal or review.
(a) Upon appeal from or review of an Initial Decision, the Administrator shall consider such parts of the record as are cited or as may be necessary to resolve the issues presented and, in addition, shall, to the extent necessary or desirable, exercise all the powers which he or she could have exercised if he or she had made the Initial Decision.
(b) In rendering his or her decision, the Administrator shall adopt, modify, or set aside the findings, conclusions, and order contained in the Initial Decision, and shall include in his or her Final Decision a statement of the reasons or bases for his or her action. The Administrator shall issue an order reflecting his or her Final Decision.
§ 511.56 Reconsideration.
Within twenty (20) days after issuance of a Final Decision and Order, any party may file with the Administrator a petition for reconsideration of such decision or order, setting forth the relief desired and the grounds in support thereof. Any party desiring to oppose such a petition shall file an answer thereto within ten (10) days after service of the petition. The filing of a petition for reconsideration shall not stay the effective date of the Decision and Order or toll the running of any statutory time period affecting the decision or order unless specifically so ordered by the Administrator.
§ 511.57 Effective date of order.
(a) Consent orders. An order which has been issued following acceptance of an offer of settlement in accordance with § 511.26 becomes effective upon issuance.
(b) Litigated orders. All other orders become effective upon the expiration of the statutory period for court review specified in section 508(c)(1) of the Motor Vehicle Information and Cost Savings Act, title 15, U.S.C. section 2008(c)(1), Pub. L. 94-163, 89 Stat. 911, or, if a petition for review has been filed, upon court affirmance of the Administrator’s order.
Subpart G – Settlement Procedure in Cases of Violation of Average Fuel Economy Standards
§ 511.61 Purpose.
This subpart establishes the procedures and requirements necessary to obtain a settlement of a case of violation of section 507 (1) or (2) of the Motor Vehicle Information and Cost Savings Act, as amended, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2007(1)(2)). No settlement of such cases may be had except as in accordance with this subpart.
§ 511.62 Definitions.
Average fuel economy standard means an average fuel economy standard established by or pursuant to the Motor Vehicle Information and Cost Savings Act.
Insolvency means the inability to meet expenses when due.
Settlement means a compromise, modification, or remission of a civil penalty assessed under this part for a violation of an average fuel economy standard.
§ 511.63 Criteria for settlement.
Settlement of a case of violation of an average fuel economy standard is discretionary with the Administrator. The Administrator will consider settlement only to the extent:
(a) Necessary to prevent the insolvency or bankruptcy of the person seeking settlement, or
(b) That the violation of the average fuel economy standard resulted, as shown by the person seeking settlement, from an act of God, a strike, or fire, or
(c) That modification of a civil penalty assessed under this part is necessary to prevent lessening of competition, as determined and as certified by the Federal Trade Commission under section 508(b)(4) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. section 2008(b)(4)).
§ 511.64 Petitions for settlement; timing, contents.
(a) A petition seeking settlement under this subpart must be filed within 30 days after the issuance of a final order assessing a civil penalty for a violation of an average fuel economy standard.
(b)(1) A petition for settlement should be sufficient to allow the Administrator to determine that at least one of the criteria set out in § 511.63 is satisfied, and that the public interest would be served by settlement.
(2) A petition asserting that settlement is necessary to prevent bankruptcy or insolvency must include:
(i) Copies of all pertinent financial records, auditor’s reports, and documents that show that the imposition of a civil penalty would cause insolvency, or would cause a company to do an act of bankruptcy, and
(ii) A payment schedule that would allow the petitioner to pay a civil penalty without resulting in insolvency or an act of bankruptcy.
(3) A petition asserting that the violation of the average fuel economy standard was caused by an act of God, fire, or strike must describe corrective and ameliorative steps taken to mitigate the effects of the act of God, fire, or strike.
(4) A petition based on a certification by the Federal Trade Commission that modification of the civil penalty assessed is necessary to prevent a substantial lessening of competition must include a certified copy of:
(i) The application to the Federal Trade Commission for a certification under section 508(b)(4) of the Motor Vehicle Information and Cost Savings Act, Pub. L. 94-163, 89 Stat. 911 (15 U.S.C. 2008(b)(4)), and materials supporting the application.
(ii) The administrative record of any Federal Trade Commission proceeding held in regard to the application, and
(iii) The certification by the Federal Trade Commission.
(c) It is the policy of the National Highway Traffic Safety Administration that unconditional settlements of violations of average fuel economy standards are not in the public interest, and absent special and extraordinary circumstances, will not be allowed. All petitions for settlement shall contain a section proposing conditions for settlement. Conditions for settlement can be specific acts designed to lead to the reduction of automotive fuel consumption, which the petitioner is not otherwise required to perform pursuant to any statute, regulation, or administrative or judicial order, such as sponsoring public education programs, advertising, accelerating commercial application of technology, accelerating technology development programs, or making public the results of privately performed studies, surveys, or research activities.
§ 511.65 Public comment.
Notice and opportunity for comment are provided to the public in regard to settlements under this part. Subject to § 511.66, notice of receipt of a petition for settlement is published in the
§ 511.66 Confidential business information.
The Administrator shall have authority to segregate from the public docket and to protect from public view information in support of a petition for settlement which has been determined to be confidential business information. The provisions of 15 U.S.C. 2005(d) pertaining to discretionary release by the Administrator of and to limited disclosure of information determined to be confidential business information shall apply to this section.
§ 511.67 Settlement order.
If, in accordance with this subpart, the Administrator allows a settlement of a case of violation of an average fuel economy standard, an order of settlement shall be issued, setting out the terms of the settlement, and containing a brief discussion of the factors underlying the exercise of the Administrator’s discretion in allowing the settlement, including a discussion of comments received under § 511.65. If the Administrator rejects a petition for settlement, the Administrator shall give written notice of the rejection and the reasons for the rejection to the parties and the Presiding Officer.
Subpart H – Appearances; Standards of Conduct
§ 511.71 Who may make appearances.
A party or participant may appear in person, or by a duly authorized officer, partner, regular employee, or other agent of this party or participant, or by or with counsel or other duly qualified representative, in any proceeding under this part.
§ 511.72 Authority for representation.
Any individual acting in a representative capacity in any adjudicative proceeding may be required by the Presiding Officer or the Administrator to show his or her authority to act in such capacity. A regular employee of a party who appears on behalf of the party shall be required by the Presiding Officer or the Administrator to show his or her authority to so appear.
§ 511.73 Written appearances.
(a) Any person who appears in a proceeding shall file a written notice of appearance with the Executive Secretary or deliver a written notice of appearance to the reporter at the hearing, stating for whom the appearance is made and the name, address, and telephone number (including area code) of the person making the appearance and the date of the commencement of the appearance. The written appearance shall be made a part of the record.
(b) Any person who has previously appeared in a proceeding may withdraw his or her appearance by filing a written notice of withdrawal of appearance with the Docket Section. The notice of withdrawal shall state the name, address, and telephone number (including area code) of the person withdrawing the appearance, for whom the appearance was made, and the effective date of the withdrawal of the appearance, and such notice of withdrawal shall be filed within five (5) days of the effective date of the withdrawal of the appearance.
§ 511.74 Attorneys.
An attorney at law who is admitted to practice before the Federal courts or before the highest court of any State, the District of Columbia, or any territory or Commonwealth of the United States, may practice before the NHTSA. An attorney’s own representation that he or she is in good standing before any of such courts shall be sufficient proof thereof, unless otherwise ordered by the Presiding Officer or the Administrator.
§ 511.75 Persons not attorneys.
(a) Any person who is not an attorney at law may be admitted to appear in an adjudicative proceeding if that person files proof to the satisfaction of the Presiding Officer that he or she possesses the necessary legal, technical or other qualifications to render valuable service in the proceeding and is otherwise competent to advise and assist in the presentation of matters in the proceedings. An application by a person not an attorney at law to appear in a proceeding shall be submitted in writing to the Docket Section, not later than thirty (30) days prior to the hearing in the proceedings. The application shall set forth the applicant’s qualifications to appear in the proceedings.
(b) No person who is not an attorney at law and whose application has not been approved shall be permitted to appear in the Administration’s proceedings. However, this provision shall not apply to any person who appears before the NHTSA on his or her own behalf or on behalf of any corporation, partnership, or association of which the person is a partner, officer, or regular employee.
§ 511.76 Qualifications and standards of conduct.
(a) The NHTSA expects all persons appearing in proceedings before it to act with integrity, with respect, and in an ethical manner. Business transacted before and with the NHTSA shall be in good faith.
(b) To maintain orderly proceedings, the Presiding Officer or the Administrator, as appropriate under this part, may exclude parties, participants, and their representatives for refusal to comply with directions, continued use of dilatory tactics, refusal to adhere to reasonable standards of orderly and ethical conduct, failure to act in good faith, or violation of the prohibition against certain ex parte communications. The Presiding Officer may, in addition to the above sanctions, deny access to additional in camera materials when a party or participant publicly releases such materials without authorization.
(c) An excluded party, participant, or representative thereof may petition the Administrator to entertain an interlocutory appeal in accordance with § 511.24. If, after such appeal, the representative of a party or participant, is excluded, the hearing shall, at the request of the party or participant, be suspended for a reasonable time so that the party or participant may obtain another representative.
§ 511.77 Restrictions as to former members and employees.
The postemployee restrictions applicable to former Administrators and NHTSA employees, as set forth in 18 U.S.C. 207, shall govern the activities of former Administrators and NHTSA employees in matters connected with their former duties and responsibilities.
§ 511.78 Prohibited communications.
(a) Applicability. This section is applicable during the period commencing with the date of issuance of a complaint and ending upon final NHTSA action in the matter.
(b) Definitions. (1) “Decision-maker” means those NHTSA personnel who render decisions in adjudicative proceedings under this part, or who advise officials who render such decisions, including:
(i) The Administrator,
(ii) The Administrative Law Judges;
(2) “Ex parte communication” means:
(i) Any written communication other than a request for a status report on the proceeding made to a decisionmaker by any person other than a decisionmaker which is not served on all parties,
(ii) Any oral communication other than a request for a status report on the proceeding made to a decisionmaker by any person other than a decisionmaker without advance notice to the parties to the proceeding and opportunity for them to be present.
(c) Prohibited ex parte communications. Any oral or written ex parte communication relative to the merits of a proceeding under this part is a prohibited ex parte communication, except as provided in paragraph (d) of this section.
(d) Permissible ex parte communications. The following communications shall not be prohibited under this section:
(1) Ex parte communications authorized by statute or by this part.
(2) Any staff communication concerning judicial review or judicial enforcement in any matter pending before or decided by the Administrator.
(e) Procedures for handling prohibited ex parte communication – (1) Prohibited written ex parte communication. To the extent possible, a prohibited written ex parte communication received by any NHTSA employee shall be forwarded to the Docket Section rather than to a decisionmaker. A prohibited written ex parte communication which reaches a decisionmaker shall be forwarded by the decisionmaker to the Docket Section. If the circumstances in which a prohibited ex parte written communication was made are not apparent from the communication itself, a statement describing those circumstances shall be forwarded with the communication.
(2) Prohibited oral ex parte communication. (i) If a prohibited oral ex parte communication is made to a decisionmaker, he or she shall advise the person making the communication that the communication is prohibited and shall terminate the discussion.
(ii) In the event of a prohibited oral ex parte communication, the decisionmaker shall forward to the Docket Section a dated statement containing such of the following information as is known to him/her:
(A) The title and docket number of the proceeding;
(B) The name and address of the person making the communication and his/her relationship (if any) to the parties to the proceeding;
(C) The date and time of the communication, its duration, and the circumstances (telephone call, personal interview, etc.) under which it was made;
(D) A brief statement of the substance of the matters discussed;
(E) Whether the person making the communication persisted in doing so after being advised that the communication was prohibited.
(3) All communications and statements forwarded to the Docket Section under this section shall be placed in the public file which shall be associated with, but not made a part of, the record of the proceedings to which the communication or statement pertains.
(4) Service on parties. The Administrator shall serve a copy of each communication and statement forwarded under this section on all parties to the proceedings. However, if the parties are numerous, or if other circumstances satisfy the Administrator that service of the communication or statement would be unduly burdensome, he or she may, in lieu of service, notify all parties in writing that the communication or statement has been made and filed and that it is available for inspection and copying.
(5) Service on maker. The Administrator shall forward to the person who made the prohibited ex parte communication a copy of each communication or statement filed under this section.
(f) Effect of ex parte communications. No prohibited ex parte communication shall be considered as part of the record for decision unless introduced into evidence by a party to the proceedings.
(g) Sanctions. A party or participant who makes a prohibited ex parte communication, or who encourages or solicits another to make any such communication, may be subject to any appropriate sanction or sanctions, including, but not limited to, exclusion from the proceedings and adverse rulings on the issues which are the subject of the prohibited communication.
Appendix I to Part 511 – Final Prehearing Order
A prehearing conference was held in this matter pursuant to Rule 21 of the Administration’s Rules of Practice for Adjudicative Proceedings, on the __________ day of __________, 19__, at __ o’clock _ M.
Counsel appeared as follows:
1. NATURE OF ACTION AND JURISDICTION.
2. STIPULATIONS AND STATEMENTS.
The following stipulations and statements were submitted, attached to, and made a part of this order:
(a) A comprehensive written stipulation or statement of all uncontested facts;
(b) A concise summary of the ultimate facts as claimed by each party. (Complaint Counsel must set forth the claimed facts, specifically; for example, if violation is claimed, Complaint Counsel must assert specifically the acts of violation complained of; each respondent must reply with equal clarity and detail.)
(c) Written stipulations or statements setting forth the qualifications of the expert witnesses to be called by each party;
(d) A written list or lists of the witnesses whom each party will call, a written list or lists of the additional witnesses whom each party may call, and a statement of the subject on which each witness will testify;
(e) An agreed statement of the contested issues of fact and of law, and/or separate statements by each party or any contested issues of fact and law not agreed to;
(f) A list of all depositions to be read into evidence and statements of any objections thereto;
(g) A list and brief description of any charts, graphs, models, schematic diagrams, and similar objects that will be used in opening statements or closing arguments, but will not be offered in evidence. If any other such objects are to be used by any party, they will be submitted to opposing counsel at least three days prior to hearing. If there is then any objection to their use, the dispute will be submitted to the Presiding Officer at least one day prior to hearing;
(h) Written waivers of claims or defenses which have been abandoned by the parties.
3. COMPLAINT COUNSEL’S EVIDENCE.
3.1 The following exhibits were offered by Complaint Counsel, received in evidence, and marked as follows:
3.2 The following exhibits were offered by the Complaint Counsel and marked for identification. There was reserved to the respondent(s) and party intervenors, if any, the right to object to their receipt in evidence on the grounds stated:
4. RESPONDENT’S EVIDENCE.
4.1 The following exhibits were offered by the respondent(s), received in evidence, and marked as herein indicated:
4.2 The following exhibits were offered by the respondent(s) and marked for identification. There was reserved to Complaint Counsel and party intervenors, if any, the right to object to their receipt in evidence on the grounds stated:
5. ADDITIONAL ACTIONS.
6. LIMITATIONS AND RESERVATIONS.
6.1 Each of the parties has the right to further supplement the list of witnesses not later than ten (10) days prior to trial by furnishing opposing counsel with the name and address of the witness and general subject matter of his or her testimony and filing a supplement to this pretrial order. Thereafter additional witnesses may be added only after application to the Presiding Officer, for good cause shown.
6.2 Rebuttal witnesses not listed in the exhibits to this order may be called only if the necessity of their testimony could not reasonably be foreseen ten (10) days prior to trial. If it appears to counsel at any time before trial that such rebuttal witnesses will be called, notice will immediately be given to opposing counsel and the Presiding Officer.
6.3 The probable length of hearing is ____ days. The hearings will be commenced on the __ day of _____, 19__, at __ o’clock _ M. at (location) _____.
6.4 Prehearing briefs will be filed not later than 5:00 p.m. on ____. (Insert date not later than ten (10) days prior to hearing.) All anticipated legal questions, including those relating to the admissibility of evidence, must be covered by prehearing briefs.
This prehearing order has been formulated after a conference at which counsel for the respective parties appeared. Reasonable opportunity has been afforded counsel for corrections or additions prior to signing. It will control the course of the hearing, and it may not be amended except by consent of the parties and the Presiding Officer, or by order of the Presiding Officer to prevent manifest injustice.
Where intervenors appear pursuant to § 511.17 the prehearing order may be suitably modified; the initial page may be modified to reflect the intervention.
PART 512 – CONFIDENTIAL BUSINESS INFORMATION
Subpart A – General Provisions
§ 512.1 Purpose and scope.
The purpose of this part is to establish the procedures and standards by which NHTSA will consider claims that information submitted to the agency is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and to address the treatment of information determined to be entitled to confidential treatment.
§ 512.2 Applicability.
(a) This part applies to all information submitted to NHTSA, except as provided in paragraph (b) of this section, for which a determination is sought that the material is entitled to confidential treatment under 5 U.S.C. 552(b), most often because it constitutes confidential business information as described in 5 U.S.C. 552(b)(4), and should be withheld from public disclosure.
(b) Information received as part of the procurement process is subject to the Federal Acquisition Regulation, 48 CFR Chapter 1, as well as this part. In any case of conflict between the Federal Acquisition Regulation and this part, the provisions of the Federal Acquisition Regulation prevail.
§ 512.3 Definitions.
Whenever used in this part:
(a) Administrator means the Administrator of the National Highway Traffic Safety Administration.
(b) Chief Counsel means the Chief Counsel of the National Highway Traffic Safety Administration.
(c) Confidential business information means trade secrets or commercial or financial information that is privileged or confidential, as described in 5 U.S.C. 552(b)(4).
(1) A trade secret is a secret, commercially valuable plan, formula, process, or device that is used for the making, preparing, compounding, or processing of trade commodities and that can be said to be the end product of either innovation or substantial effort.
(2) Commercial or financial information is considered confidential if it has not been publicly disclosed and:
(i) If the information was required to be submitted and its release is likely to impair the Government’s ability to obtain necessary information in the future, or is likely to cause substantial harm to the competitive position of the person from whom the information was obtained; or
(ii) if the information was voluntarily submitted and is the kind of information that is customarily not released to the public by the person from whom it was obtained.
(d) NHTSA means the National Highway Traffic Safety Administration.
(e) “Substantial competitive harm” includes “significant competitive damage” under Chapter 329 of Title 49 of the United States Code, Automobile Fuel Economy, 49 U.S.C. 32910(c).
Subpart B – Submission Requirements
§ 512.4 When requesting confidentiality, what should I submit?
Any person submitting information to NHTSA, other than information in a class identified in appendix C of this Part, and requesting that the information be withheld from public disclosure pursuant to 5 U.S.C. 552(b) shall submit the following:
(a) The materials for which confidentiality is being requested, in conformance with §§ 512.5, 512.6, and 512.7 of this part;
(b) The Certificate, in the form set out in appendix A to this part;
(c) Supporting information, in conformance with § 512.8; and
(d) Any request for an extension of time, made in accordance with § 512.11.
§ 512.5 How many copies should I submit?
(a) Except as provided for in subsection (c), a person must send the following in hard copy or electronic format to the Chief Counsel when making a claim for confidential treatment covering submitted material:
(1) A complete copy of the submission, and
(2) A copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted, and
(3) Either a second complete copy of the submission or, alternatively, those portions of the submission containing the material for which confidential treatment is claimed and any additional information the submitter deems important to the Chief Counsel’s consideration of the claim.
(4) If submitted in electronic format, a copy of any special software required to review materials for which confidential treatment is requested and user instructions must also be provided.
(b) A person filing comments to a rulemaking action must additionally submit to the rulemaking docket a copy of the submission containing only the portions for which no claim of confidential treatment is made and from which those portions for which confidential treatment is claimed has been redacted.
(c) Any person submitting blueprints or engineering drawings need only provide an original version with their submission.
§ 512.6 How should I prepare documents when submitting a claim for confidentiality?
(a) Information claimed to be confidential must be clearly identified to enable the agency to distinguish between those portions of the submission claimed to constitute confidential business information and those portions for which no such claim is made.
(b) The word “CONFIDENTIAL” must appear on the top of each page containing information claimed to be confidential.
(1) If an entire page is claimed to be confidential, the submitter must indicate clearly that the entire page is claimed to be confidential.
(2) If the information for which confidentiality is being requested is contained within a page, the submitter shall enclose each item of information that is claimed to be confidential within brackets: “[ ].”
(c) Submissions in electronic format – (1) Persons submitting information under this Part may submit the information in an electronic format. Except for early warning reporting data submitted to the agency under 49 CFR part 579, the information submitted in an electronic format shall be submitted in a physical medium such as a CD-ROM. The exterior of the medium (e.g., the disk itself) shall be permanently labeled with the submitter’s name, the subject of the information and the words “CONFIDENTIAL BUSINESS INFORMATION”.
(2) Confidential portions of electronic files submitted in other than their original format must be marked “Confidential Business Information” or “Entire Page Confidential Business Information” at the top of each page. If only a portion of a page is claimed to be confidential, that portion shall be designated by brackets. Files submitted in their original format that cannot be marked as described above must, to the extent practicable, identify confidential information by alternative markings using existing attributes within the file or means that are accessible through use of the file’s associated program. When alternative markings are used, such as font changes or symbols, the submitter must use one method consistently for electronic files of the same type within the same submission. The method used for such markings must be described in the request for confidentiality. Files and materials that cannot be marked internally, such as video clips or executable files or files provided in a format specifically requested by the agency, shall be renamed prior to submission so the words “Confidential Bus Info” appears in the file name or, if that is not practicable, the characters “Conf Bus Info” or “Conf” appear. In all cases, a submitter shall provide an electronic copy of its request for confidential treatment on any medium containing confidential information, except where impracticable.
(3) Confidential portions of electronic files submitted in other than their original format must be marked with consecutive page numbers or sequential identifiers so that any page can be identified and located using the file name and page number. Confidential portions of electronic files submitted in their original format must, if practicable, be marked with consecutive page numbers or sequential identifiers so that any page can be identified and located using the file name and page number. Confidential portions of electronic files submitted in their original format that cannot be marked as described above must, to the extent practicable, identify the portions of the file that are claimed to be confidential through the use of existing indices or placeholders embedded within the file. If such indices or placeholders exist, the submitter’s request for confidential treatment shall clearly identify them and the means for locating them within the file. If files submitted in their original format cannot be marked with page or sequence number designations and do not contain existing indices or placeholders for locating confidential information, then the portions of the files that are claimed to be confidential shall be described by other means in the request for confidential treatment. In all cases, submitters shall provide an electronic copy of their request for confidential treatment on any media containing confidential data except where impracticable.
(4) Electronic media may be submitted only in commonly available and used formats.
§ 512.7 Where should I send the information for which I am requesting confidentiality?
A claim for confidential treatment must be submitted in accordance with the provisions of this regulation to the Chief Counsel of the National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., West Building W41-227, Washington, DC 20590.
§ 512.8 What supporting information should I submit with my request?
When requesting confidentiality, the submitter shall:
(a) Describe the information for which confidentiality is being requested;
(b) Identify the confidentiality standard(s) under which the confidentiality request should be evaluated, in accordance with § 512.15;
(c) Justify the basis for the claim of confidentiality under the confidentiality standard(s) identified pursuant to paragraph (b) of this section by describing:
(1) Why the information qualifies as a trade secret, if the basis for confidentiality is that the information is a trade secret;
(2) What the harmful effects of disclosure would be and why the effects should be viewed as substantial, if the claim for confidentiality is based upon substantial competitive harm;
(3) What significant NHTSA interests will be impaired by disclosure of the information and why disclosure is likely to impair such interests, if the claim for confidentiality is based upon impairment to government interests;
(4) What measures have been taken by the submitter to ensure that the information is not customarily disclosed or otherwise made available to the public, if the basis for confidentiality is that the information is voluntarily submitted; and
(5) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b).
(d) Indicate if any items of information fall within any of the class determinations included in appendix B to this Part;
(e) Indicate the time period during which confidential treatment is sought; and
(f) State the name, address, and telephone number of the person to whom NHTSA’s response and any inquiries should be directed.
Subpart C – Additional Requirements
§ 512.9 What are the requirements if the information comes from a third party?
Where confidentiality is claimed for information obtained by the submitter from a third party, such as a supplier, the submitter is responsible for obtaining from the third party the information that is necessary to comply with § 512.4 of this part, including a certificate in the form set out in appendix A to this Part.
§ 512.10 Duty to amend.
The submitter shall promptly amend any supporting information provided under § 512.4 if the submitter obtains information upon the basis of which the submitter knows that the supporting information was incorrect when provided, or that the supporting information, though correct when provided to the agency, is no longer correct and the circumstances are such that a failure to amend the supporting information is in substance a knowing concealment.
§ 512.11 What if I need an extension of time?
If a person is unable to submit the necessary information required under § 512.4 at the time the claimed confidential information is submitted to NHTSA, then that person may request an extension of time. Any request for an extension shall explain the reason for the extension of time and the length of time requested.
§ 512.12 What if I am submitting multiple items of information?
Any certificate provided under § 512.4(b) of this part, and any supporting information provided under § 512.4(c) of this part, may be used to support a claim for confidential treatment of more than one item of information. However, general or nonspecific assertions or analysis may be insufficient to form an adequate basis for the agency to find that the information is entitled to confidential treatment, and may result in the denial of the claim.
§ 512.13 What are the consequences for noncompliance with this part?
(a) If the submitter fails to comply with § 512.4 of this part at the time the information is submitted to NHTSA or does not request an extension of time under § 512.11, the claim for confidentiality may be waived, unless the agency is notified or otherwise becomes aware of the claim before the information is disclosed to the public. If the information is placed in a public docket or file, such placement is disclosure to the public within the meaning of this part and may preclude any claim for confidential treatment. The Chief Counsel may notify a submitter of information or, if applicable, a third party from whom the information was obtained, of inadequacies regarding a claim for confidential treatment and may allow the submitter or third party additional time to supplement the submission, but has no obligation to provide either notice or additional time.
(b) If the submitter does not provide the certificate required under § 512.4(b) of this part or any supporting information required under § 512.4(c) of this part, or if the information is insufficient to establish that the information should be afforded confidential treatment under the confidentiality standards set out in § 512.15 of this part, a request that such information be treated confidentially may be denied. The Chief Counsel may notify a submitter of information of inadequacies in the supporting information and may allow the submitter additional time to supplement the showing, but has no obligation to provide either notice or additional time.
Subpart D – Agency Determination
§ 512.14 Who makes the confidentiality determination?
The Chief Counsel will determine whether an item of information will be afforded confidential treatment under this part.
§ 512.15 How will confidentiality determinations be made?
Information may be afforded confidential treatment if the Chief Counsel determines that:
(a) The information is a trade secret;
(b) Public disclosure of the information would be likely to cause substantial harm to the competitive position of the submitter;
(c) Public disclosure of the information would be likely to impair NHTSA’s ability to obtain necessary information in the future;
(d) The information was provided to NHTSA voluntarily and was not customarily released to the public by the person from whom it was obtained; or
(e) The information is otherwise entitled to protection, pursuant to 5 U.S.C. 552(b).
§ 512.16 Class determinations.
(a) The Chief Counsel may issue class determinations of categories of information to be entitled to confidential treatment if the Chief Counsel determines that one or more characteristics common to each item of information in that class, will, in most cases, result in identical treatment, and further that it is appropriate to treat all such items as a class for one or more purposes under this part. Once a class determination is made, the Chief Counsel will publish the new class determination in the
(b) The Chief Counsel may amend, modify, or terminate any class determination established under this section. These changes will be published in the
(c) Class determinations made by the Chief Counsel are listed in Appendices B and C to this Part.
(d) A class determination may state that all of the information in the class:
(1) Is or is not governed by a particular section of this part or by a particular set of substantive criteria of this part;
(2) Satisfies one or more of the applicable substantive criteria; or
(3) Satisfies one or more of the substantive criteria, but only for a certain period of time.
§ 512.17 How long should it take to determine whether information is entitled to confidential treatment?
(a) When information claimed to be confidential is requested under the Freedom of Information Act, the determination will be made within twenty (20) working days after NHTSA receives such a request or within thirty (30) working days in unusual circumstances as provided under 5 U.S.C. 552(a)(6)(A). However, these time periods may be extended by the Chief Counsel for good cause shown or on request from any person. An extension will be made in accordance with 5 U.S.C. 552(a)(6)(A), and will be accompanied by a written statement setting out the reasons for the extension.
(b) When information claimed to be confidential is not requested under the Freedom of Information Act, the determination of confidentiality will be made within a reasonable period of time, at the discretion of the Chief Counsel.
§ 512.18 How will I be notified of the confidentiality determination?
(a) If a request for confidential treatment is granted, the submitter of the information will be notified in writing of the determination and of any appropriate limitations.
(b) If a request for confidential treatment is denied in whole or in part, the submitter of the information will be notified in writing of the determination, and the reasons for the denial, by certified mail, return receipt requested. The information may be made available to the public twenty (20) working days after the submitter of the information has received notice of the denial, unless a request for reconsideration is filed. The information may be released publicly on an earlier date, if the Chief Counsel determines in writing that the public interest requires that the information be made available to the public on such date.
§ 512.19 What can I do if I disagree with the determination?
(a) A submitter of information whose request for confidential treatment is denied in whole or in part, may petition for reconsideration of that decision. Petitions for reconsideration shall be addressed to and received by the Chief Counsel prior to the date on which the information would otherwise be made available to the public. The determination by the Chief Counsel upon such petition for reconsideration shall be administratively final.
(b) If a person is unable to submit a petition for reconsideration within twenty (20) working days of receiving notice that a claim for confidential treatment was denied, that person may submit a request for an extension of time. The Chief Counsel must receive any request for an extension of time before the date on which the information would be made available to the public, and the request must be accompanied by an explanation describing the reason for the request and the length of time requested. The Chief Counsel will determine whether to grant or deny the extension and the length of the extension.
(c) If a petition for reconsideration is granted, the petitioner will be notified in writing of the determination and of any appropriate limitations.
(d) If a petition for reconsideration is denied in whole or in part, or if a request for an extension is denied, the petitioner will be notified in writing of the denial, and the reasons for the denial, and will be informed that the information will be made available to the public not less than twenty (20) working days after the petitioner has received notice of the denial. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date.
Subpart E – Agency Treatment of Information Claimed To Be Confidential
§ 512.20 How does the agency treat information submitted pursuant to this part before a confidentiality determination is made?
(a) Information received by NHTSA, for which a properly filed confidentiality request is submitted, will be kept confidential until the Chief Counsel makes a determination regarding its confidentiality. Such information will not be disclosed publicly, except in accordance with this part.
(b) Redacted copies of documents submitted to NHTSA under this part will be disclosed to the public.
§ 512.21 How is information submitted pursuant to this part treated once a confidentiality determination is made?
(a) Once the Chief Counsel makes a determination regarding the confidentiality of the submitted information, all materials determined not to be entitled to confidential protection will be disclosed to the public in accordance with the determination, unless a timely petition for reconsideration is received by the agency.
(b) Upon receipt of a timely petition for reconsideration under § 512.19 of this part, the submitted information will remain confidential, pending a determination regarding the petition.
(c) Should the Chief Counsel, after considering a petition for reconsideration, decide that information is not entitled to confidential treatment, the agency may make the information available after twenty (20) working days after the submitter has received notice of that decision from the Chief Counsel unless the agency receives direction from a court not to release the information.
§ 512.22 Under what circumstances may NHTSA modify a grant of confidentiality?
(a) The Chief Counsel may modify a grant of confidentiality based upon:
(1) Newly discovered or changed facts;
(2) A change in the applicable law;
(3) A change in class determination, pursuant to § 512.16;
(4) The passage of time; or
(5) A finding that the prior determination is erroneous.
(b) If the Chief Counsel believes that an earlier determination of confidentiality should be modified based on one or more of the factors listed in paragraph (a) of this section, the submitter of the information will be notified in writing that the Chief Counsel has modified its earlier determination and of the reasons for the modification, and will be informed that the information will be made available to the public in not less than twenty (20) working days from the date of receipt of the notice of modification. The information may be released publicly on an earlier date, if the Administrator determines in writing that the public interest requires that the information be made available to the public on such date. The submitter may seek reconsideration of the modification, pursuant to § 512.19.
§ 512.23 Under what circumstances may NHTSA publicly release confidential information?
(a) Information that has been claimed or determined to be confidential under this part may be disclosed to the public by the Administrator notwithstanding such claim or determination, if disclosure would be in the public interest as follows:
(1) Information obtained under chapter 325, 327, 329 or 331 of title 49 of the United States Code (formerly under the Motor Vehicle Information and Cost Savings Act) may be disclosed when that information is relevant to a proceeding under the chapter under which the information was obtained.
(2) Information obtained under chapter 301 of title 49 of the United States Code (49 U.S.C. § 30101 et seq.), relating to the establishment, amendment, or modification of Federal motor vehicle safety standards, may be disclosed when relevant to a proceeding under the chapter.
(3) Except as specified in the next sentence, information obtained under Chapter 301 of title 49 of the United States Code (49 U.S.C. 30101 et seq.), related to a possible defect or noncompliance, shall be disclosed when the Administrator decides the information will assist in carrying out sections 30117(b) and 30118 through 30121 of title 49 or is required to be disclosed under 30118(a) of title 49, except as provided in paragraph (a)(4) of this section.
(4) No information will be disclosed under paragraph (a) of this section unless the submitter of the information is given written notice of the Administrator’s intention to disclose information under this section. Written notice will be given at least twenty (20) working days before the day of release, unless the Administrator finds that shorter notice is in the public interest. The notice under this paragraph will include a statement of the Administrator’s reasons for deciding to disclose the information, and will afford the submitter of the information an opportunity to comment on the contemplated release of the information. The Administrator may also give notice of the contemplated release of information to other persons and may allow these persons the opportunity to comment. In making the determination to release information pursuant to this section, the Administrator will consider ways to release the information that will cause the least possible adverse effects to the submitter.
(b) Notwithstanding any other provision of this part, information that has been determined or claimed to be confidential may be released:
(1) To a committee of Congress;
(2) Pursuant to an order of a court of competent jurisdiction;
(3) To the Office of the Secretary, U.S. Department of Transportation and other Executive branch offices or other Federal agencies in accordance with applicable laws;
(4) With the consent of the submitter of the information; and
(5) To contractors, if necessary for the performance of a contract with the agency or any Federal agency, with specific prohibitions on further release of the information.
Appendix A to Part 512 – Certificate in Support of Request for Confidentiality
I _____, pursuant to the provisions of 49 CFR part 512, state as follows:
(1) I am (official’s name, title) and I am authorized by (company) to execute this certificate on its behalf;
(2) I certify that the information contained in (pertinent document(s)) is confidential and proprietary data and is being submitted with the claim that it is entitled to confidential treatment under 5 U.S.C. 552(b)(4) (as incorporated by reference in and modified by the statute under which the information is being submitted);
(3) I hereby request that the information contained in (pertinent document(s)) be protected for (requested period of time);
(4) This certification is based on the information provided by the responsible (company) personnel who have authority in the normal course of business to release the information for which a claim of confidentiality has been made to ascertain whether such information has ever been released outside (company);
(5) Based upon that information, to the best of my knowledge, information and belief, the information for which (company) has claimed confidential treatment has never been released or become available outside (company); (except as hereinafter specified);
(6) I make no representations beyond those contained in this certificate and, in particular, I make no representations as to whether this information may become available outside (company) because of unauthorized or inadvertent disclosure (except as stated in paragraph 5); and
(7) I certify under penalty of perjury that the foregoing is true and correct. Executed on this the ___ day of ___, ___. (If executed outside of the United States of America: I certify under penalty of perjury under the laws of the United States of America that the foregoing is true and correct). (signature of official)
Appendix B to Part 512 – General Class Determinations
The Chief Counsel has determined that the following types of information would presumptively be likely to result in substantial competitive harm if disclosed to the public:
(1) Blueprints and engineering drawings containing process and production data where the subject could not be manufactured without the blueprints or engineering drawings except after significant reverse engineering;
(2) Future specific model plans (to be protected only until the date on which the specific model to which the plan pertains is first offered for sale); and
(3) Future vehicle production or sales figures for specific models (to be protected only until the termination of the production period for the model year vehicle to which the information pertains).
Appendix C to Part 512 – Early Warning Reporting Class Determinations
(a) The Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, Subpart C, if released, is likely to cause substantial harm to the competitive position of the manufacturer submitting the information and is likely to impair the government’s ability to obtain necessary information in the future:
(1) Reports and data relating to warranty claim information and warranty adjustment information for manufacturers of tires;
(2) Reports and data relating to field reports, including dealer reports, product evaluation reports, and hard copies of field reports; and
(3) Reports and data relating to consumer complaints.
(b) The Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR 579, Subpart C, if released, is likely to cause substantial harm to the competitive position of the manufacturer submitting the information:
(1) Reports of production numbers for child restraint systems, tires, and vehicles other than light vehicles, as defined in 49 CFR 579.4(c); and
(2) Lists of common green tire identifiers.
Appendix D to Part 512 – Vehicle Identification Number Information
The Chief Counsel has determined that the disclosure of the last six (6) characters, when disclosed along with the first eleven (11) characters, of vehicle identification numbers reported in information on incidents involving death or injury pursuant to the early warning information requirements of 49 CFR part 579 will constitute a clearly unwarranted invasion of personal privacy within the meaning of 5 U.S.C. 552(b)(6).
Appendix E to Part 512 – Consumer Assistance to Recycle and Save (CARS) Class Determinations
(a) The Chief Counsel has determined that the following information required to be submitted to the agency under 49 CFR part 599, if released, is likely to cause substantial harm to the competitive position of the entity submitting the information:
(1) Vehicle Manufacturer Issued Dealer Identification Code;
(2) Dealer Bank Name, ABA Routing Number and Bank Account Number; and
(3) CARS Dealer Code and Authorization Code.
(b) The Chief Counsel has determined that the disclosure of the new vehicle owner’s name, home address, telephone number, state identification number and last six (6) characters, when disclosed along with the first eleven (11) characters, of the new vehicle identification numbers reported in transactions submitted to the agency under 49 CFR Part 599 will constitute a clearly unwarranted invasion of personal privacy within the meaning of 5 U.S.C. 552(b)(6).
Appendix F to Part 512 – OMB Clearance
The OMB clearance number for this part 512 is 2127-0025.
PART 520 – PROCEDURES FOR CONSIDERING ENVIRONMENTAL IMPACTS
Subpart A – General
§ 520.1 Purpose and scope.
(a) Section 102(2)(C) of the National Environmental Policy Act of 1969 (83 Stat. 853; 42 U.S.C. 4332(2)(C)), as implemented by Executive Order 11514 (3 CFR, 1966-1970 Comp., p. 902) and the Council on Environmental Quality’s Guidelines of April 23, 1971 (36 FR 7724), requires that all agencies of the Federal Government prepare detailed environmental statements on proposals for legislation and other major Federal actions significantly affecting the quality of the human environment. The purpose of the Act is to build into the agency decision-making process careful consideration of all environmental aspects of proposed actions.
(b) This part specifies National Highway Traffic Safety Administration (NHTSA) procedures for conducting environmental assessments and reviews, and for the preparation of environmental impact statements on proposals for legislation and other major agency actions significantly affecting the quality of the human environment.
§ 520.2 Policy.
The agency will strive to carry out the full intent and purpose of the National Environmental Policy Act of 1969 and related orders and statutes, and take positive steps to avoid any action which could adversely affect the quality of the human environment.
§ 520.3 Definitions.
(a) Environmental assessment is a written analysis describing the environmental impact of a proposed or ongoing agency action, submitted to the agency either by its grantees or contractors, or by any person outside the agency as part of any program or project proposal within the scope of activities listed in § 520.4(b).
(b) Environmental review is a formal evaluation undertaken by the agency, culminating in a brief document (the environmental review report), to determine whether a proposed or ongoing NHTSA action may have a significant impact on the environment. The review document will be included in the proposed or ongoing agency action, and either support a negative declaration or recommend the preparation of a draft environmental impact statement.
(c) Draft environmental impact statement (DEIS) means a preliminary statement on the environmental impact of a proposed or ongoing NHTSA action which is circulated for comment and review within and outside NHTSA.
(d) Final environmental impact statement (FEIS) means a detailed statement which, pursuant to section 102(2)(C) of the National Environmental Policy Act, identifies and analyzes the anticipated environmental impact of a proposed or ongoing NHTSA action.
(e) Negative declaration means a statement prepared subsequent to an environmental review, which states that a proposed or ongoing NHTSA action will have no significant environmental impact and therefore does not require a draft or final environmental impact statement.
§ 520.4 Applicability.
(a) Scope. This part applies to all elements of NHTSA, including the Regional Offices.
(b) Actions covered. Except as provided in paragraph (e) of this section, this part applies to the following agency actions and such actions and proposals as may be sponsored jointly with another agency:
(1) New and continuing programs and projects; budget proposals; legislative proposals by the agency; requests for appropriations; reports on legislation initiated elsewhere where the agency has primary responsibility for the subject matter involved; and any renewals or reapprovals of the foregoing;
(2) Research, development, and demonstration projects; formal approvals of work plans; and associated contracts;
(3) Rulemaking and regulatory actions, including Notices of Proposed Rulemaking (NPRM); requests for procurement (RFP); requests for grants (Annual Work Programs); and contracts;
(4) All grants, loans or other financial assistance for use in State and Community projects;
(5) Annual State Highway Safety Work Programs;
(6) Construction; leases; purchases; operation of Federal facilities; and
(7) Any other activity, project, or action likely to have a significant effect on the environment.
(c) Continuing actions. This part applies to any action enumerated in paragraph (b) of this section, even though such actions arise from a project or program initiated prior to enactment of the National Environmental Policy Act on January 1, 1970.
(d) Environmental assessments. Within the scope of activities listed in § 520.4(b), any person outside the agency submitting a program or project proposal may be requested to prepare an environmental assessment of such proposed action to be included in his submission to the agency.
(e) Exceptions. (1) Assistance in the form of general revenue sharing funds, distributed under the State and Local Fiscal Assistance Act of 1972, 31 U.S.C. 1221, with no control by the NHTSA over the subsequent use of such funds;
(2) Personnel actions;
(3) Administrative procurements (e.g., general supplies) and contracts for personal services;
(4) Legislative proposals originating in another agency and relating to matters not within NHTSA’s primary areas of responsibility;
(5) Project amendments (e.g., increases in costs) which have no environmental significance; and
(6) Minor agency actions that are determined by the official responsible for the actions to be of such limited scope that they clearly will not have a significant effect on the quality of the human environment.
(f) Consolidation of statements. Proposed actions (and alternatives thereto) having substantially similar environmental impacts may be covered by a single environmental review and environmental impact statement or negative declaration.
§ 520.5 Guidelines for identifying major actions significantly affecting the environment.
(a) General guidelines. The phrase, “major Federal actions significantly affecting the quality of the human environment,” as used in this part, shall be construed with a view to the overall, cumulative impact of the actions, other Federal projects or actions in the area, and any further contemplated or anticipated actions. Therefore, an environmental impact statement should be prepared in any of the following situations:
(1) Proposed actions which are localized in their impact but which have a potential for significantly affecting the environment;
(2) Any proposed action which is likely to be controversial on environmental grounds;
(3) Any proposed action which has unclear but potentially significant environmental consequences.
(b) Specific guidelines. While a precise definition of environmental significance that is valid in all contexts is not possible, any of the following actions should ordinarily be considered as significantly affecting the quality of the human environment:
(1) Any matter falling under section 4(f) of the Department of Transportation Act (49 U.S.C. 1653(f)) and section 138 of Federal-aid highway legislation (23 U.S.C. 138), requiring the use of any publicly owned land from a park, recreation area, or wildlife and waterfowl refuge of national, State, or local significance as determined by the Federal, State, or local officials having jurisdiction thereof, or any land from an historic site of national, State, or local significance;
(2) Any matter falling under section 106 of the National Historic Preservation Act of 1966 (16 U.S.C. 470(f)), requiring consideration of the effect of the proposed action on any building included in the National Register of Historic Preservation and reasonable opportunity for the Advisory Council on Historic Preservation to comment on such action;
(3) Any action that is likely to affect the preservation and enhancement of sites of historical, architectural, or archaeological significance;
(4) Any action that is likely to be highly controversial regarding relocation housing;
(5) Any action that (i) divides or disrupts an established community, disrupts orderly, planned development, or is inconsistent with plans or goals that have been adopted by the community in which the project is located; or (ii) causes significantly increased congestion;
(6) Any action that (i) involves inconsistency with any Federal, State, or local law or administrative determination relating to the environment; (ii) has a significantly detrimental impact on air or water quality or on ambient noise levels for adjoining areas; (iii) involves a possibility of contamination of a public water supply system; or (iv) affects ground water, flooding, erosion, or sedimentation;
(7) Any action that may directly or indirectly result in a significant increase in noise levels, either within a motor vehicle’s closed environment or upon nearby areas;
(8) Any action that may directly or indirectly result in a significant increase in the energy or fuel necessary to operate a motor vehicle, including but not limited to the following: (i) Actions which may directly or indirectly result in a significant increase in the weight of a motor vehicle; and (ii) actions which may directly or indirectly result in a significant adverse effect upon the aerodynamic drag of a motor vehicle;
(9) Any action that may directly or indirectly result in a significant increase in the amount of harmful emissions resulting from the operation of a motor vehicle;
(10) Any action that may directly or indirectly result in a significant increase in either the use of or the exposure to toxic or hazardous materials in the manufacture, operation, or disposal of motor vehicles or motor vehicle equipment;
(11) Any action that may directly or indirectly result in a significant increase in the problem of solid waste, as in the disposal of motor vehicles or motor vehicle equipment;
(12) Any action that may directly or indirectly result in a significant depletion of scarce natural resources associated with the manufacture or operation of motor vehicles or motor vehicle equipment; and
(13) Any other action that causes significant environment impact by directly or indirectly affecting human beings through adverse impacts on the environment.
(c) Research activities. (1) In accord-ance with DOT Order 5610.1B, the Assistant Secretary for Systems Development and Technology (TST) will prepare, with the concurrence of the NHTSA, proposed procedures for assessing the environmental consequences of research activities. Until final procedures are promulgated, the following factors are to be considered for periodic evaluation to determine when an environmental statement is required for such programs:
(i) The magnitude of Federal investment in the program;
(ii) The likelihood of widespread application of the technology;
(iii) The degree of environmental impact which would occur if the technology were widely applied; and
(iv) The extent to which continued investment in the new technology is likely to restrict future alternatives.
(2) The statement or environmental review culminating in a negative declaration must be written late enough in the development process to contain meaningful information, but early enough so that this information can practically serve as an input in the decision-making process. Where it is anticipated that an environmental impact statement may ultimately be required but its preparation is still premature, the office shall prepare a publicly available record briefly setting forth the reasons for its determination that a statement is not yet necessary. This record shall be updated at least quarterly, or as may be necessary when significant new information becomes available concerning the potential environmental impact of the program. In any case, a statement or environmental review culminating in a negative declaration must be prepared before research activities have reached a state of investment or commitment to implementation likely to determine subsequent development or restrict later alternatives. Statements on technology research and development programs shall include an analysis not only of alternative forms of the same technology that might reduce any adverse environmental impacts but also of alternative technologies that would serve the same function as the technology under consideration. Efforts shall be made to involve other Federal agencies and interested groups with relevant expertise in the preparation of such statements because the impacts and alternatives to be considered are likely to be less well defined than in other types of statements.
Subpart B – Procedures
§ 520.21 Preparation of environmental reviews, negative declarations, and notices of intent.
(a) General responsibilities – (1) Associate Administrators and Chief Counsel. Each Associate Administrator and the Chief Counsel is responsible for determining, in accordance with Subpart A, whether the projects and activities under his jurisdiction require an environmental review, and for preparing all such reviews, negative declarations, and notices of intent.
(2) Regional Administrators. Each Regional Administrator, in consultation with the Governor’s Representative, is responsible for determining, in accordance with Subpart A, whether proposed State activities in his Region, as stated in Annual Work Programs, require an environmental review, and for the preparing all such reviews, negative declarations, and notices of intent.
(3) Associate Administrator for Planning and Evaluation. The Associate Administrator for Planning and Evaluation may request in accordance with the requirements of this order, that the appropriate Associate Administrator or Regional Administrator prepare an Environmental review or Environmental Impact Statement for any proposed or continuing NHTSA action, or comment on any environmental statement prepared by other agencies.
(b) Coordination. Coordination with appropriate local, State and Federal agencies should be accomplished during the early stages by the responsible official to assist in identifying areas of significance and concern. Existing procedures, including those established under the Office of Management and Budget (OMB) Revised Circular A-95, should be used to the greatest extent practicable to accomplish this early coordination.
(c) Applicants. (1) Each applicant for a grant, loan, or other financial assistance for use in State and community projects may be requested to submit, with the original application, an environmental assessment of the proposed project.
(2) Under OMB Revised Circular A-95, “Evaluation, Review, and Coordination of Federal Assistance Programs and Projects,” and DOT 4600.4B, “Evaluation, Review and Coordination of DOT Assistance Programs and Projects,” dated February 27, 1974, a grant applicant must notify the clearinghouse of its intention to apply for Federal program assistance. The notification must solicit comments on the project and its impacts from appropriate State and local agencies. Since it is the NHTSA’s policy to assure that (i) interested parties and Federal, State, and local agencies receive early notification of the decision to prepare an environmental impact statement, and (ii) their comments on the environmental effects of the proposed Federal action are solicited at an early stage in the preparation of the draft impact statement, this early notification requirement may be met by a grant applicant by sending the notification to interested parties and agencies at the same time it is sent to the clearinghouse.
(d) Consultants. Consultants may prepare background or preliminary material and assist in preparing a draft or final environmental statement for which the NHTSA takes responsibility. Care should be exercised in selecting consultants, and in reviewing their work, to insure complete and objective consideration of all relevant project impacts and alternatives, particularly if the consultant may expect further contracts based on the outcome of the environmental decision.
(e) Environmental review report. The environmental review shall culminate in a brief written report of the same title, which shall be included in the proposed or ongoing agency action, and which:
(1) Describes the proposed or ongoing NHTSA action, the environment affected, and the anticipated benefits;
(2) Evaluates the potential environmental impact, including those adverse impacts which cannot be avoided, should the proposal be implemented or the action continued;
(3) Assesses the alternatives to the proposed or ongoing action and their potential environmental impact;
(4) Evaluates the cumulative and long-term environmental effects of the proposed or ongoing action;
(5) Describes the irreversible and irretrievable commitments of resources involved in the proposal’s implementation or the action’s continuance;
(6) Identifies any known or potential conflicts with State, regional, or local plans and programs;
(7) Weighs and analyzes the anticipated benefits against the environmental and other costs of the proposed or ongoing action in a manner which reflects similar comparisons of reasonably available alternatives; and
(8) Concludes with a negative declaration or recommends the preparation of a DEIS.
(f) Negative declarations. (1) If the responsible official judges that the environmental impact of a proposed or ongoing action under his jurisdiction will not significantly affect the quality of the human environment, the following declaration will be included in the environmental review report:
(2) A DEIS may be changed to a negative declaration if the public review process indicates that the proposal or ongoing action will not have a significant effect upon the environment.
(3) An index of all negative declarations and a copy of each environmental review report shall be retained by the responsible official under whose jurisdiction it was prepared and shall be made available for public inspection upon request.
(g) Notice of intent to prepare a draft environmental impact statement. If the responsible official under whose jurisdiction an environmental review is prepared determines that the proposed or ongoing action could have a potentially significant effect on the quality of the environment, he shall: coordinate with the Associate Administrator for Planning and Evaluation and the Chief Counsel, transmit to appropriate Federal, State and local agencies and have published in the
§ 520.22 Maintenance of a list of actions.
(a) The Associate Administrator for Planning and Evaluation shall be responsible for the preparation and maintenance of a list of actions for which draft or final environmental impact statements have been or are to be prepared. This list shall be on file with the Associate Administrator for Planning and Evaluation and shall be available for public inspection in the Docket Section upon request. A copy of the initial list and its updatings at the end of each calendar quarter shall be transmitted by the Associate Administrator for Planning and Evaluation to TES and CEQ.
(b) If a determination is made that an environmental statement is not necessary for a proposed action (1) which has been identified as normally requiring preparation of a statement, (2) which is similar to actions for which a significant number of statements have been prepared, (3) which the agency has previously announced would be the subject of a statement, or (4) for which the official responsible for such proposal has made a negative determination in response to a request from the CEQ, a record briefly setting forth the decision and the reasons for that determination shall be prepared by the responsible official. Such a record of negative determinations and any evaluations made pursuant to § 520.21 which conclude that preparation of a statement is not yet timely shall be prepared by the responsible official, submitted to the Associate Administrator for Planning and Evaluation, and made available by the Associate Administrator for Planning and Evaluation in the same manner as provided in paragraph (a) of this section for lists of statements under preparation.
§ 520.23 Preparation of draft environmental impact statements.
(a) Planning stage. (1) When a DEIS is to be prepared, the responsible official shall promptly initiate its preparation and develop a schedule in consultation with the Associate Administrator for Planning and Evaluation, to assure completion prior to the first significant point of decision in the program or project development process.
(2) The environmental impacts of proposed activities should be initially assessed concurrently with the initial technical and economic studies.
(3) Section 102(2)(A) of NEPA requires each Federal agency to utilize a “systematic, interdisciplinary approach” to plans and programs affecting the environment. To assure that all environmental impacts are identified and assessed, all relevant disciplines should be represented. If the necessary disciplines are not represented on the staff of the applicant or NHTSA, it is appropriate to use professional services available in other Federal, State or local agencies, universities, or consulting firms. The use of the interdisciplinary approach should not be limited to the environmental statement. This approach should also be used in the early planning stages to help assure a systematic evaluation of reasonable alternative courses of action and their potential social, economic, and environmental consequences.
(b) Form and content requirements. Attachment 1 of this order prescribes the form and content requirements to be followed for each draft and final environmental impact statement. The DEIS must fulfill and satisfy, to the fullest extent possible at the time it is prepared, the requirements established for final statements.
(c) Lead agency. CEQ guidelines provide that when more than one Federal agency (1) directly sponsors an action, or is directly involved in an action through funding, licenses, or permits, or (2) is involved in a group of actions directly related to each other because of their functional interdependence and geographical proximity, consideration should be given to preparing one statement for all the Federal actions involved. Agencies in such cases should consider the designation of a single “lead agency” to assume supervisory responsibility for preparation of a joint statement. Where a lead agency prepares the statement, the other agencies involved should provide assistance with respect to their areas of jurisdiction and expertise. The statement should contain an evaluation of the full range of Federal actions involved, should reflect the views of all participating agencies, and should be prepared before major or irreversible actions have been taken by any of the participating agencies. Some relevant factors in determining an appropriate lead agency are: The time sequence in which the agencies become involved, the magnitude of their respective involvement, and their relative expertise with respect to the project’s environmental effects. Questions concerning “lead agency” decisions should be raised with CEQ through TES. For projects serving and primarily involving land owned by or under the jurisdiction of another Federal agency, that agency may be the appropriate lead agency.
(d) Applicants. Where the agency requests an applicant for financial assistance or other agency approval to submit an environmental assessment, the responsible official will (1) assist the applicant by outlining the information required, and (2) in all cases make his own evaluation of the environmental issues involved and take responsibility for the scope and content of draft and final environmental statements.
§ 520.24 Internal processing of draft environmental impact statements.
Before circulating a DEIS for external review, the official responsible for the DEIS shall receive the concurrence of the Associate Administrator for Planning and Evaluation and the Chief Counsel; and prepare a memorandum for approval by the Administrator which shall:
(a) Set forth the basis on which it was determined that a potentially significant environmental effect exists;
(b) Attach the DEIS;
(c) Identify the Federal, State, and local agencies and private sources from which comments on the DEIS are proposed to be solicited (see Attachment 2);
(d) Include a recommendation on whether a public hearing on the proposed action should be held.
§ 520.25 External review of draft environmental impact statements.
(a) Requirements. The official responsible for the DEIS shall:
(1) Transmit 5 copies of the DEIS to the CEQ and 2 copies to TES;
(2) Solicit comments from all Federal, State, and local agencies which have jurisdiction by law or special expertise with respect to the possible environmental impact involved, and from the public (see Attachment 2); and
(3) Inform the public and interested parties of the availability of the DEIS and provide copies as appropriate; and
(4) Allow a comment period of not less than 45 days from the Friday of the week following receipt of the draft impact statement by CEQ. Requests for extensions shall be granted whenever possible, and particularly when warranted by the magnitude and complexity of the statement or the extent of citizen interest.
(b) Procedures – (1) Federal and Federal-State agency review. (i) The DEIS shall be circulated for review to the Federal and Federal-State agencies with special expertise or jurisdiction by law with regard to the potential environmental impact involved. These agencies and their relevant areas of expertise are identified in Attachment 2.
(ii) For actions within the jurisdiction of the Environmental Protection Agency (air or water quality, solid wastes, pesticides, radiation standards, noise), the DEIS shall be sent to EPA.
(iii) For actions which would affect any property that is included in the National Register of Historic Preservation, the DEIS should be sent to the Advisory Council on Historic Preservation and the State Liaison Office for Historic Preservation.
(2) State and local review. Where a review of the proposed action by State and local agencies authorized to develop and enforce environmental stand-ards is relevant, comments are to be solicited directly from such agencies with known responsibilities in environmental matters, and shall be obtained as follows:
(i) Where review of direct Federal development projects, and of projects assisted under programs listed in Attachment D to revised OMB Circular A-95 (as implemented by DOT 4600.4B “Evaluation, Review and Coordination of DOT Assistance Programs and Projects”, dated February 27, 1974), takes place prior to preparation of an environmental statement, comments of the reviewing agencies on the environmental effects of the proposed project are inputs to the environmental statement. These comments shall be attached to the draft statement when it is circulated for review and copies of the draft shall be sent to those who commented. A-05 clearinghouses or other agencies designated by the Governor may also secure comments on environmental statements. In all cases, copies of the draft environmental statements shall be sent to clearinghouses and to the applicant whose project is the subject of the statement.
(ii) Comments shall be directly obtained from appropriate State and local agencies, except where review is secured by agreement through A-95 clearinghouses, unless the Governor of the appropriate State has designated some other point for obtaining his review. Instructions for obtaining the views of such agencies are contained in the joint OMB-CEQ memorandum (see Attachment 4). Comments shall be solicited from municipalities and counties on all projects located therein.
(iii) State and local review of NHTSA procedures, regulations, and policies for administering Federal programs of assistance to State and local governments shall be obtained pursuant to procedures established by OMB Circular No. A-85.
(iv) Generally, environmental statements on legislative and budget proposals may be excluded from State and local review.
(3) General public review. (i) At the time the DEIS is circulated to Federal, State, and local agencies, public availability of the DEIS for comment and review will be announced by the CEQ in the
(ii) A DEIS should be available to the public at least 30 days prior to the time of a public hearing on the DEIS.
(iii) Copies of the DEIS will be made available at the NHTSA Docket Section, Room 5109, 400 Seventh Street, SW., Washington, DC 20590, and, where appropriate, NHTSA Regional Offices, at the offices of any applicants or grantees, at appropriate State, regional, and metropolitan clearing houses, and local public libraries, and furnished to public and private organizations and individuals with special expertise with respect to the potential environmental impact involved, and to those with an interest in the action who request an opportunity to comment. Copies to be made available to the public shall be provided without charge to the extent practicable, or at a fee which is not more than the actual cost of reproducing copies required to be sent to other Federal agencies, including the CEQ.
(iv) A copy of the DEIS should in all cases be sent to any applicant whose project is the subject of the statement.
(v) If a DEIS is changed to a negative declaration as a result of the public review process, all agencies and individuals that received copies and/or commented on the DEIS must be informed that a negative declaration was substituted for the DEIS and given a brief explanation of the reason for such substitution.
(c) Utilization of comments. Comments received on the draft statement, and inputs (in summary form, if appropriate) from the processes for citizen participation, shall accompany the environmental statement through the normal internal project or program review process.
§ 520.26 Public hearings.
(a) A public hearing on a proposed or ongoing action covered by a DEIS shall be held upon the determination by the official responsible for such action, in consultation with the Associate Administrator for Planning and Evaluation, that a public hearing would be appropriate and in the public interest. In deciding whether a public hearing is appropriate, the responsible official should consider:
(1) The magnitude of the proposal in terms of economic costs, the geographic area involved, and the uniqueness or size of the commitment of the resources involved;
(2) The degree of interest in the proposal, as evidenced by requests from the public and from Federal, State, and local authorities that a hearing be held;
(3) The likelihood that information will be presented at the hearing which will be of assistance to the agency in fulfilling its responsibilities under the NEPA;
(4) The extent to which public involvement already has been achieved through other means, such as earlier public hearings, meetings with citizen representatives, and/or written comments on the proposed action; and
(5) The extent of potential environmental impact.
(b) If it is determined that a public hearing is to be held in accordance with paragraph (a) of this section, the official responsible for the action shall both announce the hearing through newspaper articles, direct notification to interested parties, and clearinghouses, and cause a notice to be issued in the
(1) Identifying the subject matter of the hearing;
(2) Announcing the date, time, and place of the hearing and the procedures to be followed; and
(3) Announcing the availability of the DEIS and any other information, as appropriate, for public inspection at one or more locations in the area affected by the action.
§ 520.27 Legislative actions.
(a) A DEIS on both legislative proposals and reports for which NHTSA either develops the Departmental position or originates the legislation will be cleared with TES, filed with CEQ, and submitted to the Office of Management and Budget through the normal DOT and NHTSA legislative process.
(b) The preparation, circulation, and filing of the environmental statement shall be in accordance with OMB Bulletin 72-6, “Proposed Federal Actions Affecting the Environment.”
(c) A DEIS and any comments that have been received should be available to the Congress and to the public for consideration in connection with the proposed legislation or report on proposed legislation. In cases where the scheduling of Congressional hearings on recommendations or reports on proposals for legislation which the Department has forwarded to the Congress does not allow adequate time for the completion of a FEIS, a DEIS may be furnished to the Congress and made available to the public pending transmittal of the comments as received and the final text.
§ 520.28 Preparation of final environmental impact statements.
(a) If the action is to go forward and the DEIS has not been changed to a negative declaration, as soon as practicable after the expiration of the comment period and hearing process, if any, the official responsible for the action shall prepare a final environmental impact statement (FEIS), taking into account all comments received and issues raised during such period and process.
(b) The FEIS shall conform to the guidelines for form and content in Attachment 1.
(c) The FEIS shall then be submitted to the Chief Counsel by the official responsible for the action, for determination of legal sufficiency.
§ 520.29 Internal review of final environmental impact statements.
(a) Upon completion of the review for legal sufficiency of the FEIS, the Chief Counsel shall transmit 2 copies of the FEIS to TES for concurrence. Unless other notification is provided within 2 weeks after receipt in TES, the statement will be considered concurred in by TES.
(b) After concurrence by TES, the FEIS will be transmitted by the Chief Counsel to the Administrator for approval.
(c) If an action requires the personal approval of the Secretary or Deputy Secretary pursuant to a request by them or by TES, TGC, or the NHTSA office originating the action, the final environmental statement shall be accompanied by a brief cover memorandum requesting the Secretary’s or Deputy Secretary’s approval of the action.
(1) The memorandum shall have signature lines for the concurrence of the Assistant Secretary for Environment, Safety, and Consumer Affairs, the General Counsel, and the Deputy Secretary, and for the approval of the Secretary or Deputy Secretary.
(2) TES, in conjunction with the Executive Secretary, is responsible for informing the Assistant Secretary for Congressional and Intergovernmental Affairs and the Office of Public Affairs of the Secretary’s decisions so that they, in coordination with the operating administrations or other Secretarial Offices involved, may take the appropriate actions.
§ 520.30 Availability of final environmental impact statements.
(a) Pending final approval and filing with CEQ, a proposed FEIS may be made available to the public and Federal, State, or local agencies if it carries a notation that it is not approved and filed.
(b) After approval by the Administrator, the Associate Administrator for Planning and Evaluation will send 5 copies of the FEIS (together with comments) to the CEQ; individual copies with comments attached to the EPA and all Federal, State, and local agencies and members of the public who submitted comments on the DEIS or requested copies of the FEIS. If the length of the statement or the number of comments make this distribution requirement highly impractical, TES should be consulted to consider an alternative arrangement.
(c) Copies of the FEIS will be made available in the NHTSA Docket Section, Room 5109, 400 Seventh Street SW., Washington, DC 20590, and, where appropriate, NHTSA Regional Offices, at the offices of any applicants or grantees, and at appropriate State, regional, and metropolitan clearinghouses and, where the impact is localized, public libraries.
(d) The official responsible for the action shall, upon request, make available copies of the FEIS and substantive comments received on the DEIS without charge to the extent practicable, or at a fee which is not more than the actual cost of reproducing copies.
§ 520.31 Amendments or supplements.
A draft or final environmental impact statement may be amended or supplemented. Supplements or amendments should be considered when substantial changes are made in the proposed or ongoing action that will introduce a new or changed environmental effect of significance to the quality of the environment, or significant new information becomes available concerning its environmental aspects. In such cases, the supplement or amendment shall be processed in consultation with TES with respect to the need for, or desirability of, recirculating the statement for the appropriate period. TES concurrence must be secured before issuance.
§ 520.32 Emergency action procedures.
The CEQ Guidelines allow modification of requirements in case of a national emergency, a disaster or similar great urgency. The processing times may be reduced, or if the emergency situation warrants, preparation and processing of a DEIS, FEIS, or negative declaration may be abbreviated. Such procedural changes, however, should be requested only for those projects where the need for immediate action requires processing in other than the normal manner.
§ 520.33 Timing of proposed NHTSA actions.
To the maximum extent practicable, no administrative action (i.e., any proposed action to be taken by the agency other than agency proposals for legislation to Congress, budget proposals, or agency reports on legislation) subject to this part and covered by an environmental impact statement shall be taken sooner than 90 days after a DEIS has been circulated for comment, furnished to the CEQ, and made public. Neither shall such administrative action be taken sooner than 30 days after the FEIS (together with comments) has been filed with CEQ, and made available to commenting agencies and the public. If the FEIS is filed within 90 days after a DEIS has been circulated for comment, furnished to the CEQ and made public, the 30-day period and 90-day period may run concurrently to the extent that they overlap. The 90-day time period is measured from the date of publication in the
§ 520.34 Comments on environmental statements prepared by other agencies.
(a) All requests for NHTSA’s views on a DEIS or a proposed action undergoing environmental review by another agency will be transmitted to the Associate Administrator for Planning and Evaluation for action or referral to TES where appropriate. Offices within NHTSA may be requested by the Associate Administrator for Planning and Evaluation to supply any pertinent information and comments for a coordinated agency response.
(b) NHTSA’s comments and the comments of any offices responding to a request by the Associate Administrator for Planning and Evaluation should be organized in a manner consistent with the structure of an environmental review set out in § 520.21(e). NHTSA programs that are environmentally related to the proposed action under review should be identified so interrelationships may receive due consideration.
(c) Copies of NHTSA’s comments on environmental statements prepared by other agencies shall be distributed as follows:
(1) The original and 1 copy to the requesting agency;
(2) 1 copy to TES-70; and
(3) 5 copies to CEQ.
(d) Requests by the public for copies should be referred to the agency originating the statement.
Attachment 1 to Part 520 – Form and Content of Statement
1. Form. a. Each statement will be headed as follows:
(Draft) Environmental Impact Statement Pursuant to section 102(2)(C), Pub. L. 91-190; 83 Stat. 853; 42 U.S.C. 4332(2)(C).
b. The heading specified above shall be modified to indicate that the statement also covers sections 4(f) of the DOT Act or 106 of the National Historic Preservation Act, when appropriate.
c. Each statement will, as a minimum, contain sections corresponding to paragraph 3 herein, supplemented as necessary to cover other matters provided in this Attachment.
d. The format for the summary to accompany draft and final environmental statements is as follows:
(Check one) ( ) Draft ( ) Final; Department of Transportation, National Highway Traffic Safety Administration. Name, address, and telephone number of individual who can be contacted for additional information about the proposed action or the statement. (Note: DOT Order 2100.2 prescribes procedures for reporting public contacts in rulemaking.)
(1) Name of Action. (Check one) ( ) Administrative Action. ( ) Legislative Action.
(2) Brief description of action indicating what States (and counties) are particularly affected.
(3) Summary of environmental impact and adverse environmental effects.
(4) List alternatives considered.
(5)(a) (For draft statements) List all Federal, State, and local agencies from which comments have been requested.
(b) (For final statements) List all Federal, State, and local agencies and other sources from which written comments have been received.
(6) Dates the draft statement and the final statement if issued were made available to the Council on Environmental Quality and the public.
2. Guidance as to content of statement. The following paragraphs of this Attachment are intended to be considered, where relevant, as guidance regarding the content of environmental statements. This guidance is expected to be supplemented by research reports, guidance on methodology, and other material from the literature as may be pertinent to evaluation of relevant environmental factors.
3. General content. The following points are to be covered:
a. A description of the proposed Federal action (e.g., “The proposed Federal action is approval of a grant application to construct * * *”), a statement of its purpose, and a description of the environment affected, including information, summary technical data, and maps and diagrams where relevant, adequate to permit an assessment of potential environmental impact by commenting offices and the public.
(1) Highly technical and specialized analyses and data should generally be avoided in the body of the draft impact statement. Such materials should be appropriately summarized in the body of the environmental statement and attached as appendices or footnoted with adequate bibliographic references.
(2) The statement should succinctly describe the environment of the area affected as it exists prior to a proposed action, including other related Federal activities in the area, their interrelationships, and cumulative environmental impact. The amount of detail provided in such descriptions should be commensurate with the extent and expected impact of the action, and with the amount of information required at the particular level of decision making (planning, feasibility, design, etc.). In order to insure accurate descriptions and environmental considerations, site visits should be made where appropriate.
(3) The statement should identify, as appropriate, population and growth characteristics of the affected area and any population and growth assumptions used to justify the project or program or to determine secondary population and growth impacts resulting from the proposed action and its alternatives (see paragraph 3c(2)). In discussing these population aspects, the statement should give consideration to using the rates of growth in the region of the project contained in the projection compiled for the Water Resources Council by the Bureau of Economic Analysis of the Department of Commerce and the Economic Research Service of the Department of Agriculture (the OBERS projection).
(4) The sources of data used to identify, quantify, or evaluate any or all environmental consequences must be expressly noted.
b. The relationship of the proposed action and how it may conform to or conflict with adopted or proposed land use plans, policies, controls, and goals and objectives as have been promulgated by affected communities. Where a conflict or inconsistency exists, the statement should describe the extent of reconciliation and the reasons for proceeding notwithstanding the absence of full reconciliation.
c. The probable impact of the proposed action on the environment. (1) This requires assessment of the positive and negative effects of the proposed action is it affects both national and international human environment. The attention given to different environmental factors will vary according to the nature, scale, and location of proposed actions. Among factors to be considered should be the potential effect of the action on such aspects of the environment as those listed in Attachment 2, and in section 520.5(b), supra. Primary attention should be given in the statement to discussing those factors most evidently impacted by the proposed action.
(2) Secondary and other foreseeable effects, as well as primary consequences for the environment, should be included in the analyses. Secondary effects, such as the impact on fuel consumption, emissions, or noise levels of automobiles or in the use of toxic or scarce materials, may be more substantial than the primary effects of the original action.
d. Alternatives to the proposed action, including, where relevant, those not within the existing authority of the responsible preparing office. Section 102(2)(D) of NEPA requires the responsible agency to “study, develop, and describe appropriate alternatives to recommended courses of action in any proposal which involves unresolved conflicts concerning alternative uses of available resources.” A rigorous exploration and an objective evaluation of the environmental impacts of all reasonable alternative actions, particularly those that might enhance environmental quality or avoid some or all of the adverse environmental effects, are essential. Sufficient analysis of such alternatives and their environmental benefits, costs, and risks should accompany the proposed action through the review process in order not to foreclose prematurely options which might enhance environmental quality or have less detrimental effects. Examples of such alternatives include: The alternatives of not taking any action or of postponing action pending further study; alternatives requiring actions of a significantly different nature which would provide similar benefits with different environmental impacts, e.g., low capital intensive improvements, mass transit alternatives to highway construction; alternatives related to different locations or designs or details of the proposed action which would present different environmental impacts. In each case, the analysis should be sufficiently detailed to reveal comparative evaluation of the environmental benefits, costs, and risks of the proposed action and each reasonable alternative. Where an existing impact statement already contains such an analysis its treatment of alternatives may be incorporated, provided such treatment is current and relevant to the precise purpose of the proposed action.
e. Any probable adverse environmental effacts which cannot be avoided (such as water or air pollution, noise, undesirable land use patterns, or impacts on public parks and recreation areas, wildlife and waterfowl refuges, or on historic sites, damage to life systems, traffic congestion, threats to health, or other consequences adverse to the environmental goals set out in section 101(b) of NEPA). This should be a brief section summarizing in one place those effects discussed in paragraph 3c that are adverse and unavoidable under the proposed action. Included for purposes of contrast should be a clear statement of how all adverse effects will be mitigated. Where mitigating steps are included in the statement, the responsible official shall see that they are carried out.
f. The relationship between local short-term uses of man’s environment and the maintenance and enhancement of long-term productivity. This section should contain a brief discussion of the extent to which the proposed action involves tradeoffs between short-term environmental gains at the expense of long-term losses, or vice versa, and a discussion of the extent to which the proposed action forecloses future options.
g. Any irreversible and irretrievable commitments of resources that would be involved in the proposed action should it be implemented. This requires identification of unavoidable impacts and the extent to which the action irreversibly curtails the range of potential uses of the environment. “Resources” means not only the labor and materials devoted to an action but also the natural and cultural resources lost or destroyed.
h. An indication of what other interests and considerations of Federal policy are thought to offset the adverse environmental effects of the proposed action identified pursuant to subparagraphs (c) and (e) of this paragraph. The statement should also indicate the extent to which these stated countervailing benefits could be realized by following reasonable alternatives to the proposed action (as identified in subparagraph (d) of this paragraph) that would avoid some or all of the adverse environmental effects. In this connection if a cost-benefit analysis of the proposed action has been prepared, it, or a summary, should be attached to the environmental impact statement, and should clearly indicate the extent to which environmental costs have not been reflected in such analysis.
i. A discussion of problems and objections raised by other Federal agencies, State and local entities, and citizens in the review process, and the disposition of the issues involved and the reasons therefor. (This section shall be added to the final environmental statement at the end of the review process.)
(1) The draft and final statements should document issues raised through consultations with Federal, State, and local agencies with jurisdiction or special expertise and with citizens, of actions taken in response to comments, public hearings, and other citizens involvement proceedings.
(2) Any unresolved environmental issues and efforts to resolve them, through further consultations or otherwise, should be identified in the final statement. For instance, where an agency comments that the statement has inadequate analysis or that the agency has reservations concerning the impacts, or believes that the impacts are too adverse for approval, either the issue should be resolved or the final statement should reflect efforts to resolve the issue and set forth any action that will result.
(3) The statement should reflect that every effort was made to discover and discuss all major points of view on the environmental effects of the proposed action and alternatives in the draft statement. However, where opposing professional views and responsible opinion have been overlooked in the draft statement and are raised through the commenting process, the environmental effects of the action should be reviewed in light of those views. A meaningful reference should be made in the final statement to the existence of any responsible opposing view not adequately discussed in the draft statement indicating responses to the issues raised.
(4) All substantive comments received on the draft (or summaries of responses from the public which have been exceptionally voluminous) should be attached to the final statement, whether or not each such comment is thought to merit individual discussion in the text of the statement.
j. Draft statement should indicate at appropriate points in the text any underlying studies, reports, and other information obtained and considered in preparing the statement, including any cost-benefit analyses prepared. In the case of documents not likely to be easily accessible (such as internal studies or reports), the statement should indicate how such information may be obtained. If such information is attached to the statement, care should be taken to insure that the statement remains an essentially self-contained instrument, capable of being understood by the reader without the need for undue cross reference.
4. Publicly owned parklands, recreational areas, wildlife and waterfowl refuges and historic sites. The following points are to be covered:
a. Description of “any publicly owned land from a public park, recreational area or wildlife and waterfowl refuge” or “any land from an historic site” affected or taken by the project. This includes its size, available activities, use, patronage, unique or irreplaceable qualities, relationship to other similarly used lands in the vicinity of the project, maps, plans, slides, photographs, and drawings showing a sufficient scale and detail the project. This also includes its impact on park, recreation, wildlife, or historic areas, and changes in vehicular or pedestrian access.
b. Statement of the “national, State or local significance” of the entire park, recreational area, refuge, or historic site “as determined by the Federal, State or local officials having jurisdiction thereof.”
(1) In the absence of such a statement lands will be presumed to be significant. Any statement of “insignificance” by the official having jurisdiction is subject to review by the Department as to whether such statement is capricious.
(2) Where Federal lands are administered for multiple uses, the Federal official having jurisdiction over the lands shall determine whether the subject lands are in fact being used for park, recreation, wildlife, waterfowl, or historic purposes.
c. Similar data, as appropriate, for alternative designs and locations, including detailed cost estimates (with figures showing percentage differences in total project costs) and technical feasibility, and appropriate analysis of the alternatives, including any unique problems present and evidence that the cost or community disruptions resulting from alternative routes reach extraordinary magnitudes. This portion of the statement should demonstrate compliance with the Supreme Court’s statement in the Overton Park case, as follows:
[The] very existence of the statute indicates that protection of parkland was to be given paramount importance. The few green havens that are public parks were not to be lost unless there were truly unusual factors present in a particular case or the cost or community disruption resulting from alternative routes reached extraordinary magnitudes. If the statutes are to have any meaning, the Secretary cannot approve the destruction of parkland unless he finds that alternative routes present unique problems. 401 U.S. 402, 412 (1971).
d. If there is no feasible and prudent alternative, description of all planning undertaken to minimize harm to the protected area and statement of actions taken or to be taken to implement this planning, including measures to maintain or enhance the natural beauty of the lands traversed.
(1) Measures to minimize harm may include replacement of land and facilities, providing land or facilities, provision for functional replacement of the facility (see 49 CFR 25.267).
(2) Design measures to minimize harm; e.g., tunneling, cut and cover, cut and fill, treatment of embankments, planting, screening, maintenance of pedestrian or bicycle paths and noise mitigation measures all reflecting utilization of appropriate interdisciplinary design personnel.
e. Evidence of concurrence or description of efforts to obtain concurrence of Federal, State or local officials having jurisdiction over the section 4(f) property regarding the action proposed and the measures planned to minimize harm.
f. If Federally-owned properties are involved in highway projects, the final statement shall include the action taken or an indication of the expected action after filing a map of the proposed use of the land or other appropriate documentation with the Secretary of the Department supervising the land (23 U.S.C. 317).
g. If land acquired with Federal grant money (Department of Housing and Urban Development open space or Bureau of Outdoor Recreation land and water conservation funds) is involved, the final statement shall include appropriate communications with the grantor agency.
h. TGC will determine application of section 4(f) to public interests in lands, such as easements, reversions, etc.
i. A specific finding by the Administrator that there is no feasible and prudent alternative and that the proposal includes all possible planning to minimize harm to the “4(f) area” involved.
5. Properties and sites of historic and cultural significance. The statement should document actions taken to preserve and enhance districts, sites, buildings, structures, and objects of historical, architectural, archeological, or cultural significance affected by the action.
a. Draft environmental statements should include identification, through consulting the National Register and applying the National Register Criteria (36 CFR part 800), of properties that are included in or eligible for inclusion in the National Register of Historic Places that may be affected by the project. The National Register is published in its entirety each February in the
b. If application of the Advisory Council on Historic Preservation’s (ACHP) Criteria of Effect (36 CFR part 800) indicates that the project will have an effect upon a property included in or eligible for inclusion in the National Register of Historic Places, the draft environmental statement should document the effect. Evaluation of the effect should be made in consultation with the State Historic Preservation Officer (SHPO) and in accordance with the ACHP’s criteria of Adverse Effect (36 CFR part 800).
c. Determinations of no adverse effect should be documented in the draft statement with evidence of the application of the ACHP’s Criteria of Adverse Effect, the views of the appropriate State Historic Preservation Officer, and submission of the determination to the ACHP for review.
d. If the project will have an adverse effect upon a property included in or eligible for inclusion in the National Register of Historic Places, the final environmental statement should include either an executed Memorandum of Agreement or comments from the Council after consideration of the project at a meeting of the ACHP and an account of actions to be taken in response to the comments of the ACHP. Procedures for obtaining a Memorandum of Agreement and the comments of the Council are found in 36 CFR part 800.
e. To determine whether the project will have an effect on properties of State or local historical, architectural, archaeological, or cultural significance not included in or eligible for inclusion in the National Register, the responsible official should consult with the State Historic Preservation Officer, with the local official having jurisdiction of the property, and where appropriate, with historical societies, museums, or academic institutions having expertise with regard to the property. Use of land from historic properties of Federal, State and local significance as determined by the official having jurisdiction thereof involves section 4(f) of the DOT Act and documentation should include information necessary to consider a 4(f) determination (see paragraph 4).
6. Impacts of the proposed action on the human environment involving community disruption and relocation. a. The statement should include a description of probable impact sufficient to enable an understanding of the extent of the environmental and social impact of the project alternatives and to consider whether relocation problems can be properly handled. This would include the following information obtainable by visual inspection of the proposed affected area and from secondary sources and community sources when available.
(1) An estimate of the households to be displaced including the family characteristics (e.g., minorities, and income levels, tenure, the elderly, large families).
(2) Impact on the human environment of an action which divides or disrupts an established community, including where pertinent, the effect of displacement on types of families and individuals affected, effect of streets cut off, separation of residences from community facilities, separation of residential areas.
(3) Impact on the neighborhood and housing to which relocation is likely to take place (e.g., lack of sufficient housing for large families, doublings up).
(4) An estimate of the businesses to be displaced, and the general effect of business dislocation on the economy of the community.
(5) A discussion of relocation housing in the area and the ability to provide adequate relocation housing for the types of families to be displaced. If the resources are insufficient to meet the estimated displacement needs, a description of the actions proposed to remedy this situation including, if necessary, use of housing of last resort.
(6) Results of consultation with local officials and community groups regarding the impacts to the community affected. Relocation agencies and staff and other social agencies can help to describe probable social impacts of this proposed action.
(7) Where necessary, special relocation advisory services to be provided the elderly, handicapped and illiterate regarding interpretations of benefits, assistance in selecting replacement housing and consultation with respect to acquiring, leasing, and occupying replacement housing.
b. This data should provide the preliminary basis for assurance of the availability of relocation housing as required by DOT 5620.1, Replacement Housing Policy, dated June 24, 1970, and 49 CFR 25.53.
7. Considerations relating to pedestrians and bicyclists. Where appropriate, the statement should discuss impacts on and consideration to be given in the development of the project to pedestrian and bicycle access, movement and safety within the affected area, particularly in medium and high density commercial and residential areas.
8. Other social impacts. The general social groups specially benefitted or harmed by the proposed action should be identified in the statement including the following:
a. Particular effects of a proposal on the elderly, handicapped, non-drivers, transit dependent, or minorities should be described to the extent reasonably predictable.
b. How the proposal will facilitate or inhibit their access to jobs, educational facilities, religious institutions, health and welfare services, recreational facilities, social and cultural facilities, pedestrian movement facilities, and public transit services.
9. Standards as to noise, air, and water pollution. The statement shall reflect sufficient analysis of the effects of the proposed action on attainment and maintenance of any environmental standards established by law or administrative determination (e.g., noise, ambient air quality, water quality) including the following documentation:
a. With respect to water quality, there should be consultation with the agency responsible for the State water pollution control program as to conformity with standards and regulations regarding storm sewer discharge sedimentation control, and other non-point source discharges.
b. The comments or determinations of the offices charged with administration of the State’s implementation plan for air quality as to the consistency of the project with State plans for the implementation of ambient air quality standards.
c. Conformity to adopted noise standards, compatible, if appropriate, with different land uses.
10. Energy supply and natural resources development. Where applicable, the statement should reflect consideration of whether the project or program will have any effect on either the production or consumption of energy and other natural resources, and discuss such effects if they are significant.
11. Flood hazard evaluation. When an alternative under consideration encroaches on a flood plain, the statement should include evidence that studies have been made and evidence of consultations with agencies with expertise have been carried out. Necessary measures to handle flood hazard problems should be described. In compliance with Executive Order 11296, and Flood Hazard Guidelines for Federal Executive Agencies, promulgated by the Water Resources Council, or how such requirements can be met during project development.
12. Considerations relating to wetlands or coastal zones. Where wetlands or coastal zones are involved, the statement should include:
a. Information on location, types, and extent of wetlands areas which might be affected by the proposed action.
b. An assessment of the impacts resulting from both construction and operation of the project on the wetlands and associated wildlife, and measures to minimize adverse impacts.
c. A statement by the local representative of the Department of the Interior, and any other responsible officials with special expertise, setting forth his views on the impacts of the project on the wetlands, the worth of the particular wetlands areas involved to the community and to the Nation, and recommendations as to whether the proposed action should proceed, and, if applicable, along what alternative route.
d. Where applicable, a discussion of how the proposed project relates to the State coastal zone management program for the particular State in which the project is to take place.
13. Construction impacts. In general, adverse impacts during construction will be of less importance than long-term impacts of a proposal. Nonetheless, statements should appropriately address such matters as the following identifying any special problem areas:
a. Noise impacts from construction and any specifications setting maximum noise levels.
b. Disposal of spoil and effect on borrow areas and disposal sites (include specifications where special problems are involved).
c. Measures to minimize effects on traffic and pedestrians.
14. Land use and urban growth. The statement should include, to the extent relevant and predictable:
a. The effect of the project on land use, development patterns, and urban growth.
b. Where significant land use and development impacts are anticipated, identify public facilities needed to serve the new development and any problems or issues which would arise in connection with these facilities, and the comments of agencies that would provide these facilities.
Attachment 2 to Part 520 – Areas of Environmental Impact and Federal Agencies and Federal-State Agencies With Jurisdiction by Law or Special Expertise To Comment Thereon
Attachment 3 to Part 520 – Offices Within Federal Agencies and Federal-State Agencies for Information Regarding the Agencies’ Impact Statements for Which Comments Are Requested
Attachment 4 to Part 520 – State and Local Agency Review of Impact Statements
1. OBM Revised Circular No. A-95 through its system of clearinghouses provides a means for securing the views of State and local environmental agencies, which can assist in the preparation of impact statements. Under A-95, review of the proposed project in the case of federally assisted projects (Part I of A-95) generally takes place prior to the preparation of the impact statement. Therefore, comments on the environmental effects of the proposed project that are secured during this stage of the A-95 process represent inputs to the environmental impact statement.
2. In the case of direct Federal development (Part II of A-95), Federal agencies are required to consult with clearinghouses at the earliest practicable time in the planning of the project or activity. Where such consultation occurs prior to completion of the draft impact statement, comments relating to the environmental effects of the proposed action would also represent inputs to the environmental impact statement.
3. In either case, whatever comments are made on environmental effects of proposed Federal or federally assisted projects by clearinghouses, or by State and local environmental agencies through clearinghouses, in the course of the A-95 review should be attached to the draft impact statement when it is circulated for review. Copies of the statement should be sent to the agencies making such comments. Whether those agencies then elect to comment again on the basis of the draft impact statement is a matter to be left to the discretion of the commenting agency depending on its resources, the significance of the project and the extent to which its earlier comments were considered in preparing the draft statement.
4. The clearinghouses may also be used, by mutual agreement, for securing reviews of the draft environmental impact statement. However, the Federal agency may wish to deal directly with appropriate State or local agencies in the review of impact statements because the clearinghouses may be unwilling or unable to handle this phase of the process. In some cases, the Governor may have designated a specific agency, other than the clearinghouse, for securing reviews of impact statements. In any case, the clearinghouses should be sent copies of the impact statement.
5. To aid clearinghouses in coordinating State and local comments, draft statements should include copies of State and local agency comments made earlier under the A-95 process and should indicate on the summary sheet those other agencies from which comments have been requested, as specified in Attachment 1.
PART 523 – VEHICLE CLASSIFICATION
§ 523.1 Scope.
This part establishes categories of vehicles that are subject to title V of the Motor Vehicle Information and Cost Savings Act, 15 U.S.C. 2001 et seq.
§ 523.2 Definitions.
As used in this part:
Ambulance has the meaning given in 40 CFR 86.1803.
Approach angle means the smallest angle, in a plane side view of an automobile, formed by the level surface on which the automobile is standing and a line tangent to the front tire static loaded radius arc and touching the underside of the automobile forward of the front tire.
Axle clearance means the vertical distance from the level surface on which an automobile is standing to the lowest point on the axle differential of the automobile.
Base tire (for passenger automobiles, light trucks, and medium duty passenger vehicles) means the tire size specified as standard equipment by the manufacturer on each unique combination of a vehicle’s footprint and model type. Standard equipment is defined in 40 CFR 86.1803.
Basic vehicle frontal area is used as defined in 40 CFR 86.1803 for passenger automobiles, light trucks, medium duty passenger vehicles and Class 2b through 3 pickup trucks and vans. For heavy-duty tracts and vocational vehicles, it has the meaning given in 40 CFR 1037.801.
Breakover angle means the supplement of the largest angle, in the plan side view of an automobile that can be formed by two lines tangent to the front and rear static loaded radii arcs and intersecting at a point on the underside of the automobile.
Bus has the meaning given in 49 CFR 571.3.
Cab-complete vehicle means a vehicle that is first sold as an incomplete vehicle that substantially includes the vehicle cab section as defined in 40 CFR 1037.801. For example, vehicles known commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes, and cut-away vans are considered cab-complete vehicles. A cab includes a steering column and a passenger compartment. Note that a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the cab.
Cargo-carrying volume means the luggage capacity or cargo volume index, as appropriate, and as those terms are defined in 40 CFR 600.315-08, in the case of automobiles to which either of these terms apply. With respect to automobiles to which neither of these terms apply, “cargo-carrying volume” means the total volume in cubic feet, rounded to the nearest 0.1 cubic feet, of either an automobile’s enclosed nonseating space that is intended primarily for carrying cargo and is not accessible from the passenger compartment, or the space intended primarily for carrying cargo bounded in the front by a vertical plane that is perpendicular to the longitudinal centerline of the automobile and passes through the rearmost point on the rearmost seat and elsewhere by the automobile’s interior surfaces.
Class 2b vehicles are vehicles with a gross vehicle weight rating (GVWR) ranging from 8,501 to 10,000 pounds.
Class 3 through Class 8 vehicles are vehicles with a gross vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 565.15.
Coach bus has the meaning given in 40 CFR 1037.801.
Commercial medium- and heavy-duty on-highway vehicle means an on-highway vehicle with a gross vehicle weight rating of 10,000 pounds or more as defined in 49 U.S.C. 32901(a)(7).
Complete vehicle has the meaning given to completed vehicle as defined in 49 CFR 567.3.
Concrete mixer has the meaning given in 40 CFR 1037.801.
Curb weight has the meaning given in 40 CFR 86.1803-01.
Dedicated vehicle has the same meaning as dedicated automobile as defined in 49 U.S.C. 32901(a)(8).
Departure angle means the smallest angle, in a plane side view of an automobile, formed by the level surface on which the automobile is standing and a line tangent to the rear tire static loaded radius arc and touching the underside of the automobile rearward of the rear tire.
Dual-fueled vehicle (multi-fuel, or flexible-fuel vehicle) has the same meaning as dual fueled automobile as defined in 49 U.S.C. 32901(a)(9).
Electric vehicle means a vehicle that does not include an engine, and is powered solely by an external source of electricity and/or solar power. Note that this does not include electric hybrid or fuel-cell vehicles that use a chemical fuel such as gasoline, diesel fuel, or hydrogen. Electric vehicles may also be referred to as all-electric vehicles to distinguish them from hybrid vehicles.
Emergency vehicle means one of the following:
(1) For passenger cars, light trucks and medium duty passenger vehicles, emergency vehicle has the meaning given in 49 U.S.C. 32902(e).
(2) For heavy-duty vehicles, emergency vehicle has the meaning given in 40 CFR 1037.801.
Engine code has the meaning given in 40 CFR 86.1803.
Final stage manufacturer has the meaning given in 49 CFR 567.3.
Fire truck has the meaning given in 40 CFR 86.1803.
Footprint is defined as the product of track width (measured in inches, calculated as the average of front and rear track widths, and rounded to the nearest tenth of an inch) times wheelbase (measured in inches and rounded to the nearest tenth of an inch), divided by 144 and then rounded to the nearest tenth of a square foot. For purposes of this definition, track width is the lateral distance between the centerlines of the base tires at ground, including the camber angle. For purposes of this definition, wheelbase is the longitudinal distance between front and rear wheel centerlines.
Full-size pickup truck means a light truck or medium duty passenger vehicle that meets the specifications in 40 CFR 86.1803-01.
Gross axle weight rating (GAWR) has the meaning given in 49 CFR 571.3.
Gross combination weight rating (GCWR) has the meaning given in 49 CFR 571.3.
Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR 571.3.
Heavy-duty engine means any engine used for (or for which the engine manufacturer could reasonably expect to be used for) motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term “engine” includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell and motor used in a heavy-duty vehicle is a heavy-duty engine. Heavy duty-engines include those engines subject to the standards in 49 CFR part 535.
Heavy-duty vehicle means a vehicle as defined in § 523.6.
Hitch means a device attached to the chassis of a vehicle for towing.
Incomplete vehicle has the meaning given in 49 CFR 567.3.
Light truck means a non-passenger automobile meeting the criteria in § 523.5.
Manufacturer has the meaning given in 49 U.S.C. 32901(a)(14).
Medium duty passenger vehicle means a vehicle which would satisfy the criteria in § 523.5 (relating to light trucks) but for its gross vehicle weight rating or its curb weight, which is rated at more than 8,500 lbs GVWR or has a vehicle curb weight of more than 6,000 pounds or has a basic vehicle frontal area in excess of 45 square feet, and which is designed primarily to transport passengers, but does not include a vehicle that –
(1) Is an “incomplete vehicle” ‘ as defined in this subpart; or
(2) Has a seating capacity of more than 12 persons; or
(3) Is designed for more than 9 persons in seating rearward of the driver’s seat; or
(4) Is equipped with an open cargo area (for example, a pick-up truck box or bed) of 72.0 inches in interior length or more. A covered box not readily accessible from the passenger compartment will be considered an open cargo area for purposes of this definition.
Mild hybrid gasoline-electric vehicle means a vehicle as defined by EPA in 40 CFR 86.1866-12(e).
Motor home has the meaning given in 49 CFR 571.3.
Motor vehicle has the meaning given in 49 U.S.C. 30102.
Passenger-carrying volume means the sum of the front seat volume and, if any, rear seat volume, as defined in 40 CFR 600.315-08, in the case of automobiles to which that term applies. With respect to automobiles to which that term does not apply, “passenger-carrying volume” means the sum in cubic feet, rounded to the nearest 0.1 cubic feet, of the volume of a vehicle’s front seat and seats to the rear of the front seat, as applicable, calculated as follows with the head room, shoulder room, and leg room dimensions determined in accordance with the procedures outlined in Society of Automotive Engineers Recommended Practice J1100, Motor Vehicle Dimensions (Report of Human Factors Engineering Committee, Society of Automotive Engineers, approved November 2009).
(1) For front seat volume, divide 1,728 into the product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and round the quotient to the nearest 0.001 cubic feet.
(i) H61-Effective head room – front.
(ii) W3-Shoulder room – front.
(iii) L34-Maximum effective leg room-accelerator.
(2) For the volume of seats to the rear of the front seat, divide 1,728 into the product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and rounded the quotient to the nearest 0.001 cubic feet.
(i) H63-Effective head room – second.
(ii) W4-Shoulder room – second.
(iii) L51-Minimum effective leg room – second.
Pickup truck means a non-passenger automobile which has a passenger compartment and an open cargo area (bed).
Pintle hooks means a type of towing hitch that uses a tow ring configuration to secure to a hook or a ball combination for the purpose of towing.
Recreational vehicle or RV means a motor vehicle equipped with living space and amenities found in a motor home.
Refuse hauler has the meaning given in 40 CFR 1037.801.
Running clearance means the distance from the surface on which an automobile is standing to the lowest point on the automobile, excluding unsprung weight.
School bus has the meaning given in 49 CFR 571.3.
Static loaded radius arc means a portion of a circle whose center is the center of a standard tire-rim combination of an automobile and whose radius is the distance from that center to the level surface on which the automobile is standing, measured with the automobile at curb weight, the wheel parallel to the vehicle’s longitudinal centerline, and the tire inflated to the manufacturer’s recommended pressure.
Strong hybrid gasoline-electric vehicle means a vehicle as defined by EPA in 40 CFR 86.1866-12(e).
Temporary living quarters means a space in the interior of an automobile in which people may temporarily live and which includes sleeping surfaces, such as beds, and household conveniences, such as a sink, stove, refrigerator, or toilet.
Transmission class has the meaning given in 40 CFR 600.002.
Tranmission configuration has the meaning given in 40 CFR 600.002.
Transmission type has the meaning given in 40 CFR 86.1803.
Truck tractor has the meaning given in 49 CFR 571.3 and 49 CFR 535.5(c). This includes most heavy-duty vehicles specifically designed for the primary purpose of pulling trailers, but does not include vehicles designed to carry other loads. For purposes of this definition “other loads” would not include loads carried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are similar to tractors but that are not tractors under this part include dromedary tractors, automobile haulers, straight trucks with trailers hitches, and tow trucks.
Van means a vehicle with a body that fully encloses the driver and a cargo carrying or work performing compartment. The distance from the leading edge of the windshield to the foremost body section of vans is typically shorter than that of pickup trucks and sport utility vehicles.
Vocational tractor means a tractor that is classified as a vocational vehicle according to 40 CFR 1037.630
Vocational vehicle (or heavy-duty vocational vehicle) has the meaning given in § 523.8 and 49 CFR 535.5(b). This includes any vehicle that is equipped for a particular industry, trade or occupation such as construction, heavy hauling, mining, logging, oil fields, refuse and includes vehicles such as school buses, motorcoaches and RVs.
Work truck means a vehicle that is rated at more than 8,500 pounds and less than or equal to 10,000 pounds gross vehicle weight, and is not a medium-duty passenger vehicle as defined in 49 U.S.C. 32901(a)(19).
§ 523.3 Automobile.
(a) An automobile is any 4-wheeled vehicle that is propelled by fuel, or by alternative fuel, manufactured primarily for use on public streets, roads, and highways and rated at less than 10,000 pounds gross vehicle weight, except:
(1) A vehicle operated only on a rail line;
(2) A vehicle manufactured in different stages by 2 or more manufacturers, if no intermediate or final-stage manufacturer of that vehicle manufactures more than 10,000 multi-stage vehicles per year; or
(3) A work truck.
(b) The following vehicles rated at more than 6,000 pounds and less than 10,000 pounds gross vehicle weight are determined to be automobiles:
(1) Vehicles which would satisfy the criteria in § 523.4 (relating to passenger automobiles) but for their gross vehicle weight rating.
(2) Vehicles which would satisfy the criteria in § 523.5 (relating to light trucks) but for their gross vehicle weight rating, and which
(i) Have a basic vehicle frontal area of 45 square feet or less,
(ii) Have a curb weight of 6,000 pounds or less,
(iii) Have a gross vehicle weight rating of 8,500 pounds or less, and
(iv) Are manufactured during the 1980 model year or thereafter.
(3) Vehicles that are defined as medium duty passenger vehicles, and which are manufactured during the 2011 model year or thereafter.
§ 523.4 Passenger automobile.
A passenger automobile is any automobile (other than an automobile capable of off-highway operation) manufactured primarily for use in the transportation of not more than 10 individuals.
§ 523.5 Non-passenger automobile.
A non-passenger automobile means an automobile that is not a passenger automobile or a work truck and includes vehicles described in paragraphs (a) and (b) of this section:
(a) An automobile designed to perform at least one of the following functions:
(1) Transport more than 10 persons;
(2) Provide temporary living quarters;
(3) Transport property on an open bed;
(4) Provide, as sold to the first retail purchaser, greater cargo-carrying than passenger-carrying volume, such as in a cargo van; if a vehicle is sold with a second-row seat, its cargo-carrying volume is determined with that seat installed, regardless of whether the manufacturer has described that seat as optional; or
(5) Permit expanded use of the automobile for cargo-carrying purposes or other nonpassenger-carrying purposes through:
(i) For non-passenger automobiles manufactured prior to model year 2012, the removal of seats by means installed for that purpose by the automobile’s manufacturer or with simple tools, such as screwdrivers and wrenches, so as to create a flat, floor level, surface extending from the forwardmost point of installation of those seats to the rear of the automobile’s interior; or
(ii) For non-passenger automobiles manufactured in model year 2008 and beyond, for vehicles equipped with at least 3 rows of designated seating positions as standard equipment, permit expanded use of the automobile for cargo-carrying purposes or other nonpassenger-carrying purposes through the removal or stowing of foldable or pivoting seats so as to create a flat, leveled cargo surface extending from the forwardmost point of installation of those seats to the rear of the automobile’s interior.
(b) An automobile capable of off-highway operation, as indicated by the fact that it:
(1)(i) Has 4-wheel drive; or
(ii) Is rated at more than 6,000 pounds gross vehicle weight; and
(2) Has at least four of the following characteristics calculated when the automobile is at curb weight, on a level surface, with the front wheels parallel to the automobile’s longitudinal centerline, and the tires inflated to the manufacturer’s recommended pressure –
(i) Approach angle of not less than 28 degrees.
(ii) Breakover angle of not less than 14 degrees.
(iii) Departure angle of not less than 20 degrees.
(iv) Running clearance of not less than 20 centimeters.
(v) Front and rear axle clearances of not less than 18 centimeters each.
§ 523.6 Heavy-duty vehicle.
(a) A heavy-duty vehicle is any commercial medium or heavy-duty on-highway vehicle or a work truck, as defined in 49 U.S.C. 32901(a)(7) and (19). For the purpose of this section, heavy-duty vehicles are divided into four regulatory categories as follows:
(1) Heavy-duty pickup trucks and vans;
(2) Heavy-duty vocational vehicles;
(3) Truck tractors with a GVWR above 26,000 pounds; and
(4) Heavy-duty trailers.
(b) The heavy-duty vehicle classification does not include vehicles excluded as specified in 49 CFR 535.3.
§ 523.7 Heavy-duty pickup trucks and vans.
(a) Heavy-duty pickup trucks and vans are pickup trucks and vans with a gross vehicle weight rating between 8,501 pounds and 14,000 pounds (Class 2b through 3 vehicles) manufactured as complete vehicles by a single or final stage manufacturer or manufactured as incomplete vehicles as designated by a manufacturer. See references in 40 CFR 86.1801-12, 40 CFR 86.1819-17, 40 CFR 1037.150, and 49 CFR 535.5(a).
(b) Heavy duty vehicles above 14,000 pounds GVWR may be optionally certified as heavy-duty pickup trucks and vans and comply with fuel consumption standards in 49 CFR 535.5(a), if properly included in a test group with similar vehicles at or below 14,000 pounds GVWR. Fuel consumption standards apply to these vehicles as if they were Class 3 heavy-duty vehicles. The work factor for these vehicles may not be greater than the largest work factor that applies for vehicles in the test group that are at or below 14,000 pounds GVWR (see 40 CFR 86.1819-14).
(c) Incomplete heavy-duty vehicles at or below 14,000 pounds GVWR may be optionally certified as heavy-duty pickup trucks and vans and comply with to the fuel consumption standards in 49 CFR 535.5(a).
§ 523.8 Heavy-duty vocational vehicle.
Heavy-duty vocational vehicles are vehicles with a gross vehicle weight rating (GVWR) above 8,500 pounds excluding:
(a) Heavy-duty pickup trucks and vans defined in § 523.7;
(b) Medium duty passenger vehicles; and
(c) Truck tractors, except vocational tractors, with a GVWR above 26,000 pounds;
§ 523.9 Truck tractors.
Truck tractors for the purpose of this part are considered as any truck tractor as defined in 49 CFR part 571 having a GVWR above 26,000 pounds.
§ 523.10 Heavy-duty trailers.
(a) A trailer means a motor vehicle with or without motive power, designed for carrying cargo and for being drawn by another motor vehicle as defined in 49 CFR 571.3. For the purpose of this part, heavy-duty trailers include only those trailers designed to be drawn by a truck tractor excluding non-box trailers other than flatbed trailer, tanker trailers and container chassis and those that are coupled to vehicles exclusively by pintle hooks or hitches instead of a fifth wheel. Heavy-duty trailers may be divided into different types and categories as follows:
(1) Box vans are trailers with enclosed cargo space that is permanently attached to the chassis, with fixed sides, nose, and roof. Tank trailers are not box vans.
(2) Box van with front-mounted HVAC systems are refrigerated vans. Note that this includes systems that provide cooling, heating, or both. All other box vans are dry vans.
(3) Trailers that are not box vans are non-box trailers. Note that the standards for non-box trailers in 49 CFR 535.5(e)(2) apply only to flatbed trailers, tank trailers, and container chassis.
(4) Box van with a length greater than 50 feet are long box vans. Other box vans are short box vans.
(5) The following types of equipment are not trailers:
(i) Containers that are not permanently mounted on chassis.
(ii) Dollies used to connect tandem trailers.
(iii) Equipment that serves similar purposes but are not intended to be pulled by a tractor.
(b) Heavy-duty trailers do not include trailers excluded in 49 CFR 535.3.
PART 525 – EXEMPTIONS FROM AVERAGE FUEL ECONOMY STANDARDS
§ 525.1 Scope.
This part establishes procedures under section 502(c) of the Motor Vehicle Information and Cost Savings Act, as amended (15 U.S.C. 2002) for the submission and disposition of petitions filed by low volume manufacturers of passenger automobiles to exempt them from the average fuel economy standards for passenger automobiles and to establish alternative average fuel economy standards for those manufacturers.
§ 525.2 Purpose.
The purpose of this part is to provide content and format requirements for low volume manufacturers of passenger automobiles which desire to petition the Administrator for exemption from applicable average fuel economy standards and for establishment of appropriate alternative average fuel economy standards and to give interested persons an opportunity to present data, views and arguments on those petitions.
§ 525.3 Applicability.
This part applies to passenger automobile manufacturers.
§ 525.4 Definitions.
(a) Statutory terms. (1) The terms fuel, manufacture, manufacturer, and model year, are used as defined in section 501 of the Act.
(2) The terms average fuel economy, fuel economy, and model type are used as defined in 40 CFR 600.002-77.
(3) The term automobile means a vehicle determined by the Administrator under 49 CFR part 523 to be an automobile.
(4) The term passenger automobile means an automobile determined by the Administrator under 49 CFR part 523 to be a passenger automobile.
(5) The term customs territory of the United States is used as defined in 19 U.S.C. 1202.
(b) Other terms. (1) The term base level and vehicle configuration are used as defined in 40 CFR 600.002-77.
(2) The term vehicle curb weight is used as defined in 40 CFR 85.002.
(3) The term interior volume index is used as defined in 40 CFR 600.315-77.
(4) The term frontal area is used as defined in 40 CFR 86.129-79.
(5) The term basic engine is used as defined in 40 CFR 600.002-77(a)(21).
(6) The term designated seating position is defined in 49 CFR 571.3.
(7) As used in this part, unless otherwise required by the context:
Act means the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513), as amended by the Energy Policy and Conservation Act (Pub. L. 94-163);
Administrator means the Administrator of the National Highway Traffic Safety Administration;
Affected model year means a model year for which an exemption and alternative average fuel economy standard are requested under this part;
Production mix means the number of passenger automobiles, and their percentage of the petitioner’s annual total production of passenger automobiles, in each vehicle configuration which a petitioner plans to manufacture in a model year; and
Total drive ratio means the ratio of an automobile’s engine rotational speed (in revolutions per minute) to the automobile’s forward speed (in miles per hour).
§ 525.5 Limitation on eligibility.
Any manufacturer that manufactures (whether or not in the customs territory of the United States) 10,000 or more passenger automobiles in the second model year preceding an affected model year or in the affected model year is ineligible for an exemption for that affected model year.
§ 525.6 Requirements for petition.
Each petition filed under this part must –
(a) Identify the model year or years for which exemption is requested;
(b) Be submitted not later than 24 months before the beginning of the affected model year, unless good cause for later submission is shown;
(c) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;
(d) Be written in the English language;
(e) State the full name, address, and title of the official responsible for preparing the petition, and the name and address of the manufacturer;
(f) Set forth in full data, views and arguments of the petitioner supporting the exemption and alternative average fuel economy standard requested by the petitioner, including the information and data specified by § 525.7 and the calculations and analyses used to develop that information and data. No documents may be incorporated by reference in a petition unless the documents are submitted with the petition;
(g) Specify and segregate any part of the information and data submitted under this part that the petitioner wishes to have withheld from public disclosure in accordance with part 512 of this chapter.
§ 525.7 Basis for petition.
(a) The petitioner shall include the information specified in paragraphs (b) through (h) in its petition.
(b) Whether the petitioner controls, is controlled by, or is under common control with another manufacturer of passenger automobiles, and if so, the nature of that control relationship, and the total number of passenger automobiles manufactured by such other manufacturer or manufacturers.
(c) The total number of passenger automobiles manufactured or likely to be manufactured (whether or not in the customs territory of the United States) by the petitioner in the second model year immediately preceding each affected model year.
(d) For each affected model year, the petitioner’s projections of the most fuel efficient production mix of vehicle configurations and base levels of its passenger automobiles which the petitioner could sell in that model year, and a discussion demonstrating that these projections are reasonable. The discussion shall include information showing that the projections are consistent with –
(1) The petitioner’s annual total production and production mix of passenger automobiles manufactured or likely to be manufactured in each of the four model years immediately preceding that affected model year;
(2) Its passenger automobile production capacity for that affected model year;
(3) Its efforts to comply with that average fuel economy standard; and
(4) Anticipated consumer demand in the United States for passenger automobiles during that affected model year.
(e) For each affected model year, a description of the following features of each vehicle configuration of the petitioner’s passenger automobiles to be manufactured in that affected model year;
(1) Maximum overall body width, overall length, and overall height, determined in accordance with Motor Vehicle Dimensions SAE J1100a (report of Human Engineering Committee, approved September 1973, as revised September 1975);
(2) Vehicle curb weight;
(3) Number of designated seating positions and interior volume index;
(4) Basic engine, displacement, and SAE rated net power, kilowatts;
(5) Fuel metering system, including the number of carburetor barrels, if applicable;
(6) Drive train configuration and total drive ratio;
(7) Emission control system;
(8) Dynamometer road load setting, determined in accordance with 40 CFR part 86, and the method used to determine that setting, including information indicating whether the road load setting was adjusted to account for the presence of air conditioning and whether the setting was based on the use of radial ply tires; and
(9) Use of synthetic lubricants, low viscosity lubricants, or lubricants with additives that affect friction characteristics in the crankcase, differential, and transmission of the vehicles tested under the requirements of 40 CFR parts 86 and 600. With respect to automobiles which will use these lubricants, indicate which one will be used and explain why that type was chosen. With respect to automobiles which will not use these lubricants, explain the reasons for not so doing.
(f) For each affected model year, a fuel economy value for each vehicle configuration specified in 40 CFR 600.506(a)(2), base level, and model type of the petitioner’s passenger automobiles to be manufactured in that affected model year calculated in accordance with subpart C of 40 CFR part 600 and based on tests or analyses comparable to those prescribed or permitted under 40 CFR part 600 and a description of the test procedures or analytical methods.
(g) For each affected model year, an average fuel economy figure for the petitioner’s passenger automobiles to be manufactured in that affected model year calculated in accordance with 40 CFR 600.510(e) and based upon the fuel economy values provided under paragraph (f) of this section and upon the petitioner’s production mix projected under paragraph (d) of this section for the affected model year.
(h) Information demonstrating that the average fuel economy figure provided for each affected model year under paragraph (g) of this section is the maximum feasible average fuel economy achievable by the petitioner for that model year, including –
(1) For each affected model year and each of the two model years immediately following the first affected model year, a description of the technological means selected by the petitioner for improving the average fuel economy of its automobiles to be manufactured in that model year.
(2) A chronological description of the petitioner’s past and planned efforts to implement the means described under paragraph (h)(1) of this section.
(3) A description of the effect of other Federal motor vehicle standards on the fuel economy of the petitioner’s automobiles.
(4) For each affected model year, a discussion of the alternative and additional means considered but not selected by the petitioner that would have enabled its passenger automobiles to achieve a higher average fuel economy than is achievable with the means described under paragraph (h)(1) of this section. This discussion must include an explanation of the reasons the petitioner had for rejecting these additional and alternative means.
(5) In the case of a petitioner which plans to increase the average fuel economy of its passenger automobiles to be manufactured in either of the two model years immediately following the first affected model year, an explanation of the petitioner’s reasons for not making those increases in that affected model year.
§ 525.8 Processing of petitions.
(a) If a petition is found not to contain the information required by this part, the petition is informed about the areas of insufficiency and advised that the petition will not receive further consideration until the required information is submitted.
(b) The Administrator may request the petitioner to provide information in addition to that required by this part.
(c) The Administrator publishes a proposed decision in the
(d) Any interested person may, upon written request to the Administrator not later than 15 days after the publication of a notice under paragraph (c) of this section, meet informally with an appropriate official of the National Highway Traffic Safety Administration to discuss the petition or notice.
(e) After the conclusion of the period for public comment on the proposal, the Administrator publishes a final decision in the
§ 525.9 Duration of exemption.
An exemption may be granted under this part for not more than three model years.
§ 525.10 Renewal of exemption.
A manufacturer exempted under this part may request renewal of its exemption by submitting a petition meeting the requirements of §§ 525.6 and 525.7.
§ 525.11 Termination of exemption; amendment of alternative average fuel economy standard.
(a) Any exemption granted under this part for an affected model year does not apply to a manufacturer that is ineligible under § 525.5 for an exemption in that model year.
(b) The administrator may initiate rulemaking either on his own motion or on petition by an interested person to terminate an exemption granted under this part or to amend an alternative average fuel economy standard established under this part.
(c) Any interested persons may petition the Administrator to terminate an exemption granted under this part or to amend an alternative average fuel economy standard established under this part.
§ 525.12 Public inspection of information.
(a) Except as provided in paragraph (b), any person may inspect available information relevant to a petition under this part, including the petition and any supporting data, memoranda of informal meetings with the petitioner or any other interested persons, and the notices regarding the petition, in the Docket Section of the National Highway Traffic Safety Administration. Any person may obtain copies of the information available for inspection under this paragraph in accordance with part 7 of the regulations of the Office of the Secretary of Transportation (49 CFR part 7).
(b) Except for the release of confidential information authorized by section 505 of the Act and part 512 of this chapter, information made available for public inspection does not include information for which confidentiality is requested under § 525.6(g) and is granted in accordance with part 512 and sections 502 and 505 of the Act and section 552(b) of title 5 of the U.S.C.
PART 526 – PETITIONS AND PLANS FOR RELIEF UNDER THE AUTOMOBILE FUEL EFFICIENCY ACT OF 1980
§ 526.1 General provisions.
(a) Applicability. These regulations apply to petitions and plans submitted under the Automobile Fuel Efficiency Act of 1980, Pub. L. 96-425, as codified in Title V of the Motor Vehicle Information and Cost Savings Act, 15 U.S.C. 2001 et seq.
(b) Address. Each petition and plan submitted under the applicable provisions of sections 502 and 503 of the Motor Vehicle Information and Cost Savings Act must be addressed to the Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington DC 20590.
(c) Authority and scope of relief. Each petition or plan must specify the specific provision of the Motor Vehicle Information and Cost Savings Act under which relief is being sought. The petition or plan must also specify the model years for which relief is being sought.
§ 526.2 U.S. production by foreign manufacturer.
Each petition filed under section 503(b)(3) of the Motor Vehicle Information and Cost Savings Act must contain the following information:
(a) For each model type (as defined by the Environmental Protection Agency in 40 CFR part 600) planned by the petitioner to be sold in the United States (regardless of place of manufacture), and for each model year beginning with the year before the first one for which relief is sought by the petition through the last year covered by the petition, the following information based on the petitioner’s current product plan and the assumption that the petition will be granted:
(1) A description of the model type, including car line designation, engine displacement and type, transmission type, and average fuel economy;
(2) U.S. sales projected for the model type;
(3) The average percentage of the cost to the manufacturer of the model type which is attributable to value added in the United States or Canada, determined in accordance with 40 CFR 600.511-80, and the total manufacturing cost per vehicle; and
(4) In the case of model types not offered for sale in the United States before the first year for which relief is sought in the petition or other model types for which expansions in production capacity are planned during the years covered by the petition, information (including any marketing surveys) indicating from where the additional sales will be captured. If sales are projected to be captured from U.S. manufacturers, the petition must provide an estimate of the employment impact on those manufacturers of the lost sales and the gain in employment for the petitioner and its U.S. suppliers.
(b) The total number of persons employed in the United States by the petitioner, excluding non-motor vehicle industry related employees, for each model year covered by the petition and for the model year immediately prior to those years.
(c) A description of how the petitioner’s responses to paragraphs (a) and (b) of this section would differ if the petition were denied.
§ 526.3 Transfer of vehicle from non-domestic to domestic fleet.
Each plan submitted under section 503(b)(4) of the Motor Vehicle Information and Cost Savings Act must contain the following information:
(a) For each model year for which relief is sought in the plan and for each model type of automobile sought to be included by the submitter in its domestic fleet under the plan (i.e., those with at least 50 percent but less than 75 percent U.S. or Canadian value added), provide the following information:
(1) A description of the model type, including engine type and displacement, transmission class, car line designation, and fuel economy;
(2) The projected U.S. sales of the model type;
(3) The average total manufacturing cost per vehicle for the model type;
(4) The percentage of the cost to the manufacturer attributable to value added in the United States or Canada for the model type:
(b) For each year covered by the plan, a list of individual product actions (e.g., change from imported engine to domestically manufactured engine) which will increase the domestic content of the affected vehicles. For each action, provide the model year in which the action will take effect, a description of the nature of the action, and the percentage change in domestic content resulting from the action.
§ 526.4 [Reserved]
§ 526.5 Earning offsetting monetary credits in future model years.
Each plan submitted under section 502(l) of the Motor Vehicle Information and Cost Savings Act must contain the following information:
(a) Projected average fuel economy and production levels for the class of automobiles which may fail to comply with a fuel economy standard and for any other classes of automobiles from which credits may be transferred, for the current model year and for each model year thereafter ending with the last year covered by the plan.
(b) A list and full description of each planned product action (e.g., new model, mix change) which will affect the average fuel economy of the class of automobiles subject to the credit earning plan, for each model year beginning with the current model year and ending with the last year covered by the credit earning plan.
(c) The portion of the petitioner’s fleet affected by each product action (e.g., all K-cars with 6-cylinder engines) and the number of affected vehicles.
(d) The fuel economy effect of each product action specified under paragraph (b) of this section per affected vehicle.
PART 529 – MANUFACTURERS OF MULTISTAGE AUTOMOBILES
§ 529.1 Scope and purpose.
This part determines, in cases where more than one person is the manufacturer of an automobile, which person is to be treated as the manufacturer for purposes of compliance with Title V of the Motor Vehicle Information and Cost Savings Act, as amended (15 U.S.C. 2001 et seq.) and rules issued thereunder.
§ 529.2 Applicability.
This part applies to incomplete automobile manufacturers, intermediate manufacturers, and final-stage manufacturers of automobiles that are manufactured in two or more stages.
§ 529.3 Definitions.
(a) Statutory terms. (1) The term automobile is used as defined in section 501 of the Act and in accordance with the determinations in 49 CFR part 523.
(2) The terms manufacture, manufacturer, and fuel economy are used as defined in section 501 of the Act.
(b) Other terms. (1) Act means the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513), as amended by the Energy Policy and Conservation Act (Pub. L. 94-163).
(2) Completed automobile means an automobile that requires no further manufacturing operations to perform its intended function, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting.
(3) Curb weight is defined the same as vehicle curb weight in 40 CFR part 86.
(4) Final-stage manufacturer means a person who performs such manufacturing operations on an incomplete automobile that it becomes a completed automobile.
(5) Frontal area is used as defined in 40 CFR 86.079-2.
(6) Incomplete automobile means an assemblage consisting, as a minimum, of frame and chassis structure, power train, steering system, suspension system, and braking system to the extent that those systems are to be part of the completed automobile, that requires further manufacturing operations, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, to become a completed automobile.
(7) Incomplete automobile manufacturer means a person who manufactures an incomplete automobile by assembling components none of which, taken separately, constitute a complete automobile.
(8) Intermediate manufacturer means a person, other than the incomplete automobile manufacturer or the final-stage manufacturer, who performs manufacturing operations on an incomplete automobile.
§ 529.4 Requirements for incomplete automobile manufacturers.
(a) Except as provided in paragraph (c) of this section, §§ 529.5 and 529.6, each incomplete automobile manufacturer is considered, with respect to multistage automobiles incorporating its incomplete automobiles, the manufacturer of the multistage automobiles for purposes of the requirements of Title V and rules issued thereunder.
(b) Each incomplete automobile manufacturer shall furnish with each of its incomplete automobiles, when it is delivered to the subsequent manufacturer, (1) a document that contains the following information –
(i) Name and mailing address of the incomplete automobile manufacturer.
(ii) Month and year during which the incomplete automobile manufacturer performed its last manufacturing operation on the incomplete automobile.
(iii) Identification of the incomplete automobile or group of incomplete automobiles to which the document applies. The identification may be by serial number or otherwise, but it must be sufficient to enable a subsequent manufacturer to ascertain positively that the document applies to a particular incomplete automobile even if the document is not attached to that automobile.
(iv) Fuel economy values determined by the incomplete automobile manufacturer for the automobile in accordance with 40 CFR part 600 and a statement that a fuel economy label containing those values has been prepared in accordance with Environmental Protection Agency regulation by the manufacturer identified in the document.
(v) Maximum curb weight that may not be exceeded by a subsequent manufacturer without invalidating the fuel economy values determined by the incomplete automobile manufacturer.
(vi) Maximum frontal area that may not be exceeded by a subsequent manufacturer without invalidating the fuel economy values determined by the incomplete automobile manufacturer.
(vii) Whether the fuel economy values have been computed with the road load horsepower set to take into account the presence of air conditioning.
(2) A fuel economy label conforming with 40 CFR part 600.
(c)(1) The incomplete automobile manufacturer shall either attach the document specified in paragraph (b)(1) of this section to the incomplete automobile in such a manner that it will not be inadvertently detached or send that document directly to the subsequent manufacturer to which that automobile is delivered.
(2)(i) If the incomplete automobile manufacturer places the portion of the body including the windshield and front seat side windows on the incomplete automobile, that manufacturer shall attach the fuel economy label specified in paragraph (b)(2) of this section to that automobile in accordance with 40 CFR part 600. If the incomplete automobile manufacturer does not place that portion of the body on the incomplete automobile, that manufacturer shall send that label directly to the subsequent manufacturer to which that automobile is delivered.
(ii) Upon request by an intermediate or final-stage manufacturer for a copy of a fuel economy label that is required by paragraph (b)(2) of this section to have been prepared by the incomplete automobile manufacturer for one of its incomplete automobiles, identified by the requesting manufacturer in the same fashion as in the document specified in paragraph (b)(1) of this section, the incomplete automobile manufacturer shall send that manufacturer a copy of the label.
§ 529.5 Requirements for intermediate manufacturers.
(a) Except as provided in paragraph (d) of this section and in § 529.6, each intermediate manufacturer whose manufacturing operations on an incomplete automobile cause it to exceed the maximum curb weight or maximum frontal area set forth in the document furnished it by the incomplete automobile manufacturer under § 529.4(c)(1) or by a previous intermediate manufacturer under paragraph (b) of this section, as appropriate, is considered the manufacturer of the multistage automobile manufactured from that automobile for the purpose of the requirements of Title V and rules issued thereunder, other than that in part 537, Fuel Economy Reports.
(b) Each intermediate manufacturer of an incomplete automobile shall furnish, in the manner specified in § 529.4(c), to the subsequent manufacturer of that automobile the document required by § 529.4(b) regarding that automobile. If any of the changes in the automobile made by the intermediate manufacturer affect the validity of the fuel economy values or other statement in the document or any addendum attached to the document by a previous manufacturer of the automobile, the intermediate manufacturer shall furnish an addendum to the document that contains its name and mailing address and an indication of all changes that should be made in the document to reflect changes that it made in the automobile.
(c) Each intermediate manufacturer that is required by paragraph (b) of this section to furnish an addendum to a document required by § 529.4(b) shall, within 10 days after completing its manufacturing operations, send a copy of the document and addendum to the Administrator of the Environmental Protection Agency and to the manufacturer previously considered under this part to be the manufacturer of the automobile.
(d)(1) If the intermediate manufacturer’s manufacturing operations on an incomplete automobile cause it to exceed the maximum curb weight or maximum frontal area set forth in the document furnished it by the incomplete automobile manufacturer under § 529.4(c)(1) or a previous intermediate manufacturer under paragraph (b) of this section, as appropriate, that manufacturer shall prepare a new fuel economy label for that automobile in accordance with 40 CFR part 600.
(2) If neither the intermediate manufacturer of an incomplete automobile nor any previous manufacturer of that automobile has placed the portion of the body including the windshield and front seat side windows on that automobile, the intermediate manufacturer shall send the fuel economy label furnished it by the incomplete automobile manufacturer under § 529.4(c)(2)(i) or a previous intermediate manufacturer under paragraph (d)(2) of this section or prepared by it under paragraph (d)(1) of this section, as appropriate, directly to the subsequent manufacturer to which that automobile is delivered.
(3) If the intermediate manufacturer places the portion of the body including the windshield and front seat side windows on the incomplete automobile, that manufacturer shall attach the fuel economy label furnished it under § 529.4(c)(i) or paragraph (d)(2) of this section or the fuel economy label prepared by it under paragraph (d)(1) of this section, as appropriate, to that automobile in accordance with 40 CFR part 600.
(4) The intermediate manufacturer shall attach to the incomplete automobile in accordance with 40 CFR part 600 a fuel economy label identical to the label that is required under this part to have been prepared by the manufacturer considered under this part to be the manufacturer of that automobile if:
(i) The portion of the body including the windshield and front seat side windows was added to the incomplete automobile by a previous manufacturer;
(ii) The intermediate manufacturer’s manufacturing operations do not cause that automobile to exceed either of the maxima specified in paragraph (d)(1) of this section; and
(iii) That label is not on that automobile when received by the intermediate manufacturer or is removed from that automobile while it is in the possession of that manufacturer.
(5) Upon request by a subsequent intermediate manufacturer or by a final-stage manufacturer for a copy of a fuel economy label prepared by the intermediate manufacturer under paragraph (d)(1) of this section for one of its incomplete automobiles, identified by the requesting manufacturer in the same fashion as in the document specified in § 529.4(b)(1), the intermediate manufacturer shall send that manufacturer a copy of that label.
§ 529.6 Requirements for final-stage manufacturers.
(a) Except as provided in paragraph (c) of this section, each final-stage manufacturer whose manufacturing operations on an incomplete automobile cause the completed automobile to exceed the maximum curb weight or maximum frontal area set forth in the document specified in § 529.4(b) and furnished it by the incomplete automobile manufacturer under § 529.4(c)(1) or by the last intermediate manufacturer under § 529.5(b), as appropriate, is considered the manufacturer of the completed automobile for the purpose of the requirements of Title V and rules issued thereunder, other than those in part 537, Fuel Economy Reports.
(b) Each final-stage manufacturer that becomes the manufacturer of a multistage automobile under paragraph (a) of this section shall, within 10 days after completing its manufacturing operations on that automobile, send written notification of its exceeding the curb weight or frontal area maximum to the Administrator of the Environmental Protection Agency and to the manufacturer previously considered under this part to be the manufacturer of the automobile.
(c)(1) If the final-stage manufacturer becomes the manufacturer of a multistage automobile under paragraph (a)(1) of this section, that manufacturer shall prepare a new fuel economy label for that automobile in accordance with 40 CFR part 600.
(2) If the final-stage manufacturer places the portion of the body including the windshield and front seat side windows on the incomplete automobile, that manufacturer shall attach the fuel economy label furnished by the incomplete automobile manufacturer under § 529.4(c)(2) or by the last intermediate manufacturer under § 529.5(d)(2) or the fuel economy label prepared by the final-stage manufacturer under paragraph (c)(1) of this section, as appropriate, to that automobile in accordance with 40 CFR part 600.
(3) The final-stage manufacturer shall attach to the completed automobile in accordance with 40 CFR part 600 a fuel economy label identical to the label that is required under this part to have been prepared by the manufacturer considered under this part to be the manufacturer of that automobile if:
(i) The portion of the body including the windshield and front seat side windows was added to the completed automobile by a previous manufacturer;
(ii) The final-stage manufacturer’s manufacturing operations do not cause that automobile to exceed either of the maxima specified in paragraph (c)(1) of this section; and
(iii) That fuel economy label is not on that automobile when received by that manufacturer or is removed from that automobile while it is in the possession of that manufacturer.
PART 531 – PASSENGER AUTOMOBILE AVERAGE FUEL ECONOMY STANDARDS
§ 531.1 Scope.
This part establishes average fuel economy standards pursuant to section 502 (a) and (c) of the Motor Vehicle Information and Cost Savings Act, as amended, for passenger automobiles.
§ 531.2 Purpose.
The purpose of this part is to increase the fuel economy of passenger automobiles by establishing minimum levels of average fuel economy for those vehicles.
§ 531.3 Applicability.
This part applies to manufacturers of passenger automobiles.
§ 531.4 Definitions.
(a) Statutory terms. (1) The terms average fuel economy, manufacture, manufacturer, and model year are used as defined in section 501 of the Act.
(2) The terms automobile and passenger automobile are used as defined in section 501 of the Act and in accordance with the determination in part 523 of this chapter.
(b) Other terms. As used in this part, unless otherwise required by the context –
(1) Act means the Motor Vehicle Information and Cost Savings Act, as amended by Pub. L. 94-163.
§ 531.5 Fuel economy standards.
(a) Except as provided in paragraph (f) of this section, each manufacturer of passenger automobiles shall comply with the fleet average fuel economy standards in Table I, expressed in miles per gallon, in the model year specified as applicable:
(b) For model year 2011, a manufacturer’s passenger automobile fleet shall comply with the fleet average fuel economy level calculated for that model year according to Figure 1 and the appropriate values in Table II.
Table II-Parameters for the Passenger Automobile Fuel Economy Targets
| Model year | Parameters | |||
|---|---|---|---|---|
2) | ||||
| 2011 | 31.20 | 24.00 | 51.41 | 1.91 |
(c) For model years 2012-2026, a manufacturer’s passenger automobile fleet shall comply with the fleet average fuel economy level calculated for that model year according to this Figure 2 and the appropriate values in this Table III.
TARGET
Table III – Parameters for the Passenger Automobile Fuel Economy Targets, MYs 2012-2026
| Model year | Parameters | |||
|---|---|---|---|---|
2) | ||||
| 2012 | 35.95 | 27.95 | 0.0005308 | 0.006057 |
| 2013 | 36.80 | 28.46 | 0.0005308 | 0.005410 |
| 2014 | 37.75 | 29.03 | 0.0005308 | 0.004725 |
| 2015 | 39.24 | 29.90 | 0.0005308 | 0.003719 |
| 2016 | 41.09 | 30.96 | 0.0005308 | 0.002573 |
| 2017 | 43.61 | 32.65 | 0.0005131 | 0.001896 |
| 2018 | 45.21 | 33.84 | 0.0004954 | 0.001811 |
| 2019 | 46.87 | 35.07 | 0.0004783 | 0.001729 |
| 2020 | 48.74 | 36.47 | 0.0004603 | 0.001643 |
| 2021 | 49.48 | 37.02 | 0.000453 | 0.00162 |
| 2022 | 50.24 | 37.59 | 0.000447 | 0.00159 |
| 2023 | 51.00 | 38.16 | 0.000440 | 0.00157 |
| 2024 | 51.78 | 38.74 | 0.000433 | 0.00155 |
| 2025 | 52.57 | 39.33 | 0.000427 | 0.00152 |
| 2026 | 53.37 | 39.93 | 0.000420 | 0.00150 |
(d) In addition to the requirements of paragraphs (b) and (c) of this section, each manufacturer shall also meet the minimum fleet standard for domestically manufactured passenger automobiles expressed in Table IV:
Table IV – Minimum Fuel Economy Standards for Domestically Manufactured Passenger Automobiles, MYs 2011-2026
| Model year | Minimum standard |
|---|---|
| 2011 | 27.8 |
| 2012 | 30.7 |
| 2013 | 31.4 |
| 2014 | 32.1 |
| 2015 | 33.3 |
| 2016 | 34.7 |
| 2017 | 36.7 |
| 2018 | 38.0 |
| 2019 | 39.4 |
| 2020 | 40.9 |
| 2021 | 39.9 |
| 2022 | 40.6 |
| 2023 | 41.1 |
| 2024 | 41.8 |
| 2025 | 42.4 |
| 2026 | 43.1 |
(e) The following manufacturers shall comply with the standards indicated below for the specified model years:
(1) Avanti Motor Corporation.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1978 | 16.1 |
| 1979 | 14.5 |
| 1980 | 15.8 |
| 1981 | 18.2 |
| 1982 | 18.2 |
| 1983 | 16.9 |
| 1984 | 16.9 |
| 1985 | 16.9 |
(2) Rolls-Royce Motors, Inc.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1978 | 10.7 |
| 1979 | 10.8 |
| 1980 | 11.1 |
| 1981 | 10.7 |
| 1982 | 10.6 |
| 1983 | 9.9 |
| 1984 | 10.0 |
| 1985 | 10.0 |
| 1986 | 11.0 |
| 1987 | 11.2 |
| 1988 | 11.2 |
| 1989 | 11.2 |
| 1990 | 12.7 |
| 1991 | 12.7 |
| 1992 | 13.8 |
| 1993 | 13.8 |
| 1994 | 13.8 |
| 1995 | 14.6 |
| 1996 | 14.6 |
| 1997 | 15.1 |
| 1998 | 16.3 |
| 1999 | 16.3 |
(3) Checker Motors Corporation.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1978 | 17.6 |
| 1979 | 16.5 |
| 1980 | 18.5 |
| 1981 | 18.3 |
| 1982 | 18.4 |
(4) Aston Martin Lagonda, Inc.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1979 | 11.5 |
| 1980 | 12.1 |
| 1981 | 12.2 |
| 1982 | 12.2 |
| 1983 | 11.3 |
| 1984 | 11.3 |
| 1985 | 11.4 |
(5) Excalibur Automobile Corporation.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1978 | 11.5 |
| 1979 | 11.5 |
| 1980 | 16.2 |
| 1981 | 17.9 |
| 1982 | 17.9 |
| 1983 | 16.6 |
| 1984 | 16.6 |
| 1985 | 16.6 |
(6) Lotus Cars Ltd.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1994 | 24.2 |
| 1995 | 23.3 |
(7) Officine Alfieri Maserati, S.p.A.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1978 | 12.5 |
| 1979 | 12.5 |
| 1980 | 9.5 |
| 1984 | 17.9 |
| 1985 | 16.8 |
(8) Lamborghini of North America.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1983 | 13.7 |
| 1984 | 13.7 |
(9) LondonCoach Co., Inc.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 1985 | 21.0 |
| 1986 | 21.0 |
| 1987 | 21.0 |
(10) Automobili Lamborghini S.p.A./Vector Aeromotive Corporation.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1995 | 12.8 |
| 1996 | 12.6 |
| 1997 | 12.5 |
(11) Dutcher Motors, Inc.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1986 | 16.0 |
| 1987 | 16.0 |
| 1988 | 16.0 |
| 1992 | 17.0 |
| 1993 | 17.0 |
| 1994 | 17.0 |
| 1995 | 17.0 |
(12) MedNet, Inc.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1996 | 17.0 |
| 1997 | 17.0 |
| 1998 | 17.0 |
(13) Vector Aeromotive Corporation.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 1998 | 12.1 |
(14) Qvale Automotive Group Srl.
| Model year | Average fuel economy standard (miles per gallon) |
|---|---|
| 2000 | 22.0 |
| 2001 | 22.0 |
(15) Spyker Automobielen B.V.
Average Fuel Economy Standard
| Model year | Miles per gallon |
|---|---|
| 2006 | 18.9 |
| 2007 | 18.9 |
§ 531.6 Measurement and calculation procedures.
(a) The fleet average fuel economy performance of all passenger automobiles that are manufactured by a manufacturer in a model year shall be determined in accordance with procedures established by the Administrator of the Environmental Protection Agency under 49 U.S.C. 32904 and set forth in 40 CFR part 600. For model years 2017 to 2026, a manufacturer is eligible to increase the fuel economy performance of passenger cars in accordance with procedures established by the EPA set forth in 40 CFR part 600, subpart F, including any adjustments to fuel economy the EPA allows, such as for fuel consumption improvements related to air conditioning efficiency and off-cycle technologies.
(1) A manufacturer that seeks to increase its fleet average fuel economy performance through the use of technologies that improve the efficiency of air conditioning systems must follow the requirements in 40 CFR 86.1868-12. Fuel consumption improvement values resulting from the use of those air conditioning systems must be determined in accordance with 40 CFR 600.510-12(c)(3)(i).
(2) A manufacturer that seeks to increase its fleet average fuel economy performance through the use of off-cycle technologies must follow the requirements in 40 CFR 86.1869-12. A manufacturer is eligible to gain fuel consumption improvements for predefined off-cycle technologies in accordance with 40 CFR 86.1869-12(b) or for technologies tested using the EPA’s 5-cycle methodology in accordance with 40 CFR 86.1869-12(c). The fuel consumption improvement is determined in accordance with 40 CFR 600.510-12(c)(3)(ii).
(b) A manufacturer is eligible to increase its fuel economy performance through use of an off-cycle technology requiring an application request made to the EPA in accordance with 40 CFR 86.1869-12(d). The request must be approved by the EPA in consultation with NHTSA. To expedite NHTSA’s consultation with the EPA, a manufacturer shall concurrently submit its application to NHTSA if the manufacturer is seeking off-cycle fuel economy improvement values under the CAFE program for those technologies. For off-cycle technologies that are covered under 40 CFR 86.1869-12(d), NHTSA will consult with the EPA regarding NHTSA’s evaluation of the specific off-cycle technology to ensure its impact on fuel economy and the suitability of using the off-cycle technology to adjust the fuel economy performance. NHTSA will provide its views on the suitability of the technology for that purpose to the EPA. NHTSA’s evaluation and review will consider:
(1) Whether the technology has a direct impact upon improving fuel economy performance;
(2) Whether the technology is related to crash-avoidance technologies, safety critical systems or systems affecting safety-critical functions, or technologies designed for the purpose of reducing the frequency of vehicle crashes;
(3) Information from any assessments conducted by the EPA related to the application, the technology and/or related technologies; and
(4) Any other relevant factors.
§ 531.7 Preemption.
(a) General. When an average fuel economy standard prescribed under this chapter is in effect, a State or a political subdivision of a State may not adopt or enforce a law or regulation related to fuel economy standards or average fuel economy standards for automobiles covered by an average fuel economy standard under this chapter.
(b) Requirements must be identical. When a requirement under section 32908 of title 49 of the United States Code is in effect, a State or a political subdivision of a State may adopt or enforce a law or regulation on disclosure of fuel economy or fuel operating costs for an automobile covered by section 32908 only if the law or regulation is identical to that requirement.
(c) State and political subdivision automobiles. A State or a political subdivision of a State may prescribe requirements for fuel economy for automobiles obtained for its own use.
Appendix A to Part 531 – Example of Calculating Compliance Under § 531.5(c )
Assume a hypothetical manufacturer (Manufacturer X) produces a fleet of domestic passenger automobiles in MY 2012 as follows:
Appendix A Table I
| Model type | Description | Actual measured fuel economy (mpg) | Volume | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Group | Carline name | Basic engine (L) | Transmission class | |||||||
| 1 | PC A FWD | 1.8 | A5 | 2-door sedan | 34.0 | 1,500 | ||||
| 2 | PC A FWD | 1.8 | M6 | 2-door sedan | 34.6 | 2,000 | ||||
| 3 | PC A FWD | 2.5 | A6 | 4-door wagon | 33.8 | 2,000 | ||||
| 4 | PC A AWD | 1.8 | A6 | 4-door wagon | 34.4 | 1,000 | ||||
| 5 | PC A AWD | 2.5 | M6 | 2-door hatchback | 32.9 | 3,000 | ||||
| 6 | PC B RWD | 2.5 | A6 | 4-door wagon | 32.2 | 8,000 | ||||
| 7 | PC B RWD | 2.5 | A7 | 4-door sedan | 33.1 | 2,000 | ||||
| 8 | PC C AWD | 3.2 | A7 | 4-door sedan | 30.6 | 5,000 | ||||
| 9 | PC C FWD | 3.2 | M6 | 2-door coupe | 28.5 | 3,000 | ||||
| Total | 27,500 | |||||||||
Note to Appendix A Table I: Manufacturer X’s required fleet average fuel economy standard level would first be calculated by determining the fuel economy targets applicable to each unique model type and footprint combination for model type groups 1-9 as illustrated in Appendix A Table II:
Manufacturer X calculates a fuel economy target standard for each unique model type and footprint combination.
Appendix A Table II
| Model type | Description | Base tire size | Wheelbase (inches) | Track width F&R average (inches) | Footprint (ft 2) | Volume | Fuel economy target standard (mpg) | |||
|---|---|---|---|---|---|---|---|---|---|---|
| Group | Carline name | Basic engine (L) | Transmission class | |||||||
| 1 | PC A FWD | 1.8 | A5 | 2-door sedan | 205/75R14 | 99.8 | 61.2 | 42.4 | 1,500 | 35.01 |
| 2 | PC A FWD | 1.8 | M6 | 2-door sedan | 215/70R15 | 99.8 | 60.9 | 42.2 | 2,000 | 35.14 |
| 3 | PC A FWD | 2.5 | A6 | 4-door wagon | 215/70R15 | 100.0 | 60.9 | 42.3 | 2,000 | 35.08 |
| 4 | PC A AWD | 1.8 | A6 | 4-door wagon | 235/60R15 | 100.0 | 61.2 | 42.5 | 1,000 | 35.95 |
| 5 | PC A AWD | 2.5 | M6 | 2-door hatchback | 225/65R16 | 99.6 | 59.5 | 41.2 | 3,000 | 35.81 |
| 6 | PC B RWD | 2.5 | A6 | 4-door wagon | 265/55R18 | 109.2 | 66.8 | 50.7 | 8,000 | 30.33 |
| 7 | PC B RWD | 2.5 | A7 | 4-door sedan | 235/65R17 | 109.2 | 67.8 | 51.4 | 2,000 | 29.99 |
| 8 | PC C AWD | 3.2 | A7 | 4-door sedan | 265/55R18 | 111.3 | 67.8 | 52.4 | 5,000 | 29.52 |
| 9 | PC C FWD | 3.2 | M6 | 2-door coupe | 225/65R16 | 111.3 | 67.2 | 51.9 | 3,000 | 29.76 |
| Total | 27,500 | |||||||||
Note to Appendix A Table II: With the appropriate fuel economy targets determined for each unique model type and footprint combination, Manufacturer X’s required fleet average fuel economy standard would be calculated as illustrated in Appendix A Figure 1:
Appendix A Figure 1 – Calculation of Manufacturer X’s fleet average fuel economy standard using Table II:
Appendix A Figure 2 – Calculation of Manufacturer X’s actual fleet average fuel economy performance level using Table I:
Note to Appendix A Figure 2: Since the actual fleet average fuel economy performance of Manufacturer X’s fleet is 32.0 mpg, as compared to its required fleet fuel economy standard of 31.6 mpg, Manufacturer X complied with the CAFE standard for MY 2012 as set forth in § 531.5(c).
Appendix B to Part 531 – Preemption
(a) Express Preemption:
(1) To the extent that any law or regulation of a State or a political subdivision of a State regulates or prohibits tailpipe carbon dioxide emissions from automobiles, such a law or regulation relates to average fuel economy standards within the meaning of 49 U.S.C. 32919.
(A) Automobile fuel economy is directly and substantially related to automobile tailpipe emissions of carbon dioxide;
(B) Carbon dioxide is the natural by-product of automobile fuel consumption;
(C) The most significant and controlling factor in making the measurements necessary to determine the compliance of automobiles with the fuel economy standards in this part is their rate of tailpipe carbon dioxide emissions;
(D) Almost all technologically feasible reduction of tailpipe emissions of carbon dioxide is achievable through improving fuel economy, thereby reducing both the consumption of fuel and the creation and emission of carbon dioxide;
(E) Accordingly, as a practical matter, regulating fuel economy controls the amount of tailpipe emissions of carbon dioxide, and regulating the tailpipe emissions of carbon dioxide controls fuel economy.
(2) As a law or regulation related to fuel economy standards, any law or regulation of a State or a political subdivision of a State regulating or prohibiting tailpipe carbon dioxide emissions from automobiles is expressly preempted under 49 U.S.C. 32919.
(3) A law or regulation of a State or a political subdivision of a State having the direct or substantial effect of regulating or prohibiting tailpipe carbon dioxide emissions from automobiles or automobile fuel economy is a law or regulation related to fuel economy standards and expressly preempted under 49 U.S.C. 32919.
(b) Implied Preemption:
(1) A law or regulation of a State or a political subdivision of a State regulating tailpipe carbon dioxide emissions from automobiles, particularly a law or regulation that is not attribute-based and does not separately regulate passenger cars and light trucks, conflicts with:
(A) The fuel economy standards in this part;
(B) The judgments made by the agency in establishing those standards; and
(C) The achievement of the objectives of the statute (49 U.S.C. Chapter 329) under which those standards were established, including objectives relating to reducing fuel consumption in a manner and to the extent consistent with manufacturer flexibility, consumer choice, and automobile safety.
(2) Any law or regulation of a State or a political subdivision of a State regulating or prohibiting tailpipe carbon dioxide emissions from automobiles is impliedly preempted under 49 U.S.C. Chapter 329.
(3) A law or regulation of a State or a political subdivision of a State having the direct or substantial effect of regulating or prohibiting tailpipe carbon dioxide emissions from automobiles or automobile fuel economy is impliedly preempted under 49 U.S.C. Chapter 329.
PART 533 – LIGHT TRUCK FUEL ECONOMY STANDARDS
§ 533.1 Scope.
This part establishes average fuel economy standards pursuant to section 502(b) of the Motor Vehicle Information and Cost Savings Act, as amended, for light trucks.
§ 533.2 Purpose.
The purpose of this part is to increase the fuel economy of light trucks by establishing minimum levels of average fuel economy for those vehicles.
§ 533.3 Applicability.
This part applies to manufacturers of light trucks.
§ 533.4 Definitions.
(a) Statutory terms. (1) The terms average fuel economy, average fuel economy standard, fuel economy, import, manufacture, manufacturer, and model year are used as defined in section 501 of the Act.
(2) The term automobile is used as defined in section 501 of the Act and in accordance with the determinations in part 523 of this chapter.
(3) The term domestically manufactured is used as defined in section 503(b)(2)(E) of the Act.
(b) Other terms. As used in this part, unless otherwise required by the context –
(1) Act means the Motor Vehicle Information Cost Savings Act, as amended by Pub. L. 94-163.
(2) Light truck is used in accordance with the determinations in part 523 of this chapter.
Captive import means with respect to a light truck, one which is not domestically manufactured but which is imported in the 1980 model year or thereafter by a manufacturer whose principal place of business is in the United States.
4-wheel drive, general utility vehicle means a 4-wheel drive, general purpose automobile capable of off-highway operation that has a wheelbase of not more than 280 centimeters, and that has a body shape similar to 1977 Jeep CJ-5 or CJ-7, or the 1977 Toyota Land Cruiser.
Basic engine means a unique combination of manufacturer, engine displacement, number of cylinders, fuel system (as distinguished by number of carburetor barrels or use of fuel injection), and catalyst usage.
Limited product line light truck means a light truck manufactured by a manufacturer whose light truck fleet is powered exclusively by basic engines which are not also used in passenger automobiles.
§ 533.5 Requirements.
(a) Each manufacturer of light trucks shall comply with the following fleet average fuel economy standards, expressed in miles per gallon, in the model year specified as applicable:
Table I
| Model year | 2-wheel drive light trucks | 4-wheel drive light trucks | Limited product line light trucks | ||
|---|---|---|---|---|---|
| Captive imports | Other | Captive imports | Other | ||
| 1979 | 17.2 | 15.8 | |||
| 1980 | 16.0 | 16.0 | 14.0 | 14.0 | 14.0 |
| 1981 | 16.7 | 16.7 | 15.0 | 15.0 | 14.5 |
Table II
| Model year | Combined standard | 2-wheel drive light trucks | 4-wheel drive light trucks | |||
|---|---|---|---|---|---|---|
| Captive imports | Others | Captive imports | Others | Captive imports | Others | |
| 1982 | 17.5 | 17.5 | 18.0 | 18.0 | 16.0 | 16.0 |
| 1983 | 19.0 | 19.0 | 19.5 | 19.5 | 17.5 | 17.5 |
| 1984 | 20.0 | 20.0 | 20.3 | 20.3 | 18.5 | 18.5 |
| 1985 | 19.5 | 19.5 | 19.7 | 19.7 | 18.9 | 18.9 |
| 1986 | 20.0 | 20.0 | 20.5 | 20.5 | 19.5 | 19.5 |
| 1987 | 20.5 | 20.5 | 21.0 | 21.0 | 19.5 | 19.5 |
| 1988 | 20.5 | 20.5 | 21.0 | 21.0 | 19.5 | 19.5 |
| 1989 | 20.5 | 20.5 | 21.5 | 21.5 | 19.0 | 19.0 |
| 1990 | 20.0 | 20.0 | 20.5 | 20.5 | 19.0 | 19.0 |
| 1991 | 20.2 | 20.2 | 20.7 | 20.7 | 19.1 | 19.1 |
Table III
| Model year | Combined standard | |
|---|---|---|
| Captive imports | Other | |
| 1992 | 20.2 | 20.2 |
| 1993 | 20.4 | 20.4 |
| 1994 | 20.5 | 20.5 |
| 1995 | 20.6 | 20.6 |
Table IV
| Model year | Standard |
|---|---|
| 2001 | 20.7 |
| 2002 | 20.7 |
| 2003 | 20.7 |
| 2004 | 20.7 |
| 2005 | 21.0 |
| 2006 | 21.6 |
| 2007 | 22.2 |
| 2008 | 22.5 |
| 2009 | 23.1 |
| 2010 | 23.5 |
Figure 1:
Table V – Parameters for the Light Truck Fuel Economy Targets for MYs 2008-2011
| Model year | Parameters | |||
|---|---|---|---|---|
2) | ||||
| 2008 | 28.56 | 19.99 | 49.30 | 5.58 |
| 2009 | 30.07 | 20.87 | 48.00 | 5.81 |
| 2010 | 29.96 | 21.20 | 48.49 | 5.50 |
| 2011 | 27.10 | 21.10 | 56.41 | 4.28 |
Figure 2:
CAFE
Subscript i is a designation of multiple groups of light trucks, where each group’s designation, i.e., i = 1, 2, 3, etc., represents light trucks that share a unique model type and footprint within the applicable fleet.
Production
TARGET
Figure 3:
Table VI – Parameters for the Light Truck Fuel Economy Targets for MYs 2012-2016
| Model year | Parameters | |||
|---|---|---|---|---|
2) | ||||
| 2012 | 29.82 | 22.27 | 0.0004546 | 0.014900 |
| 2013 | 30.67 | 22.74 | 0.0004546 | 0.013968 |
| 2014 | 31.38 | 23.13 | 0.0004546 | 0.013225 |
| 2015 | 32.72 | 23.85 | 0.0004546 | 0.011920 |
| 2016 | 34.42 | 24.74 | 0.0004546 | 0.010413 |
Figure 4:
Table VII – Parameters for the Light Truck Fuel Economy Targets for MYs 2017-2026
| Model year | Parameters | |||||||
|---|---|---|---|---|---|---|---|---|
(mpg) | (mpg) | (gal/mi/ft 2) | (gal/mi) | (mpg) | (mpg) | (gal/mi/ft 2) | (gal/mi) | |
| 2017 | 36.26 | 25.09 | 0.0005484 | 0.005097 | 35.10 | 25.09 | 0.0004546 | 0.009851 |
| 2018 | 37.36 | 25.20 | 0.0005358 | 0.004797 | 35.31 | 25.20 | 0.0004546 | 0.009682 |
| 2019 | 38.16 | 25.25 | 0.0005265 | 0.004623 | 35.41 | 25.25 | 0.0004546 | 0.009603 |
| 2020 | 39.11 | 25.25 | 0.0005140 | 0.004494 | 35.41 | 25.25 | 0.0004546 | 0.009603 |
| 2021 | 39.71 | 25.63 | 0.000506 | 0.00443 | NA | NA | NA | NA |
| 2022 | 40.31 | 26.02 | 0.000499 | 0.00436 | NA | NA | NA | NA |
| 2023 | 40.93 | 26.42 | 0.000491 | 0.00429 | NA | NA | NA | NA |
| 2024 | 41.55 | 26.82 | 0.000484 | 0.00423 | NA | NA | NA | NA |
| 2025 | 42.18 | 27.23 | 0.000477 | 0.00417 | NA | NA | NA | NA |
| 2026 | 42.82 | 27.64 | 0.000469 | 0.00410 | NA | NA | NA | NA |
(b)(1) For model year 1979, each manufacturer may:
(i) Combine its 2- and 4-wheel drive light trucks and comply with the average fuel economy standard in paragraph (a) of this section for 2-wheel drive light trucks; or
(ii) Comply separately with the two standards specified in paragraph (a) of this section.
(2) For model year 1979, the standard specified in paragraph (a) of this section for 4-wheel drive light trucks applies only to 4-wheel drive general utility vehicles. All other 4-wheel drive light trucks in that model year shall be included in the 2-wheel drive category for compliance purposes.
(c) For model years 1980 and 1981, manufacturers of limited product line light trucks may:
(1) Comply with the separate standard for limited product line light trucks, or
(2) Comply with the other standards specified in § 533.5(a), as applicable.
(d) For model years 1982-91, each manufacture may:
(1) Combine its 2- and 4-wheel drive light trucks (segregating captive import and other light trucks) and comply with the combined average fuel economy standard specified in paragraph (a) of this section; or
(2) Comply separately with the 2-wheel drive standards and the 4-wheel drive standards (segregating captive import and other light trucks) specified in paragraph (a) of this section.
(e) For model year 1992, each manufacturer shall comply with the average fuel economy standard specified in paragraph (a) of this section (segregating captive import and other light trucks).
(f) For each model year 1996 and thereafter, each manufacturer shall combine its captive imports with its other light trucks and comply with the fleet average fuel economy standard in paragraph (a) of this section.
(g) For model years 2008-2010, at a manufacturer’s option, a manufacturer’s light truck fleet may comply with the fuel economy standard calculated for each model year according to Figure 1 and the appropriate values in Table V, with said option being irrevocably chosen for that model year and reported as specified in § 537.8.
(h) For model year 2011, a manufacturer’s light truck fleet shall comply with the fleet average fuel economy standard calculated for that model year according to Figure 1 and the appropriate values in Table V.
(i) For model years 2012-2016, a manufacturer’s light truck fleet shall comply with the fleet average fuel economy standard calculated for that model year according to Figures 2 and 3 and the appropriate values in Table VI.
(j) For model years 2017-2025, a manufacturer’s light truck fleet shall comply with the fleet average fuel economy standard calculated for that model year according to Figures 2 and 4 and the appropriate values in Table VII.
§ 533.6 Measurement and calculation procedures.
(a) Any reference to a class of light trucks manufactured by a manufacturer shall be deemed –
(1) To include all light trucks in that class manufactured by persons who control, are controlled by, or are under common control with, such manufacturer; and
(2) To exclude all light trucks in that class manufactured (within the meaning of paragraph (a)(1) of this section) during a model year by such manufacturer which are exported prior to the expiration of 30 days following the end of such model year.
(b) The fleet average fuel economy performance of all light trucks that are manufactured by a manufacturer in a model year shall be determined in accordance with procedures established by the Administrator of the Environmental Protection Agency under 49 U.S.C. 32904 and set forth in 40 CFR part 600. For model years 2017 to 2026, a manufacturer is eligible to increase the fuel economy performance of light trucks in accordance with procedures established by the EPA set forth in 40 CFR part 600, subpart F, including any adjustments to fuel economy the EPA allows, such as for fuel consumption improvements related to air conditioning efficiency, off-cycle technologies, and hybridization and other performance-based technologies for full-size pickup trucks that meet the requirements specified in 40 CFR 86.1803.
(1) A manufacturer that seeks to increase its fleet average fuel economy performance through the use of technologies that improve the efficiency of air conditioning systems must follow the requirements in 40 CFR 86.1868-12. Fuel consumption improvement values resulting from the use of those air conditioning systems must be determined in accordance with 40 CFR 600.510-12(c)(3)(i).
(2) A manufacturer that seeks to increase its fleet average fuel economy performance through the use of off-cycle technologies must follow the requirements in 40 CFR 86.1869-12. A manufacturer is eligible to gain fuel consumption improvements for predefined off-cycle technologies in accordance with 40 CFR 86.1869-12(b) or for technologies tested using the EPA’s 5-cycle methodology in accordance with 40 CFR 86.1869-12(c). The fuel consumption improvement is determined in accordance with 40 CFR 600.510-12(c)(3)(ii).
(3) The eligibility of a manufacturer to increase its fuel economy using hybridized and other performance-based technologies for full-size pickup trucks must follow 40 CFR 86.1870-12 and the fuel consumption improvement of these full-size pickup truck technologies must be determined in accordance with 40 CFR 600.510-12(c)(3)(iii).
(c) A manufacturer is eligible to increase its fuel economy performance through use of an off-cycle technology requiring an application request made to the EPA in accordance with 40 CFR 86.1869-12(d). The request must be approved by the EPA in consultation with NHTSA. To expedite NHTSA’s consultation with the EPA, a manufacturer shall concurrently submit its application to NHTSA if the manufacturer is seeking off-cycle fuel economy improvement values under the CAFE program for those technologies. For off-cycle technologies that are covered under 40 CFR 86.1869-12(d), NHTSA will consult with the EPA regarding NHTSA’s evaluation of the specific off-cycle technology to ensure its impact on fuel economy and the suitability of using the off-cycle technology to adjust the fuel economy performance. NHTSA will provide its views on the suitability of the technology for that purpose to the EPA. NHTSA’s evaluation and review will consider:
(1) Whether the technology has a direct impact upon improving fuel economy performance;
(2) Whether the technology is related to crash-avoidance technologies, safety critical systems or systems affecting safety-critical functions, or technologies designed for the purpose of reducing the frequency of vehicle crashes;
(3) Information from any assessments conducted by the EPA related to the application, the technology and/or related technologies; and
(4) Any other relevant factors.
§ 533.7 Preemption.
(a) General. When an average fuel economy standard prescribed under this chapter is in effect, a State or a political subdivision of a State may not adopt or enforce a law or regulation related to fuel economy standards or average fuel economy standards for automobiles covered by an average fuel economy standard under this chapter.
(b) Requirements must be identical. When a requirement under section 32908 of title 49 of the United States Code is in effect, a State or a political subdivision of a State may adopt or enforce a law or regulation on disclosure of fuel economy or fuel operating costs for an automobile covered by section 32908 only if the law or regulation is identical to that requirement.
(c) State and political subdivision automobiles. A State or a political subdivision of a State may prescribe requirements for fuel economy for automobiles obtained for its own use.
Appendix A to Part 533 – Example of Calculating Compliance Under § 533.5(i )
Assume a hypothetical manufacturer (Manufacturer X) produces a fleet of light trucks in MY 2012 as follows:
Appendix A Table I
| Model type | Description | Actual measured fuel economy (mpg) | Volume | |||
|---|---|---|---|---|---|---|
| Group | Carline name | Basic engine (L) | Transmission class | |||
| 1 | Pickup A 2WD | 4 | A5 | Reg cab, MB | 27.1 | 800 |
| 2 | Pickup B 2WD | 4 | M5 | Reg cab, MB | 27.6 | 200 |
| 3 | Pickup C 2WD | 4.5 | A5 | Reg cab, LB | 23.9 | 300 |
| 4 | Pickup C 2WD | 4 | M5 | Ext cab, MB | 23.7 | 400 |
| 5 | Pickup C 4WD | 4.5 | A5 | Crew cab, SB | 23.5 | 400 |
| 6 | Pickup D 2WD | 4.5 | A6 | Crew cab, SB | 23.6 | 400 |
| 7 | Pickup E 2WD | 5 | A6 | Ext cab, LB | 22.7 | 500 |
| 8 | Pickup E 2WD | 5 | A6 | Crew cab, MB | 22.5 | 500 |
| 9 | Pickup F 2WD | 4.5 | A5 | Reg cab, LB | 22.5 | 1,600 |
| 10 | Pickup F 4WD | 4.5 | A5 | Ext cab, MB | 22.3 | 800 |
| 11 | Pickup F 4WD | 4.5 | A5 | Crew cab, SB | 22.2 | 800 |
| Total | 6,700 | |||||
Manufacturer X calculates a fuel economy target standard for each unique model type and footprint combination.
Appendix A Table II
| Model type | Description | Base tire size | Wheelbase (inches) | Track width F&R average (inches) | Footprint (ft 2) | Volume | Fuel economy target standard (mpg) | |||
|---|---|---|---|---|---|---|---|---|---|---|
| Group | Carline name | Basic engine (L) | Transmission class | |||||||
| 1 | Pickup A 2WD | 4 | A5 | Reg cab, MB | 235/75R15 | 100.0 | 68.8 | 47.8 | 800 | 27.30 |
| 2 | Pickup B 2WD | 4 | M5 | Reg cab, MB | 235/75R15 | 100.0 | 68.2 | 47.4 | 200 | 27.44 |
| 3 | Pickup C 2WD | 4.5 | A5 | Reg cab, LB | 255/70R17 | 125.0 | 68.8 | 59.7 | 300 | 23.79 |
| 4 | Pickup C 2WD | 4 | M5 | Ext cab, MB | 255/70R17 | 125.0 | 68.8 | 59.7 | 400 | 23.79 |
| 5 | Pickup C 4WD | 4.5 | A5 | Crew cab, SB | 275/70R17 | 150.0 | 69.0 | 71.9 | 400 | 22.27 |
| 6 | Pickup D 2WD | 4.5 | A6 | Crew cab, SB | 255/70R17 | 125.0 | 68.8 | 59.7 | 400 | 23.79 |
| 7 | Pickup E 2WD | 5 | A6 | Ext cab, LB | 255/70R17 | 125.0 | 68.8 | 59.7 | 500 | 23.79 |
| 8 | Pickup E 2WD | 5 | A6 | Crew cab, MB | 285/70R17 | 125.0 | 69.2 | 60.1 | 500 | 23.68 |
| 9 | Pickup F 2WD | 4.5 | A5 | Reg cab, LB | 255/70R17 | 125.0 | 68.9 | 59.8 | 1,600 | 23.76 |
| 10 | Pickup F 4WD | 4.5 | A5 | Ext cab, MB | 275/70R17 | 150.0 | 69.0 | 71.9 | 800 | 22.27 |
| 11 | Pickup F 4WD | 4.5 | A5 | Crew cab, SB | 285/70R17 | 150.0 | 69.2 | 72.1 | 800 | 22.27 |
| Total | 6,700 | |||||||||
Since the actual fleet average fuel economy performance of Manufacturer X’s fleet is 23.3 mpg, as compared to its required fleet fuel economy standard of 23.7 mpg, Manufacturer X did not comply with the CAFE standard for MY 2012 as set forth in § 533.5(i).
Appendix B to Part 533 – Preemption
(a) Express Preemption:
(1) To the extent that any law or regulation of a State or a political subdivision of a State regulates or prohibits tailpipe carbon dioxide emissions from automobiles, such a law or regulation relates to average fuel economy standards within the meaning of 49 U.S.C. 32919.
(A) Automobile fuel economy is directly and substantially related to automobile tailpipe emissions of carbon dioxide;
(B) Carbon dioxide is the natural by-product of automobile fuel consumption;
(C) The most significant and controlling factor in making the measurements necessary to determine the compliance of automobiles with the fuel economy standards in this part is their rate of tailpipe carbon dioxide emissions;
(D) Almost all technologically feasible reduction of tailpipe emissions of carbon dioxide is achievable through improving fuel economy, thereby reducing both the consumption of fuel and the creation and emission of carbon dioxide;
(E) Accordingly, as a practical matter, regulating fuel economy controls the amount of tailpipe emissions of carbon dioxide, and regulating the tailpipe emissions of carbon dioxide controls fuel economy.
(2) As a law or regulation of a State or a political subdivision of a State related to fuel economy standards, any state law or regulation regulating or prohibiting tailpipe carbon dioxide emissions from automobiles is expressly preempted under 49 U.S.C. 32919.
(3) A law or regulation of a State or a political subdivision of a State having the direct or substantial effect of regulating or prohibiting tailpipe carbon dioxide emissions from automobiles or automobile fuel economy is a law or regulation related to fuel economy standards and expressly preempted under 49 U.S.C. 32919.
(b) Implied Preemption:
(1) A law or regulation of a State or a political subdivision of a State regulating tailpipe carbon dioxide emissions from automobiles, particularly a law or regulation that is not attribute-based and does not separately regulate passenger cars and light trucks, conflicts with:
(A) The fuel economy standards in this part;
(B) The judgments made by the agency in establishing those standards; and
(C) The achievement of the objectives of the statute (49 U.S.C. Chapter 329) under which those standards were established, including objectives relating to reducing fuel consumption in a manner and to the extent consistent with manufacturer flexibility, consumer choice, and automobile safety.
(2) Any law or regulation of a State or a political subdivision of a State regulating or prohibiting tailpipe carbon dioxide emissions from automobiles is impliedly preempted under 49 U.S.C. Chapter 329.
(3) A law or regulation of a State or a political subdivision of a State having the direct or substantial effect of regulating or prohibiting tailpipe carbon dioxide emissions from automobiles or automobile fuel economy is impliedly preempted under 49 U.S.C. Chapter 329.
PART 534 – RIGHTS AND RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS
§ 534.1 Scope.
This part defines the rights and responsibilities of manufacturers in the context of changes in corporate relationships for purposes of the fuel economy and fuel consumption programs established by 49 U.S.C. chapter 329.
§ 534.2 Applicability.
This part applies to manufacturers of passenger automobiles, light trucks, heavy-duty vehicles and the engines manufactured for use in heavy-duty vehicles as defined in 49 CFR part 523.
§ 534.3 Definitions.
(a) Statutory definitions and terms. All terms used in 49 U.S.C. Chapter 329 are used according to their statutory meaning.
(b) As used in this part –
“Control relationship” means the relationship that exists between manufacturers that control, are controlled by, or are under common control with, one or more other manufacturers.
“Predecessor” means a manufacturer whose rights have been vested in and whose burdens have been assumed by another manufacturer.
“Successor” means a manufacturer that has become vested with the rights and assumed the burdens of another manufacturer.
§ 534.4 Successors and predecessors.
For purposes of the fuel economy and fuel consumption programs, “manufacturer” includes “predecessors” and “successors” to the extent specified in this section.
(a) Successors are responsible for any civil penalties that arise out of fuel economy and fuel consumption shortfalls incurred and not satisfied by predecessors.
(b) If one manufacturer has become the successor of another manufacturer during a model year, all of the vehicles or engines produced by those manufacturers during the model year are treated as though they were manufactured by the same manufacturer. A manufacturer is considered to have become the successor of another manufacturer during a model year if it is the successor on September 30 of the corresponding calendar year and was not the successor for the preceding model year.
(c)(1) For passenger automobiles and light trucks, fuel economy credits earned by a predecessor before or during model year 2007 may be used by a successor, subject to the availability of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward. Fuel economy credits earned by a predecessor after model year 2007 may be used by a successor, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward.
(2) For heavy-duty vehicles and heavy-duty vehicle engines, available fuel consumption credits earned by a predecessor after model year 2015, and in model years 2013, 2014 and 2015 if a manufacturer voluntarily complies in those model years, may be used by a successor, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three year restriction on carrying credits backward.
(d)(1) For passenger automobiles and light trucks, fuel economy credits earned by a successor before or during model year 2007 may be used to offset a predecessor’s shortfall, subject to the availability of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward. Credits earned by a successor after model year 2007 may be used to offset a predecessor’s shortfall, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward.
(2) For heavy-duty vehicles and heavy-duty vehicle engines, available credits earned by a successor after model year 2015, and in model years 2013, 2014 and 2015, if a manufacturer voluntarily complies in those model years, may be used by a predecessor subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three year restriction on carrying credits backward.
§ 534.5 Manufacturers within control relationships.
(a) If a civil penalty arises out of a fuel economy or fuel consumption shortfall incurred by a group of manufacturers within a control relationship, each manufacturer within that group is jointly and severally liable for the civil penalty.
(b) A manufacturer is considered to be within a control relationship for an entire model year if and only if it is within that relationship on September 30 of the calendar year in which the model year ends.
(c)(1) For passenger automobiles and light trucks, fuel economy credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits, and the general three year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five year restriction on carrying credits forward and the general three-year restriction on carrying credits backward after model year 2007.
(2) For heavy-duty vehicles and heavy-duty engines, credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits, the general 5-year restriction on carrying credits forward, and the general three year restriction on offsetting past credit shortfalls as specified in the requirements of 49 CFR 535.7.
(d)(1) For passenger automobiles and light trucks, if a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufacturer may use credits that were earned by the group of manufacturers within the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manufacturers, the availability of the credits, and the general three-year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward after model year 2007.
(2) For heavy-duty vehicles and heavy-duty vehicle engines, if a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufacturer may use credits that were earned by the group of manufacturers within the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manufacturers, the availability of the credits, the general 5-year restriction on carrying credits forward, and the general three year restriction on offsetting past credit shortfalls as specified in the requirements of 49 CFR 535.7.
(e) Agreements among manufacturers in a control relationship related to the allocation of credits or liabilities addressed by this section shall be filed with the agency within 60 days of the end of each model year in the same form as specified in section 534.6. The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR part 512.
§ 534.6 Reporting corporate transactions.
Manufacturers who have entered into written contracts transferring rights and responsibilities such that a different manufacturer owns the controlling stock or exerts control over the design, production or sale of automobiles or heavy-duty vehicles to which Corporate Average Fuel Economy or Fuel Consumption standards apply shall report the contract to the agency as follows:
(a) The manufacturers must file a certified report with the agency affirmatively stating that the contract transfers rights and responsibilities between them such that one manufacturer has assumed a controlling stock ownership or control over the design, production or sale of vehicles. The report must also specify the first full model year to which the transaction will apply.
(b) Each report shall –
(1) Identify each manufacturer;
(2) State the full name, title, and address of the official responsible for preparing the report;
(3) Identify the production year being reported on;
(4) Be written in the English language; and
(5) Be submitted to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(c) The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR part 512.
§ 534.7 Situations not directly addressed by this part.
To the extent that this part does not directly address an issue concerning the rights and responsibilities of manufacturers in the context of a change in corporate relationships, the agency will make determinations based on interpretation of the statute and the principles reflected in the part.
(a) Vehicles and engines built by multiple manufacturers can share responsibility for complying with fuel consumption standards in 49 CFR part 535, by following the EPA requirements in 40 CFR 1037.620 and by sending a joint agreement between the parties to EPA and NHTSA before submitting any certificates of conformity for the applicable vehicles or engines in accordance with 40 CFR part 1036, subpart C, and 40 CFR part 1037, subpart C.
(1) Each joint agreement must –
(i) Define how each manufacturer shares responsibility for the planned vehicles or engines.
(ii) Specify which manufacturer(s) will be responsible for the EPA certificates of conformity;
(iii) Describe the planned vehicles and engines in terms of the model types, production volumes, and model years (if known);
(iv) Describe which manufacturer(s) have engineering and design control and sale distribution ownership over the vehicles and/or engines; and
(v) Include signatures from all parties involved in the shared corporate relationship.
(2) After defining the shared relationship between the manufacturers, any contractual changes must be notified to EPA and NHTSA before the next model year’s production of the applicable vehicles or engines begins.
(3) Multiple manufacturers must designate the same shared responsibility for complying with fuel consumption standards as selected for GHG standards unless otherwise allowed by EPA and NHTSA.
(b) NHTSA and EPA reserve the right to reject the joint agreement.
PART 535 – MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM
§ 535.1 Scope.
This part establishes fuel consumption standards pursuant to 49 U.S.C. 32902(k) for work trucks and commercial medium- and heavy-duty on-highway vehicles, including trailers (hereafter referenced as heavy-duty vehicles), and engines manufactured for sale in the United States. This part establishes a credit program manufacturers may use to comply with standards and requirements for manufacturers to provide reports to the National Highway Traffic Safety Administration regarding their efforts to reduce the fuel consumption of heavy-duty vehicles and engines.
§ 535.2 Purpose.
The purpose of this part is to reduce the fuel consumption of new heavy-duty vehicles and engines by establishing maximum levels for fuel consumption standards while providing a flexible credit program to assist manufacturers in complying with standards.
§ 535.3 Applicability.
(a) This part applies to manufacturers that produce complete and incomplete heavy-duty vehicles as defined in 49 CFR part 523, and to the manufacturers of all heavy-duty engines manufactured for use in the applicable vehicles for each given model year.
(b) This part also applies to alterers, final stage manufacturers, and intermediate manufacturers producing vehicles and engines or assembling motor vehicles or motor vehicle equipment under special conditions. Manufacturers comply with this part by following the special conditions in 40 CFR 1037.620, 1037.621, and 1037.622 in which EPA allows manufacturer to:
(1) Share responsibility for the vehicles they produce. Manufacturers sharing responsibility for complying with emissions and fuel consumption standards must submit to the agencies a joint agreement as specified in 49 CFR 534.8(a);
(2) Have certificate holders sell or ship vehicles that are missing certain emission-related components to be installed by secondary vehicle manufacturers;
(3) Ship partially complete vehicles to secondary manufacturers;
(4) Build electric vehicles; and
(5) Build alternative fueled vehicles from all types of heavy duty engine conversions. The conversion manufacturer must:
(i) Install alternative fuel conversion systems into vehicles acquired from vehicle manufacturers prior to first retail sale or prior to the vehicle’s introduction into interstate commerce.
(ii) Be designated by the vehicle manufacturer and EPA to be the certificate holder.
(iii) Omit alternative fueled vehicles from compliance with vehicle fuel consumption standards, if –
(A) Excluded from EPA emissions standards; and
(B) A reasonable technical basis exist that the modified vehicle continues to meet emissions and fuel consumption vehicle standards.
(c) Vehicle and engine manufacturers that must comply with this part include manufacturers required to have approved certificates of conformity from EPA as specified in 40 CFR parts 86, 1036, and 1037.
(d) The following heavy-duty vehicles and engines are excluded from the requirements of this part:
(1) Vehicles and engines manufactured prior to January 1, 2014, unless certified early under NHTSA’s voluntary provisions in § 535.5.
(2) Medium-duty passenger vehicles and other vehicles subject to the light-duty corporate average fuel economy standards in 49 CFR parts 531 and 533.
(3) Recreational vehicles, including motor homes manufactured before January 1, 2021, except those produced by manufacturers voluntarily complying with NHTSA’s early vocational standards for model years 2013 through 2020.
(4) Aircraft vehicles meeting the definition of “motor vehicle”. For example, this would include certain convertible aircraft that can be adjusted to operate on public roads.
(5) Heavy-duty trailers as defined in 49 CFR 523.10 meeting one or more of the following criteria are excluded from trailer standards in § 535.5(e):
(i) Trailers with four or more axles and trailers less than 35 feet long with three axles (i.e., trailers intended for hauling very heavy loads).
(ii) Trailers intended for temporary or permanent residence, office space, or other work space, such as campers, mobile homes, and carnival trailers.
(iii) Trailers with a gap of at least 120 inches between adjacent axle centerlines. In the case of adjustable axle spacing, this refers to the closest possible axle positioning.
(iv) Trailers built before January 1, 2021, except those trailers built by manufacturers after January 1, 2018, and voluntarily complying with NHTSA’s early trailer standards for model years 2018 through 2020.
(v) Note that the definition of “heavy-duty trailer” in 49 CFR 523.10 excludes equipment that serves similar purposes but are not intended to be pulled by a tractor. This exclusion applies to such equipment whether or not they are known commercially as trailers. For example, any equipment pulled by a heavy-duty vehicle with a pintle hook or hitch instead of a fifth wheel does not qualify as a trailer under this part.
(6) Engines installed in heavy-duty vehicles that are not used to propel vehicles. Note, this includes engines used to indirectly propel vehicles (such as electrical generator engines that power to batteries for propulsion).
(7) The provisions of this part do not apply to engines that are not internal combustion engines. For example, the provisions of this part do not apply to fuel cells. Note that gas turbine engines are internal combustion engines.
(e) The following heavy-duty vehicles and engines are exempted from the requirements of this part:
(1) Off-road vehicles. Vehicle manufacturers producing vehicles intended for off-road may exempt vehicles without requesting approval from the agencies subject to the criteria in § 535.5(b)(9)(i) and 40 CFR 1037.631(a). If unusual circumstances exist and a manufacturer is uncertain as to whether its vehicles qualify, the manufacturer should ask for a preliminary determination from the agencies before submitting its application for certification in accordance with 40 CFR 1037.205 for the applicable vehicles. Send the request with supporting information to EPA and the agencies will coordinate in making a preliminary determination as specified in 40 CFR 1037.210. These decisions are considered to be preliminary approvals and subject to final review and approval.
(2) Small business manufacturers. (i) For Phase 1, small business manufacturers are exempted from the vehicle and engine standards of § 535.5, but must comply with the reporting requirements of § 535.8(g).
(ii) For Phase 2, fuel consumption standards apply on a delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819-14(k)(5), 40 CFR 1036.150, and 40 CFR 1037.150. Qualifying manufacturers of truck tractors, vocational vehicles, heavy duty pickups and vans, and engines are not subject to the fuel consumption standards for vehicles built before January 1, 2022 and engines (such as those engines built by small alternative fuel engine converters) with a date of manufacturer on or after November 14, 2011 and before January 1, 2022. Qualifying manufacturers may choose to voluntarily comply early.
(iii) Small business manufacturers producing vehicles and engines that run on any fuel other than gasoline, E85, or diesel fuel meeting the criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819-14(k)(5), 40 CFR 1036.150, and 40 CFR 1037.150 may delay complying with every new mandatory standard under this part by one model year.
(3) Transitional allowances for trailers. Through model year 2026, trailer manufacturers may calculate a number of trailers that are exempt from the fuel consumption standards of this part. Calculate the number of exempt box vans in a given model year by multiplying the manufacturer’s total U.S.-directed production volume of certified box vans by 0.20 and rounding to the nearest whole number; however, in no case may the number of exempted box vans be greater than 350 units in any given model year. Repeat this calculation to determine the number of non-box trailers, up to 250 annual units, that are exempt from standards and certification requirements. Manufacturers perform the calculation based on their projected production volumes in the first year that standards apply; in later years, use actual production volumes from the preceding model year. Manufacturers must include these calculated values and the production volumes of exempt trailers in their annual production reports required under § 535.8(g)(12).
(4) Engines for specialty vehicles. Engines certified to the alternative standards specified in 40 CFR 86.007-11 and 86.008-10 for use in specialty vehicles as described in 40 CFR 1037.605. Compliance with the vehicle provisions in 40 CFR 1037.605 satisfies compliance for NHTSA under this part.
(f) For model year 2021 and later, vocational vehicle manufacturers building custom chassis vehicles (e.g. emergency vehicles) may be exempted from standards in § 535.5(b)(4) and may comply with alternative fuel consumption standards as specified in § 535.5(b)(6). Manufacturers complying with alternative fuel consumption standards in § 535.5(b)(6) are restricted in using fuel consumption credits as specified in § 535.7(c).
(g) The fuel consumption standards in some cases apply differently for spark-ignition and compression-ignition engines or vehicles as specified in 40 CFR parts 1036 and 1037. Engine requirements are similarly differentiated by engine type and by primary intended service class, as described in 40 CFR 1036.140.
(h) NHTSA may exclude or exempt vehicles and engines under special conditions allowed by EPA in accordance with 40 CFR parts 85, 86, 1036, 1037, 1039, and 1068. Manufacturers should consult the agencies if uncertain how to apply any EPA provision under the NHTSA fuel consumption program. It is recommend that manufacturers seek clarification before producing a vehicle. Upon notification by EPA of a fraudulent use of an exemption, NHTSA reserves that right to suspend or revoke any exemption or exclusion.
(i) In cases where there are differences between the application of this part and the corresponding EPA program regarding whether a vehicle is regulated or not (such as due to differences in applicability resulting from differing agency definitions, etc.), manufacturers should contact the agencies to identify these vehicles and assess the applicability of the agencies’ standards. The agencies will provide guidance on how the vehicles can comply. Manufacturers are required to identify these vehicles in their final reports submitted in accordance with § 535.8.
§ 535.4 Definitions.
The terms manufacture and manufacturer are used as defined in section 501 of the Act and the terms commercial medium-duty and heavy-duty on highway vehicle, fuel and work truck are used as defined in 49 U.S.C. 32901. See 49 CFR 523.2 for general definitions related to NHTSA’s fuel efficiency programs.
Act means the Motor Vehicle Information and Cost Savings Act, as amended by Pub. L. 94-163 and 96-425.
Administrator means the Administrator of the National Highway Traffic Safety Administration (NHTSA) or the Administrator’s delegate.
Advanced technology means vehicle technology under this fuel consumption program in §§ 535.6 and 535.7 and by EPA under 40 CFR 86.1819-14(d)(7), 1036.615, or 1037.615.
Alterers means a manufacturer that modifies an altered vehicle as defined in 49 CFR 567.3
Alternative fuel conversion has the meaning given for clean alternative fuel conversion in 40 CFR 85.502.
A to B testing has the meaning given in 40 CFR 1037.801.
Automated manual transmission has the meaning given in 40 CFR 1037.801.
Automatic tire inflation system has the meaning given in 40 CFR 1037.801.
Automatic transmission (AT) has the meaning given in 40 CFR 1037.801.
Auxiliary power unit has the meaning given in 40 CFR 1037.801.
Averaging set means, a set of engines or vehicles in which fuel consumption credits may be exchanged. Credits generated by one engine or vehicle family may only be used by other respective engine or vehicle families in the same averaging set as specified in § 535.7 . Note that an averaging set may comprise more than one regulatory subcategory. The averaging sets for this HD program are defined as follows:
(1) Heavy-duty pickup trucks and vans.
(2) Light heavy-duty (LHD) vehicles.
(3) Medium heavy-duty (MHD) vehicles.
(4) Heavy heavy-duty (HHD) vehicles.
(5) Light heavy-duty engines subject to compression-ignition standards.
(6) Medium heavy-duty engines subject to compression-ignition standards.
(7) Heavy heavy-duty engines subject to compression-ignition standards.
(8) Engines subject to spark-ignition standards.
(9) Long trailers.
(10) Short trailers.
(11) Vehicle types certifying to optional custom chassis standards as specified in § 535.5(b)(6) form separate averaging sets for each vehicle type as specified in § 535.7(c).
Axle ratio or Drive axle ratio, k
Basic vehicle frontal area has the meaning given in 40 CFR 1037.801.
Cab-complete vehicle has the meaning given in 49 CFR 523.2.
Carryover has the meaning given in 40 CFR 1037.801.
Certificate holder means the manufacturer who holds the certificate of conformity for the vehicle or engine and that assigns the model year based on the date when its manufacturing operations are completed relative to its annual model year period.
Certificate of Conformity means an approval document granted by EPA to a manufacturer that submits an application for a vehicle or engine emissions family in 40 CFR 1036.205 and 1037.205. A certificate of conformity is valid from the indicated effective date until December 31 of the model year for which it is issued. The certificate must be renewed annually for any vehicle a manufacturer continues to produce.
Certification has the meaning given in 40 CFR 1037.801.
Certified emission level has the meaning given in 40 CFR 1036.801.
Chassis-cab means the incomplete part of a vehicle that includes a frame, a completed occupant compartment and that requires only the addition of cargo-carrying, work-performing, or load-bearing components to perform its intended functions.
Chief Counsel means the NHTSA Chief Counsel, or his or her designee.
Class means relating to GVWR classes for vehicles other than trailers, as follows:
(1) Class 2b vehicles are vehicles with a gross vehicle weight rating (GVWR) ranging from 8,501 to 10,000 pounds.
(2) Class 3 through Class 8 vehicles are vehicles with a gross vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 565.15.
Complete sister vehicle is a complete vehicle of the same configuration as a cab-complete vehicle.
Complete vehicle has the meaning given in 49 CFR part 523.
Compression-ignition (CI) means relating to a type of reciprocating, internal-combustion engine, such as a diesel engine, that is not a spark-ignition engine. Note, in accordance with 40 CFR 1036.1, gas turbine engines and other engines not meeting the definition of compression-ignition are deemed to be compression-ignition engines for complying with fuel consumption standards.
Configuration means a subclassification within a test group for passenger cars, light trucks and medium-duty passenger vehicles and heavy-duty pickup trucks and vans which is based on basic engine, engine code, transmission type and gear ratios, and final drive ratio.
Container chassis trailer has the same meaning as container chassis in 40 CFR 1037.801.
Curb weight has the meaning given in 40 CFR 86.1803.
Custom chassis vehicle means a vocational vehicle that is a motor home, school bus, refuse hauler, concrete mixer, emergency vehicle, mixed-use vehicle or other buses that are not school buses or motor coaches. These vehicle types are defined in 49 CFR 523.3. A “mixed-use vehicle” is one that meets at least one of the criteria specified in 40 CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not both.
Date of manufacture means the date on which the certifying vehicle manufacturer completes its manufacturing operations, except as follows:
(1) Where the certificate holder is an engine manufacturer that does not manufacture the complete or incomplete vehicle, the date of manufacture of the vehicle is based on the date assembly of the vehicle is completed.
(2) EPA and NHTSA may approve an alternate date of manufacture based on the date on which the certifying (or primary) vehicle manufacturer completes assembly at the place of main assembly, consistent with the provisions of 40 CFR 1037.601 and 49 CFR 567.4.
(3) A vehicle manufacturer that completes assembly of a vehicle at two or more facilities may ask to use as the month and year of manufacture, for that vehicle, the month and year in which manufacturing is completed at the place of main assembly, consistent with provisions of 49 CFR 567.4, as the model year. Note that such staged assembly is subject to the provisions of 40 CFR 1068.260(c). NHTSA’s allowance of this provision is effective when EPA approves the manufacturer’s certificates of conformity for these vehicles.
Day cab has the meaning given in 40 CFR 1037.801.
Drayage tractor has the meaning given in 40 CFR 1037.801.
Dual-clutch transmission (DCT) means a transmission has the meaning given in 40 CFR 1037.801.
Dual-fuel has the meaning given in 40 CFR 1037.801.
Electric vehicle has the meaning given in 40 CFR 1037.801.
Emergency vehicle means a vehicle that meets one of the criteria in 40 CFR 1037.801.
Engine family has the meaning given in 40 CFR 1036.230. Manufacturers designate families in accordance with EPA provisions and may not choose different families between the NHTSA and EPA programs.
Excluded means a vehicle or engine manufacturer or component is not required to comply with any aspects with the NHTSA fuel consumption program.
Exempted means a vehicle or engine manufacturer or component is not required to comply with certain provisions of the NHTSA fuel consumption program.
Family certification level (FCL) has the meaning given in 40 CFR 1036.801.
Family emission limit (FEL) has the meaning given in 40 CFR 1037.801.
Final drive ratio has the meaning given in 40 CFR 1037.801.
Final-stage manufacturer has the meaning given in 49 CFR 567.3 and includes secondary vehicle manufacturers as defined in 40 CFR 1037.801.
Flatbed trailer has the meaning given in 40 CFR 1037.801.
Fleet in this part means all the heavy-duty vehicles or engines within each of the regulatory sub-categories that are manufactured by a manufacturer in a particular model year and that are subject to fuel consumption standards under § 535.5.
Fleet average fuel consumption is the calculated average fuel consumption performance value for a manufacturer’s fleet derived from the production weighted fuel consumption values of the unique vehicle configurations within each vehicle model type that makes up that manufacturer’s vehicle fleet in a given model year. In this part, the fleet average fuel consumption value is determined for each manufacturer’s fleet of heavy-duty pickup trucks and vans.
Fleet average fuel consumption standard is the actual average fuel consumption standard for a manufacturer’s fleet derived from the production weighted fuel consumption standards of each unique vehicle configuration, based on payload, tow capacity and drive configuration (2, 4 or all-wheel drive), of the model types that makes up that manufacturer’s vehicle fleet in a given model year. In this part, the fleet average fuel consumption standard is determined for each manufacturer’s fleet of heavy-duty pickup trucks and vans.
Fuel cell means an electrochemical cell that produces electricity via the non-combustion reaction of a consumable fuel, typically hydrogen.
Fuel cell electric vehicle means a motor vehicle propelled solely by an electric motor where energy for the motor is supplied by a fuel cell.
Fuel efficiency means the amount of work performed for each gallon of fuel consumed.
Gaseous fuel has the meaning given in 40 CFR 1037.801.
Greenhouse gas Emissions Model (GEM) has the meaning given in 40 CFR 1037.801.
Gross axle weight rating (GAWR) has the meaning given in 49 CFR 571.3.
Gross combination weight rating (GCWR) has the meaning given in 49 CFR 571.3.
Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR 571.3.
Good engineering judgment has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process used to evaluate good engineering judgment.
Heavy-duty off-road vehicle means a heavy-duty vocational vehicle or vocational tractor that is intended for off-road use.
Heavy-duty vehicle has the meaning given in 49 CFR part 523.
Heavy-haul tractor has the meaning given in 40 CFR 1037.801.
Heavy heavy-duty (HHD) vehicle has the meaning given in vehicle service class.
Hybrid engine or hybrid powertrain means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking.
Hybrid vehicle means a vehicle that includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems Note that certain provisions in this part treat hybrid vehicles that include regenerative braking different than those that do not include regenerative braking.
Idle operation has the meaning given in 40 CFR 1037.801.
Incomplete vehicle has the meaning given in 49 CFR part 523. For the purpose of this regulation, a manufacturer may request EPA and NHTSA to allow the certification of a vehicle as an incomplete vehicle if it manufactures the engine and sells the unassembled chassis components, provided it does not produce and sell the body components necessary to complete the vehicle.
Innovative technology means technology certified under § 535.7 and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in the Phase 1 program.
Intermediate manufacturer has the meaning given in 49 CFR 567.3.
Light heavy-duty (LHD) vehicle has the meaning given in vehicle service class.
Liquefied petroleum gas (LPG) has the meaning given in 40 CFR 1036.801.
Low rolling resistance tire means a tire on a vocational vehicle with a tire rolling resistance level (TRRL) of 7.7 kg/metric ton or lower, a steer tire on a tractor with a TRRL of 7.7 kg/metric ton or lower, or a drive tire on a tractor with a TRRL of 8.1 kg/metric ton or lower.
Manual transmission (MT) has the meaning given in 40 CFR 1037.801.
Medium heavy-duty (MHD) vehicle has the meaning given in vehicle service class.
Model type has the meaning given in 40 CFR 600.002.
Model year as it applies to vehicles means:
(1) For tractors and vocational vehicles with a date of manufacture on or after January 1, 2021, the vehicle’s model year is the calendar year corresponding to the date of manufacture; however, the vehicle’s model year may be designated to be the year before the calendar year corresponding to the date of manufacture if the engine’s model year is also from an earlier year. Note that subparagraph (2) of this definition limits the extent to which vehicle manufacturers may install engines built in earlier calendar years. Note that 40 CFR 1037.601(a)(2) limits the extent to which vehicle manufacturers may install engines built in earlier calendar years.
(2) For trailers and for Phase 1 tractors and vocational vehicles with a date of manufacture before January 1, 2021, model year means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. The model year may be set to match the calendar year corresponding to the date of manufacture.
(i) The manufacturer who holds the certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period. In unusual circumstances where completion of your assembly is delayed, we may allow you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply.
(ii) Unless a vehicle is being shipped to a secondary manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date.
Model year as it applies to engines means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission standards or to avoid the obligation to certify annually.
Natural gas has the meaning given in 40 CFR 1036.801. Vehicles that use a pilot-ignited natural gas engine (which uses a small diesel fuel ignition system), are still considered natural gas vehicles.
NHTSA Enforcement means the NHTSA Associate Administrator for Enforcement, or his or her designee.
Neutral coasting has the meaning given in 40 CFR 1037.801.
Off-cycle technology means technology certified under § 535.7 and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610 in the Phase 2 program.
Party means the person alleged to have committed a violation of § 535.9, and includes manufacturers of vehicles and manufacturers of engines.
Payload means in this part the resultant of subtracting the curb weight from the gross vehicle weight rating.
Petroleum has the meaning given in 40 CFR 1037.801.
Phase 1 means the joint NHTSA and EPA program established in 2011 for fuel efficiency standards and greenhouse gas emissions standards regulating medium- and heavy-duty engines and vehicles. See § 535.5 for the specific model years that standards apply to vehicles and engines.
Phase 2 means the joint NHTSA and EPA program established in 2016 for fuel efficiency standards and greenhouse gas emissions standards regulating medium- and heavy-duty vehicles including trailers, and engines. See § 535.5 for the specific model years that standards apply to vehicles and engines.
Pickup truck has the meaning given in 49 CFR part 523.
Plug-in hybrid electric vehicle (PHEV) means a hybrid electric vehicle that has the capability to charge the battery or batteries used for vehicle propulsion from an off-vehicle electric source, such that the off-vehicle source cannot be connected to the vehicle while the vehicle is in motion.
Power take-off (PTO) means a secondary engine shaft or other system on a vehicle that provides substantial auxiliary power for purposes unrelated to vehicle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic electrical accessories. A typical PTO uses a secondary shaft on the engine to transmit power to a hydraulic pump that powers auxiliary equipment such as a boom on a bucket truck.
Powertrain family has the meaning given in 40 CFR 1037.231. Manufacturers choosing to perform powertrain testing as specified in 40 CFR 1037.550, divide product lines into powertrain families that are expected to have similar fuel consumptions and CO
Preliminary approval means approval granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of 40 CFR 1037.210. For requirements involving NHTSA, EPA will ensure decisions are jointly made and will convey the decision to the manufacturer.
Primary intended service class has the same meaning for engines as specified in 40 CFR 1036.140. Manufacturers must identify a single primary intended service class for each engine family that best describes vehicles for which it designs and markets the engine, as follows:
(1) Divide compression-ignition engines into primary intended service classes based on the following engine and vehicle characteristics:
(i) Light heavy-duty “LHD” engines usually are not designed for rebuild and do not have cylinder liners. Vehicle body types in this group might include any heavy-duty vehicle built from a light-duty truck chassis, van trucks, multi-stop vans, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally below 19,500 pounds.
(ii) Medium heavy-duty “MHD” engines may be designed for rebuild and may have cylinderliners. Vehicle body types in this group would typically include school buses, straight trucks with single rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,500 to 33,000 pounds.
(iii) Heavy heavy-duty “HHD” engines are designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, straight trucks with dual rear axles, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR.
(2) Divide spark-ignition engines into primary intended service classes as follows:
(i) Spark-ignition engines that are best characterized by paragraph (1)(i) or (ii) of this definition are in a separate “spark-ignition” primary intended service class.
(ii) Spark-ignition engines that are best characterized by paragraph (1)(iii) of this definition share a primary intended service class with compression-ignition heavy heavy-duty engines. Gasoline-fueled engines are presumed not to be characterized by paragraph (1)(iii) of this definition; for example, vehicle manufacturers may install some number of gasoline-fueled engines in Class 8 trucks without causing the engine manufacturer to consider those to be heavy heavy-duty engines.
(iii) References to “spark-ignition standards” in this part relate only to the spark-ignition engines identified in paragraph (b)(1) of this section. References to “compression-ignition standards” in this part relate to compression-ignition engines, to spark-ignition engines optionally certified to standards that apply to compression-ignition engines, and to all engines identified under paragraph (b)(2) of this section as heavy heavy-duty engines.
Rechargeable Energy Storage System (RESS) means the component(s) of a hybrid engine or vehicle that store recovered energy for later use, such as the battery system in a electric hybrid vehicle.
Refuse hauler has the meaning given in 40 CFR 1037.801.
Regional has the meaning relating to the Regional duty cycle as specified in 40 CFR 1037.510.
Regulatory category means each of the four types of heavy-duty vehicles defined in 49 CFR 523.6 and the heavy-duty engines used in these heavy-duty vehicles.
Regulatory subcategory means the sub-groups in each regulatory category to which mandatory fuel consumption standards and requirements apply as specified in 40 CFR 1036.230 and 1037.230 and are defined as follows:
(1) Heavy-duty pick-up trucks and vans.
(2) Vocational vehicle subcategories have 18 separate vehicle service classes as shown in Tables 1 and 2 below and include vocational tractors. Table 1 includes vehicles complying with Phase 1 standards. Phase 2 vehicles are included in Table 2 which have separate subcategories to account for engine characteristics, GVWR, and the selection of duty cycle for vocational vehicles as specified in 40 CFR 1037.510; vehicles may additionally fall into one of the subcategories defined by the custom-chassis standards in § 535.5(b)(6) and 40 1037.105(h). Manufacturers using the alternate standards in § 535.5(b)(6) and 40 CFR 1037.105(h) should treat each vehicle type as a separate vehicle subcategory.
Table 1 – Phase 1 Vocational Vehicle Subcategories
| Vocational LHD vehicles. |
| Vocational MHD vehicles. |
| Vocational HHD vehicles. |
Table 2 – Phase 2 Vocational Vehicle Subcategories
| Engine type | Vocational LHD vehicles | Vocational MHD vehicles | Vocational HHD vehicles |
|---|---|---|---|
| CI | Urban | Urban | Urban. |
| CI | Multi-Purpose | Multi-Purpose | Multi-Purpose. |
| CI | Regional | Regional | Regional. |
| SI | Urban | Urban | NA. |
| SI | Multi-Purpose | Multi-Purpose | NA. |
| SI | Regional | Regional | NA. |
(3) Tractor subcategories are shown in Table 3 below for Phase 1 and 2. Table 3 includes 10 separate subcategories for tractors complying with Phase 1 and 2 standards. The heavy-haul tractor subcategory only applies for Phase 2.
Table 3 – Phase 1 and 2 Truck Tractor Subcategories
| Class 7 | Class 8 day cabs | Class 8 sleeper cabs |
|---|---|---|
| Low-roof tractors | Low-roof day cab tractors | Low-roof sleeper cab tractors. |
| Mid-roof tractors | Mid-roof day cab tractors | Mid-roof sleeper cab tractors. |
| High-roof tractors | High-roof day cab tractors | High-roof sleeper cab tractors. |
| NA | Heavy-haul tractors (applies only to Phase 2 program). | |
(4) Trailer subcategories are shown in Table 4 of this section for the Phase 2 program. Trailers do not comply under the Phase 1 program. Table 4 includes 10 separate subcategories for trailers, which are only subject to Phase 2 only standards.
Table 4 – Trailer Subcategories
| Full-aero trailers | Partial-aero trailers | Other trailers |
|---|---|---|
| Long box dry vans | Long box dry vans | Non-aero box vans. |
| Short box dry vans | Short box dry vans | Non-box trailers. |
| Long box refrigerated vans | Long box refrigerated vans | NA. |
| Short box refrigerated vans | Short box refrigerated vans | NA. |
(5) Engine subcategories are shown for each primary intended service class in Table 5 below. Table 5 includes 6 separate subcategories for engines which are the same for Phase 1 and 2 standards.
Table 5 – Engine Subcategories
| LHD engines | MHD engines | HHD engines |
|---|---|---|
| CI engines for vocational vehicles | CI engines for vocational vehicles | CI engines for vocational vehicles. |
| NA | CI engines for truck tractors | CI engines for truck tractors. |
| All spark-ignition engines | NA. |
Revoke has the same meaning given in 40 CFR 1068.30.
Roof height means the maximum height of a vehicle (rounded to the nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but including any wide accessories such as roof fairings. Measure roof height of the vehicle configured to have its maximum height that will occur during actual use, with properly inflated tires and no driver, passengers, or cargo onboard. Determine the base roof height on fully inflated tires having a static loaded radius equal to the arithmetic mean of the largest and smallest static loaded radius of tires a manufacturer offers or a standard tire EPA approves. If a vehicle is equipped with an adjustable roof fairing, measure the roof height with the fairing in its lowest setting. Once the maximum height is determined, roof heights are divided into the following categories:
(1) Low-roof means a vehicle with a roof height of 120 inches or less.
(2) Mid-roof means a vehicle with a roof height between 121 and 147 inches.
(3) High-roof means a vehicle with a roof height of 148 inches or more.
Secondary vehicle manufacturer has the same meaning as final-stage manufacturer in 49 CFR part 567.
Service class group means a group of engine and vehicle averaging sets defined as follows:
(1) Spark-ignition engines, light heavy-duty compression-ignition engines, light heavy-duty vocational vehicles and heavy-duty pickup trucks and vans.
(2) Medium heavy-duty compression-ignition engines and medium heavy-duty vocational vehicles and tractors.
(3) Heavy heavy-duty compression-ignition engines and heavy heavy-duty vocational vehicles and tractors.
Sleeper cab means a type of truck cab that has a compartment behind the driver’s seat intended to be used by the driver for sleeping. This includes both cabs accessible from the driver’s compartment and those accessible from outside the vehicle.
Small business manufacturer means a manufacturer meeting the criteria specified in 13 CFR 121.201. For manufacturers owned by a parent company, the employee and revenue limits apply to the total number employees and total revenue of the parent company and all its subsidiaries.
Spark-ignition (SI) means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation. Note that some spark-ignition engines are subject to requirements that apply for compression-ignition engines as described in 40 CFR 1036.140.
Standard payload means the payload assumed for each vehicle, in tons, for modeling and calculating emission credits, as follows:
(1) For vocational vehicles:
(i) 2.85 tons for light heavy-duty vehicles.
(ii) 5.6 tons for medium heavy-duty vehicles.
(iii) 7.5 tons for heavy heavy-duty vocational vehicles.
(2) For tractors:
(i) 12.5 tons for Class 7.
(ii) 19 tons for Class 8.
(iii) 43 tons for heavy-haul tractors.
(3) For trailers:
(i) 10 tons for short box vans.
(ii) 19 tons for other trailers.
Standard tractor has the meaning given in 40 CFR 1037.501.
Standard trailer has the meaning given in 40 CFR 1037.501.
Subconfiguration means a unique combination within a vehicle configuration of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters that EPA determines may significantly affect CO
Tank trailer has the meaning given in 40 CFR 1037.801.
Test group means the multiple vehicle lines and model types that share critical emissions and fuel consumption related features and that are certified as a group by a common certificate of conformity issued by EPA and is used collectively with other test groups within an averaging set or regulatory subcategory and is used by NHTSA for determining the fleet average fuel consumption.
The agencies means the National Highway Traffic Safety Administration (NHTSA) and the Environmental Protection Agency (EPA) in this part.
Tire pressure monitoring system (TPMS) has the meaning given in section S3 of 49 CFR 571.138.
Tire rolling resistance level (TRRL) means a value with units of kg/metric ton that represents that rolling resistance of a tire configuration. TRRLs are used as inputs to the GEM model under 40 CFR 1037.520. Note that a manufacturer may assign a value higher than a measured rolling resistance of a tire configuration.
Towing capacity in this part is equal to the resultant of subtracting the gross vehicle weight rating from the gross combined weight rating.
Trade means to exchange fuel consumption credits, either as a buyer or a seller.
U.S.-directed production volume means the number of vehicle units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States.
Useful life has the meaning given in 40 CFR 1036.801 and 1037.801.
Vehicle configuration means a unique combination of vehicle hardware and calibration (related to measured or modeled emissions) within a vehicle family as specified in 40 CFR 1037.801. Vehicles with hardware or software differences, but that have no hardware or software differences related to measured or modeled emissions or fuel consumption can be included in the same vehicle configuration. Note that vehicles with hardware or software differences related to measured or modeled emissions or fuel consumption are considered to be different configurations even if they have the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only with respect to normal production variability or factors unrelated to measured or modeled emissions and fuel consumption for EPA and NHTSA.
Vehicle family has the meaning given in 40 CFR 1037.230. Manufacturers designate families in accordance with EPA provisions and may not choose different families between the NHTSA and EPA programs. If a manufacturer is certifying vehicles within a vehicle family to more than one FEL, it must subdivide its greenhouse gas and fuel consumption vehicle families into subfamilies that include vehicles with identical FELs. Note that a manufacturer may add subfamilies at any time during the model year.
Vehicle service class has the same meaning for vehicles as specified in 40 CFR 1037.140. Fuel consumption standards and other provisions of this part apply to specific vehicle service classes for tractors and vocational vehicles as follows:
(1) Phase 1 and Phase 2 tractors are divided based on GVWR into Class 7 tractors and Class 8 tractors. Where provisions apply to both tractors and vocational vehicles, Class 7 tractors are considered medium heavy-duty “MHD” vehicles and Class 8 tractors are considered heavy heavy-duty “HHD” vehicles.
(2) Phase 1 vocational vehicles are divided based on GVWR. Light heavy-duty “LHD” vehicles includes Class 2b through Class 5 vehicles; medium heavy-duty “MHD” vehicles includes Class 6 and Class 7 vehicles; and heavy heavy-duty “HHD” vehicles includes Class 8 vehicles.
(3) Phase 2 vocational vehicles with spark-ignition engines are divided based on GVWR. Light heavy-duty “LHD” vehicles includes Class 2b through Class 5 vehicles, and medium heavy-duty “MHD” vehicles includes Class 6 through Class 8 vehicles.
(4) Phase 2 vocational vehicles with compression-ignition engines are divided as follows:
(i) Class 2b through Class 5 vehicles are considered light heavy-duty “LHD” vehicles.
(ii) Class 6 through 8 vehicles are considered heavy heavy-duty “HHD” vehicles if the installed engine’s primary intended service class is heavy heavy-duty (see 40 CFR 1036.140). All other Class 6 through Class 8 vehicles are considered medium heavy-duty “MHD” vehicles.
(5) In certain circumstances, manufacturers may certify vehicles to standards that apply for a different vehicle service class such as allowed in § 535.5(b)(6) and (c)(7). If manufacturers optionally certify vehicles to different standards, those vehicles are subject to all the regulatory requirements as if the standards were mandatory.
Vehicle subfamily or subfamily means a subset of a vehicle family including vehicles subject to the same FEL(s).
Vocational tractor has the meaning given in 40 CFR 1037.801.
Zero emissions vehicle means an electric vehicle or a fuel cell vehicle.
§ 535.5 Standards.
(a) Heavy-duty pickup trucks and vans. Each manufacturer’s fleet of heavy-duty pickup trucks and vans shall comply with the fuel consumption standards in this paragraph (a) expressed in gallons per 100 miles. Each vehicle must be manufactured to comply for its full useful life. For the Phase 1 program, if the manufacturer’s fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption standard which the manufacturer must comply with the requirements of this paragraph (a). For Phase 2, manufacturers may calculate their fleet average fuel consumption standard for a conventional fleet and multiple advanced technology vehicle fleets. Advanced technology vehicle fleets should be separated into plug-in hybrid electric vehicles, electric vehicles and fuel cell vehicles. NHTSA standards correspond to the same requirements for EPA as specified in 40 CFR 86.1819-14.
(1) Mandatory standards. For model years 2016 and later, each manufacturer must comply with the fleet average standard derived from the unique subconfiguration target standards (or groups of subconfigurations approved by EPA in accordance with 40 CFR 86.1819) of the model types that make up the manufacturer’s fleet in a given model year. Each subconfiguration has a unique attribute-based target standard, defined by each group of vehicles having the same payload, towing capacity and whether the vehicles are equipped with a 2-wheel or 4-wheel drive configuration. Phase 1 target standards apply for model years 2016 through 2020. Phase 2 target standards apply for model year 2021 and afterwards.
(2) Subconfiguration target standards. (i) Two alternatives exist for determining the subconfiguration target standards for Phase 1. For each alternative, separate standards exist for compression-ignition and spark-ignition vehicles:
(A) The first alternative allows manufacturers to determine a fixed fuel consumption standard that is constant over the model years; and
(B) The second alternative allows manufacturers to determine standards that are phased-in gradually each year.
(ii) Calculate the subconfiguration target standards as specified in this paragraph (a)(2)(ii), using the appropriate coefficients from Table 6 choosing between the alternatives in paragraph (a)(2)(i) of this section. For electric or fuel cell heavy-duty vehicles, use compression-ignition vehicle coefficients “c” and “d” and for hybrid (including plug-in hybrid), dedicated and dual-fueled vehicles, use coefficients “c” and “d” appropriate for the engine type used. Round each standard to the nearest 0.001 gallons per 100 miles and specify all weights in pounds rounded to the nearest pound. Calculate the subconfiguration target standards using the following equation:
Table 6 – Coefficients for Mandatory Subconfiguration Target Standards
| Model Year(s) | c | d |
|---|---|---|
| 2016 to 2018 | 0.0004322 | 3.330 |
| 2019 to 2020 | 0.0004086 | 3.143 |
| 2016 to 2017 | 0.0005131 | 3.961 |
| 2018 to 2020 | 0.0004086 | 3.143 |
| 2016 | 0.0004519 | 3.477 |
| 2017 | 0.0004371 | 3.369 |
| 2018 to 2020 | 0.0004086 | 3.143 |
| 2016 | 0.0005277 | 4.073 |
| 2017 | 0.0005176 | 3.983 |
| 2018 to 2020 | 0.0004951 | 3.815 |
| 2021 | 0.0003988 | 3.065 |
| 2022 | 0.0003880 | 2.986 |
| 2023 | 0.0003792 | 2.917 |
| 2024 | 0.0003694 | 2.839 |
| 2025 | 0.0003605 | 2.770 |
| 2026 | 0.0003507 | 2.701 |
| 2027 and later | 0.0003418 | 2.633 |
| 2021 | 0.0004827 | 3.725 |
| 2022 | 0.0004703 | 3.623 |
| 2023 | 0.0004591 | 3.533 |
| 2024 | 0.0004478 | 3.443 |
| 2025 | 0.0004366 | 3.364 |
| 2026 | 0.0004253 | 3.274 |
| 2027 and later | 0.0004152 | 3.196 |
(3) Fleet average fuel consumption standard. (i) For the Phase 1 program, calculate each manufacturer’s fleet average fuel consumption standard for a conventional fleet and a combined advanced technology fleet separately based on the subconfiguration target standards specified in paragraph (a)(2) of this section, weighted to production volumes and averaged using the following equation combining all the applicable vehicles in a manufacturer’s U.S.-directed fleet (compression-ignition, spark-ignition and advanced technology vehicles) for a given model year, rounded to the nearest 0.001 gallons per 100 miles:
(A) A manufacturer may group together subconfigurations that have the same test weight (ETW), GVWR, and GCWR. Calculate work factor and target value assuming a curb weight equal to two times ETW minus GVWR.
(B) A manufacturer may group together other subconfigurations if it uses the lowest target value calculated for any of the subconfigurations.
(ii) For Phase 1, manufacturers must select an alternative for subconfiguration target standards at the same time they submit the model year 2016 pre-model year Report, specified in § 535.8. Once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years.
(4) Voluntary standards. (i) Manufacturers may choose voluntarily to comply early with fuel consumption standards for model years 2013 through 2015, as determined in paragraphs (a)(4)(iii) and (iv) of this section, for example, in order to begin accumulating credits through over-compliance with the applicable standard. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufactures in each regulatory category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards at the same time it submits a Pre-Model Report, prior to the compliance model year beginning as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufactures in each regulatory category for a given model year.
(iii) Calculate separate subconfiguration target standards for compression-ignition and spark-ignition vehicles for model years 2013 through 2015 using the equation in paragraph (a)(2)(ii) of this section, substituting the appropriate values for the coefficients in the following table as appropriate:
Table 7 – Coefficients for Voluntary Subconfiguration Target Standards
| Model Year(s) | c | d |
|---|---|---|
| 2013 and 14 | 0.0004695 | 3.615 |
| 2015 | 0.0004656 | 3.595 |
| 2013 and 14 | 0.0005424 | 4.175 |
| 2015 | 0.0005390 | 4.152 |
(iv) Calculate the fleet average fuel consumption standards for model years 2013 through 2015 using the equation in paragraph (a)(3) of this section.
(5) Exclusion of vehicles not certified as complete vehicles. The vehicle standards in paragraph (a) of this section do not apply for vehicles that are chassis-certified with respect to EPA’s criteria pollutant test procedure in 40 CFR part 86, subpart S. Any chassis-certified vehicles must comply with the vehicle standards and requirements of paragraph (b) of this section and the engine standards of paragraph (d) of this section for engines used in these vehicles. A vehicle manufacturer choosing to comply with this paragraph and that is not the engine manufacturer is required to notify the engine manufacturers that their engines are subject to paragraph (d) of this section and that it intends to use their engines in excluded vehicles.
(6) Optional certification under this section. Manufacturers may certify certain complete or cab-complete vehicles to the fuel consumption standards of this section. All vehicles optionally certified under this paragraph (6) are deemed to be subject to the fuel consumption standards of this section given the following conditions:
(i) For fuel consumption compliance, manufacturers may certify any complete or cab-complete spark-ignition vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR to the fuel consumption standards of this section.
(ii) Manufacturers may apply the provisions of this section to cab-complete vehicles based on a complete sister vehicle. In unusual circumstances, manufacturers may ask the agencies to apply these provisions to Class 2b or Class 3 incomplete vehicles that do not meet the definition of cab-complete.
(A) Except as specified in paragraph (a)(6)(iii) of this section, for purposes of this section, a complete sister vehicle is a complete vehicle of the same vehicle configuration as the cab-complete vehicle. A manufacturer may not apply the provisions of this paragraph (6) to any vehicle configuration that has a four-wheel rear axle if the complete sister vehicle has a two-wheel rear axle.
(B) Calculate the target value for the fleet-average fuel consumption standard under paragraph (a)(3) of this section based on the work factor value that applies for the complete sister vehicle.
(C) Test these cab-complete vehicles using the same equivalent test weight and other dynamometer settings that apply for the complete vehicle from which you used the work factor value (the complete sister vehicle). For fuel consumption certification, manufacturers may submit the test data from that complete sister vehicle instead of performing the test on the cab-complete vehicle.
(D) Manufacturers are not required to produce the complete sister vehicle for sale to use the provisions of this paragraph (a)(6)(ii). This means the complete sister vehicle may be a carryover vehicle from a prior model year or a vehicle created solely for the purpose of testing.
(iii) For fuel consumption purposes, if a cab-complete vehicle is not of the same vehicle configuration as a complete sister vehicle due only to certain factors unrelated to coastdown performance, manufacturers may use the road-load coefficients from the complete sister vehicle for certification testing of the cab-complete vehicle, but it may not use fuel consumption data from the complete sister vehicle for certifying the cab-complete vehicle.
(7) Loose engines. For model year 2023 and earlier spark-ignition engines with identical hardware compared with engines used in vehicles certified to the standards of this section, where such engines are sold as loose engines or as engines installed in incomplete vehicles that are not cab-complete vehicles. Manufacturers may certify such engines to the standards of this section, subject to the following provisions:
(i) For 2020 and earlier model years, the maximum allowable U.S.-directed production volume of engines manufacturers may sell under this paragraph (7) in any given model year is ten percent of the total U.S-directed production volume of engines of that design that the manufacturer produces for heavy-duty applications for that model year, including engines it produces for complete vehicles, cab-complete vehicles, and other incomplete vehicles. The total number of engines a manufacturer may certify under this paragraph (7), of all engine designs, may not exceed 15,000 in any model year. Engines produced in excess of either of these limits are not covered by your certificate. For example, a manufacturer produces 80,000 complete model year 2017 Class 2b pickup trucks with a certain engine and 10,000 incomplete model year 2017 Class 3 vehicles with that same engine, and the manufacturer did not apply the provisions of this paragraph (a)(7) to any other engine designs, it may produce up to 10,000 engines of that design for sale as loose engines under this paragraph (a)(7). If a manufacturer produced 11,000 engines of that design for sale as loose engines, the last 1,000 of them that it produced in that model year 2017 would be considered uncertified.
(ii) For model years 2021 through 2023, the U.S.-directed production volume of engines manufacturers sell under this paragraph (a)(7) in any given model year may not exceed 10,000 units. This paragraph (a)(7) does not apply for engines certified to the standards of paragraph (d) of this section and 40 CFR 1036.108.
(iii) Vehicles using engines certified under this paragraph (a)(7) are subject to the fuel consumption and emission standards of paragraph (b) of this section and 40 CFR 1037.105 and engine standards in 40 CFR 1036.150(j).
(iv) For certification purposes, engines are deemed to have a fuel consumption target values and test result equal to the fuel consumption target value and test result for the complete vehicle in the applicable test group with the highest equivalent test weight, except as specified in paragraph (a)(7)(iv)(B) of this section. Manufacturers use these values to calculate target values and the fleet-average fuel consumption rate. Where there are multiple complete vehicles with the same highest equivalent test weight, select the fuel consumption target value and test result as follows:
(A) If one or more of the fuel consumption test results exceed the applicable target value, use the fuel consumption target value and test result of the vehicle that exceeds its target value by the greatest amount.
(B) If none of the fuel consumption test results exceed the applicable target value, select the highest target value and set the test result equal to it. This means that the manufacturer may not generate fuel consumption credits from vehicles certified under this paragraph (a)(7).
(8) Alternative fuel vehicle conversions. Alternative fuel vehicle conversions may demonstrate compliance with the standards of this part or other alternative compliance approaches allowed by EPA in 40 CFR 85.525.
(9) Advanced, innovative and off-cycle technologies. For vehicles subject to Phase 1 standards, manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated; instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026.
(10) Useful life. The following useful life values apply for the standards of this section:
(i) 120,000 miles or 10 years, whichever comes first, for Class 2b through Class 3 heavy-duty pickup trucks and vans certified to Phase 1 standards.
(ii) 150,000 miles or 15 years, whichever comes first, for Class 2b through Class 3 heavy-duty pickup trucks and vans certified to Phase 2 standards.
(iii) For Phase 1 credits that you calculate based on a useful life of 120,000 miles, multiply any banked credits that you carry forward for use into the Phase 2 program by 1.25. For Phase 1 credit deficits that you generate based on a useful life of 120,000 miles multiply the credit deficit by 1.25 if offsetting the shortfall with Phase 2 credits.
(11) Compliance with standards. A manufacturer complies with the standards of this part as described in § 535.10.
(b) Heavy-duty vocational vehicles. Each manufacturer building complete or incomplete heavy-duty vocational vehicles shall comply with the fuel consumption standards in this paragraph (b) expressed in gallons per 1000 ton-miles. Engines used in heavy-duty vocational vehicles shall comply with the standards in paragraph (d) of this section. Each vehicle must be manufactured to comply for its full useful life. Standards apply to the vehicle subfamilies based upon the vehicle service classes within each of the vocational vehicle regulatory subcategories in accordance with § 535.4 and based upon the applicable modeling and testing specified in § 535.6. Determine the duty cycles that apply to vocational vehicles according to 40 CFR 1037.140 and 1037.150(z).
(1) Mandatory standards. Heavy-duty vocational vehicle subfamilies produced for Phase 1 must comply with the fuel consumption standards in paragraph (b)(3) of this section. For Phase 2, each vehicle manufacturer of heavy-duty vocational vehicle subfamilies must comply with the fuel consumption standards in paragraph (b)(4) of this section.
(i) For model years 2016 to 2020, the heavy-duty vocational vehicle category is subdivided by GVWR into three regulatory subcategories as defined in § 535.4, each with its own assigned standard.
(ii) For model years 2021 and later, the heavy-duty vocational vehicle category is subdivided into 15 regulatory subcategories depending upon whether vehicles are equipped with a compression or spark-ignition engine, as defined in § 535.4. Standards also differ based upon vehicle service class and intended vehicle duty cycles. See 40 CFR 1037.140 and 1037.150(z).
(iii) For purposes of certifying vehicles to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into vehicle families that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR 1037.230. These families will be subject to the applicable standards. Each vehicle family is limited to a single model year.
(A) Vocational vehicles including custom chassis vehicles must use qualified automatic tire inflation systems or tire pressure monitoring systems for wheels on all axles.
(B) Tire pressure monitoring systems must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138.
(2) Voluntary compliance. (i) For model years 2013 through 2015, a manufacturer may choose voluntarily to comply early with the fuel consumption standards provided in paragraph (b)(3) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.
(3) Regulatory subcategory standards for model years 2013 to 2020. The mandatory and voluntary fuel consumption standards for heavy-duty vocational vehicles are given in the following table:
Table 8 – Phase 1 Vocational Vehicle Fuel Consumption Standards
[Gallons per 1000 ton-miles]
| Regulatory subcategories | Vocational LHD vehicles | Vocational MHD vehicles | Vocational HHD vehicles |
|---|---|---|---|
| Standard | 38.1139 | 22.9862 | 22.2004 |
| Standard | 36.6405 | 22.1022 | 21.8075 |
(4) Regulatory subcategory standards for model years 2021 and later. The mandatory fuel consumption standards for heavy-duty vocational vehicles are given in the following table:
Table 9 – Phase 2 Vocational Vehicle Fuel Consumption Standards
[Gallons per 1,000 ton-miles]
| Duty cycle | LHD Vocational vehicles | MHD Vocational vehicles | Vocational HHD vehicles |
|---|---|---|---|
| Urban | 41.6503 | 29.0766 | 30.2554 |
| Multi-Purpose | 36.6405 | 26.0314 | 25.6385 |
| Regional | 30.5501 | 22.9862 | 20.2358 |
| Urban | 51.8735 | 36.9078 | NA |
| Multi-Purpose | 45.7972 | 32.9695 | NA |
| Regional | 37.6955 | 29.3687 | NA |
| Urban | 37.8193 | 26.6208 | 27.7996 |
| Multi-Purpose | 33.7917 | 24.1650 | 23.7721 |
| Regional | 29.0766 | 21.7092 | 19.0570 |
| Urban | 48.6103 | 34.8824 | NA |
| Multi-Purpose | 43.3217 | 31.3942 | NA |
| Regional | 36.4577 | 28.2435 | NA |
| Urban | 36.0511 | 25.3438 | 26.4244 |
| Multi-Purpose | 32.4165 | 23.0845 | 22.5933 |
| Regional | 28.5855 | 21.4145 | 18.5658 |
| Urban | 46.4724 | 33.4196 | NA |
| Multi-Purpose | 41.8589 | 30.1564 | NA |
| Regional | 35.8951 | 27.7934 | NA |
(5) Subfamily standards. Manufacturers may specify a family emission limit (FEL) in terms of fuel consumption for each vehicle subfamily. The FEL may not be less than the result of fuel consumption modeling from 40 CFR 1037.520. The FELs is the fuel consumption standards for the vehicle subfamily instead of the standards specified in paragraph (b)(3) and (4) of this section and can be used for calculating fuel consumption credits in accordance with § 535.7.
(6) Alternate standards for custom chassis vehicles for model years 2021 and later. Manufacturers may elect to certify certain vocational vehicles to the alternate standards for custom chassis vehicles specified in this paragraph (b)(6) instead of the standards specified in paragraph (b)(4) of this section. Note that, although these standards were established for custom chassis vehicles, manufacturers may apply these provisions to any qualifying vehicle even though these standards were established for custom chassis vehicles. For example, large diversified vehicle manufacturers may certify vehicles to the refuse hauler standards of this section as long as the manufacturer ensures that those vehicles qualify as refuse haulers when placed into service. GEM simulates vehicle operation for each type of vehicle based on an assigned vehicle service class, independent of the vehicle’s actual characteristics, as shown in Table 10 of this section; however, standards apply for the vehicle’s useful life based on its actual characteristics as specified in paragraph (b)(10) of this section. Vehicles certified to these alternative standards must use engines certified to requirements under paragraph (d) of this section and 40 CFR part 1036 for the appropriate model year, except that motor homes and emergency vehicles may use engines certified with the loose-engine provisions of paragraph (a)(7) of this section and 40 CFR 1037.150(m). This also applies for vehicles meeting standards under paragraphs (b)(6)(iv) through (vi) of this section. The fuel consumption standards for custom chassis vehicles are given in the following table:
Table 10 – Phase 2 Custom Chassis Fuel Consumption Standards
[Gallon per 1,000 ton-mile]
| Vehicle type 1 | Assigned vehicle service class | MY 2021 | MY 2027 |
|---|---|---|---|
| Coach Bus | HHD Vehicle | 20.6287 | 20.1375 |
| Motor Home | MDH Vehicle | 22.3969 | 22.2004 |
| School Bus | MHD Vehicle | 28.5855 | 26.6208 |
| Other bus | HHD Vehicle | 29.4695 | 28.0943 |
| Refuse hauler | HHD Vehicle | 30.7466 | 29.2731 |
| Concrete mixer | HHD Vehicle | 31.3360 | 31.0413 |
| Mixed-use vehicle | HHD Vehicle | 31.3360 | 31.0413 |
| Emergency Vehicle | HHD Vehicle | 31.8271 | 31.3360 |
1 Vehicle types are generally defined in § 535.3. “Other bus” includes any bus that is not a school bus or a coach bus. A “mixed-use vehicle” is one that meets at least one of the criteria specified in 40 CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not both.
(i) Manufacturers may generate or use fuel consumption credits for averaging to demonstrate compliance with the alternative standards as described in § 535.7(c). This requires that manufacturers specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be less than the result of emission modeling as described in this paragraph (b). These FELs serve as the fuel consumption standards for the vehicle subfamily instead of the standards specified in this paragraph (b)(6). Manufacturers may only use fuel consumption credits for vehicles certified to the optional standards in this paragraph (b)(6) as specified in § 535.7(c)(6) through (8) and you may not bank or trade fuel consumption credits from any vehicles certified under this paragraph (b)(6).
(ii) For purposes of this paragraph (b)(6), each separate vehicle type identified in Table 10 of this section is in a separate averaging set.
(iii) For purposes of emission and fuel consumption modeling under 40 CFR 1037.520, consider motor homes and coach buses to be subject to the Regional duty cycle, and consider all other vehicles to be subject to the Urban duty cycle.
(iv) Emergency vehicles are deemed to comply with the standards of this paragraph (6) if manufacturers use tires with TRRL at or below 8.4 kg/ton (8.7 g/ton for model years 2021 through 2026).
(v) Concrete mixers are deemed to comply with the standards of this paragraph (6) if manufacturers use tires with TRRL at or below 7.1 kg/ton (7.6 g/ton for model years 2021 through 2026).
(vi) Motor homes are deemed to comply with the standards of this paragraph (b)(6) if manufacturers use the following technologies:
(A) Tires with TRRL at or below 6.0 kg/ton (6.7 g/ton for model years 2021 through 2026).
(B) Automatic tire inflation systems or tire pressure monitoring systems with wheels on all axles.
(C) Tire pressure monitoring systems must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138.
(vii) Small business manufacturers using the alternative standards for custom chassis vehicles under this paragraph (b)(6) may use fuel consumption credits subject to the unique provisions in § 535.7(a)(9).
(7) Advanced, innovative and off-cycle technologies. For vocational vehicles subfamilies subject to Phase 1 standards, manufacturers must create separate vehicle subfamilies for vehicles that contain advanced or innovative technologies and group those vehicles together in a vehicle subfamily if they use the same advanced or innovative technologies. Manufacturers may generate s separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subfamilies subject to Phase 2 standards, manufacturers may generate separate credit allowances for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated but instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026.
(8) Certifying across service classes. A manufacturer may optionally certify a vocational vehicle subfamilies to the standards and useful life applicable to a heavier vehicle service class (such as MHD vocational vehicles instead of LHD vocational vehicles). Provisions related to generating fuel consumption credits apply as follows:
(i) If a manufacturer certifies all its vehicles from a given vehicle service class in a given model year to the standards and useful life that applies for a heavier vehicle service class, it may generate credits as appropriate for the heavier service class.
(ii) Class 8 hybrid vehicles with light or medium heavy-duty engines may be certified to compression-ignition standards for the Heavy HDV service class. A manufacturer may generate and use credits as allowed for the Heavy HDV service class.
(iii) Except as specified in paragraphs (b)(8)(i) and (ii) of this section, a manufacturer may not generate credits with the vehicle. If you include lighter vehicles in a subfamily of heavier vehicles with an FEL below the standard, exclude the production volume of lighter vehicles from the credit calculation. Conversely, if a manufacturer includes lighter vehicles in a subfamily with an FEL above the standard, it must include the production volume of lighter vehicles in the credit calculation.
(9) Off-road exemptions. This section provides an exemption for heavy-duty vocational vehicle subfamilies, including vocational tractors that are intended to be used extensively in off-road environments such as forests, oil fields, and construction sites from the fuel consumption standards in this paragraph (b). Vehicle exempted by this part do not comply with vehicle standards in this paragraph (b), but the engines in these vehicles must meet the engine requirements of paragraph (d) of this section. Note that manufacturers may not include these exempted vehicles in any credit calculations under this part.
(i) Qualifying criteria. Vocational vehicles intended for off-road use are exempt without request, subject to the provisions of this section, if they are primarily designed to perform work off-road (such as in oil fields, mining, forests, or construction sites), and they meet at least one of the criteria of paragraph (b)(9)(i)(A) of this section and at least one of the criteria of paragraph (b)(9)(i)(B) of this section. See paragraph (b)(6) of this section for alternate standards that apply for vehicles meeting only one of these sets of criteria.
(A) The vehicle must have affixed components designed to work inherently in an off-road environment (such as hazardous material equipment or off-road drill equipment) or be designed to operate at low speeds such that it is unsuitable for normal highway operation.
(B) The vehicle must meet one of the following criteria:
(1) Have an axle that has a gross axle weight rating (GAWR) at or above 29,000 pounds.
(2) Have a speed attainable in 2.0 miles of not more than 33 mi/hr.
(3) Have a speed attainable in 2.0 miles of not more than 45 mi/hr, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating, and no capacity to carry occupants other than the driver and operating crew.
(4) Have a maximum speed at or below 54 mi/hr. A manufacturer may consider the vehicle to be appropriately speed-limited if engine speed at 54 mi/hr is at or above 95 percent of the engine’s maximum test speed in the highest available gear. A manufacturer may alternatively limit vehicle speed by programming the engine or vehicle’s electronic control module in a way that is tamper-resistant.
(ii) Tractors. The provisions of this section may apply for tractors only if each tractor qualifies as a vocational tractor under paragraph (c)(9) of this section or is granted approval for the exemption as specified in paragraph (b)(9)(iii) of this section.
(iii) Preliminary approval before certification. If a manufacturers has unusual circumstances where it may be questionable whether its vehicles qualify for the off-road exemption of this part, the manufacturer may send the agencies information before finishing its application for certification (see 40 CFR 1037.205) for the applicable vehicles and ask for a preliminary informal approval. The agencies will review the request and make an appropriate determination in accordance with 40 CFR 1037.210. The agencies will generally not reverse a decision where they have given a manufacturer preliminary approval, unless the agencies find new information supporting a different decision. However, the agencies will normally not grant relief in cases where the vehicle manufacturer has credits or can otherwise comply with the applicable standards.
(iv) Recordkeeping and reporting. (A) A manufacturers must keep records to document that its exempted vehicle configurations meet all applicable requirements of this section. Keep these records for at least eight years after you stop producing the exempted vehicle model. The agencies may review these records at any time.
(B) A manufacturers must also keep records of the individual exempted vehicles you produce, including the vehicle identification number and a description of the vehicle configuration.
(C) Within 90 days after the end of each model year, manufacturers must send to EPA a report as specified in § 535.8(g)(7) and EPA will make the report available to NHTSA.
(v) Compliance. (A) Manufacturers producing vehicles meeting the off-road exemption criteria in paragraph (b)(9)(i) of this section or that are granted a preliminary approval comply with the standards of this part.
(B) In situations where a manufacturer would normally ask for a preliminary approval subject to paragraph (b)(9)(iii) of this section but introduces its vehicle into U.S. commerce without seeking approval first from the agencies, those vehicles violate compliance with the fuel consumption standards of this part and the EPA provisions under 40 CFR 1068.101(a)(1).
(C) If at any time, the agencies find new information that contradicts a manufacturer’s use of the off-road exemption of this part, the manufacturers vehicles will be determined to be non-compliant with the regulations of this part and the manufacturer may be liable for civil penalties.
(10) Useful life. The following useful life values apply for the standards of this section:
(i) 110,000 miles or 10 years, whichever comes first, for vocational LHD vehicles certified to Phase 1 standards.
(ii) 150,000 miles or 15 years, whichever comes first, for vocational LHD vehicles certified to Phase 2 standards.
(iii) 185,000 miles or 10 years, whichever comes first, for vocational MHD vehicles for Phase 1 and 2.
(iv) 435,000 miles or 10 years, whichever comes first, for vocational HHD vehicles for Phase 1 and 2.
(v) For Phase 1 credits calculated based on a useful life of 110,000 miles, multiply any banked credits carried forward for use into the Phase 2 program by 1.36. For Phase 1 credit deficits generated based on a useful life of 110,000 miles multiply the credit deficit by 1.36, if offsetting the shortfall with Phase 2 credits.
(11) Recreational vehicles. Recreational vehicles manufactured after model year 2020 must comply with the fuel consumption standards of this section. Manufacturers producing these vehicles may also certify to fuel consumption standards from 2014 through model year 2020. Manufacturers may earn credits retroactively for early compliance with fuel consumption standards. Once selected, a manufacturer cannot reverse the decision and the manufacturer must continue to comply for each subsequent model year for all the vehicles it manufacturers in each regulatory subcategory for a given model year.
(12) Loose engines. Manufacturers may certify certain spark-ignition engines along with chassis-certified heavy-duty vehicles where there are identical engines used in those vehicles as described in 40 CFR 86.1819(k)(8) and 40 CFR 1037.150(m). Vehicles in which those engines are installed are subject to standards under this part.
(13) Compliance with Standards. A manufacturer complies with the standards of this part as described in § 535.10.
(c) Truck tractors. Each manufacturer building truck tractors, except vocational tractors or vehicle constructed in accordance with § 571.7(e), with a GVWR above 26,000 pounds shall comply with the fuel consumption standards in this paragraph (c) expressed in gallons per 1000 ton-miles. Engines used in heavy-duty truck tractors vehicles shall comply with the standards in paragraph (d) of this section. Each vehicle must be manufactured to comply for its full useful life. Standards apply to the vehicle subfamilies within each of the tractor vehicle regulatory subcategories in accordance with § 535.4 and 40 CFR 1037.230 and based upon the applicable modeling and testing specified in § 535.6. Determine the vehicles in each regulatory subcategory in accordance with 40 CFR 1037.140.
(1) Mandatory standards. For model years 2016 and later, each manufacturer’s truck tractor subfamilies must comply with the fuel consumption standards in paragraph (c)(3) of this section.
(i) Based on the roof height and the design of the cab, the truck tractor category is divided into subcategories as described in § 535.4. The standards that apply to each regulatory subcategory are shown in paragraphs (c)(2) and (3) of this section, each with its own assigned standard.
(ii) For purposes of certifying vehicles to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into vehicles subfamilies that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR 1037.230, and these subfamilies will be subject to the applicable standards. Each vehicle subfamily is limited to a single model year.
(iii) Standards for truck tractor engines are given in paragraph (d) of this section.
(2) Voluntary compliance. (i) For model years 2013 through 2015, a manufacturer may choose voluntarily to comply early with the fuel consumption standards provided in paragraph (c)(3) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year.
(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.
(3) Regulatory subcategory standards. The fuel consumption standards for truck tractors, except for vocational tractors, are given in the following table:
Table 11 – Truck Tractor Fuel Consumption Standards
[Gallons per 1,000 ton-miles]
| Regulatory subcategories | Day cab | Sleeper cab | Heavy-Haul | |
|---|---|---|---|---|
| Class 7 | Class 8 | Class 8 | ||
| Low Roof | 10.5108 | 7.9568 | 6.6798 | |
| Mid Roof | 11.6896 | 8.6444 | 7.4656 | |
| High Roof | 12.1807 | 9.0373 | 7.3674 | |
| Low Roof | 10.5108 | 7.9568 | 6.6798 | NA |
| Mid Roof | 11.6896 | 8.6444 | 7.4656 | |
| High Roof | 12.1807 | 9.0373 | 7.3674 | |
| Low Roof | 10.2161 | 7.8585 | 6.4833 | NA |
| Mid Roof | 11.2967 | 8.4479 | 7.1709 | |
| High Roof | 11.7878 | 8.7426 | 7.0727 | |
| Low Roof | 10.36346 | 7.90766 | 7.10216 | 5.14735 |
| Mid Roof | 11.11984 | 8.38900 | 7.66208 | |
| High Roof | 11.14931 | 8.40864 | 7.43615 | |
| Low Roof | 9.80354 | 7.48527 | 6.67976 | 4.93124 |
| Mid Roof | 10.52063 | 7.94695 | 7.22004 | |
| High Roof | 10.47151 | 7.89784 | 6.94499 | |
| Low Roof | 9.44990 | 7.21022 | 6.29666 | 4.74460 |
| Mid Roof | 10.15717 | 7.66208 | 6.83694 | |
| High Roof | 9.82318 | 7.43615 | 6.31631 | |
(4) Subfamily standards. Manufacturers may generate or use fuel consumption credits for averaging, banking, and trading as described in § 535.7(c). This requires that manufacturers calculate a credit quantity if they specify a Family Emission Limit (FEL) that is different than the standard specified in this section. The FEL may not be less than the result of emission and fuel consumption modeling from 40 CFR 1037.520. These FELs serve as the emission standards for the specific vehicle subfamily instead of the standards specified in paragraph (2) of this section.
(5) Alternate standards for tractors at or above 120,000 pounds GCWR. Manufacturers may certify tractors at or above 120,000 pounds GCWR to the following fuel consumption standards in the following table:
Table 12 – Alternate Fuel Consumption Standards for Tractors Above 120,000 Pounds GCWR for 2021 MY and Later Fuel Consumption
[Gallons per 1,000 ton-miles]
| Low roof day cab | Mid roof day cab | High roof day cab | Low roof sleeper cab | Mid roof sleeper cab | High roof sleeper cab |
|---|---|---|---|---|---|
| 3.59528 | 3.82122 | 3.84086 | 3.26130 | 3.52652 | 3.43811 |
(6) Advanced, innovative and off-cycle technologies. For tractors subject to Phase 1 standards, manufacturers must create separate vehicle subfamilies for vehicles that contain advanced or innovative technologies and group those vehicles together in a vehicle subfamilies if they use the same advanced or innovative technologies. Manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated but instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026.
(7) Certifying across service classes. Manufacturers may certify Class 7 tractors to Class 8 tractors standards as follows:
(i) A manufacturer may optionally certify 4×2 tractors with heavy heavy-duty engines to the standards and useful life for Class 8 tractors, with no restriction on generating or using fuel consumption credits within the Class 8 averaging set.
(ii) A manufacturer may optionally certify a Class 7 tractor to the standards and useful life applicable to Class 8 tractors. Credit provisions apply as follows:
(A) If a manufacturer certifies all of its Class 7 tractors to Class 8 standards, it may use these Heavy HDV credits without restriction.
(B) This paragraph (c)(7)(ii)(B) applies if a manufacturer certifies some Class 7 tractors to Class 8 standards under this paragraph (c)(7)(ii) but not all of them. If a manufacturer includes Class 7 tractors in a subfamily of Class 8 tractors with an FEL below the standard, exclude the production volume of Class 7 tractors from the credit calculation. Conversely, if a manufacturer includes Class 7 tractors in a subfamily of Class 8 tractors with an FEL above the standard, it must include the production volume of Class 7 tractors in the credit calculation.
(8) Expanded families. Manufacturers may combine dissimilar vehicles into a single vehicle subfamilies for applying standards and for testing in special circumstances as follows:
(i) For a Phase 1 vehicle model that straddles a roof-height, cab type, or GVWR division, manufacturers can include all the vehicles in the same vehicle family if it certifies the vehicle family to the more stringent standard. For roof height, the manufacturer must certify to the taller roof standard. For cab-type and GVWR, the manufacturers must certify to the numerically lower standard.
(ii) For a Phase 2 vehicle model that includes a range of GVWR values that straddle weight classes, manufacturers may include all the vehicles in the same vehicle family if it certifies the vehicle family to the numerically lower fuel consumption standard from the affected service classes. Vehicles that are optionally certified to a more stringent standard under this paragraph are subject to useful-life and all other provisions corresponding to the weight class with the numerically lower fuel consumption standard. For a Phase 2 tractor model that includes a range of roof heights that straddle subcategories, a manufacturer may include all the vehicles in the same vehicle family if it certifies the vehicle family to the appropriate subcategory as follows:
(A) A manufacturer may certify mid-roof tractors as high-roof tractors, but it may not certify high-roof tractors as mid-roof tractors.
(B) For tractor families straddling the low-roof/mid-roof division, a manufacturer may certify the family based on the primary roof-height as long as no more than 10 percent of the tractors are certified to the otherwise inapplicable subcategory. For example, if 95 percent of the tractors in the family are less than 120 inches tall, and the other 5 percent are 122 inches tall, a manufacturer may certify the tractors as a single family in the low-roof subcategory.
(C) Determine the appropriate aerodynamic bin number based on the actual roof height if the C
(9) Vocational tractors. Tractors meeting the definition of vocational tractors in 49 CFR 523.2 must comply with requirements for heavy-duty vocational vehicles specified in paragraphs (b) and (d) of this section. For Phase 1, Class 7 and Class 8 tractors certified or exempted as vocational tractors are limited in production to no more than 21,000 vehicles in any three consecutive model years. If a manufacturer is determined as not applying this allowance in good faith by EPA in its applications for certification in accordance with 40 CFR 1037.205 and 1037.610, a manufacturer must comply with the tractor fuel consumption standards in paragraph (c)(3) of this section. No production limit applies for vocational tractors subject to Phase 2 standards.
(10) Small business manufacturers converting to mid roof or high roof configurations. Small manufacturers are to allowed convert low and mid roof tractors to high roof configurations without recertification, provided it is for the purpose of building a custom sleeper tractor or conversion to a natural gas tractor as specified in 40 CFR 1037.150(r).
(11) Useful life. The following useful life values apply for the standards of this section:
(i) 185,000 miles or 10 years, whichever comes first, for vehicles at or below 33,000 pounds GVWR.
(ii) 435,000 miles or 10 years, whichever comes first, for vehicles above 33,000 pounds GVWR.
(12) Conversion to high-roof configurations. Secondary vehicle manufacturers that qualify as small manufacturers may convert low- and mid-roof tractors to high-roof configurations without recertification for the purpose of building a custom sleeper tractor or converting it to run on natural gas, as follows:
(i) The original low- or mid-roof tractor must be covered by a valid certificate of conformity by EPA.
(ii) The modifications may not increase the frontal area of the tractor beyond the frontal area of the equivalent high-roof tractor with the corresponding standard trailer. If a manufacturer cannot use the original manufacturer’s roof fairing for the high-roof tractor, use good engineering judgment to achieve similar or better aerodynamic performance.
(iii) The agencies may require that these manufacturers submit annual production reports as described in § 535.8 and 40 CFR 1037.250 indicating the original roof height for requalified vehicles.
(13) Compliance with standards. A manufacturer complies with the standards of this part as described in § 535.10.
(d) Heavy-duty engines. Each manufacturer of heavy-duty engines shall comply with the fuel consumption standards in this paragraph (d) of this section expressed in gallons per 100 horsepower-hour. Each engine must be manufactured to comply for its full useful life, expressed in service miles, operating hours, or calendar years, whatever comes first. The provisions of this part apply to all new 2014 model year and later heavy-duty engines fueled by conventional and alternative fuels and manufactured for use in heavy-duty tractors or vocational vehicles. Standards apply to the engine families based upon the primary intended service classes within each of the engine regulatory subcategories as described in § 535.4 and based upon the applicable modeling and testing specified in § 535.6.
(1) Mandatory standards. Manufacturers of heavy-duty engine families shall comply with the mandatory fuel consumption standards in paragraphs (d)(3) through (6) of this section for model years 2017 and later for compression-ignition engines and for model years 2016 and later for spark-ignition engines.
(i) The heavy-duty engine regulatory category is divided into six regulatory subcategories, five compression-ignition subcategories and one spark-ignition subcategory, as shown in Table 14 of this section.
(ii) Separate standards exist for engine families manufactured for use in heavy-duty vocational vehicles and in truck tractors.
(iii) For purposes of certifying engines to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into engine families. Fuel consumption standards apply each model year to the same engine families used to comply with EPAstandards in 40 CFR 1036.108 and 40 CFR 1037.230. An engine family is designated under the EPA program based upon testing specified in 40 CFR part 1036, subpart F, and the engine family’s primary intended service class. Each engine family manufactured for use in a heavy-duty tractor or vocational vehicle must be certified to the primary intended service class that it is designed for in accordance with 40 CFR 1036.108 and 1036.140.
(2) Voluntary compliance. (i) For model years 2013 through 2016 for compression-ignition engine families, and for model year 2015 for spark-ignition engine families, a manufacturer may choose voluntarily to comply with the fuel consumption standards provided in paragraphs (d)(3) through (5) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year except in model year 2013 the manufacturer may comply with individual engine families as specified in 40 CFR 1036.150(a)(2).
(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.
(3) Regulatory subcategory standards. The primary fuel consumption standards for heavy-duty engine families are given in the following table:
Table 13 – Primary Heavy-Duty Engine Fuel Consumption Standards
[Gallons per 100 hp-hr]
| Regulatory subcategory | CI LHD engines and all other engines | CI MHD engines and all other engines | HHD CI engines and all other engines | SI engines | ||
|---|---|---|---|---|---|---|
| Application | Vocational | Vocational | Tractor | Vocational | Tractor | All |
| 2015 | 7.0552 | |||||
| 2013 to 2016 | 5.8939 | 5.8939 | 4.9312 | 5.5697 | 4.666 | |
| 2016 | 7.0552 | |||||
| 2017 to 2020 | 5.6582 | 5.6582 | 4.6660 | 5.4519 | 4.4401 | 7.0552 |
| 2021 to 2023 | 5.5305 | 5.3536 | 4.6464 | 5.0393 | 4.3910 | 7.0552 |
| 2024 to 2026 | 5.4519 | 5.2849 | 4.5285 | 4.9705 | 4.2829 | 7.0552 |
| 2027 and later | 5.4224 | 5.2554 | 4.4892 | 4.9411 | 4.2436 | 7.0552 |
(4) Alternate subcategory standards. The alternative fuel consumption standards for heavy-duty compression-ignition engine families are as follows:
(i) Manufacturers entering the voluntary program in model years 2014 through 2016, may choose to certify compression-ignition engine families unable to meet standards provided in paragraph (d)(3) of this section to the alternative fuel consumption standards of this paragraph (d)(4).
(ii) Manufacturers may not certify engines to these alternate standards if they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set in accordance with § 535.7(d)(12).
(iii) The emission standards of this section are determined as specified by EPA in 40 CFR 1036.620(a) through (c) and should be converted to equivalent fuel consumption values.
(5) Alternate phase-in standards. Manufacturers have the option to comply with EPA emissions standards for compression-ignition engine families using an alternative phase-in schedule that correlates with EPA’s OBD standards. If a manufacturer chooses to use the alternative phase-in schedule for meeting EPA standards and optionally chooses to comply early with the NHTSA fuel consumption program, it must use the same phase-in schedule beginning in model year 2013 for fuel consumption standards and must remain in the program for each model year thereafter until model year 2020. The fuel consumption standard for each model year of the alternative phase-in schedule is provided in Table 15 of this section. Note that engine families certified to these standards are not eligible for early credits under § 535.7.
Table 14 – Phase 1 Alternative Phase-In CI Engine Fuel Consumption Standards
[Gallons per 100 hp-hr]
| Tractors | LHD engines | MHD engines | HHD engines |
|---|---|---|---|
| Model Years 2013 to 2015 | NA | 5.0295 | 4.7642 |
| Model Years 2016 to 2020 † | NA | 4.7839 | 4.5187 |
| Vocational | LHD engines | MHD engines | HHD engines |
| Model Years 2013 to 2015 | 6.0707 | 6.0707 | 5.6680 |
| Model Years 2016 to 2020 † | 5.6582 | 5.6582 | 5.4519 |
†
(6) Alternative fuel conversions. Engines that have been converted to operate on alternative fuels may demonstrate compliance with the standards of this part or other alternative compliance approaches allowed by EPA in 40 CFR 85.525.
(7) Optional certification under this section. Manufacturers certifying spark-ignition engines to the compression-ignition standards for EPA must treat those engines as compression-ignition engines for all the provisions of this part.
(8) Advanced, innovative and off-cycle technologies. For engines subject to Phase 1 standards, manufacturers must create separate engine families for engines that contain advanced or innovative technologies and group those engines together in an engine family if they use the same advanced or innovative technologies. Manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For engines subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Credit incentives for advanced technology engines do not apply during the Phase 2 period.
(9) Useful life. The exhaust emission standards of this section apply for the full useful life, expressed in service miles, operating hours, or calendar years, whichever comes first. The following useful life values apply for the standards of this section:
(i) 120,000 miles or 11 years, whichever comes first, for CI and SI LHD engines certified to Phase 1 standards.
(ii) 150,000 miles or 15 years, whichever comes first, for CI and SI LHD and spark-ignition engines certified to Phase 2 standards.
(iii) 185,000 miles or 10 years, whichever comes first, for CI MHD engines certified to Phase 1 and for Phase 2.
(iv) 435,000 miles or 10 years, whichever comes first, for CI HHD engines certified to Phase 1 and for Phase 2.
(v) For Phase 1 credits that manufacturers calculate based on a useful life of 110,000 miles, multiply any banked credits that it carries forward for use into the Phase 2 program by 1.36. For Phase 1 credit deficits that manufacturers generate based on a useful life of 110,000 miles multiply the credit deficit by 1.36, if offsetting the shortfall with Phase 2 credits.
(10) Loose engines. This paragraph (10) describes alternate emission and fuel consumption standards for loose engines certified under. The standards of this paragraph (d) and 1036.108 do not apply for loose engines certified under paragraph (a) of this section and 40 CFR 86.1819-14(k)(8). The standards in 40 CFR 1036.150(j) apply for the emissions and equivalent fuel consumption measured with the engine installed in a complete vehicle consistent with the provisions of 40 CFR 86.1819-14(k)(8)(vi).
(11) Alternate transition option for Phase 2 engine standards. (i) Manufacturers may optionally elect to comply with the model year 2021 primary (Phase 2) vocational vehicle and tractor engine standards in paragraph (d)(3) of this section beginning in model year 2020 (e.g. comply with the more stringent standards one year early). The model year 2021 standard would apply to these manufacturers for model years 2020 through 2023. Manufacturers that voluntarily certify their engines to model year 2021 standards early would then be eligible for less stringent engine tractor standards in model years 2024 through 2026, as follows:
(A) 5.2849 gallons per 100 hp-hr for MHD vocational vehicle engines.
(B) 4.5874 gallons per 100 hp-hr for MHD tractor engines.
(C) 4.9705 gallons per 100 hp-hr for HHD vocational vehicle engines.
(D) 4.3418 gallons per 100 hp-hr for HHD tractor engines.
(ii) The primary standard in paragraph (d)(3) applies for all manufacturers in model year 2027 and later years.
(iii) Manufacturers may apply these provisions separately for medium heavy-duty engines and heavy heavy-duty engines. This election applies to all engines in each segment. For example, if a manufacturer elects this alternate option for its medium heavy-duty engines, all of the manufacturer’s medium heavy-duty vocational and tractor engines must comply. Engine fuel consumption credits generated under § 535.7(d) for manufacturers complying early with the model year 2021 standards follow the temporary extended credit life allowance in § 535.7(d)(9).
(12) Compliance with Standards. A manufacturer complies with the standards of this part as described in § 535.10.
(e) Heavy-duty Trailers. Each manufacturer of heavy-duty trailers as specified in 49 CFR 523.10, except trailers constructed in accordance with 49 CFR 571.7(f), shall comply with the fuel consumption standards in paragraph (e)(1) of this section expressed in gallons per 1000 ton-miles. Each vehicle must be manufactured to comply for its full useful life. There are no Phase 1 standards for trailers. Different levels of stringency apply for box vans depending on features that may affect aerodynamic performance. Standards apply to the trailer vehicle families within each of the trailer regulatory subcategories in accordance with § 535.4 and 40 CFR 1037.230 and based upon the applicable modeling and testing specified in § 535.6.
(1) Fuel consumption standards for Box-Vans. Box van trailer families manufactured in model year 2021 and later must comply with the fuel consumption standards of this section. For model years 2018 through 2020, box van trailer manufacturers have the option to voluntarily comply with the fuel consumption standards of this section. Different levels of stringency apply for box vans depending on features that may affect aerodynamic performance. A manufacturer may optionally meet less stringent standards for different trailer types, which are characterized as follows:
(i) For trailers 35 feet or longer, a manufacturer may designate as “non-aero box vans” those box vans that have a rear lift gate or rear hinged ramp, and at least one of the following side features: Side lift gate, side-mounted pull-out platform, steps for side-door access, a drop-deck design, or belly boxes that occupy at least half the length of both sides of the trailer between the centerline of the landing gear and the leading edge of the front wheels. For trailers less than 35 feet long, manufacturers may designate as “non-aero box vans” any refrigerated box vans with at least one of the side features identified for longer trailers.
(ii) A manufacturer may designate as “partial-aero box vans” those box vans that have at least one of the side features identified in paragraph (a)(1)(i) of this section. Long box vans may also qualify as partial-aero box vans if they have a rear lift gate or rear hinged ramp. Note that this paragraph (e)(1)(ii) does not apply for box vans designated as “non-aero box vans” under paragraph (e)(1)(i) of this section.
(iii) “Full-aero box vans” are box vans that are not designated as non-aero box vans or partial-aero box vans under this paragraph (e)(1).
(iv) Fuel consumption standards apply for full-aero box vans as specified in the following table:
Table 15 – Phase 2 Full Aero Box Van Fuel Consumption Standards
[Gallons per 1,000 ton-miles]
| Model years | Dry van | Refrigerated van | ||
|---|---|---|---|---|
| Long | Short | Long | Short | |
| 2018 to 2020 | 7.98625 | 12.31827 | 8.15324 | 12.68173 |
| 2021 to 2023 | 7.75049 | 12.15128 | 7.91749 | 12.52456 |
| 2024 to 2026 | 7.58350 | 11.87623 | 7.75049 | 12.24951 |
| 2027 and later | 7.43615 | 11.72888 | 7.60314 | 12.10216 |
(v) Fuel consumption standards apply for partial-aero box vans as specified in the following table:
Table 16 – Phase 2 Fuel Consumption Standards for Partial-Aero Box Vans
[Gallons per 1,000 ton-mile]
| Model year | Dry van | Refrigerated van | ||
|---|---|---|---|---|
| Short | Long | Short | Long | |
| 2018-2020 | 12.31827 | 7.98625 | 12.68173 | 8.15324 |
| 2021 and later | 12.15128 | 7.91749 | 12.52456 | 8.08448 |
(2) Fuel consumption standards for Non-aero Box Vans and Non-box Trailers. (i) Non-aero box van and non-box trailer families manufactured in model year 2021 and later must comply with the fuel consumption standards of this section. For model years 2018 through 2020, trailer manufacturers have the option to voluntarily comply with the fuel consumption standards of this section.
(ii) Non-aero box vans and non-box vans must meet the following standards:
(A) Trailers must use automatic tire inflation systems or tire pressure monitoring systems with wheels on all axles. Tire pressure monitoring systems must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138.
(B) Non-box trailers must use tires with a TRRL at or below 5.1 kg/tonne. Through model year 2020, non-box trailers may instead use tires with a TRRL at or below 6.0 kg/tonne.
(C) Non-aero box vans must use tires with a TRRL at or below 4.7 kg/tonne. Through model year 2020, non-aero box vans may instead use tires with a TRRL at or below 5.1 kg/tonne.
(3) Subfamily standards. Starting in model year 2027, manufacturers may generate or use fuel consumption credits for averaging to demonstrate compliance with the standards specified in paragraph (e)(1)(iii) of this section as described in § 535.7(e). This requires that manufacturers specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be less than the result of the emission and fuel consumption calculation in 40 CFR 1037.515. The FEL may not be greater than the appropriate standard for model year 2021 trailers. These FELs serve as the fuel consumption standards for the specific vehicle subfamily instead of the standards specified in paragraph (e)(1) of this section. Manufacturers may not use averaging for non-box trailers, partial-aero box vans, or non-aero box vans that meet standards under paragraph (e)(1)(i) or (e)(1)(ii) of this section, and manufacturers may not use fuel consumption credits for banking or trading for any trailers.
(4) Useful life. The fuel consumption standards of this section apply for a useful life equal to 10 years.
(5) Transitional allowances for trailers. Through model year 2026, trailer manufacturers may calculate a number of trailers that are exempt from the standards and certification requirements of this part. Calculate the number of exempt box vans in a given model year by multiplying the manufacturer’s total U.S.-directed production volume of certified box vans by 0.20 and rounding to the nearest whole number; however, in no case may the number of exempted box vans be greater than 350 units in any given model year. Repeat this calculation to determine the number of non-box trailers, up to 250 annual units, that are exempt from standards and certification requirements. Perform the calculation based on the manufacturer’s projected production volumes in the first year that standards apply; in later years, use actual production volumes from the preceding model year. Manufacturers include these calculated values of the production volumes of exempt trailers in their annual production report under § 535.8 and 40 CFR 1037.250.
(6) Roll-up doors for non-aero box vans. Through model year 2023, box vans may qualify for non-aero or partial-aero standards under this paragraph (e) by treating roll-up rear doors as being equivalent to rear lift gates.
(7) Expanded families. A manufacturer may include refrigerated box vans in a vehicle family with dry box vans by treating them all as dry box vans for demonstrating compliance with fuel consumption standards. A manufacturer may include certain other types of trailers in a vehicle family with a different type of trailer, such that the combined set of trailers are all subject to the more stringent standards, as follows:
(i) Standards for long trailers are more stringent than standards for short trailers.
(ii) Standards for long dry box vans are more stringent than standards for short refrigerated box vans.
(iii) Standards for non-aero box vans are more stringent than standards for non-box trailers.
(8) Compliance with standards. A manufacturer complies with the standards of this part as described in § 535.10.
§ 535.6 Measurement and calculation procedures.
This part describes the measurement and calculation procedures manufacturers use to determine annual fuel consumption performance results. Manufacturers use the fuel consumption results determined in this part for calculating credit balances specified in § 535.7 and then determine whether they comply with standards as specified in § 535.10. Manufacturers must use EPA emissions test results for deriving NHTSA’s fuel consumption performance rates. Consequently, manufacturers conducting testing for certification or annual demonstration testing and providing CO
(a) Heavy-duty pickup trucks and vans. This section describes the method for determining the fuel consumption performance rates for test groups and for fleets of complete heavy-duty pickup trucks and vans each model year. The NHTSA heavy-duty pickup truck and van fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR 86.1819-14.
(1) For the Phase 1 program, if the manufacturer’s fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption performance rate. For Phase 2, manufacturers may calculate their fleet average fuel consumption rates for a conventional fleet and separate advanced technology vehicle fleets. Advanced technology vehicle fleets should be separated into plug-in hybrid electric vehicles, electric vehicles and fuel cell vehicles.
(2) Vehicles in each fleet should be selected and divided into test groups or subconfigurations according to EPA in 40 CFR 86.1819-14(d).
(3) Use the EPA CO
(i) Use CO
(ii) Use CO
(iii) All electric vehicles are deemed to have zero emissions of CO
(iv) Use CO
(v) Use CO
(vi) Manufacturers can choose to analytically derive CO
(4) Calculate equivalent fuel consumption results for all test groups, in gallons per 100 miles, from CO
(i) Calculate the equivalent fuel consumption test group results as follows for compression-ignition vehicles and alternative fuel compression-ignition vehicles. CO
(ii) Calculate the equivalent fuel consumption test group results as follows for spark-ignition vehicles and alternative fuel spark-ignition vehicles. CO
(5) Calculate the fleet average fuel consumption result, in gallons per 100 miles, from the equivalent fuel consumption test group results and round the fuel consumption result to the nearest 0.001 gallon per 100 miles. Calculate the fleet average fuel consumption result using the following equation.
(6) Compare the fleet average fuel consumption standard to the fleet average fuel consumption performance. The fleet average fuel consumption performance must be less than or equal to the fleet fuel consumption standard to comply with standards in § 535.5(a).
(b) Heavy-duty vocational vehicles and tractors. This section describes the method for determining the fuel consumption performance rates for vehicle families of heavy-duty vocational vehicles and tractors. The NHTSA heavy-duty vocational vehicle and tractor fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR 1037, subpart F.
(1) Select vehicles and vehicle family configurations to test as specified in 40 CFR 1037.230 for vehicles that make up each of the manufacturer’s regulatory subcategories of vocational vehicles and tractors. For the Phase 2 program, select powertrain, axle and transmission families in accordance with 40 CFR 1037.231 and 1037.232.
(2) Follow the EPA testing requirements in 40 CFR 1037.230 and 1037.501 to derive inputs for the Greenhouse gas Emissions Model (GEM).
(3) Enter inputs into GEM, in accordance with 40 CFR 1037.520, to derive the emissions and fuel consumption performance results for all vehicles (conventional, alternative fueled and advanced technology vehicles).
(4) For Phase 1 and 2, all of the following GEM inputs apply for vocational vehicles and other tractor regulatory subcategories, as follows:
(i) Model year and regulatory subcategory (see § 535.3 and 40 CFR 1037.230).
(ii) Coefficient of aerodynamic drag or drag area, as described in 40 CFR 1037.520(b) (tractors only for Phase 1).
(iii) Steer and drive tire rolling resistance, as described in 40 CFR 1037.520(c).
(iv) Vehicle speed limit, as described in 40 CFR 1037.520(d) (tractors only).
(v) Vehicle weight reduction, as described in 40 CFR 1037.520(e) (tractors only for Phase 1).
(vi) Automatic engine shutdown systems, as described in 40 CFR 1037.660 (only for Phase 1 Class 8 sleeper cabs). For Phase 1, enter a GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in 40 CFR 1037.660.
(5) For Phase 2 vehicles, the GEM inputs described in paragraphs (b)(4)(i) through (v) of this section continue to apply. Note that the provisions related to vehicle speed limiters and automatic engine shutdown systems are available for vocational vehicles in Phase 2. The additional GEM inputs that apply for vocational vehicles and other tractor regulatory subcategories for demonstrating compliance with Phase 2 standards are as follows:
(i) Engine characteristics. Enter information from the engine manufacturer to describe the installed engine and its operating parameters as described in 40 CFR 1036.510 and 1037.520(f).
(ii) Vehicle information. Enter information in accordance with 40 CFR 1037.520(g) for the vehicle and its operating parameters including:
(A) Transmission make, model and type;
(B) Drive axle configuration;
(C) Drive axle ratio, k
(D) GEM inputs associated with powertrain testing include powertrain family, transmission calibration identifier, test data from 40 CFR 1037.550, and the powertrain test configuration (dynamometer connected to transmission output or wheel hub).
(iii) Idle-reduction technologies. Identify whether the manufacturer’s vehicle has qualifying idle-reduction technologies, subject to the qualifying criteria in 40 and 1037.660 and enter values for stop start and neutral idle technologies as specified in 40 CFR 1037.520(h).
(iv) Axle and transmission efficiency. Manufacturers may use axle efficiency maps as described in 40 CFR 1037.560 and transmission efficiency maps as described in 40 CFR 1037.565 to replace the default values in GEM.
(v) Additional reduction technologies. Enter input values in GEM as follows to characterize the percentage CO
(A) Intelligent controls
(B) Accessory load
(C) Tire-pressure systems
(D) Extended-idle reduction
(E) Additional GEM inputs may apply as follows:
(1) Enter 1.7 and 0.9, respectively, for school buses and coach buses that have at least seven available forward gears.
(2) If the agencies approve an off-cycle technology under § 535.7(f) and 40 CFR 1037.610 in the form of an improvement factor, enter the improvement factor expressed as a percentage reduction in CO
(vi) Vehicles with hybrid power take-off (PTO). For vocational vehicles, determine the delta PTO emission result of the manufacturer’s engine and hybrid power take-off system as described in 40 CFR 1037.540.
(vii) Aerodynamic improvements for vocational vehicles. For vocational vehicles certified using the Regional duty cycle, enter ΔC
(viii) Alternate fuels. For fuels other than those identified in GEM, perform the simulation by identifying the vehicle as being diesel-fueled if the engine is subject to the compression-ignition standard, or as being gasoline-fueled if the engine is subject to the spark-ignition standards. Correct the engine or powertrain fuel map for mass-specific net energy content as described in 40 CFR 1036.535(b).
(ix) Custom chassis vehicles. A simplified versions of GEM applies for custom chassis vehicle subject § 535.5(b)(6) in accordance with 40 CFR 1037.520(a)(2)(ii).
(6) In unusual circumstances, manufacturers may ask EPA to use weighted average results of multiple GEM runs to represent special technologies for which no single GEM run can accurately reflect.
(7) From the GEM results, select the CO
(c) [Reserved]
(d) Heavy-duty engines. This section describes the method for determining equivalent fuel consumption family certification level (FCL) values for engine families of heavy-duty truck tractors and vocational vehicles. The NHTSA heavy-duty engine fuel consumption FCLs are determined from the EPA FCLs tested in accordance with 40 CFR 1036, subpart F. Each engine family must use the same primary intended service class as designated for EPA in accordance with 40 CFR 1036.140.
(1) Manufacturers must select emission-data engines representing the tested configuration of each engine family specified in 40 CFR part 86 and 40 CFR 1036.235 for engines in heavy-duty truck tractors and vocational vehicles that make up each of the manufacture’s regulatory subcategories.
(2) Standards in § 535.5(d) apply to the CO
(i) Use the CO
(ii) Use the CO
(iii) Use the CO
(iv) All electric vehicles are deemed to have zero emissions of CO
(3) Use the CO
(i) If a manufacturer certifies an engine family for use both as a vocational engine and as a tractor engine, the manufacturer must split the family into two separate subfamilies in accordance with 40 CFR 1036.230. The manufacturer may assign the numbers and configurations of engines within the respective subfamilies at any time prior to the submission of the end-of-year report required by 40 CFR 1036.730 and § 535.8. The manufacturer must track into which type of vehicle each engine is installed, although EPA may allow the manufacturer to use statistical methods to determine this for a fraction of its engines.
(ii) The following engines are excluded from the engine families used to determine fuel consumption FCL values and the benefit for these engines is determined as an advanced technology credit under the ABT provisions provided in § 535.7(e); these provisions apply only for the Phase 1 program:
(A) Engines certified as hybrid engines or power packs.
(B) Engines certified as hybrid engines designed with PTO capability and that are sold with the engine coupled to a transmission.
(C) Engines with Rankine cycle waste heat recovery.
(4) Manufacturers generating CO
(5) Calculate equivalent fuel consumption values from the emissions CO
(i) Calculate equivalent fuel consumption FCL values for compression-ignition engines and alternative fuel compression-ignition engines. CO
(ii) Calculate equivalent fuel consumption FCL values for spark-ignition engines and alternative fuel spark-ignition engines. CO
(iii) Manufacturers may carryover fuel consumption data from a previous model year if allowed to carry over emissions data for EPA in accordance with 40 CFR 1036.235.
(iv) If a manufacturer uses an alternate test procedure under 40 CFR 1065.10 and subsequently the data is rejected by EPA, NHTSA will also reject the data.
(e) Heavy-duty trailers. This section describes the method for determining the fuel consumption performance rates for trailers. The NHTSA heavy-duty trailers fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR part 1037, subpart F.
(1) Select trailer family configurations that make up each of the manufacturer’s regulatory subcategories of heavy-duty trailers in 40 CFR 1037.230 and § 535.4.
(2) Obtain preliminary approvals for trailer aerodynamic devices from EPA in accordance with 40 CFR 1037.150.
(3) For manufacturers voluntarily complying in model years 2018 through 2020, and for trailers complying with mandatory standards in model years 2021 and later, determine the CO
(4) From the equation results, use the CO
(i) For families containing multiple subfamilies, identify the FELs for each subfamily.
(ii) Calculate equivalent fuel consumption FEL values for trailer families. CO
§ 535.7 Averaging, banking, and trading (ABT) credit program.
(a) General provisions. After the end of each model year, manufacturers must comply with the fuel consumption standards in § 535.5 for averaging, banking and trading credits. Trailer manufacturers are excluded from this section except for those producing full-aero box trailers, which may comply with special provisions in paragraph (e) of this section. Manufacturers comply with standards if the sum of averaged, banked and traded credits generate a “zero” credit balance or a credit surplus within an averaging set of vehicles or engines. Manufacturers fail to comply with standards if the sum of the credit flexibilities generate a credit deficit (or shortfall) in an averaging set. Credit shortfalls must be offset by banked or traded credits within three model years after the shortfall is incurred. These processes are hereafter referenced as the NHTSA ABT credit program. The following provisions apply to all fuel consumption credits.
(1) Credits (or fuel consumption credits (FCCs)). Credits in this part mean a calculated weighted value representing the difference between the fuel consumption performance and the standard of a vehicle or engine family or fleet within a particular averaging set. Positive credits represent cases where a vehicle or engine family or fleets perform better than the applicable standard (the fuel consumption performance is less than the standard) whereas negative credits represent underperforming cases. The value of a credit is calculated according to paragraphs (b) through (e) of this section. FCCs are only considered earned or useable for averaging, banking or trading after EPA and NHTSA have verified the information in a manufacturer’s final reports required in § 535.8. Types of FCCs include the following:
(i) Conventional credits. Credits generated by vehicle or engine families or fleets containing conventional vehicles (i.e., gasoline, diesel and alternative fueled vehicles).
(ii) Early credits. Credits generated by vehicle or engine families or fleets produced for model year 2013. Early credits are multiplied by an incentive factor of 1.5 times.
(iii) Advanced technology credits. Credits generated by vehicle or engine families or subconfigurations containing vehicles with advanced technologies (i.e., hybrids with regenerative braking, vehicles equipped with Rankine-cycle engines, electric and fuel cell vehicles) and incentivized under this ABT credit program in paragraph (f)(1) of this section and by EPA under 40 CFR 86.1819-14(d)(7), 1036.615, and 1037.615.
(iv) Innovative and off-cycle technology credits. Credits can be generated by vehicle or engine families or subconfigurations having fuel consumption reductions resulting from technologies not reflected in the GEM simulation tool or in the FTP chassis dynamometer and that were not in common use with heavy-duty vehicles or engines before model year 2010 that are not reflected in the specified test procedure. Manufacturers should prove that these technologies were not in common use in heavy-duty vehicles or engines before model year 2010 by demonstrating factors such as the penetration rates of the technology in the market. NHTSA will not approve any request if it determines that these technologies do not qualify. The approach for determining innovative and off-cycle technology credits under this fuel consumption program is described in paragraph (f)(2) of this section and by EPA under 40 CFR 86.1819-14(d)(13), 1036.610, and 1037.610.
(2) Averaging. Averaging is the summing of a manufacturer’s positive and negative FCCs for engines or vehicle families or fleets within an averaging set. The principle averaging sets are defined in § 535.4.
(i) A credit surplus occurs when the net sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is positive (a zero credit balance is when the sum equals zero).
(ii) A credit deficit occurs when the net sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is negative.
(iii) Positive credits, other than advanced technology credits, generated and calculated within an averaging set may only be used to offset negative credits within the same averaging set.
(iv) Manufacturers may certify one or more vehicle families (or subfamilies) to an FEL above the applicable fuel consumption standard, subject to any applicable FEL caps and other provisions allowed by EPA in 40 CFR parts 1036 and 1037, if the manufacturer shows in its application for certification to EPA that its projected balance of all FCC transactions in that model year is greater than or equal to zero or that a negative balance is allowed by EPA under 40 CFR 1036.745 and 1037.745.
(v) If a manufacturer certifies a vehicle family to an FEL that exceeds the otherwise applicable standard, it must obtain enough FCC to offset the vehicle family’s deficit by the due date of its final report required in § 535.8. The emission credits used to address the deficit may come from other vehicle families that generate FCCs in the same model year (or from the next three subsequent model years), from banked FCCs from previous model years, or from FCCs generated in the same or previous model years that it obtained through trading. Note that the option for using banked or traded credits does not apply for trailers.
(vi) Manufacturers may certify a vehicle or engine family using an FEL (as described in § 535.6) below the fuel consumption standard (as described in § 535.5) and choose not to generate conventional fuel consumption credits for that family. Manufacturers do not need to calculate fuel consumption credits for those families and do not need to submit or keep the associated records described in § 535.8 for these families. Manufacturers participating in NHTSA’s FCC program must provide reports as specified in § 535.8.
(3) Banking. Banking is the retention of surplus FCC in an averaging set by the manufacturer for use in future model years for the purpose of averaging or trading.
(i) Surplus credits may be banked by the manufacturer for use in future model years, or traded, given the restriction that the credits have an expiration date of five model years after the year in which the credits are generated. For example, banked credits earned in model year 2014 may be utilized through model year 2019. Surplus credits will become banked credits unless a manufacturer contacts NHTSA to expire its credits.
(ii) Surplus credits become earned or usable banked FCCs when the manufacturer’s final report is approved by both agencies. However, the agencies may revoke these FCCs at any time if they are unable to verify them after reviewing the manufacturer’s reports or auditing its records.
(iii) Banked FCC retain the designation from the averaging set and model year in which they were generated.
(iv) Banked credits retain the designation of the averaging set in which they were generated.
(v) Trailer manufacturers generating credits in paragraph (e) of this section may not bank credits except to resolve credit deficits in the same model year or from up to three prior model years.
(4) Trading. Trading is a transaction that transfers banked FCCs between manufacturers or other entities in the same averaging set. A manufacturer may use traded FCCs for averaging, banking, or further trading transactions.
(i) Manufacturers may only trade banked credits to other manufacturers to use for compliance with fuel consumption standards. Traded FCCs, other than advanced technology credits, may be used only within the averaging set in which they were generated. Manufacturers may only trade credits to other entities for the purpose of expiring credits.
(ii) Advanced technology credits can be traded across different averaging sets.
(iii) The agencies may revoke traded FCCs at any time if they are unable to verify them after reviewing the manufacturer’s reports or auditing its records.
(iv) If a negative FCC balance results from a transaction, both the buyer and seller are liable, except in cases the agencies deem to involve fraud. See § 535.9 for cases involving fraud. EPA also may void the certificates of all vehicle families participating in a trade that results in a manufacturer having a negative balance of emission credits. See 40 CFR 1037.745.
(v) Trailer manufacturers generating credits in paragraph (e) of this section starting in model year 2027 may not bank or trade credits. These manufacturers may only use credits for the purpose of averaging.
(vi) Manufacturers with deficits or projecting deficits before or during a production model year may not trade credits until its available credits exceed the deficit. Manufacturers with a deficit may not trade credits if the deadline to offset that credit deficit has passed.
(5) Credit deficit (or credit shortfall). A credit shortfall or deficit occurs when the sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is negative. Credit shortfalls must be offset by an available credit surplus within three model years after the shortfall was incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9.
(6) FCC credit plan. (i) Each model year manufacturers submit credit plan in their certificates of conformity as required in 40 CFR 1036.725(b)(2) and 40 CFR 1037.725(b)(2). The plan is required to contain equivalent fuel consumption information in accordance § 535.8(c). The plan must include:
(A) Detailed calculations of projected emission and fuel consumption credits (positive or negative) based on projected U.S.-directed production volumes. The agencies may require a manufacturer to include similar calculations from its other engine or vehicle families to project its net credit balances for the model year. If a manufacturer projects negative emission and/or fuel consumption credits for a family, it must state the source of positive emission and/or fuel consumption credits it expects to use to offset the negative credits demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred.
(B) Actual emissions and fuel consumption credit balances, credit transactions, and credit trades.
(ii) Manufacturers are required to provide updated credit plans after receiving their final verified reports from EPA and NHTSA after the end of each model year.
(iii) The agencies may determine that a manufacturer’s plan is unreasonable or unrealistic based on a consideration of past and projected use of specific technologies, the historical sales mix of its vehicle models, subsequent failure to follow any submitted plans, and limited expected access to traded credits.
(iv) The agencies may also consider the plan unreasonable if the manufacturer’s credit deficit increases from one model year to the next. The agencies may require that the manufacturers must send interim reports describing its progress toward resolving its credit deficit over the course of a model year.
(v) If NHTSA determines that a manufacturers plan is unreasonable or unrealistic, the manufacturer is deemed as not comply with fuel consumption standards as specified in § 535.10(c) and the manufacturer may be liable for civil penalties.
(7) Revoked credits. NHTSA may revoke fuel consumption credits if unable to verify any information after auditing reports or records or conducting confirmatory testing. In the cases where EPA revokes emissions CO
(8) Transition to Phase 2 standards. The following provisions allow for enhanced use of fuel consumption credits from Phase 1 tractors and vocational vehicles for meeting the Phase 2 standards:
(i) Fuel consumption credits a manufacturer generates for light and medium heavy-duty vocational vehicles in model years 2018 through 2021 may be used through model year 2027, instead of being limited to a five-year credit life as specified in this part.
(ii) The manufacturer may use the off-cycle provisions of paragraph (f) of this section to apply technologies to Phase 1 vehicles as follows:
(A) A manufacturer may apply an improvement factor of 0.988 for tractors and vocational vehicles with automatic tire inflation systems on all axles.
(B) For vocational vehicles with automatic engine shutdown systems that conform with 40 CFR 1037.660, a manufacturer may apply an improvement factor of 0.95.
(C) For vocational vehicles with stop-start systems that conform with 40 CFR 1037.660, a manufacturer may apply an improvement factor of 0.92.
(D) For vocational vehicles with neutral-idle systems conforming with 40 CFR 1037.660, manufacturers may apply an improvement factor of 0.98. Manufacturers may adjust this improvement factor if we approve a partial reduction under 40 CFR 1037.660(a)(2); for example, if the manufacturer’s design reduces fuel consumption by half as much as shifting to neutral, it may apply an improvement factor of 0.99.
(9) Credits for small business manufacturers. Small manufacturers may generate fuel consumption credits for natural gas-fueled vocational vehicles as follows:
(i) Small manufacturers may certify their vehicles instead of relying on the exemption of § 535.3.
(ii) Use Phase 1 GEM to determine a fuel consumption level for vehicle, then multiply this value by the engine’s FCL for fuel consumption and divide by the engine’s applicable fuel consumption standard.
(iii) Use the value determined in paragraph (ii) in the credit equation specified in part (c) of this section in place of the term (Std − FEL).
(iv) The following provisions apply uniquely to small businesses under the custom-chassis standards of § 535.5(b)(6):
(A) Manufacturers may use fuel consumption credits generated under paragraph (c) of this section, including banked or traded credits from any averaging set. Such credits remain subject to other limitations that apply under this part.
(B) Manufacturers may produce up to 200 drayage tractors in a given model year to the standards described in § 535.5(b)(6) for “other buses”. Treat these drayage tractors as being in their own averaging set.
(10) Certifying non-gasoline engines. A manufacturer producing non-gasoline engines complying with model year 2021 or later medium heavy-duty spark-ignition standards may not generate fuel consumption credits. Only manufacturers producing gasoline engines certifying to spark-ignition standards can generate fuel consumption credits under paragraph (d) of this part.
(b) ABT provisions for heavy-duty pickup trucks and vans. (1) Calculate fuel consumption credits in a model year for one fleet of conventional heavy-duty pickup trucks and vans and if designated by the manufacturer another consisting of advance technology vehicles for the averaging set as defined in § 535.4. Calculate credits for each fleet separately using the following equation:
(2) Adjust the fuel consumption performance of subconfigurations with advanced technology for determining the fleet average actual fuel consumption value as specified in paragraph (f)(1) of this section and 40 CFR 86.1819-14(d)(7). Advanced technology vehicles can be separated in a different fleet for the purpose of applying credit incentives as described in paragraph (f)(1) of this section.
(3) Adjust the fuel consumption performance for subconfigurations with innovative technology. A manufacturer is eligible to increase the fuel consumption performance of heavy-duty pickup trucks and vans in accordance with procedures established by EPA set forth in 40 CFR part 600. The eligibility of a manufacturer to increase its fuel consumption performance through use of an off-cycle technology requires an application request made to EPA and NHTSA in accordance with 40 CFR 86.1869-12 and an approval granted by the agencies. For off-cycle technologies that are covered under 40 CFR 86.1869-12, NHTSA will collaborate with EPA regarding NHTSA’s evaluation of the specific off-cycle technology to ensure its impact on fuel consumption and the suitability of using the off-cycle technology to adjust fuel consumption performance. NHTSA will provide its views on the suitability of the technology for that purpose to EPA. NHTSA will apply the criteria in section (f) of this section in granting or denying off-cycle requests.
(4) Fuel consumption credits may be generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(a). If a manufacturer chooses to generate CO
(5) Calculate the averaging set credit value by summing together the fleet credits for conventional and advanced technology vehicles including any adjustments for innovative technologies. Manufacturers may sum conventional and innovative technology credits before adding any advanced technology credits in each averaging set.
(6) For credits that manufacturers calculate based on a useful life of 120,000 miles, multiply any banked credits carried forward for use in model year 2021 and later by 1.25. For credit deficits that a manufacturer calculates based on a useful life of 120,000 miles and that it offsets with credits originally earned in model year 2021 and later, it multiplies the credit deficit by 1.25.
(c) ABT provisions for vocational vehicles and tractors. (1) Calculate the fuel consumption credits in a model year for each participating family or subfamily consisting of conventional vehicles in each averaging set (as defined in § 535.4) using the equation in this section. Each designated vehicle family or subfamily has a “family emissions limit” (FEL) that is compared to the associated regulatory subcategory standard. An FEL that falls below the regulatory subcategory standard creates “positive credits,” while fuel consumption level of a family group above the standard creates a “negative credits.” The value of credits generated for each family or subfamily in a model year is calculated as follows and must be rounded to nearest whole number:
| Regulatory subcategory | Payload (tons) |
|---|---|
| Vocational LHD Vehicles | 2.85 |
| Vocational MHD Vehicles | 5.60 |
| Vocational HHD Vehicles | 7.5 |
| MDH Tractors | 12.50 |
| HHD Tractors, other than heavy-haul Tractors | 19.00 |
| Heavy-haul Tractors | 43.00 |
| Regulatory subcategory | UL (miles) |
|---|---|
| LHD Vehicles | 110,000 (Phase 1). 150,000 (Phase 2). |
| Vocational MHD Vehicles and tractors at or below 33,000 pounds GVWR | 185,000. |
| Vocation HHD Vehicles and tractors at or above 33,000 pounds GVWR | 435,000. |
(i) Calculate the value of credits generated in a model year for each family or subfamily consisting of vehicles with advanced technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(1) of this section. Manufacturers may generate credits for advanced technology vehicles using incentives specified in paragraph (f)(1) of this section.
(ii) Calculate the value of credits generated in a model year for each family or subfamily consisting of vehicles with off-cycle technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(2) of this section.
(2) Manufacturers must sum all negative and positive credits for each vehicle family within each applicable averaging set to obtain the total credit balance for the model year before rounding. The sum of fuel consumptions credits must be rounded to the nearest gallon. Calculate the total credits generated in a model year for each averaging set using the following equation:
(3) Manufacturers can sum conventional and innovative technology credits before adding any advanced technology credits in each averaging set.
(4) If a manufacturer chooses to generate CO
(i) Fuel consumption credits may be generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(b) and (c). To do so, a manufacturer must certify its entire U.S.-directed production volume of vehicles. The same production volume restrictions specified in 40 CFR 1037.150(a)(1) relating to when test groups are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (c)(11) of this section relative to the standards that would apply for model year 2014. Surplus credits generated under this paragraph (c)(4) may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if a manufacturer has 10 gallons of surplus credits for model year 2013, it may bank 15 gallons of credits. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
(ii) A tractor manufacturer may generate fuel consumption credits for the number of additional SmartWay designated tractors (relative to its MY 2012 production), provided that credits are not generated for those vehicles under paragraph (c)(4)(i) of this section. Calculate credits for each regulatory sub-category relative to the standard that would apply in model year 2014 using the equations in paragraph (c)(2) of this section. Use a production volume equal to the number of verified model year 2013 SmartWay tractors minus the number of verified model year 2012 SmartWay tractors. A manufacturer may bank credits equal to the surplus credits generated under this paragraph multiplied by 1.50. A manufacturer’s 2012 and 2013 model years must be equivalent in length. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
(5) If a manufacturer generates credits from vehicles certified for advanced technology in accordance with paragraph (e)(1) of this section, a multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits for which the early credit multiplier is used.
(6) For model years 2012 and later, manufacturers may generate or use fuel consumption credits for averaging to demonstrate compliance with the alternative standards as described in § 535.5(b)(6) of this part. Manufacturers can specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be less than the result of emissions and fuel consumption modeling as described in 40 CFR 1037.520 and § 535.6. These FELs serve as the fuel consumption standards for the vehicle subfamily instead of the standards specified in this § 535.5(b)(6). Manufacturers may not use averaging for motor homes, coach buses, emergency vehicles or concrete mixers meeting standards under § 535.5(b)(5).
(7) Manufacturers may not use averaging for vehicles meeting standards § 535.5(b)(6)(iv) through (vi), and manufacturers may not use fuel consumption credits for banking or trading for any vehicles certified under § 535.5(b)(6).
(8) Manufacturers certifying any vehicles under § 535.5(b)(6) must consider each separate vehicle type (or group of vehicle types) as a separate averaging set.
(d) ABT provisions for heavy-duty engines. (1) Calculate the fuel consumption credits in a model year for each participating family or subfamily consisting of engines in each averaging set (as defined in § 535.4) using the equation in this section. Each designated engine family has a “family certification level” (FCL) which is compared to the associated regulatory subcategory standard. A FCL that falls below the regulatory subcategory standard creates “positive credits,” while fuel consumption level of a family group above the standard creates a “credit shortfall.” The value of credits generated in a model year for each engine family or subfamily is calculated as follows and must be rounded to nearest whole number:
| Regulatory subcategory | UL (miles) |
|---|---|
| SI and CI LHD Engines | 120,000 (Phase 1). 150,000 (Phase 2). |
| CI MHD Engines | 185,000. |
| CI HHD Engines | 435,000. |
(i) Calculate the value of credits generated in a model year for each family or subfamily consisting of engines with advanced technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(1) of this section. Manufacturers may generate credits for advanced technology vehicles using incentives specified in paragraph (f)(1) of this section.
(ii) Calculate the value of credits generated in a model year for each family or subfamily consisting of engines with off-cycle technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(2) of this section.
(2) Manufacturers shall sum all negative and positive credits for each engine family within the applicable averaging set to obtain the total credit balance for the model year before rounding. The sum of fuel consumptions credits should be rounded to the nearest gallon.
Calculate the total credits generated in a model year for each averaging set using the following equation:
(3) The provisions of this section apply to manufacturers utilizing the compression-ignition engine voluntary alternate standard provisions specified in § 535.5(d)(4) as follows:
(i) Manufacturers may not certify engines to the alternate standards if they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set.
(ii) Manufacturers may not bank fuel consumption credits for any engine family in the same averaging set and model year in which it certifies engines to the alternate standards. This means a manufacturer may not bank advanced technology credits in a model year it certifies any engines to the alternate standards.
(iii) Note that the provisions of paragraph (d)(10) of this section apply with respect to credit deficits generated while utilizing alternate standards.
(4) Where a manufacturer has chosen to comply with the EPA alternative compression-ignition engine phase-in standard provisions in 40 CFR 1036.150(e), and has optionally decided to follow the same path under the NHTSA fuel consumption program, it must certify all of its model year 2013 compression-ignition engines within a given averaging set to the applicable alternative standards in § 535.5(d)(5). Engines certified to these standards are not eligible for early credits under paragraph (d)(14) of this section. Credits are calculated using the same equation provided in paragraph (d)(11) of this section.
(5) If a manufacturer chooses to generate early CO
(6) Manufacturers may generate fuel consumption credits from an engine family subject to spark-ignition standards for exchanging with other engine families only if the engines in the family are gasoline-fueled.
(7) Engine credits generated for compression-ignition engines in the 2020 and earlier model years may be used in model year 2021 and later only if the credit-generating engines were certified to the tractor standards in § 535.5(d) and 40 CFR 1036.108. Manufacturers may otherwise use fuel consumption credits generated in one model year without adjustment for certifying vehicles in a later model year, even if fuel consumption standards are different.
(8) Engine families manufacturers certify with a nonconformance penalty under 40 CFR part 86, subpart L, and may not generate fuel consumption credits.
(9) Alternate transition option for Phase 2 engine standards. The following provisions allow for enhanced generation and use of fuel consumption credits for manufacturers complying with engines standards in accordance with § 535.7(d)(11):
(i) If a manufacturer is eligible to certify all of its model year 2020 engines within the averaging set to the tractor and vocational vehicle engine standards in § 535.5(d)(11) and the requirements applicable to model year 2021 engines, the banked and traded fuel consumption credits generated for model year 2018 through 2024 engines may be used through model year 2030 as specified in paragraph (d)(9)(ii) of this section or through a five-year credit life, whichever is later.
(ii) Banked and traded fuel consumption credits generated under this paragraph (d)(9) for model year 2018 through 2024 engines may be used through model year 2030 with the extended credit life values shown in the table:
| Model year | Credit life for transition option for phase 2 engine standards (years) |
|---|---|
| 2018 | 12 |
| 2019 | 11 |
| 2020 | 10 |
| 2021 | 9 |
| 2022 | 8 |
| 2023 | 7 |
| 2024 | 6 |
| 2025 and later | 5 |
(e) ABT provisions for trailers. (1) Manufacturers cannot use averaging for non-box trailers, partial-aero trailers, or non-aero trailers or cannot use fuel consumption credits for banking or trading. Starting in model year 2027, full aero box van manufactures may average, credits.
(2) Calculate the fuel consumption credits in a model year for each participating family or subfamily consisting of full aero box trailers (vehicles) in each averaging set (as defined in § 535.4) using the equation in this section. Each designated vehicle family or subfamily has a “family emissions limit” (FEL) which is compared to the associated regulatory subcategory standard. An FEL that falls below the regulatory subcategory standard creates “positive credits,” while fuel consumption level of a family group above the standard creates a “negative credits.” The value of credits generated for each family or subfamily in a model year is calculated as follows and must be rounded to nearest whole number:
(3) Trailer manufacturers may not generate advanced technology credits.
(4) Manufacturers shall sum all negative and positive credits for each vehicle family within the applicable averaging set to obtain the total credit balance for the model year before rounding. Calculate the total credits generated in a model year for each averaging set using the following equation:
(5) Trailer manufacturers may not bank credits within an averaging set but surplus fuel consumption credits from a given model year may be used to offset deficits from earlier model years.
(f) Additional credit provisions – (1) Advanced technology credits. (i) For the Phase 1 program, manufacturers of heavy-duty pickup trucks and vans, vocational vehicles, tractors and the associated engines showing improvements in CO
(A) Heavy-duty pickup trucks and vans. For advanced technology systems (hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines and fuel cell vehicles), calculate fleet-average performance rates consistent with good engineering judgment and the provisions of 40 CFR 86.1819-14 and 86.1865.
(B) Tractors and vocational vehicles. For advanced technology system (hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines and fuel cell vehicles), calculate the advanced technology credits as follows:
(1) Measure the effectiveness of the advanced system by conducting A to B testing a vehicle equipped with the advanced system and an equivalent conventional system in accordance with 40 CFR 1037.615.
(2) For purposes of this paragraph (f), a conventional vehicle is considered to be equivalent if it has the same footprint, intended vehicle service class, aerodynamic drag, and other relevant factors not directly related to the advanced system powertrain. If there is no equivalent vehicle, the manufacturer may create and test a prototype equivalent vehicle. The conventional vehicle is considered Vehicle A, and the advanced technology vehicle is considered Vehicle B.
(3) The benefit associated with the advanced system for fuel consumption is determined from the weighted fuel consumption results from the chassis tests of each vehicle using the following equation:
(4) Calculate the benefit in credits using the equation in paragraph (c) of this section and replacing the term (Std-FEL) with the benefit.
(5) For electric vehicles calculate the fuel consumption credits using an FEL of 0 g/1000 ton-mile.
(C) Heavy-duty engines. This section specifies how to generate advanced technology-specific fuel consumption credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems.
(1) Pre-transmission hybrid powertrains are those engine systems that include features that recover and store energy during engine motoring operation but not from the vehicle wheels. These powertrains are tested using the hybrid engine test procedures of 40 CFR part 1065 or using the post-transmission test procedures.
(2) Post-transmission hybrid powertrains are those powertrains that include features that recover and store energy from braking at the vehicle wheels. These powertrains are tested by simulating the chassis test procedure applicable for hybrid vehicles under 40 CFR 1037.550.
(3) Test engines that include Rankine-cycle exhaust energy recovery systems according to the test procedures specified in 40 CFR part 1036, subpart F, unless EPA approves the manufacturer’s alternate procedures.
(D) Credit calculation. Calculate credits as specified in paragraph (c) of this section. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in 40 CFR 1036.740(d).
(ii) There are no separate credit allowances for advanced technology vehicles in the Phase 2 program. Instead, vehicle families containing plug-in battery electric hybrids, all-electric, and fuel cell vehicles certifying to Phase 2 vocational and tractor standards may multiply credits by a multiplier of:
(A) 3.5 times for plug-in hybrid electric vehicles;
(B) 4.5 times for all-electric vehicles; and
(C) 5.5 times for fuel cell vehicles.
(D) Incentivized credits for vehicles equipped with advanced technologies maintain the same credit flexibilities and restrictions as conventional credits specified in paragraph (a) of this section during the Phase 2 program.
(E) For vocational vehicles and tractors subject to Phase 2 standards, create separate vehicle families if there is a credit multiplier for advanced technology; group those vehicles together in a vehicle family if they use the same multiplier.
(F) For Phase 2 plug-in hybrid electric vehicles and for fuel cells powered by any fuel other than hydrogen, calculate fuel consumption credits using an FEL based on equivalent emission measurements from powertrain testing. Phase 2 advanced-technology credits do not apply for hybrid vehicles that have no plug-in capability.
(2) Innovative and off-cycle technology credits. This provision allows fuel saving innovative and off-cycle engine and vehicle technologies to generate fuel consumption credits comparable to CO
(i) For model years 2013 through 2020, manufacturers may generate innovative technology credits for introducing technologies that were not in-common use for heavy-duty tractor, vocational vehicles or engines before model year 2010 and that are not reflected in the EPA specified test procedures. Upon identification and joint approval with EPA, NHTSA will allow equivalent fuel consumption credits into its program to those allowed by EPA for manufacturers seeking to obtain innovative technology credits in a given model year. Such credits must remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt fuel consumption credits depending upon whether –
(A) The technology has a direct impact upon reducing fuel consumption performance; and
(B) The manufacturer has provided sufficient information to make sound engineering judgments on the impact of the technology in reducing fuel consumption performance.
(ii) For model years 2021 and later, manufacturers may generate off-cycle technology credits for introducing technologies that are not reflected in the EPA specified test procedures. Upon identification and joint approval with EPA, NHTSA will allow equivalent fuel consumption credits into its program to those allowed by EPA for manufacturers seeking to obtain innovative technology credits in a given model year. Such credits must remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt fuel consumption credits depending upon whether –
(A) The technology meets paragraph (f)(2)(i)(A) and (B) of this section.
(B) For heavy-duty pickup trucks and vans, manufacturers using the 5-cycle test to quantify the benefit of a technology are not required to obtain approval from the agencies to generate results.
(iii) The following provisions apply to all innovative and off-cycle technologies:
(A) Technologies found to be defective, or identified as a part of NHTSA’s safety defects program, and technologies that are not performing as intended will have the values of approved off-cycle credits removed from the manufacturer’s credit balance.
(B) Approval granted for innovative and off-cycle technology credits under NHTSA’s fuel efficiency program does not affect or relieve the obligation to comply with the Vehicle Safety Act (49 U.S.C. Chapter 301), including the “make inoperative” prohibition (49 U.S.C. 30122), and all applicable Federal motor vehicle safety standards issued thereunder (FMVSSs) (49 CFR part 571). In order to generate off-cycle or innovative technology credits manufacturers must state –
(1) That each vehicle equipped with the technology for which they are seeking credits will comply with all applicable FMVSS(s); and
(2) Whether or not the technology has a fail-safe provision. If no fail-safe provision exists, the manufacturer must explain why not and whether a failure of the innovative technology would affect the safety of the vehicle.
(C) Manufacturers requesting approval for innovative technology credits are required to provide documentation in accordance with 40 CFR 86.1869-12, 1036.610, and 1037.610.
(D) Credits will be accepted on a one-for-one basis expressed in terms of gallons in comparison to those approved by EPA.
(E) For the heavy-duty pickup trucks and vans, the average fuel consumption will be calculated as a separate credit amount (rounded to the nearest whole number) using the following equation:
(F) NHTSA will not approve innovative technology credits for technology that is related to crash-avoidance technologies, safety critical systems or systems affecting safety-critical functions, or technologies designed for the purpose of reducing the frequency of vehicle crashes.
(iv) Manufacturers normally may not calculate off-cycle credits or improvement factors under this section for technologies represented by GEM, but the agencies may allow a manufacturer to do so by averaging multiple GEM runs for special technologies for which a single GEM run cannot accurately reflect in-use performance. For example, if a manufacturer use an idle-reduction technology that is effective 80 percent of the time, the agencies may allow a manufacturer to run GEM with the technology active and with it inactive, and then apply an 80% weighting factor to calculate the off-cycle credit or improvement factor. A may need to perform testing to establish proper weighting factors or otherwise quantify the benefits of the special technologies.
(v) A manufacturer may apply the off-cycle provisions of this paragraph (2) and 40 CFR 1037.610 to trailers as early as model year 2018 as follows:
(A) A manufacturer may account for weight reduction based on measured values instead of using the weight reductions specified in 40 CFR 1037.515. Quantify the weight reduction by measuring the weight of a trailer in a certified configuration and comparing it to the weight of an equivalent trailer without weight-reduction technologies. This qualifies as A to B testing this part. Use good engineering judgment to select an equivalent trailer representing a baseline configuration. Use the calculated weight reduction in the equation specified in 40 CFR 1037.515 to calculate the trailer’s CO
(B) If a manufacturer’s off-cycle technology reduces emissions and fuel consumption in a way that is proportional to measured rates as described in 40 CFR 1037.610(b)(1), multiply the trailer’s CO
(C) If a manufacturer’s off-cycle technology does not yield emission and fuel consumption reductions that are proportional to measured rates, as described in 40 CFR 1037.610(b)(2), calculate an adjusted CO
(vi) Carry-over Approval. Manufacturers may carry-over these credits into future model years as described below:
(A) For model years before 2021, manufacturers may continue to use an approved improvement factor or credit for any appropriate engine or vehicle family in future model years through 2020.
(B) For model years 2021 and later, manufacturers may not rely on an approval for model years before 2021. Manufacturers must separately request the agencies approval before applying an improvement factor or credit under this section for 2021 and later engines and vehicle, even if the agencies approve the improvement factor or credit for similar engine and vehicle models before model year 2021.
(C) The following restrictions also apply to manufacturers seeking to continue to carryover the improvement factor (not the credit value) if –
(1) The FEL is generated by GEM or 5-cycle testing;
(2) The technology is not changed or paired with any other off-cycle technology;
(3) The improvement factor only applies to approved vehicle or engine families;
(4) The agencies do not expect the technology to be incorporated into GEM at any point during the Phase 2 program; and
(D) The documentation to carryover credits that would primarily justify the difference in fuel efficiency between real world and compliance protocols is the same for both Phase 1 and Phase 2 compliance protocols. The agencies must approve the justification. If the agencies do not approve the justification, the manufacturer must recertify.
§ 535.8 Reporting and recordkeeping requirements.
(a) General requirements. Manufacturers producing heavy-duty vehicles and engines applicable to fuel consumption standards in § 535.5, for each given model year, must submit the required information as specified in paragraphs (b) through (h) of this section.
(1) The information required by this part must be submitted by the deadlines specified in this section and must be based upon all the information and data available to the manufacturer 30 days before submitting information.
(2) Manufacturers must submit information electronically through the EPA database system as the single point of entry for all information required for this national program and both agencies will have access to the information. In special circumstances, data may not be able to be received electronically (i.e., during database system development work). The agencies will inform manufacturer of the alternatives can be used for submitting information. The format for the required information will be specified by EPA in coordination with NHTSA.
(3) Manufacturers providing incomplete reports missing any of the required information or providing untimely reports are considered as not complying with standards (i.e., if good-faith estimates of U.S.-directed production volumes for EPA certificates of conformity are not provided) and are liable to pay civil penalties in accordance with 49 U.S.C. 32912.
(4) Manufacturers certifying a vehicle or engine family using an FEL or FCL below the applicable fuel consumption standard as described in § 535.5 may choose not to generate fuel consumption credits for that family. In which case, the manufacturer is not required to submit reporting or keep the associated records described in this part for that family.
(5) Manufacturers must use good engineering judgment and provide comparable fuel consumption information to that of the information or data provided to EPA under 40 CFR 86.1865, 1036.250, 1036.730, 1036.825 1037.250, 1037.730, and 1037.825.
(6) Any information that must be sent directly to NHTSA. In instances in which EPA has not created an electronic pathway to receive the information, the information should be sent through an electronic portal identified by NHTSA or through the NHTSA CAFE database (i.e., information on fuel consumption credit transactions). If hardcopy documents must be sent, the information should be sent to the Associate Administrator of Enforcement at 1200 New Jersey Avenue, NVS-200, Office W45-306, SW., Washington, DC 20590.
(b) Pre-model year reports. Manufacturers producing heavy-duty pickup trucks and vans must submit reports in advance of the model year providing early estimates demonstrating how their fleet(s) would comply with GHG emissions and fuel consumption standards. Note, the agencies understand that early model year reports contain estimates that may change over the course of a model year and that compliance information manufacturers submit prior to the beginning of a new model year may not represent the final compliance outcome. The agencies view the necessity for requiring early model reports as a manufacturer’s good faith projection for demonstrating compliance with emission and fuel consumption standards.
(1) Report deadlines. For model years 2013 and later, manufacturer of heavy-duty pickup trucks and vans complying with voluntary and mandatory standards must submit a pre-model year report for the given model year as early as the date of the manufacturer’s annual certification preview meeting with EPA and NHTSA, or prior to submitting its first application for a certificate of conformity to EPA in accordance with 40 CFR 86.1819-14(d). For example, a manufacturer choosing to comply in model year 2014 could submit its pre-model year report during its precertification meeting which could occur before January 2, 2013, or could provide its pre-model year report any time prior to submitting its first application for certification for the given model year.
(2) Contents. Each pre-model year report must be submitted including the following information for each model year.
(i) A list of each unique subconfiguration in the manufacturer’s fleet describing the make and model designations, attribute based-values (i.e., GVWR, GCWR, Curb Weight and drive configurations) and standards;
(ii) The emission and fuel consumption fleet average standard derived from the unique vehicle configurations;
(iii) The estimated vehicle configuration, test group and fleet production volumes;
(iv) The expected emissions and fuel consumption test group results and fleet average performance;
(v) If complying with MY 2013 fuel consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply early with the EPA and NHTSA programs. The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;
(vi) If complying with MYs 2014, 2015 or 2016 fuel consumption standards, a statement must be provided declaring whether the manufacturer will use fixed or increasing standards in accordance with § 535.5(a). The manufacturer must also acknowledge that once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;
(vii) If complying with MYs 2014 or 2015 fuel consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply with NHTSA’s voluntary fuel consumption standards in accordance with § 535.5(a)(4). The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;
(viii) The list of Class 2b and 3 incomplete vehicles (cab-complete or chassis complete vehicles) and the method used to certify these vehicles as complete pickups and vans identifying the most similar complete sister- or other complete vehicles used to derive the target standards and performance test results;
(ix) The list of Class 4 and 5 incomplete and complete vehicles and the method use to certify these vehicles as complete pickups and vans identifying the most similar complete or sister vehicles used to derive the target standards and performance test results;
(x) List of loose engines included in the heavy-duty pickup and van category and the list of vehicles used to derive target standards and performance test results;
(xi) Copy of any notices a vehicle manufacturer sends to the engine manufacturer to notify the engine manufacturers that their engines are subject to emissions and fuel consumption standards and that it intends to use their engines in excluded vehicles;
(xii) A fuel consumption credit plan as specified § 535.7(a) identifying the manufacturers estimated credit balances, planned credit flexibilities (i.e., credit balances, planned credit trading, innovative, advanced and early credits and etc.) and if needed a credit deficit plan demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred; and
(xiii) The supplemental information specified in paragraph (h) of this section.
NHTSA may also ask a manufacturer to provide additional information if necessary to verify compliance with the fuel consumption requirements of this section.
(c) Applications for certificate of conformity. Manufacturers producing vocational vehicles, tractors and heavy-duty engines are required to submit applications for certificates of conformity to EPA in accordance with 40 CFR 1036.205 and 1037.205 in advance of introducing vehicles for commercial sale. Applications contain early model year information demonstrating how manufacturers plan to comply with GHG emissions. For model years 2013 and later, manufacturers of vocational vehicles, tractors and engine complying with NHTSA’s voluntary and mandatory standards must submit applications for certificates of conformity in accordance through the EPA database including both GHG emissions and fuel consumption information for each given model year.
(1) Submission deadlines. Applications are primarily submitted in advance of the given model year to EPA but cannot be submitted any later than December 31 of the given model year.
(2) Contents. Each application for certificates of conformity submitted to EPA must include the following equivalent fuel consumption.
(i) Equivalent fuel consumption values for emissions CO
(ii) Equivalent fuel consumption values for emission CO
(iii) Equivalent fuel consumption values for emissions CO
(iv) Report modeling results for ten configurations in terms of CO
(v) Credit plans including the fuel consumption credit plan described in § 535.7(a).
(3) Additional supplemental information. Manufacturers are required to submit additional information as specified in paragraph (h) of this section for the NHTSA program before or at the same time it submits its first application for a certificate of conformity to EPA. Under limited conditions, NHTSA may also ask a manufacturer to provide additional information directly to the Administrator if necessary to verify the fuel consumption requirements of this regulation.
(d) End of the Year (EOY) and Final reports. Heavy-duty vehicle and engine manufacturers participating in the ABT program are required to submit EOY and final reports containing information for NHTSA as specified in paragraph (d)(2) of this section and in accordance with 40 CFR 86.1865, 1036.730, and 1037.730. Only manufacturers without credit deficits may decide not to participate in the ABT or may waive the requirement to send an EOY report. The EOY and final reports are used to review a manufacturer’s preliminary or final compliance information and to identify manufacturers that might have a credit deficit for the given model year. For model years 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA’s voluntary and mandatory standards must submit EOY and final reports through the EPA database including both GHG emissions and fuel consumption information for each given model year.
(1) Report deadlines. (i) For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit EOY reports through the EPA database including both GHG emissions and fuel consumption information within 90 days after the end of the given model year and no later than March 31 of the next calendar year.
(ii) For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit final reports through the EPA database including both GHG emissions and fuel consumption information within 270 days after the end of the given model year and no later than September 30 of the next calendar year.
(iii) A manufacturer may ask NHTSA and EPA to extend the deadline of a final report by up to 30 days. A manufacturer unable to provide, and requesting to omit an emissions rate or fuel consumption value from a final report must obtain approval from the agencies prior to the submission deadline of its final report.
(iv) If a manufacturer expects differences in the information reported between the EOY and the final year report specified in 40 CFR 1036.730 and 1037.730, it must provide the most up-to-date fuel consumption projections in its final report and identify the information as preliminary.
(v) If the manufacturer cannot provide any of the required fuel consumption information, it must state the specific reason for the insufficiency and identify the additional testing needed or explain what analytical methods are believed by the manufacturer will be necessary to eliminate the insufficiency and certify that the results will be available for the final report.
(2) Contents. Each EOY and final report must be submitted including the following fuel consumption information for each model year. EOY reports contain preliminary final estimates and final reports must include the manufacturer’s final compliance information.
(i) Engine and vehicle family designations and averaging sets.
(ii) Engine and vehicle regulatory subcategory and fuel consumption standards including any alternative standards used.
(iii) Engine and vehicle family FCLs and FELs in terms of fuel consumption.
(iv) Production volumes for engines and vehicles.
(v) A summary as specified in paragraph (g)(7) of this section describing the vocational vehicles and vocational tractors that were exempted as heavy-duty off-road vehicles. This applies to manufacturers participating and not participating in the ABT program.
(vi) A summary describing any advanced or innovative technology engines or vehicles including alternative fueled vehicles that were produced for the model year identifying the approaches used to determinate compliance and the production volumes.
(vii) A list of each unique subconfiguration included in a manufacturer’s fleet of heavy-duty pickup trucks and vans identifying the attribute based-values (GVWR, GCWR, Curb Weight, and drive configurations) and standards. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.
(viii) The fuel consumption fleet average standard derived from the unique vehicle configurations. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.
(ix) The subconfiguration and test group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.
(x) The fuel consumption test group results and fleet average performance. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.
(xi) Manufacturers may correct errors in EOY and final reports as follows:
(A) Manufacturers may correct any errors in their end-of-year report when preparing the final report, as long as manufacturers send us the final report by the time it is due.
(B) If manufacturers or the agencies determine within 270 days after the end of the model year that errors mistakenly decreased he manufacturer’s balance of fuel consumption credits, manufacturers may correct the errors and recalculate the balance of its fuel consumption credits. Manufacturers may not make any corrections for errors that are determined more than 270 days after the end of the model year. If manufacturers report a negative balance of fuel consumption credits, NHTSA may disallow corrections under this paragraph (d)(2)(xi)(B).
(C) If manufacturers or the agencies determine any time that errors mistakenly increased its balance of fuel consumption credits, manufacturers must correct the errors and recalculate the balance of fuel consumption credits.
(xii) Under limited conditions, NHTSA may also ask a manufacturer to provide additional information directly to the Administrator if necessary to verify the fuel consumption requirements of this regulation.
(e) Amendments to applications for certification. At any time, a manufacturer modifies an application for certification in accordance with 40 CFR 1036.225 and 1037.225, it must submit GHG emissions changes with equivalent fuel consumption values for the information required in paragraphs (b) through (e) and (h) of this section.
(f) Confidential information. Manufacturers must submit a request for confidentiality with each electronic submission specifying any part of the for information or data in a report that it believes should be withheld from public disclosure as trade secret or other confidential business information. Information submitted to EPA should follow EPA guidelines for treatment of confidentiality. Requests for confidential treatment for information submitted to NHTSA must be filed in accordance with the requirements of 49 CFR part 512, including submission of a request for confidential treatment and the information for which confidential treatment is requested as specified by part 512. For any information or data requested by the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 49 U.S.C. 32910(c), the manufacturer shall present arguments and provide evidence in its request for confidentiality demonstrating that –
(1) The item is within the scope of 5 U.S.C. 552(b)(4) and 49 U.S.C. 32910(c);
(2) The disclosure of the information at issue would cause significant competitive damage;
(3) The period during which the item must be withheld to avoid that damage; and
(4) How earlier disclosure would result in that damage.
(g) Additional required information. The following additional information is required to be submitted through the EPA database. NHTSA reserves the right to ask a manufacturer to provide additional information if necessary to verify the fuel consumption requirements of this regulation.
(1) Small businesses. For model years 2013 through 2020, vehicles and engines produced by small business manufacturers meeting the criteria in 13 CFR 121.201 are exempted from the requirements of this part. Qualifying small business manufacturers must notify EPA and NHTSA Administrators before importing or introducing into U.S. commerce exempted vehicles or engines. This notification must include a description of the manufacturer’s qualification as a small business under 13 CFR 121.201. Manufacturers must submit this notification to EPA, and EPA will provide the notification to NHTSA. The agencies may review a manufacturer’s qualification as a small business manufacturer under 13 CFR 121.201.
(2) Emergency vehicles. For model years 2021 and later, emergency vehicles produced by heavy-duty pickup truck and van manufacturers are exempted except those produced by manufacturers voluntarily complying with standards in § 535.5(a). Manufacturers must notify the agencies in writing if using the provisions in § 535.5(a) to produce exempted emergency vehicles in a given model year, either in the report specified in 40 CFR 86.1865 or in a separate submission.
(3) Early introduction. The provision applies to manufacturers seeking to comply early with the NHTSA’s fuel consumption program prior to model year 2014. The manufacturer must send the request to EPA before submitting its first application for a certificate of conformity.
(4) NHTSA voluntary compliance model years. Manufacturers must submit a statement declaring whether the manufacturer chooses to comply voluntarily with NHTSA’s fuel consumption standards for model years 2014 through 2015. The manufacturers must acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity.
(5) Alternative engine standards. Manufacturers choosing to comply with the alternative engine standards must notify EPA and NHTSA of their choice and include in that notification a demonstration that it has exhausted all available credits and credit opportunities. The manufacturer must send the statement to EPA before submitting its EOY report.
(6) Alternate phase-in. Manufacturers choosing to comply with the alternative engine phase-in must notify EPA and NHTSA of their choice. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity.
(7) Off-road exclusion (tractors and vocational vehicles only). (i) Tractors and vocational vehicles primarily designed to perform work in off-road environments such as forests, oil fields, and construction sites may be exempted without request from the requirements of this regulation as specified in 49 CFR 523.2 and § 535.5(b). Within 90 days after the end of each model year, manufacturers must send EPA and NHTSA through the EPA database a report with the following information:
(A) A description of each excluded vehicle configuration, including an explanation of why it qualifies for this exclusion.
(B) The number of vehicles excluded for each vehicle configuration.
(ii) A manufacturer having an off-road vehicle failing to meet the criteria under the agencies’ off-road exclusions will be allowed to request an exclusion of such a vehicle from EPA and NHTSA. The approval will be granted through the certification process for the vehicle family and will be done in collaboration between EPA and NHTSA in accordance with the provisions in 40 CFR 1037.150, 1037.210, and 1037.631.
(8) Vocational tractors. Tractors intended to be used as vocational tractors may comply with vocational vehicle standards in § 535.5(b). Manufacturers classifying tractors as vocational tractors must provide a description of how they meet the qualifications in their applications for certificates of conformity as specified in 40 CFR 1037.205.
(9) Approval of alternate methods to determine drag coefficients (tractors only). Manufacturers seeking to use alternative methods to determine aerodynamic drag coefficients must provide a request and gain approval by EPA in accordance with 40 CFR 1037.525. The manufacturer must send the request to EPA before submitting its first application for a certificate of conformity.
(10) Innovative and off-cycle technology credits. Manufacturers pursuing innovative and off-cycle technology credits must submit information to the agencies and may be subject to a public evaluation process in which the public would have opportunity for comment if the manufacturer is not using a test procedure in accordance with 40 CFR 1037.610(c). Whether the approach involves on-road testing, modeling, or some other analytical approach, the manufacturer would be required to present a final methodology to EPA and NHTSA. EPA and NHTSA would approve the methodology and credits only if certain criteria were met. Baseline emissions and fuel consumption and control emissions and fuel consumption would need to be clearly demonstrated over a wide range of real world driving conditions and over a sufficient number of vehicles to address issues of uncertainty with the data. Data would need to be on a vehicle model-specific basis unless a manufacturer demonstrated model-specific data was not necessary. The agencies may publish a notice of availability in the
(11) Credit trades. If a manufacturer trades fuel consumption credits, it must send EPA and NHTSA a fuel consumption credit plan as specified in § 535.7(a) and provide the following additional information:
(i) As the seller, the manufacturer must include the following information:
(A) The corporate names of the buyer and any brokers.
(B) A copy of any contracts related to the trade.
(C) The averaging set corresponding to the engine families that generated fuel consumption credits for the trade, including the number of fuel consumption credits from each averaging set.
(ii) As the buyer, the manufacturer or entity must include the following information in its report:
(A) The corporate names of the seller and any brokers.
(B) A copy of any contracts related to the trade.
(C) How the manufacturer or entity intends to use the fuel consumption credits, including the number of fuel consumption credits it intends to apply for each averaging set.
(D) A copy of the contract with signatures from both the buyer and the seller.
(12) Production reports. Within 90 days after the end of the model year and no later than March 31st, manufacturers participating and not-participating in the ABT program must send to EPA and NHTSA a report including the total U.S.-directed production volume of vehicles it produced in each vehicle and engine family during the model year (based on information available at the time of the report) as required by 40 CFR 1036.250 and 1037.250. Trailer manufacturers must include a separate report including the total U.S.-directed production volume of excluded trailers as allowed by § 535.3(e). Each manufacturer shall report by vehicle or engine identification number and by configuration and identify the subfamily identifier. Report uncertified vehicles sold to secondary vehicle manufacturers. Small business manufacturers may omit reporting. Identify any differences between volumes included for EPA but excluded for NHTSA.
(13) Transition to engine-based model years. The following provisions apply for production and ABT reports during the transition to engine-based model year determinations for tractors and vocational vehicles in 2020 and 2021:
(i) If a manufacturer installs model year 2020 or earlier engines in the manufacturer’s vehicles in calendar year 2020, include all those Phase 1 vehicles in its production and ABT reports related to model year 2020 compliance, although the agencies may require the manufacturer to identify these separately from vehicles produced in calendar year 2019.
(ii) If a manufacturer installs model year 2020 engines in its vehicles in calendar year 2021, submit production and ABT reports for those Phase 1 vehicles separate from the reports it submits for Phase 2 vehicles with model year 2021 engines.
(h) Public information. Based upon information submitted by manufacturers and EPA, NHTSA will publish fuel consumption standards and performance results.
(i) Information received from EPA. NHTSA will receive information from EPA as specified in 40 CFR 1036.755 and 1037.755.
(j) Recordkeeping. NHTSA has the same recordkeeping requirements as the EPA, specified in 40 CFR 86.1865-12(k), 1036.250, 1036.735, 1036.825, 1037.250, 1037.735, and 1037.825. The agencies each reserve the right to request information contained in reports separately.
(1) Manufacturers must organize and maintain records for NHTSA as described in this section. NHTSA in conjunction or separately from EPA may review a manufacturers records at any time.
(2) Keep the records required by this section for at least eight years after the due date for the end-of-year report. Manufacturers may not use fuel consumption credits for any engines if it does not keep all the records required under this section. Manufacturers must therefore keep these records to continue to bank valid credits. Store these records in any electronic format and on any media, as long as the manufacturer can promptly send the agencies organized records in English if the agencies ask for them. Manufacturers must keep these records readily available. NHTSA may review them at any time.
(3) Keep a copy of the reports required in § 535.8 and 40 CFR 1036.725,1036.730, 1037.725 and 1037.730.
(4) Keep records of the vehicles and engine identification number (usually the serial number) for each vehicle and engine produced that generates or uses fuel consumption credits under the ABT program. Manufacturers may identify these numbers as a range. If manufacturers change the FEL after the start of production, identify the date started using each FEL/FCL and the range of vehicles or engine identification numbers associated with each FEL/FCL. Manufacturers must also identify the purchaser and destination for each vehicle and engine produced to the extent this information is available.
(5) The agencies may require manufacturers to keep additional records or to send relevant information not required by this section in accordance with each agency’s authority.
(6) If collected separately and NHTSA finds that information is provided fraudulent or grossly negligent or otherwise provided in bad faith, the manufacturer may be liable to civil penalties in accordance with each agency’s authority.
§ 535.9 Enforcement approach.
(a) Compliance. (1) Each year NHTSA will assess compliance with fuel consumption standards as specified in § 535.10.
(i) NHTSA may conduct audits or verification testing prior to first sale throughout a given model year or after the model year in order to validate data received from manufacturers and will discuss any potential issues with EPA and the manufacturer. Audits may periodically be performed to confirm manufacturers credit balances or other credit transactions.
(ii) NHTSA may also conduct field inspections either at manufacturing plants or at new vehicle dealerships to validate data received from manufacturers. Field inspections will be carried out in order to validate the condition of vehicles, engines or technology prior to first commercial sale to verify each component’s certified configuration as initially built. NHTSA reserves the right to conduct inspections at other locations but will target only those components for which a violation would apply to OEMs and not the fleets or vehicle owners. Compliance inspections could be carried out through a number of approaches including during safety inspections or during compliance safety testing.
(iii) NHTSA will conduct audits and inspections in the same manner and, when possible, in conjunction with EPA. NHTSA will also attempt to coordinate inspections with EPA and share results.
(iv) Documents collected under NHTSA safety authority may be used to support fuel efficiency audits and inspections.
(2) At the end of each model year NHTSA will confirm a manufacturer’s fleet or family performance values against the applicable standards and, if a manufacturer uses a credit flexibility, the amount of credits in each averaging set. The averaging set balance is based upon the engines or vehicles performance above or below the applicable regulatory subcategory standards in each respective averaging set and any credits that are traded into or out of an averaging set during the model year.
(i) If the balance is positive, the manufacturer is designated as having a credit surplus.
(ii) If the balance is negative, the manufacturer is designated as having a credit deficit.
(iii) NHTSA will provide notification to each manufacturer confirming its credit balance(s) after the end of each model year directly or through EPA.
(3) Manufacturer are required to confirm the negative balance and submit a fuel consumption credit plan as specified in § 535.7(a) along with supporting documentation indicating how it will allocate existing credits or earn (providing information on future vehicles, engines or technologies), and/or acquire credits, or else be liable for a civil penalty as determined in paragraph (b) of this section. The manufacturer must submit the information within 60 days of receiving agency notification.
(4) Credit shortfall within an averaging set may be carried forward only three years, and if not offset by earned or traded credits, the manufacturer may be liable for a civil penalty as described in paragraph (b) of this section.
(5) Credit allocation plans received from a manufacturer will be reviewed and approved by NHTSA. NHTSA will approve a credit allocation plan unless it determines that the proposed credits are unavailable or that it is unlikely that the plan will result in the manufacturer earning or acquiring sufficient credits to offset the subject credit shortfall. In the case where a manufacturer submits a plan to acquire future model year credits earned by another manufacturer, NHTSA will require a signed agreement by both manufacturers to initiate a review of the plan. If a plan is approved, NHTSA will revise the respective manufacturer’s credit account accordingly by identifying which existing or traded credits are being used to address the credit shortfall, or by identifying the manufacturer’s plan to earn future credits for addressing the respective credit shortfall. If a plan is rejected, NHTSA will notify the respective manufacturer and request a revised plan. The manufacturer must submit a revised plan within 14 days of receiving agency notification. The agency will provide a manufacturer one opportunity to submit a revised credit allocation plan before it initiates civil penalty proceedings.
(6) For purposes of this regulation, NHTSA will treat the use of future credits for compliance, as through a credit allocation plan, as a deferral of civil penalties for non-compliance with an applicable fuel consumption standard.
(7) If NHTSA receives and approves a manufacturer’s credit allocation plan to earn future credits within the following three model years in order to comply with regulatory obligations, NHTSA will defer levying civil penalties for non-compliance until the date(s) when the manufacturer’s approved plan indicates that credits will be earned or acquired to achieve compliance, and upon receiving confirmed CO
(8) In the event that NHTSA fails to receive or is unable to approve a plan for a non-compliant manufacturer due to insufficiency or untimeliness, NHTSA may initiate civil penalty proceedings.
(9) In the event that a manufacturer fails to report accurate fuel consumption data for vehicles or engines covered under this rule, noncompliance will be assumed until corrected by submission of the required data, and NHTSA may initiate civil penalty proceedings.
(10) If EPA suspends or revoke a certificate of conformity as specified in 40 CFR 1036.255 or 1037.255, and a manufacturer is unable to take a corrective action allowed by EPA, noncompliance will be assumed, and NHTSA may initiate civil penalty proceedings or revoke fuel consumption credits.
(b) Civil penalties – (1) Generally. NHTSA may assess a civil penalty for any violation of this part under 49 U.S.C. 32902(k). This section states the procedures for assessing civil penalties for violations of § 535.3(h). The provisions of 5 U.S.C. 554, 556, and 557 do not apply to any proceedings conducted pursuant to this section.
(2) Initial determination of noncompliance. An action for civil penalties is commenced by the execution of a Notice of Violation. A determination by NHTSA’s Office of Enforcement of noncompliance with applicable fuel consumption standards utilizing the certified and reported CO
(3) Numbers of violations and maximum civil penalties. Any violation shall constitute a separate violation with respect to each vehicle or engine within the applicable regulatory averaging set. The maximum civil penalty is not more than $37,500.00 per vehicle or engine. The maximum civil penalty under this section for a related series of violations shall be determined by multiplying $37,500.00 times the vehicle or engine production volume for the model year in question within the regulatory averaging set. NHTSA may adjust this civil penalty amount to account for inflation.
(4) Factors for determining penalty amount. In determining the amount of any civil penalty proposed to be assessed or assessed under this section, NHTSA shall take into account the gravity of the violation, the size of the violator’s business, the violator’s history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standards, the estimated cost to comply with the regulation and applicable standards, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator’s ability to continue in business. The “estimated cost to comply with the regulation and applicable standards,” will be used to ensure that penalties for non-compliance will not be less than the cost of compliance.
(5) NHTSA enforcement report of determination of non-compliance. (i) If NHTSA Enforcement determines that a violation has occurred, NHTSA Enforcement may prepare a report and send the report to the NHTSA Chief Counsel.
(ii) The NHTSA Chief Counsel will review the report prepared by NHTSA Enforcement to determine if there is sufficient information to establish a likely violation.
(iii) If the Chief Counsel determines that a violation has likely occurred, the Chief Counsel may issue a Notice of Violation to the party.
(iv) If the Chief Counsel issues a Notice of Violation, he or she will prepare a case file with recommended actions. A record of any prior violations by the same party shall be forwarded with the case file.
(6) Notice of violation. (i) The Notice of Violation will contain the following information:
(A) The name and address of the party;
(B) The alleged violation(s) and the applicable fuel consumption standard(s) violated;
(C) The amount of the proposed penalty and basis for that amount;
(D) The place to which, and the manner in which, payment is to be made;
(E) A statement that the party may decline the Notice of Violation and that if the Notice of Violation is declined within 30 days of the date shown on the Notice of Violation, the party has the right to a hearing, if requested within 30 days of the date shown on the Notice of Violation, prior to a final assessment of a penalty by a Hearing Officer; and
(F) A statement that failure to either pay the proposed penalty or to decline the Notice of Violation and request a hearing within 30 days of the date shown on the Notice of Violation will result in a finding of violation by default and that NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.
(ii) The Notice of Violation may be delivered to the party by –
(A) Mailing to the party (certified mail is not required);
(B) Use of an overnight or express courier service; or
(C) Facsimile transmission or electronic mail (with or without attachments) to the party or an employee of the party.
(iii) At any time after the Notice of Violation is issued, NHTSA and the party may agree to reach a compromise on the payment amount.
(iv) Once a penalty amount is paid in full, a finding of “resolved with payment” will be entered into the case file.
(v) If the party agrees to pay the proposed penalty, but has not made payment within 30 days of the date shown on the Notice of Violation, NHTSA will enter a finding of violation by default in the matter and NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.
(vi) If within 30 days of the date shown on the Notice of Violation a party fails to pay the proposed penalty on the Notice of Violation, and fails to request a hearing, then NHTSA will enter a finding of violation by default in the case file, and will assess the civil penalty in the amount set forth on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.
(vii) NHTSA’s order assessing the civil penalty following a party’s default is a final agency action.
(7) Hearing Officer. (i) If a party timely requests a hearing after receiving a Notice of Violation, a Hearing Officer shall hear the case.
(ii) The Hearing Officer will be appointed by the NHTSA Administrator, and is solely responsible for the case referred to him or her. The Hearing Officer shall have no other responsibility, direct or supervisory, for the investigation of cases referred for the assessment of civil penalties. The Hearing Officer shall have no duties related to the light-duty fuel economy or medium- and heavy-duty fuel efficiency programs.
(iii) The Hearing Officer decides each case on the basis of the information before him or her.
(8) Initiation of action before the Hearing Officer. (i) After the Hearing Officer receives the case file from the Chief Counsel, the Hearing Officer notifies the party in writing of –
(A) The date, time, and location of the hearing and whether the hearing will be conducted telephonically or at the DOT Headquarters building in Washington, DC;
(B) The right to be represented at all stages of the proceeding by counsel as set forth in paragraph (b)(9) of this section; and
(C) The right to a free copy of all written evidence in the case file.
(ii) On the request of a party, or at the Hearing Officer’s direction, multiple proceedings may be consolidated if at any time it appears that such consolidation is necessary or desirable.
(9) Counsel. A party has the right to be represented at all stages of the proceeding by counsel. A party electing to be represented by counsel must notify the Hearing Officer of this election in writing, after which point the Hearing Officer will direct all further communications to that counsel. A party represented by counsel bears all of its own attorneys’ fees and costs.
(10) Hearing location and costs. (i) Unless the party requests a hearing at which the party appears before the Hearing Officer in Washington, DC, the hearing may be held telephonically. In Washington, DC, the hearing is held at the headquarters of the U.S. Department of Transportation.
(ii) The Hearing Officer may transfer a case to another Hearing Officer at a party’s request or at the Hearing Officer’s direction.
(iii) A party is responsible for all fees and costs (including attorneys’ fees and costs, and costs that may be associated with travel or accommodations) associated with attending a hearing.
(11) Hearing procedures. (i) There is no right to discovery in any proceedings conducted pursuant to this subpart.
(ii) The material in the case file pertinent to the issues to be determined by the Hearing Officer is presented by the Chief Counsel or his or her designee.
(iii) The Chief Counsel may supplement the case file with information prior to the hearing. A copy of such information will be provided to the party no later than three business days before the hearing.
(iv) At the close of the Chief Counsel’s presentation of evidence, the party has the right to examine respond to and rebut material in the case file and other information presented by the Chief Counsel. In the case of witness testimony, both parties have the right of cross-examination.
(v) In receiving evidence, the Hearing Officer is not bound by strict rules of evidence. In evaluating the evidence presented, the Hearing Officer must give due consideration to the reliability and relevance of each item of evidence.
(vi) At the close of the party’s presentation of evidence, the Hearing Officer may allow the introduction of rebuttal evidence that may be presented by the Chief Counsel.
(vii) The Hearing Officer may allow the party to respond to any rebuttal evidence submitted.
(viii) After the evidence in the case has been presented, the Chief Counsel and the party may present arguments on the issues in the case. The party may also request an opportunity to submit a written statement for consideration by the Hearing Officer and for further review. If granted, the Hearing Officer shall allow a reasonable time for submission of the statement and shall specify the date by which it must be received. If the statement is not received within the time prescribed, or within the limits of any extension of time granted by the Hearing Officer, it need not be considered by the Hearing Officer.
(ix) A verbatim transcript of the hearing will not normally be prepared. A party may, solely at its own expense, cause a verbatim transcript to be made. If a verbatim transcript is made, the party shall submit two copies to the Hearing Officer not later than 15 days after the hearing. The Hearing Officer shall include such transcript in the record.
(12) Determination of violations and assessment of civil penalties. (i) Not later than 30 days following the close of the hearing, the Hearing Officer shall issue a written decision on the Notice of Violation, based on the hearing record. This may be extended by the Hearing officer if the submissions by the Chief Counsel or the party are voluminous. The decision shall address each alleged violation, and may do so collectively. For each alleged violation, the decision shall find a violation or no violation and provide a basis for the finding. The decision shall set forth the basis for the Hearing Officer’s assessment of a civil penalty, or decision not to assess a civil penalty. In determining the amount of the civil penalty, the gravity of the violation, the size of the violator’s business, the violator’s history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standard, the estimated cost to comply with the regulation and applicable standard, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator’s ability to continue in business. The assessment of a civil penalty by the Hearing Officer shall be set forth in an accompanying final order. The Hearing Officer’s written final order is a final agency action.
(ii) If the Hearing Officer assesses civil penalties in excess of $1,000,000, the Hearing Officer’s decision shall contain a statement advising the party of the right to an administrative appeal to the Administrator within a specified period of time. The party is advised that failure to submit an appeal within the prescribed time will bar its consideration and that failure to appeal on the basis of a particular issue will constitute a waiver of that issue in its appeal before the Administrator.
(iii) The filing of a timely and complete appeal to the Administrator of a Hearing Officer’s order assessing a civil penalty shall suspend the operation of the Hearing Officer’s penalty, which shall no longer be a final agency action.
(iv) There shall be no administrative appeals of civil penalties assessed by a Hearing Officer of less than $1,000,000.
(13) Appeals of civil penalties in excess of $1,000,000. (i) A party may appeal the Hearing Officer’s order assessing civil penalties over $1,000,000 to the Administrator within 21 days of the date of the issuance of the Hearing Officer’s order.
(ii) The Administrator will review the decision of the Hearing Officer de novo, and may affirm the decision of the hearing officer and assess a civil penalty, or
(iii) The Administrator may –
(A) Modify a civil penalty;
(B) Rescind the Notice of Violation; or
(C) Remand the case back to the Hearing Officer for new or additional proceedings.
(iv) In the absence of a remand, the decision of the Administrator in an appeal is a final agency action.
(14) Collection of assessed or compromised civil penalties. (i) Payment of a civil penalty, whether assessed or compromised, shall be made by check, postal money order, or electronic transfer of funds, as provided in instructions by the agency. A payment of civil penalties shall not be considered a request for a hearing.
(ii) The party must remit payment of any assessed civil penalty to NHTSA within 30 days after receipt of the Hearing Officer’s order assessing civil penalties, or, in the case of an appeal to the Administrator, within 30 days after receipt of the Administrator’s decision on the appeal.
(iii) The party must remit payment of any compromised civil penalty to NHTSA on the date and under such terms and conditions as agreed to by the party and NHTSA. Failure to pay may result in NHTSA entering a finding of violation by default and assessing a civil penalty in the amount proposed in the Notice of Violation without processing the violation under the hearing procedures set forth in this part.
(c) Changes in corporate ownership and control. Manufacturers must inform NHTSA of corporate relationship changes to ensure that credit accounts are identified correctly and credits are assigned and allocated properly.
(1) In general, if two manufacturers merge in any way, they must inform NHTSA how they plan to merge their credit accounts. NHTSA will subsequently assess corporate fuel consumption and compliance status of the merged fleet instead of the original separate fleets.
(2) If a manufacturer divides or divests itself of a portion of its automobile manufacturing business, it must inform NHTSA how it plans to divide the manufacturer’s credit holdings into two or more accounts. NHTSA will subsequently distribute holdings as directed by the manufacturer, subject to provision for reasonably anticipated compliance obligations.
(3) If a manufacturer is a successor to another manufacturer’s business, it must inform NHTSA how it plans to allocate credits and resolve liabilities per 49 CFR part 534.
§ 535.10 How do manufacturers comply with fuel consumption standards?
(a) Pre-certification process. (1) Regulated manufacturers determine eligibility to use exemptions or exclusions in accordance with § 535.3.
(2) Manufacturers may seek preliminary approvals as specified in 40 CFR 1036.210 and 40 CFR 1037.210 from EPA and NHTSA, if needed. Manufacturers may request to schedule pre-certification meetings with EPA and NHTSA prior to submitting approval requests for certificates of conformity to address any joint compliance issues and gain informal feedback from the agencies.
(3) The requirements and prohibitions required by EPA in special circumstances in accordance with 40 CFR 1037.601 and 40 CFR part 1068 apply to manufacturers for the purpose of complying with fuel consumption standards. Manufacturers should use good judgment when determining how EPA requirements apply in complying with the NHTSA program. Manufacturers may contact NHTSA and EPA for clarification about how these requirements apply to them.
(4) In circumstances in which EPA provides multiple compliance approaches manufacturers must choose the same compliance path to comply with NHTSA’s fuel consumption standards that they choose to comply with EPA’s greenhouse gas emission standards.
(5) Manufacturers may not introduce new vehicles into commerce without a certificate of conformity from EPA. Manufacturers must attest to several compliance standards in order to obtain a certificate of conformity. This includes stating comparable fuel consumption results for all required CO
(6) Manufacturers apply the fuel consumption standards specified in § 535.5 to vehicles, engines and components that represent production units and components for vehicle and engine families, sub-families and configurations consistent with the EPA specifications in 40 CFR 86.1819, 1036.230, and 1037.230.
(7) Only certain vehicles and engines are allowed to comply differently between the NHTSA and EPA programs as detailed in this section. These vehicles and engines must be identified by manufacturers in the ABT and production reports required in § 535.8.
(b) Model year compliance. Manufacturers are required to conduct testing to demonstrate compliance with CO
(c) End-of-the-year process. Manufacturers comply with fuel consumption standards after the end of each model year, if –
(1) For heavy-duty pickup trucks and vans, the manufacturer’s fleet average performance, as determined in § 535.6, is less than the fleet average standard; or
(2) For truck tractors, vocational vehicles, engines and box trailers the manufacturer’s fuel consumption performance for each vehicle or engine family (or sub-family), as determined in § 535.6, is lower than the applicable regulatory subcategory standards in § 535.5.
(3) For non-box and non-aero trailers, a manufacturer is considered in compliance with fuel consumption standards if all trailers meet the specified standards in § 535.5(e)(1)(i).
(4) NHTSA will use the EPA final verified values as specified in 40 CFR 86.1819, 40 CFR 1036.755, and 1037.755 for making final determinations on whether vehicles and engines comply with fuel consumption standards.
(5) A manufacturer fails to comply with fuel consumption standards if its final reports are not provided in accordance with § 535.8 and 40 CFR 86.1865, 1036.730, and 1037.730. Manufacturers not providing complete or accurate final reports or any plans by the required deadlines do not comply with fuel consumption standards. A manufacturer that is unable to provide any emissions results along with comparable fuel consumption values must obtain permission for EPA to exclude the results prior to the deadline for submitting final reports.
(6) A manufacturer that would otherwise fail to directly comply with fuel consumption standards as described in paragraphs (c)(1) through (3) of this section may use one or more of the credit flexibilities provided under the NHTSA averaging, banking and trading program, as specified in § 535.7, but must offset all credit deficits in its averaging sets to achieve compliance.
(7) A manufacturer failing to comply with the provisions specified in this part may be liable to pay civil penalties in accordance with § 535.9.
(8) A manufacturer may also be liable to pay civil penalties if found by EPA or NHTSA to have provided false information as identified through NHTSA or EPA enforcement audits or new vehicle verification testing as specified in § 535.9 and 40 CFR parts 86, 1036, and 1037.
PART 536 – TRANSFER AND TRADING OF FUEL ECONOMY CREDITS
§ 536.1 Scope.
This part establishes regulations governing the use and application of CAFE credits up to three model years before and five model years after the model year in which the credit was earned. It also specifies requirements for manufacturers wishing to transfer fuel economy credits between their fleets and for manufacturers and other persons wishing to trade fuel economy credits to achieve compliance with prescribed fuel economy standards.
§ 536.2 Application.
This part applies to all credits earned (and transferable and tradable) for exceeding applicable average fuel economy standards in a given model year for domestically manufactured passenger cars, imported passenger cars, and light trucks.
§ 536.3 Definitions.
(a) Statutory terms. All terms defined in 49 U.S.C. § 32901(a) are used pursuant to their statutory meaning.
(b) Other terms.
Above standard fuel economy means, with respect to a compliance category, that the automobiles manufactured by a manufacturer in that compliance category in a particular model year have greater average fuel economy (calculated in a manner that reflects the incentives for alternative fuel automobiles per 49 U.S.C. 32905) than that manufacturer’s fuel economy standard for that compliance category and model year.
Adjustment factor means a factor used to adjust the value of a traded or transferred credit for compliance purposes to ensure that the compliance value of the credit when used reflects the total volume of oil saved when the credit was earned.
Below standard fuel economy means, with respect to a compliance category, that the automobiles manufactured by a manufacturer in that compliance category in a particular model year have lower average fuel economy (calculated in a manner that reflects the incentives for alternative fuel automobiles per 49 U.S.C. 32905) than that manufacturer’s fuel economy standard for that compliance category and model year.
Compliance means a manufacturer achieves compliance in a particular compliance category when
(1) The average fuel economy of the vehicles in that category exceed or meet the fuel economy standard for that category, or
(2) The average fuel economy of the vehicles in that category do not meet the fuel economy standard for that category, but the manufacturer proffers a sufficient number of valid credits, adjusted for total oil savings, to cover the gap between the average fuel economy of the vehicles in that category and the required average fuel economy. A manufacturer achieves compliance for its fleet if the above conditions (1) or (2) are simultaneously met for all compliance categories.
Compliance category means any of three categories of automobiles subject to Federal fuel economy regulations. The three compliance categories recognized by 49 U.S.C. 32903(g)(6) are domestically manufactured passenger automobiles, imported passenger automobiles, and non-passenger automobiles (“light trucks”).
Credit holder (or holder) means a legal person that has valid possession of credits, either because they are a manufacturer who has earned credits by exceeding an applicable fuel economy standard, or because they are a designated recipient who has received credits from another holder. Credit holders need not be manufacturers, although all manufacturers may be credit holders.
Credits (or fuel economy credits) means an earned or purchased allowance recognizing that the average fuel economy of a particular manufacturer’s vehicles within a particular compliance category and model year exceeds that manufacturer’s fuel economy standard for that compliance category and model year. One credit is equal to
Expiry date means the model year after which fuel economy credits may no longer be used to achieve compliance with fuel economy regulations. Expiry Dates are calculated in terms of model years: for example, if a manufacturer earns credits for model year 2011, these credits may be used for compliance in model years 2008-2016.
Fleet means all automobiles that are manufactured by a manufacturer in a particular model year and are subject to fuel economy standards under 49 CFR parts 531 and 533. For the purposes of this regulation, a manufacturer’s fleet means all domestically manufactured and imported passenger automobiles and non-passenger automobiles (“light trucks”). “Work trucks” and medium and heavy trucks are not included in this definition for purposes of this regulation.
Light truck means the same as “non-passenger automobile,” as that term is defined in 49 U.S.C. 32901(a)(17), and as “light truck,” as that term is defined at 49 CFR 523.5.
Originating manufacturer means the manufacturer that originally earned a particular credit. Each credit earned will be identified with the name of the originating manufacturer.
Trade means the receipt by NHTSA of an instruction from a credit holder to place one of its credits in the account of another credit holder. A credit that has been traded can be identified because the originating manufacturer will be a different party than the current credit holder. Traded credits are moved from one credit holder to the recipient credit holder within the same compliance category for which the credits were originally earned. If a credit has been traded to another credit holder and is subsequently traded back to the originating manufacturer, it will be deemed not to have been traded for compliance purposes.
Transfer means the application by a manufacturer of credits earned by that manufacturer in one compliance category or credits acquired be trade (and originally earned by another manufacturer in that category) to achieve compliance with fuel economy standards with respect to a different compliance category. For example, a manufacturer may purchase light truck credits from another manufacturer, and transfer them to achieve compliance in the manufacturer’s domestically manufactured passenger car fleet. Subject to the credit transfer limitations of 49 U.S.C. 32903(g)(3), credits can also be transferred across compliance categories and banked or saved in that category to be carried forward or backwards later to address a credit shortfall.
Vintage means, with respect to a credit, the model year in which the credit was earned.
§ 536.4 Credits.
(a) Type and vintage. All credits are identified and distinguished in the accounts by originating manufacturer, compliance category, and model year of origin (vintage).
(b) Application of credits. All credits earned and applied are calculated, per 49 U.S.C. 32903(c), in tenths of a mile per gallon by which the average fuel economy of vehicles in a particular compliance category manufactured by a manufacturer in the model year in which the credits are earned exceeds the applicable average fuel economy standard, multiplied by the number of vehicles sold in that compliance category. However, credits that have been traded between credit holders or transferred between compliance categories are valued for compliance purposes using the adjustment factor specified in paragraph (c) of this section, pursuant to the “total oil savings” requirement of 49 U.S.C. 32903(f)(1).
(c) Adjustment factor. When traded or transferred and used, fuel economy credits are adjusted to ensure fuel oil savings is preserved. For traded credits, the user (or buyer) must multiply the calculated adjustment factor by the number of shortfall credits it plans to offset in order to determine the number of equivalent credits to acquire from the earner (or seller). For transferred credits, the user of credits must multiply the calculated adjustment factor by the number of shortfall credits it plans to offset in order to determine the number of equivalent credits to transfer from the compliance category holding the available credits. The adjustment factor is calculated according to the following formula:
§ 536.5 Trading infrastructure.
(a) Accounts. NHTSA maintains “accounts” for each credit holder. The account consists of a balance of credits in each compliance category and vintage held by the holder.
(b) Who may hold credits. Every manufacturer subject to fuel economy standards under 49 CFR parts 531 or 533 is automatically an account holder. If the manufacturer earns credits pursuant to this regulation, or receives credits from another party, so that the manufacturer’s account has a non-zero balance, then the manufacturer is also a credit holder. Any party designated as a recipient of credits by a current credit holder will receive an account from NHTSA and become a credit holder, subject to the following conditions:
(1) A designated recipient must provide name, address, contacting information, and a valid taxpayer identification number or social security number;
(2) NHTSA does not grant a request to open a new account by any party other than a party designated as a recipient of credits by a credit holder;
(3) NHTSA maintains accounts with zero balances for a period of time, but reserves the right to close accounts that have had zero balances for more than one year.
(c) Automatic debits and credits of accounts. (1) To carry credits forward, backward, transfer credits, or trade credits into other credit accounts, a manufacturer or credit holder must submit a credit instruction to NHTSA. A credit instruction must detail and include:
(i) The credit holder(s) involved in the transaction.
(ii) The originating credits described by the amount of the credits, compliance category and the vintage of the credits.
(iii) The recipient credit account(s) for banking or applying the originating credits described by the compliance category(ies), model year(s), and if applicable the adjusted credit amount(s) and adjustment factor(s).
(iv) For trades, a contract authorizing the trade signed by the manufacturers or credit holders or by managers legally authorized to obligate the sale and purchase of the traded credits.
(2) Upon receipt of a credit instruction from an existing credit holder, NHTSA verifies the presence of sufficient credits in the account(s) of the credit holder(s) involved as applicable and notifies the credit holder(s) that the credits will be debited from and/or credited to the accounts involved, as specified in the credit instruction. NHTSA determines if the credits can be debited or credited based upon the amount of available credits, accurate application of any adjustment factors and the credit requirements prescribed by this part that are applicable at the time the transaction is requested.
(3) After notifying the credit holder(s), all accounts involved are either credited or debited, as appropriate, in line with the credit instruction. Traded credits identified by a specific compliance category are deposited into the recipient’s account in that same compliance category and model year. If a recipient of credits as identified in a credit instruction is not a current account holder, NHTSA establishes the credit recipient’s account, subject to the conditions described in § 536.5(b), and adds the credits to the newly-opened account.
(4) NHTSA will automatically delete unused credits from holders’ accounts when those credits reach their expiry date.
(5) Starting in model year 2021, manufacturers or credit holders issuing credit instructions or providing credit allocation plans as specified in § 536.5(d), must use the NHTSA Credit Template fillable form (OMB Control No. 2127-0019, NHTSA Form 1475). The NHTSA Credit Template is available for download on NHTSA’s website. If a credit instruction includes a trade, the NHTSA Credit Template must be signed by managers legally authorized to obligate the sale and/or purchase of the traded credits from both parties to the trade. The NHTSA Credit Template signed by both parties to the trade serves as an acknowledgement that the parties have agreed to trade credits, and does not dictate terms, conditions, or other business obligations of the parties. All parties trading credits must also provide NHTSA the price paid for the credits including a description of any other monetary or non-monetary terms affecting the price of the traded credits, such as any technology exchanged or shared for the credits, any other non-monetary payment for the credits, or any other agreements related to the trade. Manufacturers must submit this information to NHTSA in a PDF document along with the Credit Template through the CAFE email, [email protected]. NHTSA reserves the right to request additional information from the parties regarding the terms of the trade.
(6) NHTSA will consider claims that information submitted to the agency under this section is entitled to confidential treatment under 5 U.S.C. 552(b) and under the provisions of part 512 of this chapter if the information is submitted in accordance with the procedures of that part.
(d) Compliance. (1) NHTSA assesses compliance with fuel economy standards each year, utilizing the certified and reported CAFE data provided by the Environmental Protection Agency for enforcement of the CAFE program pursuant to 49 U.S.C. 32904(e). Credit values are calculated based on the CAFE data from the EPA. If a particular compliance category within a manufacturer’s fleet has above standard fuel economy, NHTSA adds credits to the manufacturer’s account for that compliance category and vintage in the appropriate amount by which the manufacturer has exceeded the applicable standard.
(2) If a manufacturer’s vehicles in a particular compliance category have below standard fuel economy, NHTSA will provide written notification to the manufacturer that it has failed to meet a particular fleet target standard. The manufacturer will be required to confirm the shortfall and must either: submit a plan indicating how it will allocate existing credits or earn, transfer and/or acquire credits; or pay the appropriate civil penalty. The manufacturer must submit a plan or payment within 60 days of receiving agency notification.
(3) Credits used to offset shortfalls are subject to the three and five year limitations as described in § 536.6.
(4) Transferred credits are subject to the limitations specified by 49 U.S.C. 32903(g)(3) and this regulation.
(5) The value, when used for compliance, of any credits received via trade or transfer is adjusted, using the adjustment factor described in § 536.4(c), pursuant to 49 U.S.C. 32903(f)(1).
(6) Credit allocation plans received from a manufacturer will be reviewed and approved by NHTSA. Starting in model year 2021, use the NHTSA Credit Template (OMB Control No. 2127-0019, NHTSA Form 1475) to record the credit transactions requested in the credit allocation plan. The template is a fillable form that has an option for recording and calculating credit transactions for credit allocation plans. The template calculates the required adjustments to the credits. The credit allocation plan and the completed transaction template must be submitted to NHTSA. NHTSA will approve the credit allocation plan unless it finds that the proposed credits are unavailable or that it is unlikely that the plan will result in the manufacturer earning sufficient credits to offset the subject credit shortfall. If the plan is approved, NHTSA will revise the respective manufacturer’s credit account accordingly. If the plan is rejected, NHTSA will notify the respective manufacturer and request a revised plan or payment of the appropriate fine.
(e) Reporting. (1) NHTSA periodically publishes the names and credit holdings of all credit holders. NHTSA does not publish individual transactions, nor respond to individual requests for updated balances from any party other than the account holder.
(2) NHTSA issues an annual credit status letter to each party that is a credit holder at that time. The letter to a credit holder includes a credit accounting record that identifies the credit status of the credit holder including any activity (earned, expired, transferred, traded, carry-forward and carry-back credit transactions/allocations) that took place during the identified activity period.
§ 536.6 Treatment of credits earned prior to model year 2011.
(a) Credits earned in a compliance category before model year 2008 may be applied by the manufacturer that earned them to carryback plans for that compliance category approved up to three model years prior to the year in which the credits were earned, or may be applied to compliance in that compliance category for up to three model years after the year in which the credits were earned.
(b) Credits earned in a compliance category during and after model year 2008 may be applied by the manufacturer that earned them to carryback plans for that compliance category approved up to three years prior to the year in which the credits were earned, or may be held or applied for up to five model years after the year in which the credits were earned.
(c) Credits earned in a compliance category prior to model year 2011 may not be transferred or traded.
§ 536.7 Treatment of carryback credits.
(a) Carryback credits earned in a compliance category in any model year may be used in carryback plans approved by NHTSA, pursuant to 49 U.S.C. 32903(b), for up to three model years prior to the year in which the credit was earned.
(b) For purposes of this regulation, NHTSA will treat the use of future credits for compliance, as through a carryback plan, as a deferral of penalties for non-compliance with an applicable fuel economy standard.
(c) If NHTSA receives and approves a manufacturer’s carryback plan to earn future credits within the following three model years in order to comply with current regulatory obligations, NHTSA will defer levying fines for non-compliance until the date(s) when the manufacturer’s approved plan indicates that credits will be earned or acquired to achieve compliance, and upon receiving confirmed CAFE data from EPA. If the manufacturer fails to acquire or earn sufficient credits by the plan dates, NHTSA will initiate compliance proceedings.
(d) In the event that NHTSA fails to receive or approve a plan for a non-compliant manufacturer, NHTSA will levy fines pursuant to statute. If within three years, the non-compliant manufacturer earns or acquires additional credits to reduce or eliminate the non-compliance, NHTSA will reduce any fines owed, or repay fines to the extent that credits received reduce the non-compliance.
(e) No credits from any source (earned, transferred and/or traded) will be accepted in lieu of compliance if those credits are not identified as originating within one of the three model years after the model year of the confirmed shortfall.
§ 536.8 Conditions for trading of credits.
(a) Trading of credits. If a credit holder wishes to trade credits to another party, the current credit holder and the receiving party must jointly issue an instruction to NHTSA, identifying the quantity, vintage, compliance category, and originator of the credits to be traded. If the recipient is not a current account holder, the recipient must provide sufficient information for NHTSA to establish an account for the recipient. Once an account has been established or identified for the recipient, NHTSA completes the trade by debiting the transferor’s account and crediting the recipient’s account. NHTSA will track the quantity, vintage, compliance category, and originator of all credits held or traded by all account-holders.
(b) Trading between and within compliance categories. For credits earned in model year 2011 or thereafter, and used to satisfy compliance obligations for model year 2011 or thereafter:
(1) Manufacturers may use credits originally earned by another manufacturer in a particular compliance category to satisfy compliance obligations within the same compliance category.
(2) Once a manufacturer acquires by trade credits originally earned by another manufacturer in a particular compliance category, the manufacturer may transfer the credits to satisfy its compliance obligations in a different compliance category, but only to the extent that the CAFE increase attributable to the transferred credits does not exceed the limits in 49 U.S.C. 32903(g)(3). For any compliance category, the sum of a manufacturer’s transferred credits earned by that manufacturer and transferred credits obtained by that manufacturer through trade must not exceed that limit.
(c) Changes in corporate ownership and control. Manufacturers must inform NHTSA of corporate relationship changes to ensure that credit accounts are identified correctly and credits are assigned and allocated properly.
(1) In general, if two manufacturers merge in any way, they must inform NHTSA how they plan to merge their credit accounts. NHTSA will subsequently assess corporate fuel economy and compliance status of the merged fleet instead of the original separate fleets.
(2) If a manufacturer divides or divests itself of a portion of its automobile manufacturing business, it must inform NHTSA how it plans to divide the manufacturer’s credit holdings into two or more accounts. NHTSA will subsequently distribute holdings as directed by the manufacturer, subject to provision for reasonably anticipated compliance obligations.
(3) If a manufacturer is a successor to another manufacturer’s business, it must inform NHTSA how it plans to allocate credits and resolve liabilities per 49 CFR Part 534, Rights and Responsibilities of Manufacturers in the Context of Corporate Relationships.
(d) No short or forward sales. NHTSA will not honor any instructions to trade or transfer more credits than are currently held in any account. NHTSA will not honor instructions to trade or transfer credits from any future vintage (i.e., credits not yet earned). NHTSA will not participate in or facilitate contingent trades.
(e) Cancellation of credits. A credit holder may instruct NHTSA to cancel its currently held credits, specifying the originating manufacturer, vintage, and compliance category of the credits to be cancelled. These credits will be permanently null and void; NHTSA will remove the specific credits from the credit holder’s account, and will not reissue them to any other party.
(f) Errors or fraud in earning credits. If NHTSA determines that a manufacturer has been credited, through error or fraud, with earning credits, NHTSA will cancel those credits if possible. If the manufacturer credited with having earned those credits has already traded them when the error or fraud is discovered, NHTSA will hold the receiving manufacturer responsible for returning the same or equivalent credits to NHTSA for cancellation.
(g) Error or fraud in trading. In general, all trades are final and irrevocable once executed, and may only be reversed by a new, mutually-agreed transaction. If NHTSA executes an erroneous instruction to trade credits from one holder to another through error or fraud, NHTSA will reverse the transaction if possible. If those credits have been traded away, the recipient holder is responsible for obtaining the same or equivalent credits for return to the previous holder.
§ 536.9 Use of credits with regard to the domestically manufactured passenger automobile minimum standard.
(a) Each manufacturer is responsible for compliance with both the minimum standard and the attribute-based standard.
(b) In any particular model year, the domestically manufactured passenger automobile compliance category credit excess or shortfall is determined by comparing the actual CAFE value against either the required standard value or the minimum standard value, whichever is larger.
(c) Transferred or traded credits may not be used, pursuant to 49 U.S.C. 32903(g)(4) and (f)(2), to meet the domestically manufactured passenger automobile minimum standard specified in 49 U.S.C. 32902(b)(4) and in 49 CFR 531.5(d).
(d) If a manufacturer’s average fuel economy level for domestically manufactured passenger automobiles is lower than the attribute-based standard, but higher than the minimum standard, then the manufacturer may achieve compliance with the attribute-based standard by applying credits.
(e) If a manufacturer’s average fuel economy level for domestically manufactured passenger automobiles is lower than the minimum standard, then the difference between the minimum standard and the manufacturer’s actual fuel economy level may only be relieved by the use of credits earned by that manufacturer within the domestic passenger car compliance category which have not been transferred or traded. If the manufacturer does not have available earned credits to offset a credit shortage below the minimum standard then the manufacturer can submit a carry-back plan that indicates sufficient future credits will be earned in its domestic passenger car compliance category or will be subject to penalties.
§ 536.10 Treatment of dual-fuel and alternative fuel vehicles – consistency with 49 CFR part 538.
(a) Statutory alternative fuel and dual-fuel vehicle fuel economy calculations are treated as a change in the underlying fuel economy of the vehicle for purposes of this regulation, not as a credit that may be transferred or traded. Improvements in alternative fuel or dual fuel vehicle fuel economy as calculated pursuant to 49 U.S.C. 32905 and limited by 49 U.S.C. 32906 are therefore attributable only to the particular compliance category and model year to which the alternative or dual-fuel vehicle belongs.
(b) If a manufacturer’s calculated fuel economy for a particular compliance category, including any statutorily-required calculations for alternative fuel and dual fuel vehicles, is higher or lower than the applicable fuel economy standard, manufacturers will earn credits or must apply credits or pay civil penalties equal to the difference between the calculated fuel economy level in that compliance category and the applicable standard. Credits earned are the same as any other credits, and may be held, transferred, or traded by the manufacturer subject to the limitations of the statute and this regulation.
(c) For model years up to and including MY 2019, if a manufacturer builds enough dual fuel vehicles (except plug-in hybrid electric vehicles) to improve the calculated fuel economy in a particular compliance category by more than the limits set forth in 49 U.S.C. 32906(a), the improvement in fuel economy for compliance purposes is restricted to the statutory limit. Manufacturers may not earn credits nor reduce the application of credits or fines for calculated improvements in fuel economy based on dual fuel vehicles beyond the statutory limit.
(d) For model years 2020 and beyond, a manufacturer must calculate the fuel economy of dual fueled vehicles in accordance with 40 CFR 600.510-12(c).
PART 537 – AUTOMOTIVE FUEL ECONOMY REPORTS
§ 537.1 Scope.
This part establishes requirements for automobile manufacturers to submit reports to the National Highway Traffic Safety Administration regarding their efforts to improve automotive fuel economy.
§ 537.2 Purpose.
The purpose of this part is to obtain information to aid the National Highway Traffic Safety Administration in valuating automobile manufacturers’ plans for complying with average fuel economy standards and in preparing an annual review of the average fuel economy standards.
§ 537.3 Applicability.
This part applies to automobile manufacturers, except for manufacturers subject to an alternate fuel economy standard under section 502(c) of the Act.
§ 537.4 Definitions.
(a) Statutory terms. (1) The terms average fuel economy standard, fuel, manufacture, and model year are used as defined in section 501 of the Act.
(2) The term manufacturer is used as defined in section 501 of the Act and in accordance with part 529 of this chapter.
(3) The terms average fuel economy, fuel economy, and model type are used as defined in subpart A of 40 CFR part 600.
(4) The terms automobile, automobile capable of off-highway operation, and passenger automobile are used as defined in section 501 of the Act and in accordance with the determinations in part 523 of this chapter.
(b) Other terms. (1) The term loaded vehicle weight is used as defined in subpart A of 40 CFR part 86.
(2) The terms axle ratio, base level, body style, car line, combined fuel economy, engine code, equivalent test weight, gross vehicle weight, inertia weight, transmission class, and vehicle configuration are used as defined in subpart A of 40 CFR part 600.
(3) The term light truck is used as defined in part 523 of this chapter and in accordance with determinations in that part.
(4) The terms approach angle, axle clearance, brakeover angle, cargo carrying volume, departure angle, passenger carrying volume, running clearance, and temporary living quarters are used as defined in part 523 of this chapter.
(5) The term incomplete automobile manufacturer is used as defined in part 529 of this chapter.
(6) As used in this part, unless otherwise required by the context:
(i) Act means the Motor Vehicle Information and Cost Savings Act (Pub. L. 92-513), as amended by the Energy Policy and Conservation Act (Pub. L. 94-163).
(ii) Administrator means the Administrator of the National Highway Traffic Safety Administration or the Administrator’s delegate.
(iii) Current model year means:
(A) In the case of a pre-model year report, the full model year immediately following the period during which that report is required by § 537.5(b) to be submitted.
(B) In the case of a mid-model year report, the model year during which that report is required by § 537.5(b) to be submitted.
(iv) Average means a production-weighted harmonic average.
(v) Total drive ratio means the ratio of an automobile’s engine rotational speed (in revolutions per minute) to the automobile’s forward speed (in miles per hour).
§ 537.5 General requirements for reports.
(a) For each current model year, each manufacturer shall submit a pre-model year report, a mid-model year report, and, as required by § 537.8, supplementary reports.
(b)(1) The pre-model year report required by this part for each current model year must be submitted during the month of December (e.g., the pre-model year report for the 1983 model year must be submitted during December, 1982).
(2) The mid-model year report required by this part for each current model year must be submitted during the month of July (e.g., the mid-model year report for the 1983 model year must be submitted during July 1983).
(3) Each supplementary report must be submitted in accordance with § 537.8(c).
(c) Each report required by this part must:
(1) Identify the report as a pre-model year report, mid-model year report, or supplementary report as appropriate;
(2) Identify the manufacturer submitting the report;
(3) State the full name, title, and address of the official responsible for preparing the report;
(4) Be submitted on CD-ROM for confidential reports provided in accordance with Part 537.12 and by email for non-confidential (i.e., redacted) versions of reports. The content of reports must be provided in a pdf or MS Word format except for the information required in 537.7 which must be provided in a MS Excel format. Submit 2 copies of the CD-ROM to: Administrator, National Highway Traffic Administration, 1200 New Jersey Avenue SW., Washington, DC 20590, and submit reports electronically to the following secure email address: [email protected];
(5) Identify the current model year;
(6) Be written in the English language; and
(7)(i) Specify any part of the information or data in the report that the manufacturer believes should be withheld from public disclosure as trade secret or other confidential business information.
(ii) With respect to each item of information or data requested by the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1), the manufacturer shall:
(A) Show that the item is within the scope of sections 552(b)(4) and 2005(d)(1);
(B) Show that disclosure of the item would result in significant competitive damage;
(C) Specify the period during which the item must be withheld to avoid that damage; and
(D) Show that earlier disclosure would result in that damage.
(d) Beginning with model year 2023, each manufacturer shall generate reports required by this part using the NHTSA CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474). The template is a fillable form.
(1) Select the option to identify the report as a pre-model year report, mid-model year report, or supplementary report as appropriate;
(2) Complete all required information for the manufacturer and for all vehicles produced for the current model year required to comply with CAFE standards. Identify the manufacturer submitting the report, including the full name, title, and address of the official responsible for preparing the report and a point of contact to answer questions concerning the report.
(3) Use the template to generate confidential and non-confidential reports for all the domestic and import passenger cars and light truck fleet produced by the manufacturer for the current model year. Manufacturers must submit a request for confidentiality in accordance with part 512 of this chapter to withhold projected production sales volume estimates from public disclosure. If the request is granted, NHTSA will withhold the projected production sales volume estimates from public disclose until all the vehicles produced by the manufacturer have been made available for sale (usually one year after the current model year).
(4) Submit confidential reports and requests for confidentiality to NHTSA on CD-ROM in accordance with Part 537.12. Email copies of non-confidential (i.e., redacted) reports to NHTSA’s secure email address: [email protected]. Requests for confidentiality must be submitted in a PDF or MS Word format. Submit 2 copies of the CD-ROM to: Administrator, National Highway Traffic Administration, 1200 New Jersey Avenue SE, Washington, DC 20590, and submit emailed reports electronically to the following secure email address: [email protected];
(5) Confidentiality Requests. Manufacturers can withhold information on projected production sales volumes under 5 U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1). In accordance, the manufacturer must:
(i) Show that the item is within the scope of sections 552(b)(4) and 2005(d)(1);
(ii) Show that disclosure of the item would result in significant competitive damage;
(iii) Specify the period during which the item must be withheld to avoid that damage; and
(iv) Show that earlier disclosure would result in that damage.
(e) Each report required by this part must be based upon all information and data available to the manufacturer 30 days before the report is submitted to the Administrator.
§ 537.6 General content of reports.
(a) Pre-model year and mid-model year reports. Except as provided in paragraph (c) of this section, each pre-model year report and the mid-model year report for each model year must contain the information required by § 537.7(a).
(b) Supplementary report. Except as provided in paragraph (c) of this section, each supplementary report for each model year must contain the information required by § 537.7(a)(1) and (a)(2), as appropriate for the vehicle fleets produced by the manufacturer, in accordance with § 537.8(b)(1), (2), (3), and (4) as appropriate.
(c) Exceptions. The pre-model year report, mid-model year report, and supplementary report(s) submitted by an incomplete automobile manufacturer for any model year are not required to contain the information specified in § 537.7 (c)(4) (xv) through (xviii) and (c)(5). The information provided by the incomplete automobile manufacturer under § 537.7(c) shall be according to base level instead of model type or carline.
§ 537.7 Pre-model year and mid-model year reports.
(a)(1) Provide a report with the information required by paragraphs (b) and (c) of this section for each domestic and import passenger automobile fleet, as specified in part 531 of this chapter, for the current model year.
(2) Provide a report with the information required by paragraphs (b) and (c) of this section for each light truck fleet, as specified in part 533 of this chapter, for the current model year.
(3) For model year 2023 and later, provide the information required by paragraphs (a)(1) and (2) of this section for pre-model and mid-model year reports in accordance with the NHTSA CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474). The required reporting template can be downloaded from NHTSA’s website.
(b) Projected average and required fuel economy. (1) State the projected average fuel economy for the manufacturer’s automobiles determined in accordance with § 537.9 and based upon the fuel economy values and projected sales figures provided under paragraph (c)(2) of this section.
(2) State the projected final average fuel economy that the manufacturer anticipates having if changes implemented during the model year will cause that average to be different from the average fuel economy projected under paragraph (b)(1) of this section.
(3) State the projected required fuel economy for the manufacturer’s passenger automobiles and light trucks determined in accordance with §§ 531.5(c) and 533.5 of this chapter and based upon the projected sales figures provided under paragraph (c)(2) of this section. For each unique model type and footprint combination of the manufacturer’s automobiles, provide the information specified in paragraph (b)(3)(i) and (ii) of this section in tabular form. List the model types in order of increasing average inertia weight from top to bottom down the left side of the table and list the information categories in the order specified in paragraphs (b)(3)(i) and (ii) of this section from left to right across the top of the table. Other formats, such as those accepted by the EPA, which contain all the information in a readily identifiable format are also acceptable. For model year 2023 and later, for each unique model type and footprint combination of the manufacturer’s automobiles, provide the information specified in paragraph (b)(3)(i) and (ii) of this section in accordance with the CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474).
(i) In the case of passenger automobiles:
(A) Beginning model year 2013, base tire as defined in § 523.2 of this chapter,
(B) Beginning model year 2013, front axle, rear axle, and average track width as defined in § CFR 523.2 of this chapter,
(C) Beginning model year 2013, wheelbase as defined in § 523.2 of this chapter, and
(D) Beginning model year 2013, footprint as defined in § 523.2 of this chapter.
(E) The fuel economy target value for each unique model type and footprint entry listed in accordance with the equation provided in part 531 of this chapter.
(ii) In the case of light trucks:
(A) Beginning model year 2013, base tire as defined in § 523.2 of this chapter,
(B) Beginning model year 2013, front axle, rear axle, and average track width as defined in § 523.2 of this chapter,
(C) Beginning model year 2013, wheelbase as defined in § 523.2 of this chapter, and
(D) Beginning model year 2013, footprint as defined in § 523.2 of this chapter.
(E) The fuel economy target value for each unique model type and footprint entry listed in accordance with the equation provided in part 533 of this chapter.
(4) State the projected final required fuel economy that the manufacturer anticipates having if changes implemented during the model year will cause the targets to be different from the target fuel economy projected under paragraph (b)(3) of this section.
(5) State whether the manufacturer believes that the projections it provides under paragraphs (b)(2) and (b)(4) of this section, or if it does not provide an average or target under those paragraphs, the projections it provides under paragraphs (b)(1) and (b)(3) of this section, sufficiently represent the manufacturer’s average and target fuel economy for the current model year for purposes of the Act. In the case of a manufacturer that believes that the projections are not sufficiently representative for those purposes, state the specific nature of any reason for the insufficiency and the specific additional testing or derivation of fuel economy values by analytical methods believed by the manufacturer necessary to eliminate the insufficiency and any plans of the manufacturer to undertake that testing or derivation voluntarily and submit the resulting data to the Environmental Protection Agency under 40 CFR 600.509.
(c) Model type and configuration fuel economy and technical information. (1) For each model type of the manufacturer’s automobiles, provide the information specified in paragraph (c)(2) of this section in tabular form. List the model types in order of increasing average inertia weight from top to bottom down the left side of the table and list the information categories in the order specified in paragraph (c)(2) of this section from left to right across the top of the table. For model year 2023 and later, CAFE reports required by part 537 of this chapter, shall for each model type of the manufacturer’s automobiles, provide the information in specified in paragraph (c)(2) of this section in accordance with the NHTSA CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474) and list the model types in order of increasing average inertia weight from top to bottom.
(2)(i) Combined fuel economy; and
(ii) Projected sales for the current model year and total sales of all model types.
(3) (Pre-model year reports only through model year 2022.) For each vehicle configuration whose fuel economy was used to calculate the fuel economy values for a model type under paragraph (c)(2) of this section, provide the information specified in paragraph (c)(4) of this section in accordance with the NHTSA CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474).
(4) (i) Loaded vehicle weight;
(ii) Equivalent test weight;
(iii) Engine displacement, liters;
(iv) SAE net rated power, kilowatts;
(v) SAE net horsepower;
(vi) Engine code;
(vii) Fuel system (number of carburetor barrels or, if fuel injection is used, so indicate);
(viii) Emission control system;
(ix) Transmission class;
(x) Number of forward speeds;
(xi) Existence of overdrive (indicate yes or no);
(xii) Total drive ratio (N/V);
(xiii) Axle ratio;
(xiv) Combined fuel economy;
(xv) Projected sales for the current model year;
(xvi) (A) In the case of passenger automobiles:
(1) Interior volume index, determined in accordance with subpart D of 40 CFR part 600;
(2) Body style;
(B) In the case of light trucks:
(1) Passenger-carrying volume;
(2) Cargo-carrying volume;
(xvii) Frontal area;
(xviii) Road load power at 50 miles per hour, if determined by the manufacturer for purposes other than compliance with this part to differ from the road load setting prescribed in 40 CFR 86.177-11(d);
(xix) Optional equipment that the manufacturer is required under 40 CFR parts 86 and 600 to have actually installed on the vehicle configuration, or the weight of which must be included in the curb weight computation for the vehicle configuration, for fuel economy testing purposes.
(5) For each model type of automobile which is classified as a non-passenger vehicle (light truck) under part 523 of this chapter, provide the following data:
(i) For an automobile designed to perform at least one of the following functions in accordance with 523.5 (a) indicate (by “yes” or “no” for each function) whether the vehicle can:
(A) Transport more than 10 persons (if yes, provide actual designated seating positions);
(B) Provide temporary living quarters (if yes, provide applicable conveniences as defined in 523.2);
(C) Transport property on an open bed (if yes, provide bed size width and length);
(D) Provide, as sold to the first retail purchaser, greater cargo-carrying than passenger-carrying volume, such as in a cargo van and quantify the value which should be the difference between the values provided in (4)(xvi)(B)(1) and (2) above; if a vehicle is sold with a second-row seat, its cargo-carrying volume is determined with that seat installed, regardless of whether the manufacturer has described that seat as optional; or
(E) Permit expanded use of the automobile for cargo-carrying purposes or other non-passenger-carrying purposes through:
(1) For non-passenger automobiles manufactured prior to model year 2012, the removal of seats by means installed for that purpose by the automobile’s manufacturer or with simple tools, such as screwdrivers and wrenches, so as to create a flat, floor level, surface extending from the forward-most point of installation of those seats to the rear of the automobile’s interior; or
(2) For non-passenger automobiles manufactured in model year 2008 and beyond, for vehicles equipped with at least 3 rows of designated seating positions as standard equipment, permit expanded use of the automobile for cargo-carrying purposes or other nonpassenger-carrying purposes through the removal or stowing of foldable or pivoting seats so as to create a flat, leveled cargo surface extending from the forward-most point of installation of those seats to the rear of the automobile’s interior.
(ii) For an automobile capable of off-highway operation, identify which of the features below qualify the vehicle as off-road in accordance with 523.5 (b) and quantify the values of each feature:
(A) 4-wheel drive; or
(B) A rating of more than 6,000 pounds gross vehicle weight; and
(C) Has at least four of the following characteristics calculated when the automobile is at curb weight, on a level surface, with the front wheels parallel to the automobile’s longitudinal centerline, and the tires inflated to the manufacturer’s recommended pressure. The exact value of each feature should be quantified:
(1) Approach angle of not less than 28 degrees.
(2) Breakover angle of not less than 14 degrees.
(3) Departure angle of not less than 20 degrees.
(4) Running clearance of not less than 20 centimeters.
(5) Front and rear axle clearances of not less than 18 centimeters each.
(6) The fuel economy values provided under paragraphs (c) (2) and (4) of this section shall be determined in accordance with § 537.9.
(7) Identify any air-conditioning (AC), off-cycle and full-size pick-up truck technologies used each model year to calculate the average fuel economy specified in 40 CFR 600.510-12.
(i) Provide a list of each air conditioning efficiency improvement technology utilized in your fleet(s) of vehicles for each model year. For each technology identify vehicles by make and model types that have the technology, which compliance category those vehicles belong to and the number of vehicles for each model equipped with the technology. For each compliance category (domestic passenger car, import passenger car, and light truck), report the air conditioning fuel consumption improvement value in gallons/mile in accordance with the equation specified in 40 CFR 600.510-12(c)(3)(i).
(ii) Provide a list of off-cycle efficiency improvement technologies utilized in your fleet(s) of vehicles for each model year that is pending or approved by the EPA. For each technology identify vehicles by make and model types that have the technology, which compliance category those vehicles belong to, the number of vehicles for each model equipped with the technology, and the associated off-cycle credits (grams/mile) available for each technology. For each compliance category (domestic passenger car, import passenger car, and light truck), calculate the fleet off-cycle fuel consumption improvement value in gallons/mile in accordance with the equation specified in 40 CFR 600.510-12(c)(3)(ii).
(iii) Provide a list of full-size pickup trucks in your fleet that meet the mild and strong hybrid vehicle definitions. For each mild and strong hybrid type, identify vehicles by make and model types that have the technology, the number of vehicles produced for each model equipped with the technology, the total number of full-size pickup trucks produced with and without the technology, the calculated percentage of hybrid vehicles relative to the total number of vehicles produced, and the associated full-size pickup truck credits (grams/mile) available for each technology. For the light truck compliance category, calculate the fleet pickup truck fuel consumption improvement value in gallons/mile in accordance with the equation specified in 40 CFR 600.510-12(c)(3)(iii).
§ 537.8 Supplementary reports.
(a)(1) Except as provided in paragraph (d) of this section, each manufacturer whose most recently submitted semiannual report contained an average fuel economy projection under § 537.7(b)(2) or, if no average fuel economy was projected under that section, under § 537.7(b)(1), that was not less than the applicable average fuel economy standard and who now projects an average fuel economy which is less than the applicable standard shall file a supplementary report containing the information specified in paragraph (b)(1) of this section.
(2) Except as provided in paragraph (d) of this section, each manufacturer that determines that its average fuel economy for the current model year as projected under § 537.7(b)(2) or, if no average fuel economy was projected under that section, as projected under § 537.7(b)(1), is less representative than the manufacturer previously reported it to be under § 537.7(b)(3), this section, or both, shall file a supplementary report containing the information specified in paragraph (b)(2) of this section.
(3) For model years through 2022, each manufacturer whose pre-model or mid-model year report omits any of the information specified in § 537.7(b) or (c) shall file a supplementary report containing the information specified in paragraph (b)(3) of this section. Starting model year 2023, each manufacturer whose pre-model or mid-model year report omits any of the information shall resubmit the information with other information required in accordance with the NHTSA CAFE Projections Reporting Template (OMB Control No. 2127-0019, NHTSA Form 1474).
(b)(1) The supplementary report required by paragraph (a)(1) of this section must contain:
(i) Such revisions of and additions to the information previously submitted by the manufacturer under this part regarding the automobiles whose projected average fuel economy has decreased as specified in paragraph (a)(1) of this section as are necessary –
(A) To reflect the decrease and its cause;
(B) To indicate a new projected average fuel economy based upon these additional measures.
(ii) An explanation of the cause of the decrease in average fuel economy that led to the manufacturer’s having to submit the supplementary report required by paragraph (a)(1) of this section.
(2) The supplementary report required by paragraph (a)(2) of this section must contain:
(i) A statement of the specific nature of and reason for the insufficiency in the representativeness of the projected average fuel economy;
(ii) A statement of specific additional testing or derivation of fuel economy values by analytical methods believed by the manufacturer necessary to eliminate the insufficiency; and
(iii) A description of any plans of the manufacturer to undertake that testing or derivation voluntarily and submit the resulting data to the Environmental Protection Agency under 40 CFR 600.509.
(3) The supplementary report required by paragraph (a)(3) of this section must contain:
(i) All of the information omitted from the pre-model year report under § 537.6(c)(2); and
(ii) Such revisions of and additions to the information submitted by the manufacturer in its pre-model year report regarding the automobiles produced during the current model year as are necessary to reflect the information provided under paragraph (b)(3)(i) of this section.
(4) The supplementary report required by paragraph (a)(4) of this section must contain:
(i) All information omitted from the pre-model or mid-model year reports under § 537.6(c)(2); and
(ii) Such revisions of and additions to the information submitted by the manufacturer in its pre-model or mid-model year reports regarding the automobiles produced during the current model year as are necessary to reflect the information provided under paragraph (b)(4)(i) of this section.
(c)(1) Each report required by paragraphs (a)(1), (2), (3), or (4) of this section must be submitted in accordance with § 537.5(c) not more than 45 days after the date on which the manufacturer determined, or could have determined with reasonable diligence, that the report was required.
(2) [Reserved]
(d) A supplementary report is not required to be submitted by the manufacturer under paragraph (a) (1) or (2) of this section:
(1) With respect to information submitted under this part before the most recent semiannual report submitted by the manufacturer under this part, or
(2) When the date specified in paragraph (c) of this section occurs:
(i) During the 60-day period immediately preceding the day by which the mid-model year report for the current model year must be submitted by the manufacturer under this part, or
(ii) After the day by which the pre-model year report for the model year immediately following the current model year must be submitted by the manufacturer under this part.
(e) Reporting compliance option in model years 2008-2010. For model years 2008, 2009, and 2010, each manufacturer of light trucks, as that term is defined in 49 CFR 523.5, shall submit a report, not later than 45 days following the end of the model year, indicating whether the manufacturer is opting to comply with 49 CFR 533.5(f) or 49 CFR 533.5(g).
§ 537.9 Determination of fuel economy values and average fuel economy.
(a) Vehicle configuration fuel economy values. (1) For each vehicle configuration for which a fuel economy value is required under paragraph (c) of this section and has been determined and approved under 40 CFR part 600, the manufacturer shall submit that fuel economy value.
(2) For each vehicle configuration specified in paragraph (a)(1) of this section for which a fuel economy value approved under 40 CFR part 600, does not exist, but for which a fuel economy value determined under that part exists, the manufacturer shall submit that fuel economy value.
(3) For each vehicle configuration specified in paragraph (a)(1) of this section for which a fuel economy value has been neither determined nor approved under 40 CFR part 600, the manufacturer shall submit a fuel economy value based on tests or analyses comparable to those prescribed or permitted under 40 CFR part 600 and a description of the test procedures or analytical methods used.
(b) Base level and model type fuel economy values. For each base level and model type, the manufacturer shall submit a fuel economy value based on the values submitted under paragraph (a) of this section and calculated in the same manner as base level and model type fuel economy values are calculated for use under subpart F of 40 CFR part 600.
(c) Average fuel economy. Average fuel economy must be based upon fuel economy values calculated under paragraph (b) of this section for each model type and must be calculated in accordance with subpart F of 40 CFR part 600, except that fuel economy values for running changes and for new base levels are required only for those changes made or base levels added before the average fuel economy is required to be submitted under this part.
§ 537.10 Incorporation by reference.
(a) A manufacturer may incorporate by reference in a report required by this part any document other than a report, petition, or application, or portion thereof submitted to any Federal department or agency more than two model years before the current model year.
(b) A manufacturer that incorporates by references a document not previously submitted to the National Highway Traffic Safety Administration shall append that document to the report.
(c) A manufacturer that incorporates by reference a document shall clearly identify the document and, in the case of a document previously submitted to the National Highway Traffic Safety Administration, indicate the date on which and the person by whom the document was submitted to this agency.
§ 537.11 Public inspection of information.
Except as provided in § 537.12, any person may inspect the information and data submitted by a manufacturer under this part in the docket section of the National Highway Traffic Safety Administration. Any person may obtain copies of the information available for inspection under this section in accordance with the regulations of the Secretary of Transportation in part 7 of this title.
§ 537.12 Confidential information.
(a) Information made available under § 537.11 for public inspection does not include information for which confidentiality is requested under § 537.5(c)(7), is granted in accordance with section 505 of the Act and section 552(b) of Title 5 of the United States Code and is not subsequently released under paragraph (c) of this section in accordance with section 505 of the Act.
(b) Denial of confidential treatment. When the Administrator denies a manufacturer’s request under § 537.5(c)(7) for confidential treatment of information, the Administrator gives the manufacturer written notice of the denial and reasons for it. Public disclosure of the information is not made until after the ten-day period immediately following the giving of the notice.
(c) Release of confidential information. After giving written notice to a manufacturer and allowing ten days, when feasible, for the manufacturer to respond, the Administrator may make available for public inspection any information submitted under this part that is relevant to a proceeding under the Act, including information that was granted confidential treatment by the Administrator pursuant to a request by the manufacturer under § 537.5(c)(7).
PART 538 – MANUFACTURING INCENTIVES FOR ALTERNATIVE FUEL VEHICLES
§ 538.1 Scope.
This part establishes minimum driving range criteria to aid in identifying passenger automobiles that are dual-fueled automobiles. It also establishes gallon equivalent measurements for gaseous fuels other than natural gas.
§ 538.2 Purpose.
The purpose of this part is to specify one of the criteria in 49 U.S.C. chapter 329 “Automobile Fuel Economy” for identifying dual-fueled passenger automobiles that are manufactured in model years 1993 through 2019. The fuel economy of a qualifying vehicle is calculated in a special manner so as to encourage its production as a way of facilitating a manufacturer’s compliance with the Corporate Average Fuel Economy standards set forth in part 531 of this chapter. The purpose is also to establish gallon equivalent measurements for gaseous fuels other than natural gas.
§ 538.3 Applicability.
This part applies to manufacturers of automobiles.
§ 538.4 Definitions.
(a) Statutory terms. (1) The terms alternative fuel, alternative fueled automobile, and dual fueled automobile, are used as defined in 49 U.S.C. 32901(a).
(2) The terms automobile and passenger automobile, are used as defined in 49 U.S.C. 32901(a), and in accordance with the determinations in part 523 of this chapter.
(3) The term manufacturer is used as defined in 49 U.S.C. 32901(a)(13), and in accordance with part 529 of this chapter.
(4) The term model year is used as defined in 49 U.S.C. 32901(a)(15).
(b)(1) Other terms. The terms average fuel economy, fuel economy, and model type are used as defined in subpart A of 40 CFR part 600.
(2) The term EPA means the U.S. Environmental Protection Agency.
§ 538.5 Minimum driving range.
(a) The minimum driving range that a passenger automobile must have in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 32901(c) is 200 miles when operating on its nominal useable fuel tank capacity of the alternative fuel, except when the alternative fuel is electricity or compressed natural gas. Beginning model year 2016, a natural gas passenger automobile must have a minimum driving range of 150 miles when operating on its nominal useable fuel tank capacity of the alternative fuel to be treated as a dual fueled automobile, pursuant to 49 U.S.C. 32901(c)(2).
(b) The minimum driving range that a passenger automobile using electricity as an alternative fuel must have in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 32901(c) is 7.5 miles on its nominal storage capacity of electricity when operated on the EPA urban test cycle and 10.2 miles on its nominal storage capacity of electricity when operated on the EPA highway test cycle.
§ 538.6 Measurement of driving range.
The driving range of a passenger automobile model type not using electricity as an alternative fuel is determined by multiplying the combined EPA urban/highway fuel economy rating when operating on the alternative fuel, by the nominal usable fuel tank capacity (in gallons), of the fuel tank containing the alternative fuel. The combined EPA urban/highway fuel economy rating is the value determined by the procedures established by the Administrator of the EPA under 49 U.S.C. 32904 and set forth in 40 CFR part 600. The driving range of a passenger automobile model type using electricity as an alternative fuel is determined by operating the vehicle in the electric-only mode of operation through the EPA urban cycle on its nominal storage capacity of electricity and the EPA highway cycle on its nominal storage capacity of electricity. Passenger automobile types using electricity as an alternative fuel that have completed the EPA urban cycle after recharging and the EPA highway cycle after recharging shall be deemed to have met the minimum range requirement.
§ 538.7 Petitions for reduction of minimum driving range.
(a) A manufacturer of a model type of passenger automobile capable of operating on both electricity and either gasoline or diesel fuel may petition for a reduced minimum driving range for that model type in accordance with paragraphs (b) and (c) of this section.
(b) Each petition shall:
(1) Be addressed to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(2) Be submitted not later than the beginning of the first model year in which the petitioner seeks to have the model type treated as an electric dual fueled automobile.
(3) Be written in the English language.
(4) State the full name, address, and title of the official responsible for preparing the petition, and the name and address of the petitioner.
(5) Set forth in full data, views, and arguments of the petitioner, including the information and data specified in paragraph (c) of this section, and the calculations and analyses used to develop that information and data. No documents may be incorporated by reference in a petition unless the documents are submitted with the petition.
(6) Specify and segregate any part of the information and data submitted under this section that the petitioner wishes to have withheld from public disclosure in accordance with part 512 of this chapter.
(c) Each petitioner shall include the following information in its petition:
(1) Identification of the model type or types for which a lower driving range is sought under this section.
(2) For each model type identified in accordance with paragraph (c)(1) of this section:
(i) The driving range sought for that model type.
(ii) The number of years for which that driving range is sought.
(iii) A description of the model type, including car line designation, engine displacement and type, electric storage capacity, transmission type, and average fuel economy when operating on:
(A) Electricity; and
(B) Gasoline or diesel fuel.
(iv) An explanation of why the petitioner cannot modify the model type so as to meet the generally applicable minimum range, including the steps taken by the petitioner to improve the minimum range of the vehicle, as well as additional steps that are technologically feasible, but have not been taken. The costs to the petitioner of taking these additional steps shall be included.
(3) A discussion of why granting the petition would be consistent with the following factors:
(i) The purposes of 49 U.S.C. chapter 329, including encouraging the development and widespread use of electricity as a transportation fuel by consumers, and the production of passenger automobiles capable of being operated on both electricity and gasoline/diesel fuel;
(ii) Consumer acceptability;
(iii) Economic practicability;
(iv) Technology;
(v) Environmental impact;
(vi) Safety;
(vii) Driveability; and
(viii) Performance.
(d) If a petition is found not to contain the information required by this section, the petitioner is informed about the areas of insufficiency and advised that the petition will not receive further consideration until the required information is received.
(e) The Administrator may request the petitioner to provide information in addition to that required by this section.
(f) The Administrator publishes in the
(g) In reaching a determination on a petition submitted under this section, the Administrator takes into account:
(1) The purposes of 49 U.S.C. chapter 329, including encouraging the development and widespread use of alternative fuels as transportation fuels by consumers, and the production of alternative fuel powered motor vehicles;
(2) Consumer acceptability;
(3) Economic practicability;
(4) Technology;
(5) Environmental impact;
(6) Safety;
(7) Driveability; and
(8) Performance.
(h) If the Administrator grants the petition, the petitioner is notified in writing, specifying the reduced minimum driving range, and specifying the model years for which the reduced driving range applies. The Administrator also publishes a notice of the grant of the petition in the
(i) If the Administrator denies the petition, the petitioner is notified in writing. The Administrator also publishes a notice of the denial of the petition in the
§ 538.8 Gallon Equivalents for Gaseous Fuels.
The gallon equivalent of gaseous fuels, for purposes of calculations made under 49 U.S.C. 32905, are listed in Table I:
Table I – Gallon Equivalent Measurements for Gaseous Fuels per 100 Standard Cubic Feet
| Fuel | Gallon equivalent measurement |
|---|---|
| Compressed Natural Gas | 0.823 |
| Liquefied Natural Gas | 0.823 |
| Liquefied Petroleum Gas (Grade HD-5)* | 0.726 |
| Hydrogen | 0.259 |
| Hythane (Hy5) | 0.741 |
* Per gallon unit of measure.
§ 538.9 Dual fuel vehicle incentive.
The application of 49 U.S.C. 32905(b) and (d) to qualifying dual fuel vehicles is extended to the 2005, 2006, 2007, and 2008 model years.
PART 541 – FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD
§ 541.1 Scope.
This standard specifies performance requirements for identifying numbers or symbols to be placed on major parts of certain passenger motor vehicles.
§ 541.2 Purpose.
The purpose of this standard is to reduce the incidence of motor vehicle thefts by facilitating the tracing and recovery of parts from stolen vehicles.
§ 541.3 Application.
(a) Except as provided in paragraph (b) and (c) of this section, this standard applies to the following:
(1) Passenger motor vehicle parts identified in § 541.5(a) that are present in:
(i) Passenger cars; and
(ii) Multipurpose passenger vehicles with a gross vehicle weight rating of 6,000 pounds or less; and
(iii) Light-duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be high theft in accordance with 49 CFR 542.1; and
(iv) Light duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be subject to the requirements of this section in accordance with 49 CFR 542.2.
(2) Replacement passenger motor vehicle parts identified in § 541.5(a) for vehicles listed in paragraphs (1)(i) to (iv) of this section.
(b) Exclusions. This standard does not apply to the following:
(1) Passenger motor vehicle parts identified in § 541.5(a) that are present in vehicles manufactured by a motor vehicle manufacturer that manufactures fewer than 5,000 vehicles for sale in the United States each year.
(2) Passenger motor vehicle parts identified in § 541.5(a) that are present in a line with an annual production of not more than 3,500 vehicles.
(3) Passenger motor vehicle parts identified in § 541.5(a) that are present in light-duty trucks with a gross vehicle weight rating of 6,000 pounds or less, that NHTSA has determined to be subject to the requirements of this section in accordance with 49 CFR 542.2, if the vehicle line with which these light-duty trucks share majority of major interchangeable parts is exempt from parts marking requirements pursuant to part 543.
(c) For vehicles listed in subparagraphs (1)(i) to (iv) of this section that are (1) not subject to the requirements of this standard until September 1, 2006, and (2) manufactured between September 1, 2006 and August 31, 2007; a manufacturer needs to meet the requirements of this part only for lines representing at least 50% of a manufacturer’s total production of these vehicles.
§ 541.4 Definitions.
(a) Statutory terms. All terms defined in 49 U.S.C. chapter 331 are used in accordance with their statutory meanings unless otherwise defined in paragraph (b) of this section.
(b) Other definitions. (1) Interior surface means, with respect to a vehicle part, a surface that is not directly exposed to sun and precipitation.
(2) Light-duty truck (LDT) means a motor vehicle, with motive power, except a trailer, designed primarily for the transportation of property or special purpose equipment, that is rated at 6,000 pounds gross vehicle weight or less.
(3) Line means a name which a manufacturer applies to a group of motor vehicles of the same make which have the same body or chassis, or otherwise are similar in construction or design. A “line” may, for example, include 2-door, 4-door, station wagon, and hatchback vehicles of the same make.
(4) 1990/91 median theft rate means 3.5826 thefts per thousand vehicles produced.
(5) Multipurpose passenger vehicle (MPV) means a passenger motor vehicle which is constructed either on a truck chassis or with special features for occasional off-road operation and which is rated at 6,000 pounds gross vehicle weight or less.
(6) Passenger car is used as defined in § 571.3 of this chapter.
(7) VIN means the vehicle identification number required by part 565 of this chapter.
§ 541.5 Requirements for passenger motor vehicles.
(a) Each passenger motor vehicle subject to this standard must have an identifying number affixed or inscribed on each of the parts specified in paragraphs (a)(1) through (a)(18) inclusive, if the part is present on the passenger motor vehicle. In the case of passenger motor vehicles not originally manufactured to comply with applicable U.S. vehicle safety and bumper standards, each such motor vehicle subject to this standard must have an identifying number inscribed in a manner which conforms to paragraph (d)(2) of this section, on each of the parts specified in paragraphs (a)(1) through (a)(18), inclusive, if the part is present on the motor vehicle.
(b)(1) Except as provided in paragraphs (b)(2) and (b)(3) of this section, the number required to be inscribed or affixed by paragraph (a) shall be the VIN of the passenger motor vehicle.
(2) In place of the VIN, manufacturers who were marking engines and/or transmissions with a VIN derivative consisting of at least the last eight characters of the VIN on October 24, 1984, may continue to mark engines and/or transmissions with such VIN derivative.
(3) In the case of passenger motor vehicles not originally manufactured to comply with U.S. vehicle safety and bumper standards, the number required to be inscribed by paragraph (a) of this section shall be the original vehicle identification number assigned to the motor vehicle by its original manufacturer in the country where the motor vehicle was originally produced or assembled.
(c) The characteristics of the number required to be affixed or inscribed by paragraph (a) of this section shall satisfy the size and style requirements set forth for vehicle certification labels in § 567.4(g) of this chapter.
(d) The number required by paragraph (a) of this section must be affixed by means that comply with paragraph (d)(1) of this section or inscribed by means that comply with paragraph (d)(2) of this section.
(1) Labels. (i) The number must be printed indelibly on a label, and the label must be permanently affixed to the passenger motor vehicle’s part.
(ii) The number must be placed on each part specified in paragraph (a) of this section in a location such that the number is, if practicable, on an interior surface of the part as installed on the vehicle and in a location where it:
(A) Will not be damaged by the use of any tools necessary to install, adjust, or remove the part and any adjoining parts, or any portions thereof;
(B) Is on a portion of the part not likely to be damaged in a collision; and
(C) Will not be damaged or obscured during normal dealer preparation operations (including rustproofing and undercoating).
(iii) The number must be placed on each part specified in paragraph (a) of this section in a location that is visible without further disassembly once the part has been removed from the vehicle.
(iv) The number must be placed entirely within the target area specified by the original manufacturer for that part, pursuant to paragraph (e) of this section, on each part specified in paragraph (a) of this section.
(v) Removal of the label must –
(A) Cause the label to self-destruct by tearing or rendering the number on the label illegible, and
(B) Discernibly alter the appearance of that area of the part where the label was affixed by leaving residual parts of the label or adhesive in that area, so that investigators will have evidence that a label was originally present.
(vi) Alteration of the number on the label must leave traces of the original number or otherwise visibly alter the appearance of the label material.
(vii) The label and the number shall be resistant to counterfeiting.
(viii) The logo or some other unique identifier of the vehicle manufacturer must be placed in the material of the label in a manner such that alteration or removal of the logo visibly alters the appearance of the label.
(2) Other means of identification. (i) Removal or alteration of any portion of the number must visibly alter the appearance of the section of the vehicle part on which the identification is marked.
(ii) The number must be placed on each part specified in paragraph (a) of this section in a location that is visible without further disassembly once the part has been removed from the vehicle.
(iii) The number must be placed entirely within the target area specified by the original manufacturer for that part, pursuant to paragraph (e) of this section, on each part specified in paragraph (a) of this section.
(e) Target areas. (1) Each manufacturer that is the original producer who installs or assembles the covered major parts on a line shall designate a target area for the identifying numbers to be marked on each part specified in paragraph (a) of this section for each of its lines subject to this standard. The target area shall not exceed 50 percent of the surface area on the surface of the part on which the target area is located.
(2) Each manufacturer subject to paragraph (e)(1) of this section shall, not later than 30 days before the line is introduced into commerce, inform NHTSA in writing of the target areas designated for each line subject to this standard. In those instances where a manufacturer has submitted this target area information to NHTSA with a request for confidential treatment pursuant to 49 CFR part 512, the manufacturer must also submit a complete copy of the target area information within seven (7) days after the information becomes public, or the new line is released for sale to the public, whichever comes first. The information must be submitted to: Docket Management, Room W12-140, West Building, Ground Floor, 1200 New Jersey Avenue, SE., Washington, DC 20590 by any of the following methods. In all cases, the docket number for the submission, (Docket No. NHTSA-2009-0069) must be cited.
(i) Electronic submission to the Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting information.
(ii) By U.S. Mail: Docket Management Facility: U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West Building, Ground Floor, Room W12-140, Washington, D.C. 20590.
(iii) Hand delivery or by courier: 1200 New Jersey Avenue, SE., West Building, Ground Floor, Room W12-140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. Telephone: 1-800-647-5527.
(iv) By Fax transmission: (202) 493-2251.
(3) The target areas designated by the original vehicle manufacturer for a part on a line shall be maintained for the duration of the production of such line, unless a restyling of the part makes it no longer practicable to mark the part within the original target area. If there is such a restyling, the original vehicle manufacturer shall inform NHTSA of that fact and the new target area, in accordance with the requirements of paragraph (e)(2) of this section.
§ 541.6 Requirements for replacement parts.
(a) Each replacement part for a part specified in § 541.5(a) must have the registered trademark of the manufacturer of the replacement part, or some other unique identifier if the manufacturer does not have a registered trademark, and the letter “R” affixed or inscribed on such replacement part by means that comply with § 541.5(d), except as provided in paragraph (d) of this section. In the case of replacement parts subject to the marking requirements of this section, which were not originally manufactured for sale in the United States, the importer of the part shall inscribe its registered trademark, or some other unique identifier if the importer does not have a registered trademark, and the letter “R” on the part by means that comply with § 541.5(d)(2), except as provided in paragraph (d) of this section.
(b) A replacement part subject to paragraph (a) of this section shall not be marked pursuant to § 541.5.
(c) The trademark and the letter “R” required by paragraph (a) of this section must be at least one centimeter high.
(d) The trademark and the letter “R” required by paragraph (a) of this section must be placed entirely within the target area specified by the vehicle manufacturer, pursuant to paragraph (e) of this section.
(e) Target areas. (1) Each manufacturer that is the original producer or assembler of the vehicle for which the replacement part is designed shall designate a target area for the identifying symbols to be marked on each replacement part subject to the requirements of paragraph (a) of this section. Such target areas shall not exceed 25 percent of the surface area of the surface on which the replacement part marking will appear.
(2) The boundaries of the target area designated under paragraph (e)(1) of this section shall be at least 10 centimeters at all points from the nearest boundaries of the target area designated for that part under § 541.5(e) of this part.
(3) Each manufacturer subject to paragraph (e)(1) of this section shall inform NHTSA in writing of the target areas designated for each replacement part subject to paragraph (a) of this section, at the same time as it informs the agency of the target area designated for the original equipment parts of the line, pursuant to § 541.5(e)(2) of this part. In those instances where a manufacturer has submitted this target area information to NHTSA with a request for confidential treatment under 49 CFR part 512, the manufacturer shall also submit a complete copy of the target area information within seven (7) days after the information has become public or the new line has been released for sale to the public, whichever comes first. The information should be submitted to: Docket Management, Room W12-140, Ground Floor, 1200 New Jersey Avenue, SE., Washington, DC 20590 by any of the following methods. In all cases, the docket number for the submission, (Docket No. NHTSA-2009-0069) must be cited.
(i) Electronic submission to the Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting information.
(ii) By U.S. Mail: Docket Management Facility: U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West Building, Ground Floor, Room W12-140, Washington, DC 20590.
(iii) Hand delivery or by courier: 1200 New Jersey Avenue, S.E., West Building, Ground Floor, Room W12-140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. Telephone: 1-800-647-5527.
(iv) By Fax transmission: (202) 493-2251.
(4) The target area designated by the original vehicle manufacturer for the parts subject to the requirements of paragraph (a) of this section shall be maintained for the duration of the production of such replacement part, unless a restyling of the part makes it no longer practicable to mark the part within the original target area. If there is such a restyling, the original vehicle manufacturer shall inform NHTSA of that fact and the new target area, in accordance with the requirements of paragraph (e)(3) of this section.
(f) Each replacement part must bear the symbol “DOT” in letters at least one centimeter high within 5 centimeters of the trademark and of the letter “R”, and entirely within the target area specified under paragraph (d) of this section. The symbol “DOT” constitutes the manufacturer’s certification that the replacement part conforms to the applicable theft prevention standard, and shall be inscribed or affixed by means that comply with paragraph (a) of this section. In the case of replacement parts subject to the requirements of paragraph (a) of this section, which were not originally manufactured for sale in the United States, the importer shall inscribe the “DOT” symbol before the part is imported into the United States.
Appendix A to Part 541 [Reserved]
Appendix A-I to Part 541 – Lines With Antitheft Devices Which Are Exempted From the Parts-Marking Requirements of This Standard Pursuant to 49 CFR Part 543
| Manufacturer | Subject lines |
|---|---|
| BMW | MINI, MINI Countryman (MPV), X1 (MPV), X1, X2 (MPV), X3, X4, X5 (MPV), Z4, 3 Series, 4 Series, 5 Series, 6 Series, 7 Series, 8 Series. 1 |
| CHRYSLER | 200, 300, Dodge Charger, Dodge Challenger, Dodge Dart, Dodge Journey, Fiat 500, Fiat 124 Spider, Jeep Cherokee, Jeep Compass, Jeep Grand Cherokee (MPV), Jeep Patriot, Jeep Wrangler/Wrangler JK, 2 Jeep Wrangler JL (new), 1 Town and Country MPV. |
| FORD MOTOR CO | C-Max, EcoSport, Edge, Escape, Explorer, Fiesta, Focus, Fusion, Lincoln MKC, Lincoln MKX, Lincoln Nautilus, 1 Mustang, Taurus. |
| GENERAL MOTORS | Buick LaCrosse/Regal, Buick Verano, Cadillac ATS, Cadillac CTS, Cadillac SRX, Cadillac XTS, Cadillac XT4, 1 Chevrolet Bolt, Chevrolet Camaro, Chevrolet Corvette, Chevrolet Cruze, Chevrolet Equinox, Chevrolet Impala/Monte Carlo, Chevrolet Malibu, Chevrolet Sonic, Chevrolet Spark, Chevrolet Volt, GMC Terrain. |
| HONDA | Accord, Acura MDX, Civic, CR-V, Passport, 1 Pilot. |
| HYUNDAI | Azera, Equus, Genesis G80, |
| JAGUAR | F-Type, XE, XF, XJ, XK, Land Rover Discovery Sport, Land Rover F-Pace, Land Rover LR2, Land Rover Range Rover Evoque, Land Rover Velar. 1 |
| KIA | Niro, Stinger. 1 |
| MASERATI | Ghibli, Levante (SUV), Quattroporte. |
| MAZDA | 2, 3, 5, 6, CX-3, CX-5, CX-9, MX-5 Miata. |
| MERCEDES-BENZ | smart Line Chassis, smart USA fortwo, SL-Line Chassis (SL-Class) (the models within this line are): SL400/SL450, SL550, SL 63/AMG, SL 65/AMG, SLK-Line Chassis (SLK-Class/SLC-Class) (the models within this line are): SLK 250, SLK 300, SLK 350, SLK 55 AMG, SLC 300 AMG, SLC 43, S-Line Chassis (S/CL/S-Coupe Class/S-Class Cabriolet/Mercedes Maybach) (the models within this line are): S400 Hybrid, S550, S600, S63 AMG, S65 AMG, Mercedes-Maybach S560, Mercedes-Maybach S650, CL550, CL600, CL63 AMG, CL65 AMG, NGCC Chassis Line (CLA/GLA/B-Class/A-Class) (the models within this line are): A220, B250e, CLA250, CLA45 AMG, GLA250, GLA45 AMG, C-Line Chassis (C-Class/CLK/GLK-Class/GLC-Class) (the models within this line are): C63 AMG, C240, C250, C300, C350, CLK 350, CLK 550, CLK 63AMG, GLK250, GLK350, E-Line Chassis (E-Class/CLS Class) (the models within this line are): E55, E63 AMG, E320 BLUETEC, E350 BLUETEC, E320/E320DT CDi, E350/E500/E550, E400 HYBRID, CLS400, CLS500/550, CLS55 AMG, CLS63 AMG. |
| MITSUBISHI | Eclipse Cross, iMiEV, Lancer, Outlander, Outlander Sport, Mirage. |
| NISSAN | Altima, Juke, Leaf, Maxima, Murano, NV200 Taxi, Pathfinder, Quest, Rogue, Kicks, Sentra, Infiniti Q70, Infiniti Q50/60, Infiniti QX50, 1 Infiniti QX60. |
| PORSCHE | 911, Boxster/Cayman, Macan, Panamera. |
| SUBARU | Ascent, 1 Forester, Impreza, Legacy, Outback, WRX, XV Crosstrek/Crosstrek. 4 |
| TESLA | Model 3, Model S, Model X. |
| TOYOTA | Avalon, 1 Camry, Corolla, Highlander, Lexus ES, Lexus GS, Lexus LS, Lexus NX, Lexus RX, Prius, RAV4, Sienna. |
| VOLKSWAGEN | Atlas, Beetle, Eos, Jetta, Passat, Tiguan, Audi A3, Audi A4, Audi A4 Allroad MPV, Audi A6, Audi A8, Audi Q3, Audi Q5, Audi TT, Golf/Golf Sport wagen/eGolf/Alltrack. |
| VOLVO | S60. |
1 Granted an exemption from the parts marking requirements beginning with MY 2019.
2 Jeep Wrangler (2009-2019) nameplate changed to Jeep Wrangler JK, JK discontinued after MY 2018.
3 Hyundai discontinued use of its parts marking exemption for the Genesis vehicle line beginning with the 2010 model year, line was reintroduced as the Genesis G80.
4 Subaru XV Crosstrek nameplate changed to Crosstrek beginning with MY 2016.
Appendix A-II to Part 541 [Reserved]
Appendix B to Part 541 – Light Duty Truck Lines With Theft Rates Below the 1990/91 Median Theft Rate, Subject to the Requirements of This Standard
| Manufacturer | Subject lines |
|---|---|
| None |
Appendix C to Part 541 – Criteria for Selecting Light Duty Truck Lines Likely To Have High Theft Rates
These criteria specify the factors the Administrator will take into account in determining whether a new line is likely to have a high theft rate, and, therefore, whether such line will be subject to the requirements of this theft prevention standard.
The purpose of these criteria is to enable the Administrator to select, by agreement with the manufacturer, if possible, those new lines which are likely to have high theft rates.
These criteria apply to lines of passenger motor vehicles initially introduced into commerce on or after September 1, 2006.
These criteria will be applied to each line initially introduced into commerce on or after September 1, 2006. The likely theft rate for such lines will be determined in relation to the national median theft rate for 1990 and 1991. If the line is determined to be likely to have a theft rate above the national median, the Administrator will select such line for coverage under this theft prevention standard.
1. Retail price of the vehicle line.
2. Vehicle image or marketing strategy.
3. Vehicle lines with which the new line is intended to compete, and the theft rates of such lines.
4. Vehicle line(s), if any, which the new line is intended to replace, and the theft rate(s) of such line(s).
5. Presence or absence of any new theft prevention devices or systems.
6. Preliminary theft rate for the line, if it can be determined on the basis of currently available data.
PART 542 – PROCEDURES FOR SELECTING LIGHT DUTY TRUCK LINES TO BE COVERED BY THE THEFT PREVENTION STANDARD
§ 542.1 Procedures for selecting new light duty truck lines that are likely to have high or low theft rates.
(a) Scope. This section sets forth the procedures for motor vehicle manufacturers and NHTSA to follow in the determination of whether any new light duty truck line is likely to have a theft rate above or below the 1990/91 median theft rate.
(b) Application. These procedures apply to each manufacturer that plans to introduce a new light duty truck line into commerce in the United States on or after September 1, 2006, and to each of those new lines.
(c) Procedures. (1) Each manufacturer shall use the criteria in appendix C of part 541 of this chapter to evaluate each new light duty truck line and to conclude whether the new line is likely to have a theft rate above or below the 1990/91 median theft rate.
(2) For each new light duty truck line, the manufacturer shall submit its evaluations and conclusions made under paragraph (c) of this section, together with the underlying factual information, to NHTSA not less than 15 months before the date of introduction. The manufacturer may request a meeting with the agency during this period to further explain the bases for its evaluations and conclusions.
(3) Within 90 days after its receipt of the manufacturer’s submission under paragraph (c)(2) of this section, the agency independently evaluates the new light duty truck line using the criteria in appendix C of part 541 of this chapter and, on a preliminary basis, determines whether the new line should or should not be subject to § 541.2 of this chapter. NHTSA informs the manufacturer by letter of the agency’s evaluations and determinations, together with the factual information considered by the agency in making them.
(4) The manufacturer may request the agency to reconsider any of its preliminary determinations made under paragraph (c)(3) of this section. The manufacturer shall submit its request to the agency within 30 days of its receipt of the letter under paragraph (c)(3) of this section. The request shall include the facts and arguments underlying the manufacturer’s objections to the agency’s preliminary determinations. During this 30-day period, the manufacturer may also request a meeting with the agency to discuss those objections.
(5) Each of the agency’s preliminary determinations under paragraph (c)(3) of this section shall become final 45 days after the agency sends the letter specified in paragraph (c)(3) of this section unless a request for reconsideration has been received in accordance with paragraph (c)(4) of this section. If such a request has been received, the agency makes its final determinations within 60 days of its receipt of the request. NHTSA informs the manufacturer by letter of those determinations and its response to the request for reconsideration.
§ 542.2 Procedures for selecting low theft light duty truck lines with a majority of major parts interchangeable with those of a passenger motor vehicle line.
(a) Scope. This section sets forth the procedures for motor vehicle manufacturers and NHTSA to follow in the determination of whether any light duty truck lines that have or are likely to have a low theft rate have major parts interchangeable with a majority of the covered major parts of a passenger motor vehicle line.
(b) Application. These procedures apply to:
(1) Each manufacturer that produces –
(i) At least one passenger motor vehicle line identified in 49 CFR 541.3(a)(1) and (2) that has been or will be introduced into commerce in the United States, and
(ii) At least one light duty truck line that has been or will be introduced into commerce in the United States and that the manufacturer identifies as likely to have a theft rate below the median theft rate; and
(2) Each of those likely sub-median theft rate light duty truck lines.
(c) Procedures. (1) For each light duty truck line that a manufacturer identifies under appendix C of part 541 of this chapter as having or likely to have a theft rate below the median rate, the manufacturer identifies how many and which of the major parts of that line will be interchangeable with the covered major parts of any of its passenger motor vehicle lines.
(2) If the manufacturer concludes that a light duty truck line that has or is likely to have a theft rate below the median theft rate has major parts that are interchangeable with a majority of the covered major parts of a passenger motor vehicle line, the manufacturer determines whether all the vehicles of those lines with sub-median or likely sub-median theft rates will account for more than 90 percent of the total annual production of all of the manufacturer’s lines with those interchangeable parts.
(3) The manufacturer submits its evaluations and conclusions made under paragraphs (c)(1) and (2) of this section, together with the underlying factual information, to NHTSA not less than 15 months before the date of introduction. During this period, the manufacturer may request a meeting with the agency to further explain the bases for its evaluations and conclusions.
(4) Within 90 days after its receipt of the manufacturer’s submission under paragraph (c)(3) of this section, NHTSA considers that submission, if any, and independently makes, on a preliminary basis, the determinations of those light duty truck lines with sub-median or likely sub-median theft rates which should or should not be subject to § 541.5 of this chapter. NHTSA informs the manufacturer by letter of the agency’s preliminary determinations, together with the factual information considered by the agency in making them.
(5) The manufacturer may request the agency to reconsider any of its preliminary determinations made under paragraph (c)(4) of this section. The manufacturer must submit its request to the agency within 30 days of its receipt of the letter under paragraph (c)(4) of this section informing it of the agency’s evaluations and preliminary determinations. The request must include the facts and arguments underlying the manufacturer’s objections to the agency’s preliminary determinations. During this 30-day period, the manufacturer may also request a meeting with the agency to discuss those objections.
(6) Each of the agency’s preliminary determinations made under paragraph (c)(4) of this section becomes final 45 days after the agency sends the letter specified in that paragraph unless a request for reconsideration has been received in accordance with paragraph (c)(5) of this section. If such a request has been received, the agency makes its final determinations within 60 days of its receipt of the request. NHTSA informs the manufacturer by letter of those determinations and its response to the request for reconsideration.
PART 543 – EXEMPTION FROM VEHICLE THEFT PREVENTION STANDARD
§ 543.1 Scope.
This part establishes procedures under section 605 of the Motor Vehicle Information and Cost Savings Act (15 U.S.C. 2025) for filing and processing petitions to exempt lines of passenger motor vehicles from part 541 of this chapter, and procedures for terminating or modifying an exemption.
§ 543.2 Purpose.
The purpose of this part is to specify the content and format of petitions which may be filed by manufacturers of passenger motor vehicles to obtain an exemption from the parts-marking requirements of the vehicle theft prevention standard for passenger motor vehicle lines which include, as standard equipment, an antitheft device if the agency concludes that the device is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements. This part also provides the procedures that the agency will follow in processing those petitions and in terminating or modifying exemptions.
§ 543.3 Application.
This part applies to manufacturers of vehicles subject to the requirements of part 541 of this chapter, and to any interested person who seeks to have NHTSA terminate an exemption.
§ 543.4 Definitions.
(a) Statutory terms. All terms defined in sections 2, 601, and 605 of the Motor Vehicle Information and Cost Savings Act are used in accordance with their statutory meanings unless otherwise defined in paragraph (b) of this section.
(b) Other definitions.
Accessory mode means the ignition switch setting in which certain electrical systems (such as the radio and power windows) can be operated without the operation of the vehicle’s propulsion engine.
Immobilizer means a device that, when activated, is intended to prevent a motor vehicle from being powered by its own propulsion system.
Line or car line means a name which a manufacturer applies to a group of motor vehicles of the same make which have the same body or chassis, or otherwise are similar in construction or design. A “line” may, for example, include 2-door, 4-door, station wagon, and hatchback vehicles of the same make.
NHTSA means the National Highway Traffic Safety Administration.
§ 543.5 Petition: General requirements.
(a) For each model year, a manufacturer may petition NHTSA for an exemption of one car line from the requirements of part 541 of this chapter. However, for car lines not subject to the requirements of part 541 of this chapter until September 1, 2006, a manufacturer may not petition NHTSA for an exemption for model years before model year 2006.
(b) Each petition filed under this part for an exemption must –
(1) Be written in the English language;
(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.
(3) State the full name and address of the petitioner, the nature of its organization (individual, partnership, corporation, etc.), and the name of the State or country under the laws of which it is organized;
(4) Be submitted at least 8 months before the commencement of production of the lines specified under paragraph (5) of § 543.5(b) for the first model year in which the petitioner wishes those lines to be exempted, and identify that model year;
(5) Identify the passenger motor vehicle line or lines for which exemption is sought;
(6) Identify whether the exemption is sought under § 543.6 or § 543.7.
(7) If the exemption is sought under § 543.6, set forth in full the data, views, and arguments of the petitioner supporting the exemption, including the information specified in that section.
(8) If the exemption is sought under § 543.7, submission of the information required in that section.
(9) Specify and segregate any part of the information or data submitted that the petitioner requests be withheld from public disclosure in accordance with part 512, Confidential Business Information, of this chapter.
§ 543.6 Petition: Specific content requirements.
(a) Each petition for exemption filed under this part must include:
(1) A statement that an antitheft device will be installed as standard equipment on all vehicles in the line for which an exemption is sought;
(2) A list naming each component in the antitheft system, and a diagram showing the location of each of those components within the vehicle;
(3) A discussion that explains the means and process by which the device is activated and functions, including any aspect of the device designed to –
(i) Facilitate or encourage its activation by motorists,
(ii) Attract attention to the efforts of an unauthorized person to enter or move a vehicle by means other than a key,
(iii) Prevent defeating or circumventing the device by an unauthorized person attempting to enter a vehicle by means other than a key,
(iv) Prevent the operation of a vehicle which an unauthorized person has entered using means other than a key, and
(v) Ensure the reliability and durability of the device;
(4) The reasons for the petitioner’s belief that the antitheft device will be effective in reducing and deterring motor vehicle theft, including any theft data and other data that are available to the petitioner and form a basis for that belief;
(5) The reasons for the petitioner’s belief that the agency should determine that the antitheft device is likely to be as effective as compliance with the parts-marking requirements of part 541 in reducing and deterring motor vehicle theft, including any statistical data that are available to the petitioner and form a basis for petitioner’s belief that a line of passenger motor vehicles equipped with the antitheft device is likely to have a theft rate equal to or less than that of passenger motor vehicles of the same, or a similar, line which have parts marked in compliance with part 541.
(b) Any petitioner submitting data under paragraph (a) (4) or (5) of this section shall submit an explanation of its belief that the data are sufficiently representative and reliable to warrant NHTSA’s reliance upon them.
§ 543.7 Petitions based on performance criteria.
A petition submitted under this section must include:
(a) A statement that the entire line of vehicles is equipped with an immobilizer, as standard equipment, that meets one of the following:
(1) The performance criteria (subsections 8 through 21) of C.R.C, c. 1038.114, Theft Protection and Rollaway Prevention (in effect March 30, 2011), as excerpted in appendix A of this part;
(2) National Standard of Canada CAN/ULC-S338-98, Automobile Theft Deterrent Equipment and Systems: Electronic Immobilization (May 1998);
(3) United Nations Economic Commission for Europe (UN/ECE) Regulation No. 97 (ECE R97), Uniform Provisions Concerning Approval of Vehicle Alarm System (VAS) and Motor Vehicles with Regard to Their Alarm System (AS) in effect August 8, 2007; or
(4) UN/ECE Regulation No. 116 (ECE R116), Uniform Technical Prescriptions Concerning the Protection of Motor Vehicles Against Unauthorized Use in effect on February 10, 2009.
(b) Compliance documentation kept to demonstrate the basis for certification with the performance criteria specified in paragraph (a) of this section.
(c) A statement that the immobilizer device is durable and reliable.
§ 543.8 Processing an exemption petition.
(a) NHTSA processes any complete petition. If a manufacturer submits a petition that does not contain all the information required by this part, NHTSA informs the manufacturer of the areas of insufficiency and advises the manufacturer that the agency does not process the petition until it receives the required information.
(b) The agency grants a petition for an exemption from the parts-marking requirements of part 541 either in whole or in part, if it determines that, based upon substantial evidence, the standard equipment antitheft device is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements of part 541.
(c) The agency issues its decision either to grant or deny an exemption petition not later than 120 days after the date on which a complete petition is filed.
(d) Any exemption granted under this part applies only to the vehicle line or lines that are the subject of the grant, and are equipped with the antitheft device on which the line’s exemption was based.
(e) An exemption granted under this part is effective for the model year beginning after the model year in which NHTSA issue the notice of exemption, unless the notice of exemption specifies a later model year.
(f) If the petition is sought under § 543.6, NHTSA publishes a notice of its decision to grant or deny an exemption petition in the
(g) If the petition is sought under § 543.7, NHTSA notifies the petitioner in writing of the agency’s decision to grant or deny an exemption petition.
§ 543.9 Duration of exemption.
Each exemption under this part continues in effect unless it is modified or terminated under § 543.10, or the manufacturer ceases production of the exempted line.
§ 543.10 Terminating or modifying an exemption.
(a) On its own initiative or in response to a petition, NHTSA may commence a proceeding to terminate or modify any exemption granted under this part.
(b) Any interested person may petition the agency to commence a proceeding to terminate or modify an exemption.
(c)(1) In a petition to terminate an exemption, the petitioner must:
(i) Identify the vehicle line or lines that are the subject of the exemption;
(ii) State the reasons for petitioner’s belief that the standard equipment antitheft device installed under the exemption is not as effective as compliance with the parts-marking requirements of part 541 in reducing and deterring motor vehicle theft;
(iii) Comply with § 543.5, paragraphs (b) (1) through (3) and (7).
(2) In a petition to modify an exemption, the petitioner must:
(i) Identify the vehicle line or lines that are the subject of the exemption;
(ii) Request permission to use an antitheft device similar to, but different from the standard equipment antitheft device which is installed under the exemption;
(iii) Comply with § 543.5, paragraphs (b) (1) through (3) and (7); and
(iv) Provide the same information for the modified device that is required under § 543.6 for a new device, except that the information specified by § 543.6(a)(3) need by provided only to the extent that the modified device differs from the standard equipment antitheft device installed under the exemption.
(d) NHTSA processes any complete petition. If a person submits a petition under this section that does not contain all the information required by it, NHTSA informs the manufacturer of the areas of insufficiency and advises the manufacturer that the agency does not process the petition until it receives the required information.
(e) If NHTSA denies a petition requesting a proceeding to terminate or modify an exemption, the agency notifies the petitioner by letter.
(f) If NHTSA commences a termination proceeding on its own initiative or in response to a petition, the agency provides the manufacturer of the exempted line with a copy of the petition, if any, a written statement of NHTSA’s reasons for commencing the proceeding, and an opportunity to present its written views.
(g)(1) The agency terminates an exemption if it determines that the antitheft device installed under the exemption has not been as effective as parts-marking in reducing and deterring motor vehicle theft.
(2) Except as provided in paragraph (g)(3) of this section, a decision to terminate an exemption under this section takes effect on the later of the following dates:
(i) The last day of the model year in which NHTSA issues the termination decision, or
(ii) Six months after the manufacturer receives written notice of the termination.
(3) If a manufacturer shows good cause why terminating its exemption effective on a date later than the one specified in paragraph (g)(2) of this section is consistent with the public interest and the purposes of the Act, the agency may set such later date.
(h)(1) The agency modifies an exemption if it determines, based on substantial evidence, that the modified antitheft device described in the petition is likely to be as effective in reducing and deterring motor vehicle theft as compliance with the parts-marking requirements of part 541.
(2)(i) Except as provided in paragraph (h)(2)(ii) of this section, a decision to modify an exemption under this section takes effect on the first day of the model year following the model year in which NHTSA issued the modification decision.
(ii) If a manufacturer shows good cause why modifying its exemption effective on a date earlier than the one specified in paragraph (h)(2)(i) of this section is consistent with the public interest and the purposes of the Act, the agency may set such earlier date.
(i) [Reserved]
(j) NHTSA publishes notice in the
Appendix A to Part 543 – Performance Criteria (Subsections 8 Through 21) of C.R.C, c. 1038.114 (in Effect March 30, 2011)
In order to be eligible for an exemption under § 543.7(a)(1), the entire vehicle line must be equipped with an immobilizer meeting the following criteria:
(1) Subject to paragraph (2) of this appendix, an immobilization system shall arm automatically within a period of not more than 1 minute after the disarming device is removed from the vehicle, if the vehicle remains in a mode of operation other than accessory mode or on throughout that period.
(2) If the disarming device is a keypad or biometric identifier, the immobilization system shall arm automatically within a period of not more than 1 minute after the motors used for the vehicle’s propulsion are turned off, if the vehicle remains in a mode of operation other than accessory mode or on throughout that period.
(3) The immobilization system shall arm automatically not later than 2 minutes after the immobilization system is disarmed, unless:
(i) Action is taken for starting one or more motors used for the vehicle’s propulsion;
(ii) Disarming requires an action to be taken on the engine start control or electric motor start control, the engine stop control or electric motor stop control, or the ignition switch; or
(iii) Disarming occurs automatically by the presence of a disarming device and the device is inside the vehicle.
(4) If armed, the immobilization system shall prevent the vehicle from moving more than 3 meters (9.8 feet) under its own power by inhibiting the operation of at least one electronic control unit and shall not have any impact on the vehicle’s brake system except that it may prevent regenerative braking and the release of the parking brake.
(5) During the disarming process, a code shall be sent to the inhibited electronic control unit in order to allow the vehicle to move under its own power.
(6) It shall not be possible to disarm the immobilization system by interrupting its normal operating voltage.
(7) When the normal starting procedure requires that the disarming device mechanically latch into a receptacle and the device is physically separate from the ignition switch key, one or more motors used for the vehicle’s propulsion shall start only after the device is removed from that receptacle.
(8)(i) The immobilization system shall have a minimum capacity of 50,000 code variants, shall not be disarmed by a code that can disarm all other immobilization systems of the same make and model; and
(ii) subject to paragraph (9) of this appendix, it shall not have the capacity to process more than 5,000 codes within 24 hours.
(9) If an immobilization system uses rolling or encrypted codes, it may conform to the following criteria instead of the criteria set out in paragraph (8)(ii) of this appendix:
(i) The probability of obtaining the correct code within 24 hours shall not exceed 4 per cent; and
(ii) It shall not be possible to disarm the system by re-transmitting in any sequence the previous 5 codes generated by the system.
(10) The immobilization system shall be designed so that, when tested as installed in the vehicle neither the replacement of an original immobilization system component with a manufacturer’s replacement component nor the addition of a manufacturer’s component can be completed without the use of software; and it is not possible for the vehicle to move under its own power for at least 5 minutes after the beginning of the replacement or addition of a component referred to in this paragraph (1).
(11) The immobilization system’s conformity to paragraph (10) of this appendix shall be demonstrated by testing that is carried out without damaging the vehicle.
(12) Paragraph (10)(i) of this appendix does not apply to the addition of a disarming device that requires the use of another disarming device that is validated by the immobilization system.
(13) The immobilization system shall be designed so that it can neither be bypassed nor rendered ineffective in a manner that would allow a vehicle to move under its own power, or be disarmed, using one or more of the tools and equipment listed in paragraph (14) of this appendix;
(i) Within a period of less than 5 minutes, when tested as installed in the vehicle; or
(ii) Within a period of less than 2.5 minutes, when bench-tested outside the vehicle.
(14) During a test referred to in paragraph (13) of this appendix, only the following tools or equipment may be used: Scissors, wire strippers, wire cutters and electrical wires, a hammer, a slide hammer, a chisel, a punch, a wrench, a screwdriver, pliers, steel rods and spikes, a hacksaw, a battery operated drill, a battery operated angle grinder; and a battery operated jigsaw.
C.R.C, c. 1038.114, Theft Protection and Rollaway Prevention (in effect March 30, 2011). See: SOR/2011-69 March, 2011 “Regulations Amending the Motor Vehicle Safety Regulations (Theft Prevention and Rollaway Prevention – Standard 114)” 2011-03-30 Canada Gazette Part II, Vol 145, No. 7.
PART 545 – FEDERAL MOTOR VEHICLE THEFT PREVENTION STANDARD PHASE-IN AND SMALL-VOLUME LINE REPORTING REQUIREMENTS
§ 545.1 Scope.
This part establishes requirements for manufacturers of motor vehicles to respond to NHTSA inquiries, to submit reports, and to maintain records related to the reports, concerning the number of vehicles that meet the requirements of 49 CFR part 541, and the number of vehicles that are excluded from the requirements of 49 CFR part 541 pursuant to 49 CFR 541.3(b)(2).
§ 545.2 Purpose.
The purpose of these requirements is to assist the National Highway Traffic Safety Administration in determining whether a manufacturer has complied with the requirements of 49 CFR 541.5.
§ 545.3 Applicability.
This subpart applies to manufacturers of motor vehicles.
§ 545.4 Response to inquiries.
(a) At any time prior to August 31, 2007, each manufacturer must, upon request from the Office of Vehicle Safety Compliance, provide information identifying the vehicles (by make, model, and vehicle identification number) that have been certified as complying with the requirements of 49 CFR part 541. The manufacturers designation of a vehicle as a certified vehicle is irrevocable.
(b) At any time prior to August 31, 2007, each manufacturer must, upon request from the Office of Vehicle Safety Compliance, provide information identifying the vehicles (by make, model, and vehicle identification number) that are excluded from the requirements of 49 CFR part 541 pursuant to 49 CFR 541.3(b)(2).
§ 545.5 Definitions.
Production year means the 12-month period between September 1 of 2006 and August 31, 2007, inclusive.
Small-volume line means a line with an annual production of not more than 3,500 vehicles.
§ 545.6 Reporting requirements for vehicles listed in § 541.3(a)(1).
(a) General reporting requirements. Within 60 days after the end of the production year ending August 31, 2007, each manufacturer shall submit a report to the National Highway Traffic Safety Administration concerning its compliance with 49 CFR part 541 for vehicles listed in § 541.3(a)(1) that were manufactured between September 1, 2006 and August 31, 2007. Each report must –
(1) Identify the manufacturer;
(2) State the full name, title, and address of the official responsible for preparing the report;
(3) Identify the production year being reported on;
(4) Contain a statement regarding whether or not the manufacturer complied with the requirements of 49 CFR part 541 for the period covered by the report, and the basis for that statement;
(5) Provide the information specified in paragraph (b) of this section;
(6) Be written in the English language; and
(7) Be submitted to: Administrator, National Highway Traffic Safety Administration, Room, 400 7th Street, SW., Washington, DC 20590.
(b) Report content – (1) Basis for Statement of Compliance. Each manufacturer shall provide the number of motor vehicles listed in § 541.3(a)(1) that were manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006).
(2) Production. Each manufacturer shall provide (1) the number of motor vehicles manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006), that meet the requirements of 49 CFR 541.5; and (2) the number of motor vehicles manufactured between September 1, 2006 and August 31, 2007 (excluding those motor vehicles that were subject to the requirements of 49 CFR part 541 before September 1, 2006), that are exempt from 49 CFR part 541 pursuant to 49 CFR part 543.
(3) Statement regarding compliance. Each manufacturer must provide a statement regarding whether or not the manufacturer complied with 49 CFR 541.5 requirements as applicable to the period covered by the report, and the basis for that statement.
§ 545.7 Reporting requirements for vehicles listed in § 541.3(b)(2).
(a) General reporting requirements. Within 60 days after the end of the production year ending August 31, 2007, each manufacturer must submit a report to the National Highway Traffic Safety Administration concerning small-volume lines that were manufactured between September 1, 2006 and August 31, 2007. Each report must –
(1) Identify the manufacturer;
(2) State the full name, title, and address of the official responsible for preparing the report;
(3) Identify the production year being reported on;
(4) Provide the information specified in paragraph (b) of this section;
(5) Be written in the English language; and
(6) Be submitted to: Administrator, National Highway Traffic Safety Administration, Room, 400 7th Street, SW., Washington, DC 20590.
(b) Report content. Within 60 days after the end of the production year ending August 31, 2007, each manufacturer shall provide: (1) The name of each small-volume line the manufacturer produces; (2) the number of motor vehicles in each small-volume line the manufacturer produced.
§ 545.8 Records.
Each manufacturer shall maintain records of the Vehicle Identification Number for each vehicle for which information is reported under §§ 545.6(b)(2) and 545.7(b)(2) until December 31, 2008.
§ 545.9 Petition to extend period to file report.
A manufacturer may petition for extension of time to submit a report under this part. A petition will be granted only if the petitioner shows good cause for the extension and if the extension is consistent with the public interest. The petition must be received not later than 15 days before expiration of the time stated in § 545.5(a). The filing of a petition does not automatically extend the time for filing a report. The petition must be submitted to: Administrator, National Highway Traffic Safety Administration, 400 7th Street, SW., Washington, DC 20590.
PART 551 – PROCEDURAL RULES
Subpart A – General
§ 551.1 Scope.
This part contains rules of procedure generally applicable to the transaction of official business under the National Traffic and Motor Vehicle Safety Act of 1966, the Motor Vehicle Information and Cost Savings Act, and the Highway Safety Act of 1966. These rules apply in addition to the rules governing specific proceedings. In case of inconsistency with these general rules, the specific rules prevail.
Subpart B [Reserved]
Subpart C – Submittals in Writing
§ 551.31 Form of communications.
Any communication in writing relating to official business (including formal documents) shall be on opaque and durable paper not larger than 9 by 14 inches in size. Tables, charts, or originals of other documents that are attached to communications shall be folded to this size, if possible. The left margin of communications shall be at least 1
§ 551.33 Address of communications.
Unless otherwise specified, communications shall be addressed to the Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation, 400 Seventh Street SW., Washington, DC 20590. Communications may not be addressed to a staff member’s private address.
§ 551.35 Subscription of communications.
Each communication shall be signed in ink and shall disclose the full legal name and the address of the person signing it and, if he is an agent, of his principal.
§ 551.37 Language of communications.
Communications and attachments thereto shall be in English. Any matter written in a foreign language will be considered only if accompanied by a translation into English. A translation shall bear a certificate by the translator certifying that he is qualified to make the translation; that the translation is complete except as otherwise clearly indicated; and that it is accurate to the best of the translator’s knowledge and belief. The translator shall sign the certificate in ink and state his full legal name, occupation, and address.
Subpart D – Service of Process on Foreign Manufacturers and Importers
Designation of an Agent for Service of Process
§ 551.45 What is the purpose of this subpart?
The purpose of this subpart is to establish a procedure for foreign manufacturers, assemblers and importers of motor vehicles and motor vehicle equipment to designate an agent in the United States on whom service of administrative or judicial notices or processes may be made.
§ 551.46 Who must comply with this subpart and when?
(a) All foreign manufacturers, assemblers, and importers of motor vehicles or motor vehicle equipment (hereinafter referred to as “foreign manufacturers”) must comply with this subpart before offering a motor vehicle or item of motor vehicle equipment for importation into the United States.
(b) Unless and until a foreign manufacturer appoints an agent in accordance with the requirements of this subpart, it may not import motor vehicles or motor vehicle equipment into the United States.
§ 551.47 Who may serve as an agent for a foreign manufacturer?
Only an individual, a domestic firm or a domestic corporation that is a permanent resident of the United States may serve as an agent under this subpart.
§ 551.48 May an official of a foreign manufacturer serve as its agent?
(a) Generally no; an agent must be a permanent resident of the United States. Typically officials of foreign manufacturers and importers are not United States residents.
(b) Occasionally an official of a foreign manufacturer also serves as an official of a domestic firm or corporation or is a permanent resident of the United States. In such cases, the official may serve as agent and sign the designation documents both on behalf of the foreign manufacturer and as agent. However, the foreign manufacturer must submit to NHTSA, along with the designation documents, a letter explaining that the individual signing the designation is both an official of the foreign manufacturer with authority to appoint an agent and a permanent resident of the United States or official of a domestic firm or corporation. If NHTSA does not receive an explanatory letter at the same time it receives the designation, the agency will deem the designation insufficient under this subpart and reject the submission.
§ 551.49 May a foreign manufacturer replace its agent?
(a) Yes, a foreign manufacturer may replace its agent in the same way it originally designated the agent. It must submit designation documents that meet the form and content requirements identified in the following section of this subpart. Until NHTSA receives designation documents meeting those requirements or a letter withdrawing an existing designation, the individual or domestic corporation originally designated will continue to serve as its agent for service of process.
(b) A foreign manufacturer that has withdrawn but not replaced its agent may not continue to import motor vehicles or motor vehicle equipment into the United States. In order to do so, it must appoint a new agent in accordance with the requirements of this subpart.
§ 551.50 May more than one foreign manufacturer designate the same person as agent?
Yes, any number of foreign manufacturers separately may designate the same person as agent.
§ 551.51 May an agent assign performance of its functions to another individual or entity?
No, an agent may not assign performance of its functions.
§ 551.52 How long will a foreign manufacturer’s designation of agent remain in effect?
(a) A designation of agent remains in effect until replaced or withdrawn by a foreign manufacturer.
(b) A foreign manufacturer that has withdrawn but not replaced its agent may not continue to import motor vehicles or motor vehicle equipment into the United States. In order to do so, it must appoint a new agent in accordance with the requirements of this subpart.
Form and Contents of Designation
§ 551.53 What is the required format for a designation?
(a) All documents submitted under this subpart must be:
(1) Original documents;
(2) Written in English; and
(3) Signed in ink.
(b) For each signature, the document must indicate in English:
(1) The date of signature; and
(2) The name and title of the individual who signed the document.
(c) As long as documents submitted by a foreign manufacturer and its agent contain all required information (identified in §§ 551.54, 551.55 and 551.56 below), there is no mandatory format for the designation
(d) NHTSA encourages foreign manufacturers to use the suggested designation form set forth in the appendix to this subpart. If completed and executed properly by both a foreign manufacturer and its agent, this form will comply fully with the requirements of §§ 551.53 through 551.65.
§ 551.54 What are the required contents for a designation?
The suggested designation form set forth in the Appendix, if completed and signed properly by a foreign manufacturer and its agent, contains all of the information necessary to create a valid designation under this subpart. Specifically, a valid designation must contain:
(a) A Designation by Foreign Manufacturer; and
(b) An Acceptance by Agent.
§ 551.55 What information must a Designation by Foreign Manufacturer contain?
A Designation by Foreign Manufacturer must contain:
(a) A statement that the designation is in valid form and binding on the foreign manufacturer under the laws, corporate bylaws or other requirements governing the making of designations at the place and time where it is made;
(b) The full legal name, principal place of business and mailing address of the foreign manufacturer;
(c) All trade or brand names, marks, logos or other designations of origin under which the foreign manufacturer’s products will be sold; and
(d) The signature in ink, and the name and title of the official or employee signing the designation on behalf of the foreign manufacturer, who must have authority to appoint an agent.
§ 551.56 What information must an Acceptance by Agent contain?
An Acceptance by Agent must contain:
(a) The full legal name, mailing address and telephone number of the agent;
(b) A statement that the agent accepts the designation and understands that (s)he may not assign performance of the agent’s functions under the designation to another person or entity, and that the designation shall remain in effect until it is withdrawn or replaced by the foreign manufacturer;
(c) The signature in ink of the agent, or an official or employee of the domestic firm or corporation serving as the agent, who must authority to sign for the firm or corporation; and
(d) The name and title of the individual signing the acceptance.
§ 551.57 Who may sign the Designation by Foreign Manufacturer?
Only an official or employee of the foreign manufacturer with authority to appoint an agent may sign the Designation by Foreign Manufacturer.
§ 551.58 Who may sign the Acceptance by Agent?
Only the agent, in the case of an individual, or an official or employee, in the case of a domestic firm or corporation serving as the agent with authority to sign for that firm of corporation, may sign the Acceptance of Agent.
§ 551.59 May the same individual sign both the Designation by Foreign Manufacturer and Acceptance by Agent?
(a) Generally no; the Designation by Manufacturer must be signed by an official or employee of the foreign manufacturer and the Acceptance by Agent must be signed by the foreign manufacturer’s agent, in the case of an individual, or by an official or employee, in the case of a domestic firm or corporation serving as its agent.
(b) Occasionally an official of a foreign manufacturer also serves as an official of a domestic firm or corporation or is a permanent resident of the United States. In such cases, the official may serve as agent and sign the designation documents both on behalf of the foreign manufacturer and as agent. However, the foreign manufacturer must submit to NHTSA, along with the designation documents, a letter explaining that the individual signing the designation is both an official of the foreign manufacturer with authority to appoint an agent and a permanent resident of the United States or official of a domestic firm or corporation. If NHTSA does not receive an explanatory letter at the same time it receives the designation, the agency will deem the designation insufficient under this subpart and reject the submission.
§ 551.60 When must the Designation by Foreign Manufacturer be signed?
(a) The foreign manufacturer must sign the Designation by Foreign Manufacturer on or before the date that the agent signs the Acceptance by Agent. It is not possible for an individual or entity to accept a designation as agent until on or after the date on which a foreign manufacturer makes the designation.
(b) If the Designation by Foreign Manufacturer is dated after the Acceptance by Agent, NHTSA will deem the designation insufficient under this subpart and reject the submission.
§ 551.61 When must the Acceptance by Agent be signed?
(a) The agent, in the case of an individual, or an employee or official, in the case of a domestic firm or corporation serving as agent, must sign the Acceptance by Agent on or after the date that the manufacturer signs the Designation by Foreign Manufacturer. It is not possible for an individual or entity to accept a designation as agent until on or after the date on which the foreign manufacturer makes the designation.
(b) If the Acceptance by Agent is dated before the Designation by Foreign Manufacturer, NHTSA will deem the designation insufficient under this subpart and reject the submission.
§ 551.62 Where should a foreign manufacturer mail the designation?
Foreign manufacturers must mail their designations to the Office of the Executive Secretariat, National Highway Traffic Safety Administration, Room 5221, 400 Seventh Street, SW, Washington, DC 20590. No other NHTSA office is authorized to accept designation documents. To avoid delays, the agency suggests using express mail services.
§ 551.63 May a foreign manufacturer submit a designation by email or facsimile?
No, the statute requires designation documents submitted by foreign manufacturers to contain original ink signatures. NHTSA will reject designation documents submitted via email or facsimile, as they do not satisfy this requirement.
§ 551.64 What if designation documents submitted by a foreign manufacturer do not comply with this subpart?
Designations of agent are binding on the foreign manufacturer even when their form and contents do not comply with this subpart, unless rejected by the agency.
§ 551.65 What if a foreign manufacturer changes its name, address or product names or marks?
(a) A foreign manufacturer must provide written notice to NHTSA of any changes in its name, address or marks, trade names, or other designations of origin appearing on its products.
(b) Foreign manufacturers should mail notices to the Office of the Executive Secretariat, National Highway Traffic Safety Administration, Room 5221, 400 Seventh Street, SW., Washington, DC 20590. To avoid delays, the agency suggests using express mail services.
Method of Service of Process
§ 551.66 What is the legal effect of service of process on an agent?
Service on an agent of administrative or judicial notices or process is deemed to be service on a manufacturer.
§ 551.67 Where and how may an agent be served?
An agent may be served at the agent’s office or usual place of residence, by registered or certified mail addressed to the agent with return receipt requested, or by any other manner authorized by law.
§ 551.68 What if an agent cannot be served?
If an agent cannot be served because the agent cannot be located, has ceased to exist or does not receive correctly addressed mail, service may be made by posting the notice or process in the Office of the Secretary of Transportation.
PART 552 – PETITIONS FOR RULEMAKING, DEFECT, AND NONCOMPLIANCE ORDERS
Subpart A – General
§ 552.1 Scope.
This part establishes procedures for the submission and disposition of petitions filed by interested persons pursuant to 49 U.S.C. Chapters 301, 305, 321, 323, 325, 327, 329 and 331 to initiate rulemaking or to make a decision that a motor vehicle or item of replacement equipment does not comply with an applicable Federal motor vehicle safety standard or contains a defect which relates to motor vehicle safety.
§ 552.2 Purpose.
The purpose of this part is to enable the National Highway Traffic Safety Administration to identify and respond on a timely basis to petitions for rulemaking or defect or noncompliance decisions, and to inform the public of the procedures following in response to such petitions.
§ 552.3 General.
Any interested person may file with the Administrator a petition requesting him:
(a) To commence a proceeding respecting the issuance, amendment or revocation of a motor vehicle safety standard, or
(b) To commence a proceeding to decide whether to issue an order concerning the notification and remedy of a failure of a motor vehicle or item of replacement equipment to comply with an applicable motor vehicle safety standard or a defect in such vehicle or equipment that relates to motor vehicle safety.
§ 552.4 Requirements for petition.
A petition filed under this part should be addressed and submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, S.W., Washington, DC 20590. Each petition filed under this part must:
(a) Be written in the English language;
(b) Have, preceding its text, a heading that includes the word “Petition”;
(c) Set forth facts which it is claimed establish that an order is necessary;
(d) Set forth a brief description of the substance of the order which it is claimed should be issued; and
(e) Contain the name and address of the petitioner.
§ 552.5 Improperly filed petitions.
(a) A petition that is not addressed as specified in § 552.4, but that meets the other requirements of that section, will be treated as a properly filed petition, received as of the time it is discovered and identified.
(b) A document that fails to conform to one or more of the requirements of § 552.4(a) through (e) will not be treated as a petition under this part. Such a document will be treated according to the existing correspondence or other appropriate procedures of the NHTSA, and any suggestions contained in it will be considered at the discretion of the Administrator or his delegate.
§ 552.6 Technical review.
The appropriate Associate Administrator conducts a technical review of the petition. The technical review may consist of an analysis of the material submitted, together with information already in the possession of the agency. It may also include the collection of additional information, or a public meeting in accordance with § 552.7.
§ 552.7 Public meeting.
If the Associate Administrator decides that a public meeting on the subject of the petition would contribute to the determination whether to commence a proceeding, he issues a notice of public meeting for publication in the
§ 552.8 Notification of agency action on the petition.
After considering the technical review conducted under § 552.6, and taking into account appropriate factors, which may include, among others, allocation of agency resources, agency priorities and the likelihood of success in litigation which might arise from the order, the Administrator will grant or deny the petition. NHTSA will notify the petitioner of the decision to grant or deny the petition within 120 days after its receipt of the petition.
§ 552.9 Grant of petition.
(a) If a petition for rulemaking with respect to a motor vehicle safety standard is granted, a rulemaking proceeding is promptly commenced in accordance with applicable NHTSA and statutory procedures. The granting of such a petition and the commencement of a rulemaking proceeding does not signify, however, that the rule in question will be issued. A decision as to the issuance of the rule is made on the basis of all available information developed in the course of the rulemaking proceeding, in accordance with statutory criteria.
(b) If a petition with respect to a noncompliance or a defect is granted, a proceeding to determine the existence of the noncompliance or defect is promptly commenced by the initiation of an investigation by the Office of Standards Enforcement or the Office of Defects Investigation, as appropriate.
§ 552.10 Denial of petition.
If a petition is denied, a
Subpart B – Petitions for Expedited Rulemaking To Establish Dynamic Automatic Suppression System Test Procedures for Federal Motor Vehicle Safety Standard No. 208, Occupant Crash Protection
§ 552.11 Application.
This subpart establishes procedures for the submission and disposition of petitions filed by interested parties to initiate rulemaking to add a test procedure to 49 CFR 571.208, S28.
§ 552.12 Definitions.
For purposes of this subpart, the following definitions apply:
(a) Dynamic automatic suppression system (DASS) means a portion of an air bag system that automatically controls whether or not the air bag deploys during a crash by:
(1) Sensing the location of an occupant, moving or still, in relation to the air bag;
(2) Interpreting the occupant characteristics and location information to determine whether or not the air bag should deploy; and
(3) Activating or suppressing the air bag system based on the interpretation of characteristics and occupant location information.
(b) Automatic suppression zone (ASZ) means a three-dimensional zone adjacent to the air bag cover, specified by the vehicle manufacturer, where air bag deployment will be suppressed by the DASS if a vehicle occupant enters the zone under specified conditions.
(c) Standard No. 208 means 49 CFR 571.208.
§ 552.13 Form of petition.
Each petition filed under this subpart shall –
(a) Be submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, S.W., Washington, DC 20590.
(b) Be written in the English language.
(c) State the name and address of the petitioner.
(d) Set forth in full the data, views and arguments of the petitioner supporting the requested test procedure, including all of the content information specified by § 552.14. Any documents incorporated by reference in the procedure shall be submitted with the petition.
(e) Specify and segregate any part of the information and data submitted that the petitioner wishes to have withheld from public disclosure in accordance with part 512 of this chapter including, if requested, the name and address of the petitioner.
(f) Not request confidential treatment for the requested test procedure and, to the extent confidential treatment is requested concerning a particular DASS or data and analysis submitted in support of the petition, provide a general non-confidential description of the operation of the DASS and of the data and analysis supporting the petition.
(g) Set forth a requested effective date and be submitted at least nine months before that date.
§ 552.14 Content of petition.
The petitioner shall provide the following information:
(a) A set of proposed test procedures for S28.1, S28.2, S28.3, and S28.4 of Standard No. 208 which the petitioner believes are appropriate for assessing a particular DASS.
(1) For S28.1 of Standard No. 208, the petitioner shall specify at least one specific position for the Part 572, subpart O 5th percentile female dummy that is:
(i) Outside but adjacent to the ASZ, and
(ii) Representative of an unbelted occupant position that is likely to occur during a frontal crash.
(2) For S28.2 of Standard No. 208, the petitioner shall specify at least one specific position for the Part 572 Subpart P 3-year-old child dummy and at least one specific position for the Part 572 Subpart N 6-year-old child dummy that are:
(i) Outside but adjacent to the ASZ, and
(ii) Representative of unbelted occupant positions that are likely to occur during a frontal crash where pre-crash braking occurs.
(3) For S28.3 of Standard No. 208, the petitioner shall specify a procedure which tests the operation of the DASS by moving a test device toward the driver air bag in a manner that simulates the motion of an unbelted occupant during pre-crash braking or other pre-crash maneuver. The petitioner shall include a complete description, including drawings and instrumentation, of the test device employed in the proposed test. The petitioner shall include in the procedure a means for determining whether the driver air bag was suppressed before any portion of the specified test device entered the ASZ during the test. The procedure shall also include a means of determining when the specified test device occupies the ASZ.
(4) For S28.4 of Standard No. 208, the petitioner shall specify a procedure which tests the operation of the DASS by moving a test device toward the passenger air bag in a manner that simulates the motion of an unbelted occupant during pre-crash braking or other pre-crash maneuver. The petitioner shall include a complete description, including drawings and instrumentation, of the test device employed in the proposed test. The petitioner shall include in the procedure a means for determining whether the passenger air bag was suppressed before any portion of the specified test device entered the ASZ during the test. The procedure shall also include a means of determining when the specified test device occupies the ASZ.
(b) A complete description and explanation of the particular DASS that the petitioner believes will be appropriately assessed by the recommended test procedures. This shall include:
(1) A description of the logic used by the DASS in determining whether to suppress the air bag or allow it to deploy. Such description shall include flow charts or similar materials outlining the operation of the system logic, the system reaction time, the time duration used to evaluate whether the air bag should be suppressed or deployed, changes, if any, in system performance based on the size of an occupant and vehicle speed, and a description of the size and shape of the zone where under similar circumstances and conditions the DASS may either allow or suppress deployment. Such description shall also address whether and how the DASS discriminates between an occupant’s torso or head entering the ASZ as compared to an occupant’s hand or arm, and whether and how the DASS discriminates between an occupant entering the ASZ and an inanimate object such as a newspaper or ball entering the ASZ.
(2) Detailed specifications for the size and shape of the ASZ, including whether the suppression zone is designed to change size or shape depending on the vehicle speed, occupant size, or other factors.
(c) Analysis and data supporting the appropriateness, repeatability, reproducibility and practicability of each of the proposed test procedures.
(1) For the procedures proposed for inclusion in S28.1 and S28.2 of Standard No. 208, the petitioner shall provide the basis for the proposed dummy positions, including but not limited to, why the positions are representative of what is likely to occur in real world crashes.
(2) For the procedures proposed for inclusion in S28.3 and S28.4 of Standard No. 208, the petitioner shall provide:
(i) A complete explanation of the means used in the proposed test to ascertain whether the air bag is suppressed or activated during the test.
(ii) A complete description of the means used to evaluate the ability of the DASS to detect and respond to an occupant moving toward an air bag, including the method used to move a test device toward an air bag at speeds representative of occupant movement during pre-crash braking or other pre-crash maneuver.
(iii) The procedure used for locating the test device inside a test vehicle in preparation for testing, including an accounting of the reference points used to specify such location.
(iv) An explanation of the methods used to measure the amount of time needed by a suppression system to suppress an air bag once a suppression triggering event occurs.
(v) High speed film or video of at least two tests of the DASS using the proposed test procedure.
(vi) Data generated from not less than two tests of the DASS using the proposed test procedure, including an account of the data streams monitored during testing and complete samples of these data streams from not less than two tests performed under the proposed procedure.
(d) Analysis concerning the variety of potential DASS designs for which the requested test procedure is appropriate; e.g., whether the test procedures are appropriate only for the specific DASS design contemplated by the petitioner, for all DASS designs incorporating the same technologies, or for all DASS designs.
§ 552.15 Processing of petition.
(a) NHTSA will process any petition that contains the information specified by this subpart. If a petition fails to provide any of the information, NHTSA will not process the petition but will advise the petitioner of the information that shall be provided if the agency is to process the petition. The agency will seek to notify the petitioner of any such deficiency within 30 days after receipt of the petition.
(b) At any time during the agency’s consideration of a petition submitted under this part, the Administrator may request the petitioner to provide additional supporting information and data and/or provide a demonstration of any of the requested test procedures. The agency will seek to make any such request within 60 days after receipt of the petition. Such demonstration may be at either an agency designated facility or one chosen by the petitioner, provided that, in either case, the facility shall be located in North America. If such a request is not honored to the satisfaction of the agency, the petition will not receive further consideration until the requested information is submitted.
(c) The agency will publish in the
PART 553 – RULEMAKING PROCEDURES
Subpart A – General
§ 553.1 Applicability.
This part prescribes rulemaking procedures that apply to the issuance, amendment, and revocation of rules pursuant to Title 49, Subtitle VI of the United States Code (49 U.S.C. 30101, et seq.).
§ 553.3 Definitions.
Administrator means the Administrator of the National Highway Traffic Safety Administration or a person to whom he has delegated final authority in the matter concerned.
Rule includes any order, regulation, or Federal motor vehicle safety standard issued under Title 49.
Title 49 means 49 U.S.C. 30101, et seq.
§ 553.5 Regulatory docket.
(a) Information and data deemed relevant by the Administrator relating to rulemaking actions, including notices of proposed rulemaking; comments received in response to notices; petitions for rulemaking and reconsideration; denials of petitions for rulemaking and reconsideration; records of additional rulemaking proceedings under § 553.25; and final rules are maintained in the Docket Room, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590.
(b) Any person may examine any docketed material at the Docket Room at any time during regular business hours after the docket is established, except material ordered withheld from the public under applicable provisions of Title 49 and section 552(b) of title 5 of the U.S.C., and may obtain a copy of it upon payment of a fee.
§ 553.7 Records.
Records of the National Highway Traffic Safety Administration relating to rulemaking proceedings are available for inspection as provided in section 552(b) of title 5 of the U.S.C. and part 7 of the regulations of the Secretary of Transportation (part 7 of this title).
Subpart B – Procedures for Adoption of Rules
§ 553.11 Initiation of rulemaking.
The Administrator may initiate rulemaking either on his own motion or on petition by any interested person after a determination in accordance with Part 552 of this title that grant of the petition is advisable. The Administrator may, in his discretion, also consider the recommendations of other agencies of the United States.
§ 553.13 Notice of proposed rulemaking.
Unless the Administrator, for good cause, finds that notice is impracticable, unnecessary, or contrary to the public interest, and incorporates that finding and a brief statement of the reasons for it in the rule, a notice of proposed rulemaking is issued and interested persons are invited to participate in the rulemaking proceedings under applicable provisions of Title 49.
§ 553.14 Direct final rulemaking.
If the Administrator, for good cause, finds that notice is unnecessary, and incorporates that finding and a brief statement of the reasons for it in the rule, a direct final rule may be issued according to the following procedures.
(a) Rules that the Administrator judges to be non-controversial and unlikely to result in adverse public comment may be published as direct final rules. These may include rules that:
(1) Are non-substantive amendments, such as clarifications or corrections, to an existing rule;
(2) Update existing forms or rules, such as incorporations by reference of the latest technical standards where the standards have not been changed in a complex or controversial way;
(3) Affect NHTSA’s internal procedures, such as filing requirements and rules governing inspection and copying of documents;
(4) Are minor substantive rules or changes to existing rules on which the agency does not expect adverse comment.
(b) The
(c) If no written adverse comment is received by NHTSA within the specified time after the date of publication in the
(d) If NHTSA receives any written adverse comment within the specified time after publication of the direct final rule in the
(e) An “adverse” comment, for the purpose of this subpart, means any comment that NHTSA determines is critical of any provision of the rule, suggests that the rule should not be adopted, or suggests a change that should be made in the rule. A comment suggesting that the policy or requirements of the rule should or should not also be extended to other Departmental programs outside the scope of the rule is not adverse.
§ 553.15 Contents of notices of proposed rulemaking and direct final rules.
(a) Each notice of proposed rulemaking, and each direct final rule, is published in the
(b) Each notice, whether published in the
(1) A statement of the time, place, and nature of the rulemaking proceeding;
(2) A reference to the authority under which it is issued;
(3) A description of the subjects and issues involved or the substance and terms of the rule.
(4) A statement of the time within which written comments must be submitted; and
(5) A statement of how and to what extent interested persons may participate in the proceedings.
§ 553.17 Participation of interested persons.
(a) Any interested person may participate in rulemaking proceeding by submitting comments in writing containing information, views or arguments.
(b) In his discretion, the Administrator may invite any interested person to participate in the rulemaking procedures described in § 553.25.
§ 553.19 Petitions for extension of time to comment.
A petition for extension of the time to submit comments must be received not later than 15 days before expiration of the time stated in the notice. The petitions must be submitted to: Administrator, National Highway Traffic Safety Administration, U.S. Department of Transportation, 400 Seventh Street SW, Washington, DC, 20590. It is requested, but not required, that 10 copies be submitted. The filing of the petition does not automatically extend the time for petitioner’s comments. Such a petition is granted only if the petitioner shows good cause for the extension, and if the extension is consistent with the public interest. If an extension is granted, it is granted to all persons, and it is published in the
§ 553.21 Contents of written comments.
All written comments shall be in English. Unless otherwise specified in a notice requesting comments, comments may not exceed 15 pages in length, but necessary attachments may be appended to the submission without regard to the 15-page limit. Any interested person shall submit as a part of his written comments all material that he considers relevant to any statement of fact made by him. Incorporation by reference should be avoided. However, if incorporation by reference is necessary, the incorporated material shall be identified with respect to document and page. It is requested, but not required, that 10 copies and attachments, if any, be submitted.
§ 553.23 Consideration of comments received.
All timely comments are considered before final action is taken on a rulemaking proposal or direct final rule. Late filed comments will be considered to the extent practicable.
§ 553.25 Additional rulemaking proceedings.
The Administrator may initiate any further rulemaking proceedings that he finds necessary or desirable. For example, interested persons may be invited to make oral arguments, to participate in conferences between the Administrator or his representative and interested persons at which minutes of the conference are kept, to appear at informal hearings presided over by officials designated by the Administrator, at which a transcript or minutes are kept, or participate in any other proceeding to assure informed administrative action and to protect the public interest.
§ 553.27 Hearings.
(a) Sections 556 and 557 of title 5, United States Code, do not apply to hearings held under this part. Unless otherwise specified, hearings held under this part are informal, nonadversary, fact-finding proceedings, at which there are no formal pleadings or adverse parties. Any rule issued in a case in which an informal hearing is held is not necessarily based exclusively on the record of the hearing.
(b) The Administrator designates a representative to conduct any hearing held under this part. The Chief Counsel designates a member of his staff to serve as legal officer at the hearing.
§ 553.29 Adoption of final rules.
Final rules are prepared by representatives of the office concerned and the Office of the Chief Counsel. The rule is then submitted to the Administrator for its consideration. If the Administrator adopts the rule, it is published in the
§§ 553.31-553.33 [Reserved]
§ 553.35 Petitions for reconsideration.
(a) Any interested person may petition the Administrator for reconsideration of any rule issued under this part. The petition shall be submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW, Washington, DC, 20590. It is requested, but not required, that 10 copies be submitted. The petition must be received not later than 45 days after publication of the rule in the
(b) If the petitioner requests the consideration of additional facts, he must state the reason they were not presented to the Administrator within the prescribed time.
(c) The Administrator does not consider repetitious petitions.
(d) Unless the Administrator otherwise provides, the filing of a petition under this section does not stay the effectiveness of the rule.
§ 553.37 Proceedings on petitions for reconsideration.
The Administrator may grant or deny, in whole or in part, any petition for reconsideration without further proceedings. In the event he determines to reconsider any rule, he may issue a final decision on reconsideration without further proceedings, or he may provide such opportunity to submit comment or information and data as he deems appropriate. Whenever the Administrator determines that a petition should be granted or denied, he prepares a notice of the grant or denial of a petition for reconsideration, for issuance to the petitioner, and issues it to the petitioner. The Administrator may consolidate petitions relating to the same rule.
§ 553.39 Effect of petition for reconsideration on time for seeking judicial review.
The filing of a timely petition for reconsideration of any rule issued under this part postpones the expiration of the statutory period in which to seek judicial review of that rule only as to the petitioner, and not as to other interested persons. For the petitioner, the period for seeking judicial review will commence at the time the agency takes final action upon the petition for reconsideration.
Appendix A to Part 553 – Statement of Policy: Action on Petitions for Reconsideration
It is the policy of the National Highway Traffic Safety Administration to issue notice of the action taken on a petition for reconsideration within 90 days after the closing date for receipt of such petitions, unless it is found impracticable to take action within that time. In cases where it is so found and the delay beyond that period is expected to be substantial, notice of that fact, and the date by which it is expected that action will be taken, will be published in the
Appendix B to Part 553 – Statement of Policy: Rulemakings Involving the Assessment of the Functional Equivalence of Safety Standards
(a) Based on a comparison of the performance of vehicles or equipment, the National Highway Traffic Safety Administration (NHTSA) may tentatively determine that a foreign motor vehicle safety standard is better than or at least functionally equivalent to a Federal Motor Vehicle Safety Standard (FMVSS), either on its own motion or in connection with a petition for rulemaking by any interested party under 49 CFR Part 552. Such determinations will be made in accordance with the process described in the flowchart in Figure 1 of this Appendix.
(b) Under the process, if NHTSA decides that there is reason to believe that a foreign standard is better than or at least functionally equivalent to a FMVSS in accordance with the process, it will commence a rulemaking proceeding that may lead to the issuance of a proposal to add the foreign standard as an alternative compliance option to the FMVSS, to harmonize the FMVSS with the foreign standard or to upgrade the FMVSS to the level of the foreign standard, as appropriate. Such a proposal will request comment on the agency’s tentative determination regarding relative benefits and functional equivalence as well as the proposed amendment. Final determinations regarding these matters will also be made in accordance with the analytical criteria in the flowchart.
(c) As used in this appendix, the term “standard” refers to mandatory requirements and thus has the same meaning given the term “technical regulation” in Annex 1 to the World Trade Organization Technical Barriers to Trade Agreement.
The ultimate goal in comparing standards is to assess the real world safety performance of the covered vehicles or equipment. Particularly in the case of crashworthiness standards, the most reliable basis for making that assessment is fatality and injury data directly drawn from actual crashes. Accordingly, NHTSA will make appropriate efforts to ensure the availability of such data regarding crashes in the U.S.
NHTSA pursues a “best practices” policy in comparing U.S. and foreign safety standards, i.e., NHTSA will propose to upgrade its standards if it tentatively concludes that a Country B standard offers greater benefits than the counterpart FMVSS, and if upgrading appears appropriate, considering the incremental costs and benefits and applicable statutory criteria. (For a discussion of another type of rulemaking proposal that may be considered in these circumstances, see the paragraph below on comparisons that indicate that a foreign standard’s safety benefits are greater than those of the counterpart FMVSS.)
1. NHTSA places priority on preserving the safety benefits of the FMVSSs.
2. NHTSA can best preserve those benefits by being conservative in reaching any conclusion that a Country B standard is better than or at least functionally equivalent to the counterpart FMVSS. One reason for conservatism is that differences from vehicle model to vehicle model and manufacturer to manufacturer in margins of compliance may confound efforts to assess the relative benefits of two standards. Further, there may be circumstantial differences, such as special environmental conditions, driver demographics, driver behavior, occupant behavior (e.g., level of safety belt use), road conditions, size distribution of vehicle fleet (e.g., proportion of big versus small vehicles and disparity between extremes), that could influence real world safety benefits. These differences may result in a particular standard having a safety record in a foreign country that would not necessarily be repeated in the United States.
1. NHTSA will base its comparison of standards on the best available evidence. If available, estimates of real world safety benefits based on fatality and injury data directly drawn from actual crashes are the best evidence. If such data are not available, then estimates based on other information, such as compliance test data, may be used, although increased caution needs to be exercised in making judgment based on those estimates. If sufficient crash data regarding real world safety benefits are available, and a comparison of those benefits shows that the Country B standard is less beneficial than the counterpart Federal Motor Vehicle Safety Standard (FMVSS), NHTSA would avoid wasting resources making comparisons on the basis of less probative types of evidence.
2. The types of benefits examined in comparing two standards might differ depending on whether the standards are crash avoidance standards or crashworthiness standards. Translating differences in performance (an input measure) into numbers of crashes or numbers of deaths and injuries (output measures) is more difficult in the case of crash avoidance standards. As a result, while the relative benefits of two crashworthiness standards would typically be assessed in terms of their impacts on deaths and injuries in crashes, the relative merits of two different crash avoidance standards might well be assessed in terms of their impact on vehicle or equipment performance.
1. Many types of data are available for a comparison of two standards. Often there is an abundance of one type of data and little or no data from other sources. If insufficient data are available, and such data either cannot be generated through engineering analysis (e.g., real world safety benefits estimates), or conducting additional research and development is not cost effective, then NHTSA will stop consideration of such data and consider the other available data instead.
2. The essentially horizontal, left-to-right path through the flowchart is intended to illustrate the sources of data that will be considered and provide a rough idea of the priority they will receive. Each step branches independently to the tentative determination of relative benefits and functional equivalency by its “yes” path. This may seem to preclude later steps once any “yes” path is encountered. In practice, however, all data sources will be considered to the extent that they are available before a final determination regarding these matters is made.
1. NHTSA will take steps to encourage reciprocity by other countries in the making of functional equivalence determinations.
2. When NHTSA’s comparison of standards indicates that one of the FMVSSs has benefits equal to or greater than the counterpart Country B standard, NHTSA may forward the results of that comparison to Country B and request that consideration be given by Country B to determining that the FMVSS is better than or at least functionally equivalent to the counterpart Country B standard, and to subsequently amending its standard accordingly.
This flowchart guides agency decisions in connection with a rulemaking proceeding that involves the issue of relative benefits and functional equivalence.
1. Decision whether to grant a rulemaking petition. If the agency receives a petition for rulemaking based on a claim that one of Country B’s standards is better than or at least functionally equivalent to one of the Federal Motor Vehicle Safety Standards (FMVSSs), the agency will consider the merits of the petition in accordance with 49 CFR Part 552, Petitions for rulemaking, defect, and noncompliance orders, and with the functional equivalence process set forth in the flowchart. If it appears that there is reason to believe that Country B’s standard provides safety benefits are greater than or at least equal to those of the FMVSS, the agency will likely grant the petition and commence a rulemaking proceeding.
The agency emphasizes that its priority with respect to international harmonization is identifying and adopting those foreign safety standards that represent best practices. Accordingly, if resource limitations make it necessary to choose between competing petitions in granting or processing them, the agency would give priority to petitions asking the agency to upgrade one of its standards to the level of a superior foreign standard over petitions simply asking the agency to add a compliance alternative.
2. Decision whether to issue a notice of proposed rulemaking. If NHTSA grants the petition, it will proceed, as in any other rulemaking regarding the FMVSSs, to determine whether amending an FMVSS would be appropriate under the applicable statutory criteria in chapter 301 of title 49, U.S.C. Following the process set forth in the flowchart, the agency will use data submitted by the petitioner, supplemented by data from other sources, to compare performance and tentatively determine whether Country B’s standard specified in the petition is better than or at least functionally equivalent to the FMVSS specified in the petition.
This comparison could have a variety of possible outcomes:
a. The comparison may indicate that the foreign standard’s safety benefits are less than those of the counterpart FMVSS. If NHTSA determines that the foreign standard results in fewer safety benefits than the counterpart FMVSS, it will terminate the rulemaking proceeding.
b. The comparison may indicate that the foreign standard’s safety benefits are approximately equal to those of the counterpart FMVSS. If the agency tentatively determines that the safety benefits of a foreign standard are approximately equal to those of a FMVSS, it will take one of two steps in most instances. One possibility is that it will develop a notice of proposed rulemaking (NPRM) proposing to amend the FMVSS by adding the foreign standard as an alternative to the existing requirements of the FMVSS. The other possibility is that the agency will develop an NPRM proposing to harmonize the FMVSS with the foreign standard. This second approach would enable NHTSA to maintain a single set of requirements and test procedures in its standard, thereby minimizing any drain on its enforcement resources. An additional possibility that might be considered in some instances would be “qualified functional equivalence.” Under this third approach, the agency would regard Country B’s standard to be functionally equivalent if it is supplemented by a specified requirement in the counterpart FMVSS.
c. The comparison may indicate that the foreign standard’s safety benefits are greater than those of the counterpart FMVSS. If NHTSA tentatively determines that the foreign standard results in greater safety benefits than the counterpart FMVSS, and if upgrading is appropriate, based on the incremental benefits and costs and applicable statutory criteria, the agency issues an NPRM proposing to upgrade the FMVSS to the level of Country B’s std. If upgrading is not appropriate, NHTSA considers issuing an NPRM proposing to add the requirements of Country B’s std to the FMVSS as an alternative compliance option. The proposal to add the compliance option would set forth the basis for the agency’s conclusion that upgrading the FMVSS is inappropriate.
3. Decision whether to issue a final rule. Any final decision to make a determination regarding relative benefits and functional equivalency and to amend the FMVSS will be made in accordance with the process in the flowchart and applicable law and only after careful consideration and analysis of the public comments.
Appendix C to Part 553 – Statement of Policy: Implementation of the United Nations/Economic Commission for Europe (UN/ECE) 1998 Agreement on Global Technical Regulations – Agency Policy Goals and Public Participation
Continuously improve safety and seek high levels of safety, particularly by developing and adopting new global technical regulations reflecting consideration of current and anticipated technology and safety problems.
1. Adopt and maintain U.S. standards that fully meet the need in the U.S. for vehicle safety.
2. Harmonize U.S. standards with those of other countries or regions, particularly by raising U.S. standards at least to the level of the best practices in those other safety standards.
3. Enhance regulatory effectiveness through regulatory cooperation with other countries and regions, thereby providing greater safety protection with available government resources.
A Contracting Party submits a proposal for either a harmonized or new global technical regulation to the Executive Committee of the 1998 Global Agreement (i.e., the Contracting Parties to the Agreement). If appropriate, the Committee then refers the proposal to a working party of experts to develop the technical elements of the regulation.
When a working party of experts recommends a harmonized or new global technical regulation, it sends a report and the recommended regulation to the Executive Committee. The Committee then determines whether the recommendations are adequate and considers the establishment of the recommended regulation.
If the Executive Committee reaches consensus in favor of that recommended global technical regulation, the global technical regulation is established in the Global Registry.
Each year, NHTSA will publish a notice concerning the motor vehicle safety, theft, and energy efficiency aspects of the annual program of work for the UN/ECE’s World Forum for Harmonization of Vehicle Regulations (WP.29). Each notice will include:
1. A calendar of scheduled meetings of WP.29 participants and working parties of experts, and meetings of the Executive Committee; and
2. A list of the global technical regulations that:
a. Have been proposed and referred to a working party of experts, or
b. Have been recommended by a working party of experts.
NHTSA will hold periodic public meetings on its activities under the 1998 Global Agreement. If the extent of recent and anticipated significant developments concerning those activities so warrant, NHTSA will hold a public meeting within the 60-day period before each of the three sessions of WP.29 held annually. At each of these public meetings, NHTSA will:
1. Brief the public on the significant developments that occurred at the session of WP.29, the meetings of the working parties of experts and the meetings of the Executive Committee since the previous public meeting;
2. Based on the availability of provisional agendas, inform the public about the significant issues to be addressed at upcoming session of WP.29 and meetings of the working parties of experts and any votes scheduled at the next session of the Executive Committee on recommended global technical regulations; and
3. Invite public comment and questions concerning those past developments and upcoming issues and votes and the general positions that the U.S. could take regarding those votes, and concerning any other significant developments and upcoming matters relating to pending proposed or recommended global technical regulations.
a. Proposals by the U.S. (See Figure 1.)
Before submitting a draft U.S. proposal for a global technical regulation to WP.29, NHTSA will publish a notice requesting public comments on the draft proposed global technical regulation. In the case of a draft proposal for a harmonized global technical regulation, the notice will compare that regulation with any existing, comparable U.S. standard, including the relative impacts of the regulation and standard. In the case of a draft proposal for a new global technical regulation, the notice will generally discuss the problem addressed by the proposal, the rationale for the proposed approach for addressing the problem, and the impacts of the proposal. NHTSA will consider the public comments and, as it deems appropriate, revise the proposal and any of its supporting documentation and then submit the proposal to WP.29.
b. Proposals by a Contracting Party other than the U.S. (See Figure 2.)
After a proposal by a Contracting Party other than the U.S. has been referred to a working party of experts and has been made available in English by WP.29, NHTSA will make the draft proposal available in the DOT docket (http://dms.dot.gov/). The agency will then publish a notice requesting public comment on the draft proposal and will consider the comments in developing a U.S. position on the proposal.
If a working party of experts recommends a global technical regulation and sends a report and the recommended regulation to the Executive Committee, NHTSA will make an English language version of the report and the regulation available in the DOT docket (http://dms.dot.gov/) after they are made available by WP.29. The agency will publish a notice requesting public comment on the report and regulation. Before participating in a vote of the Executive Committee regarding the establishment of the regulation, the agency will consider the comments and develop a U.S. position on the recommended technical regulation.
If a global technical regulation is established in the Global Registry by a consensus vote of the Executive Committee, and if the U.S. voted for establishment, NHTSA will publish a notice requesting public comment on adopting the regulation as a U.S. standard. Any decision by NHTSA whether to issue a final rule adopting the regulation or to issue a notice terminating consideration of that regulation will be made in accordance with applicable U.S. law and only after careful consideration and analysis of public comments.
As we obtain English versions of key documents relating to motor vehicle safety, theft or energy conservation that are generated under the 1998 Agreement (e.g., proposals referred to a working party of experts, and reports and recommendations issued by a working party), we will place them in the internet-accessible DOT docket (http://dms.dot.gov/). Within the limits of available resources, we will also place the documents on an international activities page that will be included in our Website (http://www.nhtsa.dot.gov/cars/rules/international/index.html).
PART 554 – STANDARDS ENFORCEMENT AND DEFECTS INVESTIGATION
§ 554.1 Scope.
This part establishes procedures for enforcing Federal motor vehicle safety standards and associated regulations, investigating possible safety-related defects, and making non-compliance and defect determinations.
§ 554.2 Purpose.
The purpose of this part is to inform interested persons of the procedures followed by the National Highway Traffic Safety Administration in order more fairly and effectively to implement 49 U.S.C. Chapter 301.
§ 554.3 Application.
This part applies to actions, investigations, and defect and noncompliance decisions of the National Highway traffic Safety Administration under 49 U.S.C. 30116, 30117, 30118, 30120 and 30165.
§ 554.4 Office of Vehicle Safety Compliance.
The Office of Vehicle Safety Compliance, investigates compliance with Federal motor vehicle safety standards and associated regulations, and to this end may:
(a) Verify that manufacturers certify compliance with all applicable safety standards;
(b) Collect field reports from all sources;
(c) Inspect manufacturers’ certification test data and other supporting evidence, including dealer communications;
(d) Inspect vehicles and equipment already in use or new vehicles and equipment at any stage of the manufacturing, distribution and sales chain;
(e) Conduct selective compliance tests; and
(f) Utilize other means necessary to conduct investigations.
§ 554.5 Office of Defects Investigation.
The Office of Defects Investigation conducts investigations to implement the provisions of the Act concerning the identification and correction of safety-related defects in motor vehicles and motor vehicle equipment. It elicits from every available source and evaluates on a continuing basis any information suggesting the existence of a safety-related defect.
§ 554.6 Opening an investigation.
(a) A compliance or defect investigation is opened either on the motion of the Administrator or his delegate or on the granting of a petition of an interested party under part 552 of this chapter.
(b) A manufacturer is notified immediately by telephone of any compliance test failure in order to enable the manufacturer to begin his own investigation. Notification is sent by mail at the beginning of any defect or noncompliance investigation.
§ 554.7 Investigation priorities.
(a) Compliance investigation priorities are reviewed annually and are set according to the following criteria:
(1) Prior compliance test data;
(2) Accident data;
(3) Engineering analysis of vehicle and equipment designs;
(4) Consumer complaints; and
(5) Market share.
(b) Defects inputs are reviewed periodically by an appropriate panel of engineers in consultation with the Office of Chief Counsel to determine whether a formal investigation should be opened by the Office of Defects Investigation.
§ 554.8 Monthly reports.
(a) Compliance. A monthly compliance report is issued which lists investigations opened, closed, and pending during that month, identifies compliance test reports accepted, and indicates how individual reports may be obtained.
(b) Defects. A monthly defects report is issued which lists investigations opened, closed, pending, and suspended during that month. An investigation may be designated “suspended” where the information available is insufficient to warrant further investigation. Suspended cases are automatically closed 60 days after appearing in a monthly report unless new information is received which justifies a different disposition.
§ 554.9 Availability of files.
All files of closed or suspended investigations are available for public inspection in the NHTSA Technical Reference Library. Communications between the agency and a manufacturer with respect to ongoing investigations are also available. Such files and communications may contain material which is considered confidential but has been determined to be necessary to the subject proceeding. Material which is considered confidential but has not been determined to be necessary to the subject proceeding will not be disclosed. Reproduction of entire public files or of individual documents can be arranged.
§ 554.10 Initial determinations and public meetings.
(a) An initial decision of failure to comply with safety standards or of a safety-related defect is made by the Administrator or his delegate based on the completed investigative file compiled by the appropriate office.
(b) The decision is communicated to the manufacturer in a letter which makes available all information on which the decision is based. The letter advises the manufacturer of his right to present information, views, and arguments to establish that there is no defect or failure to comply or that the alleged defect does not affect motor vehicle safety. The letter also specifies the time and place of a public meeting for the presentation of arguments or sets a date by which written comments must be submitted. Submission of all information, whether at a public meeting or in written form, is normally scheduled about 30 days after the initial decision. The deadline for submission of information can be extended for good cause shown.
(c) Public notice of an initial decision is made in a
(1) Identifies the motor vehicle or item of equipment and its manufacturer;
(2) Summarizes the information on which the decision is based.
(3) Gives the location of all information available for public examination; and
(4) States the time and place of a public meeting or the deadline for written submission in which the manufacturer and interested persons may present information, views, and arguments respecting the decision.
(d) A transcript of the public meeting is kept and exhibits may be offered. There is no cross-examination of witnesses.
§ 554.11 Final decisions.
(a) The Administrator bases his final decision on the completed investigative file and on information, views, and arguments submitted at the public meeting.
(b) If the Administrator decides that a failure to comply or a safety-related defect exists, he orders the manufacturer to furnish the notification specified in 49 U.S.C. 30118 and 30119 and to remedy the defect or failure to comply.
(c) If the Administrator closes an investigation following an initial determination, without making a final determination that a failure to comply or a safety-related defect exists, he or she will so notify the manufacturer and publish a notice of that closing in the
(d) A statement of the Administrator’s final decision and the reasons for it appears in each completed public file.
PART 555 – TEMPORARY EXEMPTION FROM MOTOR VEHICLE SAFETY AND BUMPER STANDARDS
Subpart A – General
§ 555.1 Scope.
This part establishes requirements for the temporary exemption by the National Highway Traffic Safety Administration (NHTSA) of certain motor vehicles from compliance with one or more Federal motor vehicle safety standards in accordance with 49 U.S.C. 30113, and of certain passenger motor vehicles from compliance with all or part of a Federal bumper standard in accordance with 49 U.S.C. 32502.
§ 555.2 Purpose.
(a) The purpose of this part is to provide a means by which manufacturers of motor vehicles may obtain temporary exemptions from Federal motor vehicle safety standards on the basis of substantial economic hardship, facilitation of the development of new motor vehicle safety or low-emission engine features, or existence of an equivalent overall level of motor vehicle safety.
(b) The purpose of this part is also to provide a means by which manufacturers of passenger motor vehicles may obtain a temporary exemption from compliance with all or part of a Federal bumper standard issued under part 581 of this chapter on a basis similar to that provided for exemptions from the Federal motor vehicle safety standards.
§ 555.3 Application.
This part applies to manufacturers of motor vehicles and passenger motor vehicles.
§ 555.4 Definitions.
Administrator means the National Highway Traffic Safety Administrator or his delegate.
Passenger motor vehicle means a motor vehicle with motive power designed to carry not more than 12 individuals, but does not include a truck not designed primarily to carry its operator or passengers, or a motorcycle.
United States means the several States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal Zone, and American Samoa.
§ 555.5 Application for exemption.
(a) A manufacturer of motor vehicles or passenger motor vehicles may apply to NHTSA for a temporary exemption from any Federal motor vehicle safety or bumper standard or for a renewal of any exemption on the bases of substantial economic hardship, making easier the development or field evaluation of new motor vehicle safety or impact protection, or low-emission vehicle features, or that compliance with a standard would prevent it from selling a vehicle with an overall level of safety or impact protection at least equal to that of nonexempted vehicles.
(b) Each application filed under this part for an exemption or its renewal must –
(1) Be written in the English language;
(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;
(3) State the full name and address of the applicant, the nature of its organization (individual, partnership, corporation, etc.) and the name of the State or country under the laws of which it is organized;
(4) State the number and title, and the text or substance of the standard or portion thereof from which the temporary exemption is sought, and the length of time desired for such exemption;
(5) Set forth the basis for the application and the information required by § 555.6(a), (b), (c), or (d) as appropriate.
(6) Specify any part of the information and data submitted which petitioner requests be withheld from public disclosure in accordance with part 512 of this chapter.
(i) The information and data which petitioner requests be withheld from public disclosure must be submitted in accordance with § 512.4 of this chapter.
(ii) The petitioner’s request for withholding from public disclosure must be accompanied by a certification in support as set forth in appendix A to part 512 of this chapter.
(7) Set forth the reasons why the granting of the exemption would be in the public interest, and, as applicable, consistent with the objectives of 49 U.S.C. Chapter 301 or Chapter 325.
(c) The knowing and willful submission of false, fictitious or fraudulent information will subject the petitioner to the civil and criminal penalties of 18 U.S.C. 1001.
§ 555.6 Basis for application.
(a) If the basis of the application is that compliance with the standard would cause substantial economic hardship to a manufacturer that has tried to comply with the standard in good faith, the applicant shall provide the following information:
(1) Engineering and financial information demonstrating in detail how compliance or failure to obtain an exemption would cause substantial economic hardship, including –
(i) A list or description of each item of motor vehicle equipment that would have to be modified in order to achieve compliance;
(ii) The itemized estimated cost to modify each such item of motor vehicle equipment if compliance were to be achieved –
(A) As soon as possible,
(B) At the end of a 1-year exemption period (if the petition is for 1 year or more),
(C) At the end of a 2-year exemption period (if the petition is for 2 years or more),
(D) At the end of a 3-year exemption period (if the petition is for 3 years),
(iii) The estimated price increase per vehicle to balance the total costs incurred pursuant to paragraph (a)(1)(ii) of this section and a statement of the anticipated effect of each such price increase;
(iv) Corporate balance sheets and income statements for the three fiscal years immediately preceding the filing of the application;
(v) Projected balance sheet and income statement for the fiscal year following a denial of the application; and
(vi) A discussion of any other hardships (e.g., loss of market, difficulty of obtaining goods and services for compliance) that the petitioner desires the agency to consider.
(2) A description of its efforts to comply with the standards, including –
(i) A chronological analysis of such efforts showing its relationship to the rule making history of the standard from which exemption is sought;
(ii) A discussion of alternate means of compliance considered and the reasons for rejection of each;
(iii) A discussion of any other factors (e.g., the resources available to the petitioner, inability to procure goods and services necessary for compliance following a timely request) that the petitioner desires the NHTSA to consider in deciding whether the petitioner tried in good faith to comply with the standard;
(iv) A description of the steps to be taken, while the exemption is in effect, and the estimated date by which full compliance will be achieved either by design changes or termination of production of nonconforming vehicles; and
(v) The total number of motor vehicles produced by or on behalf of the petitioner in the 12-month period prior to filing the petition, and the inclusive dates of the period. (49 U.S.C. 30113(d) limits eligibility for exemption on the basis of economic hardship to manufacturers whose total motor vehicle production in the year preceding the filing of their applications does not exceed 10,000.)
(b) If the basis of the application is that the exemption would make easier the development or field evaluation of a new motor vehicle safety or impact protection features providing a safety or impact protection level at least equal to that of the standard, the applicant shall provide the following information:
(1) A description of the safety or impact protection features, and research, development, and testing documentation establishing the innovational nature of such features.
(2) An analysis establishing that the level of safety or impact protection of the feature is equivalent to or exceeds the level of safety or impact protection established in the standard from which exemption is sought, including –
(i) A detailed description of how a vehicle equipped with the safety or impact protection feature differs from one that complies with the standard;
(ii) If applicant is presently manufacturing a vehicle conforming to the standard, the results of tests conducted to substantiate certification to the standard; and
(iii) The results of tests conducted on the safety or impact protection features that demonstrates performance which meets or exceeds the requirements of the standard.
(3) Substantiation that a temporary exemption would facilitate the development or field evaluation of the vehicle.
(4) A statement whether, at the end of the exemption period, the manufacturer intends to conform to the standard, apply for a further exemption, or petition for rulemaking to amend the standard to incorporate the safety or impact protection features.
(5) A statement that not more than 2,500 exempted vehicles will be sold in the United States in any 12-month period for which an exemption may be granted pursuant to this paragraph. An application for renewal of such an exemption shall also include the total number of exempted vehicles sold in the United States under the existing exemption.
(c) If the basis of the application is that the exemption would make the development or field evaluation of a low-emission vehicle easier and would not unreasonably lower the safety or impact protection level of that vehicle, the applicant shall provide –
(1) Substantiation that the vehicle is a low-emission vehicle as defined by 49 U.S.C. 30113(a).
(2) Research, development, and testing documentation establishing that a temporary exemption would not unreasonably degrade the safety or impact protection of the vehicle, including –
(i) A detailed description of how the motor vehicle equipped with the low-emission engine would, if exempted, differ from one that complies with the standard;
(ii) If the applicant is presently manufacturing a vehicle conforming to the standard, the results of tests conducted to substantiate certification to the standard;
(iii) The results of any tests conducted on the vehicle that demonstrate its failure to meet the standard, expressed as comparative performance levels; and
(iv) Reasons why the failure to meet the standard does not unreasonably degrade the safety or impact protection of the vehicle.
(3) Substantiation that a temporary exemption would facilitate the development or field evaluation of the vehicle.
(4) A statement whether, at the end of the exemption period, the manufacturer intends to conform with the standard.
(5) A statement that not more than 2,500 exempted vehicles will be sold in the United States in any 12-month period for which an exemption may be granted pursuant to this paragraph. An application for renewal of an exemption shall also include the total number of exempted vehicles sold in the United States under the existing exemption.
(d) If the basis of the application is that the applicant is otherwise unable to sell a vehicle whose overall level of safety or impact protection is at least equal to that of a nonexempted vehicle, the applicant shall provide –
(1) A detailed analysis of how the vehicle provides the overall level of safety or impact protection at least equal to that of nonexempted vehicles, including –
(i) A detailed description of how the motor vehicle, if exempted, differs from one that conforms to the standard;
(ii) A detailed description of any safety or impact protection features that the vehicle offers as standard equipment that are not required by the Federal motor vehicle safety or bumper standards;
(iii) The results of any tests conducted on the vehicle demonstrating that it fails to meet the standard, expressed as comparative performance levels;
(iv) The results of any tests conducted on the vehicle demonstrating that its overall level of safety or impact protection exceeds that which is achieved by conformity to the standards.
(v) Other arguments that the overall level of safety or impact protection of the vehicle is at least equal to that of nonexempted vehicles.
(2) Substantiation that compliance would prevent the sale of the vehicle.
(3) A statement whether, at the end of the exemption period, the manufacturer intends to comply with the standard.
(4) A statement that not more than 2,500 exempted vehicles will be sold in the United States in any 12-month period for which an exemption may be granted pursuant to this paragraph. An application for renewal of any exemption shall also include the total number of exempted vehicles sold in the United States under the existing exemption.
§ 555.7 Processing of applications.
(a) The agency publishes a notice of the application in the
(b) No public hearing, argument, or other formal proceeding is held directly on an application filed under this part before its disposition under this section.
(c) Any interested person may, upon written request, appear informally before an appropriate official of the NHTSA to discuss an application for exemption or the action taken in response to a petition.
(d) If the Administrator determines that the application does not contain adequate justification, he denies it and notifies the petitioner in writing. He also publishes in the
(e) If the Administrator determines that the application contains adequate justification, he grants it, and notifies the petitioner in writing. He also publishes in the
(f) Unless a later effective date is specified in the notice of the grant, a temporary exemption is effective upon publication of the notice in the
§ 555.8 Termination of temporary exemptions.
(a) A temporary exemption from a standard granted on the basis of substantial economic hardship terminates according to its terms but not later than 3 years after the date of issuance unless terminated sooner pursuant to paragraph (d) of this section.
(b) A temporary exemption from a standard granted on a basis other than substantial economic hardship terminates according to its terms but not later than 2 years after the date of issuance unless terminated sooner pursuant to paragraph (d) of this section.
(c) Any interested person may petition for the termination or modification of an exemption granted under this part. The petition will be processed in accordance with the procedures of part 552 of this chapter.
(d) The Administrator terminates or modifies a temporary exemption if he determines that –
(1) The temporary exemption is no longer consistent with the public interest and the objectives of the Act; or
(2) The temporary exemption was granted on the basis of false, fraudulent, or misleading representations or information.
(e) If an application for renewal of a temporary exemption that meets the requirements of § 555.5 has been filed not later than 60 days before the termination date of an exemption, the exemption does not terminate until the Administrator grants or denies the application for renewal.
(f) The Administrator publishes in the
(1) An application for termination or modification of an exemption and the action taken in response to it; and
(2) Any termination or modification of an exemption pursuant to the Administrator’s own motion.
§ 555.9 Temporary exemption labels.
A manufacturer of an exempted vehicle shall –
(a) Submit to the Administrator, within 30 days after receiving notification of the grant of an exemption, a sample of the certification label required by part 567 of this chapter and paragraph (c) of this section;
(b) Affix securely to the windshield or side window of each exempted vehicle a label in the English language containing the statement required by paragraph (c)(1) or (2) of this section, and with the words “Shown above” omitted.
(c) Meet all applicable requirements of part 567 of this chapter, except that –
(1) The statement required by § 567.4(g)(5) of this chapter shall end with the phrase “except for Standards Nos. [listing the standards by number and title for which an exemption has been granted] exempted pursuant to NHTSA Exemption No. ________.”
(2) Instead of the statement required by § 567.5(c)(7)(iii), the following statement shall appear:
THIS VEHICLE CONFORMS TO ALL APPLICABLE FEDERAL MOTOR VEHICLE SAFETY (AND BUMPER) STANDARDS IN EFFECT IN [Month, Year] EXCEPT FOR STANDARD NOS. [Listing the standards by number and title for which an exemption has been granted] EXEMPTED PURSUANT TO NHTSA EXEMPTION NO. ______.
§ 555.10 Availability for public inspection.
(a) Information relevant to an application under this part, including the application and supporting data, memoranda of informal meetings with the applicant or any other interested person, and the grant or denial of the application, is available for public inspection, except as specified in paragraph (b) of this section, in Room PL-401 (Docket Management), 400 Seventh Street, SW., Washington, DC 20590. Copies of available information may be obtained, as provided in part 7 of the regulations of the Office of the Secretary of Transportation (49 CFR part 7).
(b) Except for the release of confidential information authorized by part 512 of this chapter, information made available for inspection under paragraph (a) shall not include materials not relevant to the petition for which confidentiality is requested and granted in accordance with 49 U.S.C. 30166 and 30167 and section 552(b) of title 5 of the U.S.C.).
Subpart B – Vehicles Built in Two or More Stages and Altered Vehicles
§ 555.11 Application.
This subpart applies to alterers and manufacturers of motor vehicles built in two or more stages to which one or more standards are applicable. No manufacturer or alterer that produces or alters a total exceeding 10,000 motor vehicles annually shall be eligible for a temporary exemption under this subpart. Any exemption granted under this subpart shall be limited, per manufacturer, to 2,500 vehicles to be sold in the United States in any 12 consecutive month period. Incomplete vehicle manufacturers and intermediate manufacturers that do not intend to certify the vehicles in accordance with 49 CFR 567.5(f) or (g), and instead furnish Incomplete Vehicle Documents to final-stage manufacturers in accordance with 49 CFR 568.4 or 49 CFR 568.5, are not eligible for temporary exemptions under this subpart.
§ 555.12 Petition for exemption.
An alterer; an incomplete vehicle manufacturer intending to certify the vehicle in accordance with 49 CFR 567.5(f); an intermediate manufacturer intending to certify the vehicle in accordance with 49 CFR 567.5(g); a final-stage manufacturer; or an industry trade association representing a group of alterers, incomplete vehicle manufacturers, intermediate manufacturers and/or final-stage manufacturers may seek, as to any vehicle configuration altered and/or built in two or more stages, a temporary exemption or a renewal of a temporary exemption from any performance requirement for which a Federal motor vehicle safety standard specifies the use of a dynamic test procedure to determine compliance. Each petition for an exemption under this section must be submitted to NHTSA and must:
(a) Be written in the English language;
(b) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, 400 Seventh St., SW., Washington, DC 20590;
(c) State the full name and address of the applicant, the nature of its organization (e.g., individual, partnership, corporation, or trade association), the name of the State or country under the laws of which it is organized, and the name of each alterer, incomplete vehicle manufacturer, intermediate manufacturer and/or final-stage manufacturer for which the exemption is sought;
(d) State the number, title, paragraph designation, and the text or substance of the portion(s) of the standard(s) from which the exemption is sought;
(e) Describe by type and use each vehicle configuration (or range of vehicle configurations) for which the exemption is sought;
(f) State the estimated number of units of each vehicle configuration to be produced annually by each of the manufacturer(s) for whom the exemption is sought;
(g) Specify any part of the information and data submitted that the petitioner requests be withheld from public disclosure in accordance with part 512 of this chapter, as provided by § 555.5(b)(6).
(1) The information and data which petitioner requests be withheld from public disclosure must be submitted in accordance with § 512.4 of this chapter.
(2) The petitioner’s request for withholding from public disclosure must be accompanied by a certification in support as set forth in appendix A to part 512 of this chapter.
§ 555.13 Basis for petition.
The petition shall:
(a) Discuss any factors (e.g., demand for the vehicle configuration, loss of market, difficulty in procuring goods and services necessary to conduct dynamic tests) that the applicant desires NHTSA to consider in deciding whether to grant the application based on economic hardship.
(b) Explain the grounds on which the applicant asserts that the application of the dynamic test requirements of the standard(s) in question to the vehicles covered by the application would cause substantial economic hardship to each of the manufacturers on whose behalf the application is filed, providing a complete financial statement for each manufacturer and a complete description of each manufacturer’s good faith efforts to comply with the standards, including a discussion of:
(1) The extent that no Type (1) or Type (2) statement with respect to such standard is available in the incomplete vehicle document furnished, per part 568 of this chapter, by the incomplete vehicle manufacturer or by a prior intermediate-stage manufacturer or why, if one is available, it cannot be followed;
(2) A description of the incomplete vehicle to be used to manufacture the vehicle(s) subject to the petition. This description must identify the manufacturer of the incomplete vehicle, state the incomplete vehicle’s GVWR, and provide other available specifications;
(3) The availability of alternative incomplete vehicles, including incomplete vehicles of different size, GVWR, and number of axles, from the same and other incomplete vehicle manufacturers, that could allow the petitioner to rely on Incomplete Vehicle Documents when certifying the completed vehicle, instead of petitioning under this subpart;
(4) The existence, or lack thereof, of generic or cooperative testing that would provide a basis for demonstrating compliance with the standard(s); and
(c) Explain why the requested temporary exemption would not unreasonably degrade safety.
§ 555.14 Processing of petitions.
The Administrator shall notify the petitioner whether the petition is complete within 30 days of receipt. The Administrator shall attempt to approve or deny any complete petition submitted under this subpart within 120 days after the agency acknowledges that the application is complete. Upon good cause shown, the Administrator may review a petition on an expedited basis.
§ 555.15 Time period for exemptions.
Subject to § 555.16, each temporary exemption granted by the Administrator under this subpart shall be in effect for a period of three years from the effective date. The Administrator shall identify each exemption by a unique number.
§ 555.16 Renewal of exemptions.
An alterer, intermediate or final-stage manufacturer or a trade association representing a group of alterers or, intermediate and/or final-stage manufacturers may apply for a renewal of a temporary exemption. Any such renewal petition shall be filed at least 60 days prior to the termination date of the existing exemption and shall include all the information required in an initial petition. If a petition for renewal of a temporary exemption that meets the requirements of this subpart has been filed not later than 60 days before the termination date of an exemption, the exemption does not terminate until the Administrator grants or denies the petition for renewal.
§ 555.17 Termination of temporary exemptions.
The Administrator may terminate or modify a temporary exemption if (s)he determines that:
(a) The temporary exemption was granted on the basis of false, fraudulent, or misleading representations or information; or
(b) The temporary exemption is no longer consistent with the public interest and the objectives of the Act.
§ 555.18 Temporary exemption labels.
An alterer or final-stage manufacturer of a vehicle that is covered by one or more exemptions issued under this sub-part shall affix a label that meets meet all the requirements of 49 CFR 555.9.
PART 556 – EXEMPTION FOR INCONSEQUENTIAL DEFECT OR NONCOMPLIANCE
§ 556.1 Scope.
This part sets forth procedures, pursuant to section 157 of the Act, for exempting manufacturers of motor vehicles and replacement equipment from the Act’s notice and remedy requirements when a defect or noncompliance is determined to be inconsequential as it relates to motor vehicle safety.
§ 556.2 Purpose.
The purpose of this part is to enable manufacturers of motor vehicles and replacement equipment to petition the NHTSA for exemption from the notification and remedy requirements of the Act due to the inconsequentiality of the defect or noncompliance as it relates to motor vehicle safety, and to give all interested persons an opportunity for presentation of data, views, and arguments on the issues of inconsequentiality.
§ 556.3 Application.
This part applies to manufacturers of motor vehicles and replacement equipment.
§ 556.4 Petition for exemption.
(a) A manufacturer who has determined the existence, in a motor vehicle or item of replacement equipment that he produces, of a defect related to motor vehicle safety or a noncompliance with an applicable Federal motor vehicle safety standard, or who has received notice of an initial determination by the NHTSA of the existence of a defect related to motor vehicle safety or a noncompliance, may petition for exemption from the Act’s notification and remedy requirements on the grounds that the defect or noncompliance is inconsequential as it relates to motor vehicle safety.
(b) Each petition submitted under this part shall –
(1) Be written in the English language;
(2) Be submitted in three copies to: Administrator, National Highway Traffic Safety Administration, Washington, DC 20590;
(3) State the full name and address of the applicant, the nature of its organization (e.g., individual, partnership, or corporation) and the name of the State or country under the laws of which it is organized.
(4) Describe the motor vehicle or item of replacement equipment, including the number involved and the period of production, and the defect or noncompliance concerning which an exemption is sought; and
(5) Set forth all data, views, and arguments of the petitioner supporting his petition.
(6) Be accompanied by three copies of the report the manufacturer has submitted, or is submitting, to NHTSA in accordance with part 573 of this chapter, relating to its determination of the existence of safety related defect or noncompliance with an applicable safety standard that is the subject of the petition.
(c) In the case of defects related to motor vehicle safety or noncompliances determined to exist by a manufacturer, petitions under this part must be submitted not later than 30 days after such determination. In the case of defects related to motor vehicle safety or noncompliances initially determined to exist by the NHTSA, petitions must be submitted not later than 30 days after notification of the determination has been received by the manufacturer. Such a petition will not constitute a concession by the manufacturer of, nor will it be considered relevant to, the existence of a defect related to motor vehicle safety or a nonconformity.
§ 556.5 Processing of petition.
(a) The NHTSA publishes a notice of each petition in the
(1) A brief summary of the petition;
(2) A statement of the availability of the petition and other relevant information for public inspection; and
(3)(i) In the case of a defect related to motor vehicle safety or a noncompliance determined to exist by the manufacturer, an invitation to interested persons to submit written data, views, and arguments concerning the petition, and, upon request by the petitioner or interested persons, a statement of the time and place of a public meeting at which such materials may be presented orally if any person so desires.
(ii) In the case of a defect related to motor vehicle safety or a noncompliance initially determined to exist by the NHTSA, an invitation to interested persons to submit written data, views, and arguments concerning the petition or to submit such data, views, and arguments orally at the meeting held pursuant to section 152(a) of the Act following the initial determination, or at a separate meeting if deemed appropriate by the agency.
§ 556.6 Meetings.
(a) At a meeting held under this part, any interested person may make oral (as well as written) presentations of data, views, and arguments on the question whether the defect or noncompliance described in the
(b) Sections 556 and 557 of Title 5, U.S.C., do not apply to any meeting held under this part. Unless otherwise specified, any meeting held under this part is an informal, nonadversary, fact-finding proceeding, at which there are no formal pleadings or adverse parties. A decision to grant or deny a petition, after a meeting on such petition, is not necessarily based exclusively on the record of the meeting.
(c) The Administrator designates a representative to conduct any meeting held under this part. The Chief Counsel designates a member of his staff to serve as legal officer at the meeting. A transcript of the proceeding is kept and exhibits may be kept as part of the transcript.
§ 556.7 Disposition of petition.
Notice of either a grant or denial of a petition for exemption from the notice and remedy requirements of the Act based upon the inconsequentiality of a defect or noncompliance is issued to the petitioner and published in the
§ 556.8 Rescission of decision.
The Administrator may rescind a grant or denial of an exemption issued under this part any time after the receipt of new data and notice and opportunity for comment thereon, in accordance with §§ 556.5 and 556.7.
§ 556.9 Public inspection of relevant information.
Information relevant to a petition under this part, including the petition and supporting data, memoranda of informal meetings with the petitioner or any other interested person concerning the petition, and the notice granting or denying the petition, are available for public inspection in the Docket Section, Room 5109, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. Copies of available information may be obtained in accordance with part 7 of the regulations of the Office of the Secretary of Transportation (49 CFR part 7).
PART 557 – PETITIONS FOR HEARINGS ON NOTIFICATION AND REMEDY OF DEFECTS
§ 557.1 Scope.
This part establishes procedures under section 156 of the National Traffic and Motor Vehicle Safety Act of 1966, as amended (88 Stat. 1470, 15 U.S.C. 1416), for the submission and disposition of petitions filed by interested persons for hearings on the question of whether a manufacturer has reasonably met his obligation to notify owners, purchasers, and dealers of a safety-related defect or failure to comply with a Federal motor vehicle safety standard, or to remedy such defect or failure to comply. This part also establishes procedures for holding a hearing on these questions.
§ 557.2 Purpose.
The purpose of this part is to enable the National Highway Traffic Safety Administration to identify and respond on a timely basis to petitions for hearings on whether a manufacturer has reasonably met his obligation to notify or remedy, and to establish the procedures for such hearings.
§ 557.3 General.
Any interested person may file with the Administrator a petition requesting him to hold a hearing on –
(a) Whether a manufacturer has reasonably met his obligation to notify owners, purchasers, and dealers of a safety-related defect in any motor vehicle or item of replacement equipment manufactured by him;
(b) Whether a manufacturer has reasonably met his obligation to notify owners, purchasers, and dealers of a failure to comply with an applicable Federal motor vehicle safety standard in any motor vehicle or item of replacement equipment manufactured by him;
(c) Whether the manufacturer has reasonably met his obligation to remedy a safety-related defect in any motor vehicle or item of replacement equipment manufactured by him; or
(d) Whether the manufacturer has reasonably met his obligation to remedy a failure to comply with an applicable Federal motor vehicle safety standard in any motor vehicle or item of replacement equipment manufactured by him.
§ 557.4 Requirements for petition.
A petition filed under this part should be addressed and submitted to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. Each petition filed under this part must –
(a) Be written in the English or Spanish language;
(b) Have, preceding its text, the word “Petition”;
(c) Contain a brief statement concerning the alleged failure of a manufacturer to meet reasonably his obligation to notify or remedy;
(d) Contain a brief summary of the data, views, or arguments that the petitioner wishes to present in a hearing on whether or not a manufacturer has reasonably met his obligations to notify or remedy;
(e) Specifically request a hearing.
§ 557.5 Improperly filed petitions.
(a) A petition that is not addressed as specified in § 557.4, but that meets the other requirements of that section, will be treated as a properly filed petition, received as of the time it is discovered and identified.
(b) A document that fails to conform to one or more of the requirements of § 557.4(a) (1) through (5) will not be treated as a petition under this part. Such a document will be treated according to the existing correspondence and other procedures of the NHTSA, and any information contained in it will be considered at the discretion of the Administrator.
§ 557.6 Determination whether to hold a public hearing.
(a) The Administrator considers the following factors in determining whether to hold a hearing:
(1) The nature of the complaint;
(2) The seriousness of the alleged breach of obligation to remedy;
(3) The existence of similar complaints;
(4) The ability of the NHTSA to resolve the problem without holding a hearing; and
(5) Other pertinent matters.
(b) If, after considering the above factors, the Administrator determines that a hearing should be held, the petition is granted. If it is determined that a hearing should not be held, the petition is denied. In either case, the petitioner is notified of the grant or denial not more than 60 days after receipt of the petition by the NHTSA.
(c) If a petition submitted under this part is denied, a
(d) The Administrator may conduct a hearing under this part on his own motion.
§ 557.7 Public hearing.
If the Administrator decides that a public hearing under this part is necessary, he issues a notice of public hearing in the
§ 557.8 Determination of manufacturer’s obligation.
If the Administrator determines, on the basis of the information presented at a hearing or any other information that is available to him, that the manufacturer has not reasonably met his obligation to notify owners, dealers, and purchasers of a safety-related defect or failure to comply with a Federal motor vehicle safety standard or to remedy such defect or failure to comply, he orders the manufacturer to take specified action to comply with his obligation, consistent with the authority granted the Administrator by the Act.
PART 562 – LIGHTING AND MARKING OF AGRICULTURAL EQUIPMENT
§ 562.1 Scope and purpose.
This part establishes minimum lighting and marking standards for new agricultural equipment as required by the Moving Ahead for Progress in the 21st Century Act (Sec. 31601, Pub. L. 112-141).
§ 562.3 Definitions.
Agricultural equipment has the meaning given the term “agricultural field equipment” in the ANSI/ASAE 390.4 JAN2005, “Definitions and Classifications of Agricultural Field Equipment” (incorporated by reference, see § 562.11).
Public road means any road or street under the jurisdiction of and maintained by a public authority and open to public travel.
§ 562.5 Applicability.
This standard applies to new agricultural equipment that may be operated on a public road.
§ 562.7 Lighting and marking requirements for new agricultural equipment.
New agricultural equipment that may be operated on a public road must meet the lighting and marking standards set forth in ANSI/ASAE 279.14 JUL2008, “Lighting and Marking of Agricultural Equipment on Highways” (incorporated by reference, see § 562.11).
§ 562.9 Compliance not affected by addition of certain materials and equipment.
(a) Successor standards. Equipping new agricultural equipment that may be operated on a public road with lighting and marking materials and equipment that comply with a revision of ANSI/ASAE Standard 279 adopted after the version cited in § 562.7 does not affect compliance with the requirements of this part.
(b) Additional materials and equipment. Equipping new agricultural equipment that may be operated on a public road with lighting and marking materials and equipment that are in addition to the minimum requirements specified in § 562.7 does not affect compliance with the requirements of this part.
§ 562.11 Incorporation by reference.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. You may inspect approved material at the National Highway Traffic Safety Administration, 1200 New Jersey Avenue SE., Washington, DC 20590 or at the National Archives and Records Administration. For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) American Society of Agricultural and Biological Engineers (ASABE) 2950 Niles Road, St. Joseph, Michigan 49085-9659, (269) 429-0300. http://www.asabe.org/publications/publications/standards.aspx.
(1) ANSI/ASABE 279.14 JUL2008, “Lighting and Marking of Agricultural Equipment on Highways,” approved August 2008, into § 562.7.
(2) ANSI/ASAE 390.4 JAN2005, “Definitions and Classifications of Agricultural Field Equipment,” approved February 2005, into § 562.3.
(b) [Reserved]
PART 563 – EVENT DATA RECORDERS
§ 563.1 Scope.
This part specifies uniform, national requirements for vehicles equipped with event data recorders (EDRs) concerning the collection, storage, and retrievability of onboard motor vehicle crash event data. It also specifies requirements for vehicle manufacturers to make tools and/or methods commercially available so that crash investigators and researchers are able to retrieve data from EDRs.
§ 563.2 Purpose.
The purpose of this part is to help ensure that EDRs record, in a readily usable manner, data valuable for effective crash investigations and for analysis of safety equipment performance (e.g., advanced restraint systems). These data will help provide a better understanding of the circumstances in which crashes and injuries occur and will lead to safer vehicle designs.
§ 563.3 Application.
This part applies to the following vehicles manufactured on or after September 1, 2012, if they are equipped with an event data recorder: passenger cars, multipurpose passenger vehicles, trucks, and buses with a GVWR of 3,855 kg (8,500 pounds) or less and an unloaded vehicle weight of 2,495 kg (5,500 pounds) or less, except for walk-in van-type trucks or vehicles designed to be sold exclusively to the U.S. Postal Service. This part also applies to manufacturers of those vehicles. However, vehicles manufactured before September 1, 2013 that are manufactured in two or more stages or that are altered (within the meaning of 49 CFR 567.7) after having been previously certified to the Federal motor vehicle safety standards in accordance with part 567 of this chapter need not meet the requirements of this part.
§ 563.4 [Reserved]
§ 563.5 Definitions.
(a) Motor vehicle safety standard definitions. Unless otherwise indicated, all terms that are used in this part and are defined in the Motor Vehicle Safety Standards, part 571 of this subchapter, are used as defined therein.
(b) Other definitions.
ABS activity means the anti-lock brake system (ABS) is actively controlling the vehicle’s brakes.
Air bag warning lamp status means whether the warning lamp required by FMVSS No. 208 is on or off.
Capture means the process of buffering EDR data in a temporary, volatile storage medium where it is continuously updated at regular time intervals.
Delta-V, lateral means the cumulative change in velocity, as recorded by the EDR of the vehicle, along the lateral axis, starting from crash time zero and ending at 0.25 seconds, recorded every 0.01 seconds.
Delta-V, longitudinal means the cumulative change in velocity, as recorded by the EDR of the vehicle, along the longitudinal axis, starting from crash time zero and ending at 0.25 seconds, recorded every 0.01 seconds.
Deployment time, frontal air bag means (for both driver and right front passenger) the elapsed time from crash time zero to the deployment command, or for multi-staged air bag systems, the deployment command for the first stage.
Disposal means the deployment command of the second (or higher, if present) stage of a frontal air bag for the purpose of disposing the propellant from the air bag device.
End of event time means the moment at which the resultant cumulative delta-V within a 20 ms time period becomes 0.8 km/h (0.5 mph) or less, or the moment at which the crash detection algorithm of the air bag control unit resets.
Engine RPM means
(1) For vehicles powered by internal combustion engines, the number of revolutions per minute of the main crankshaft of the vehicle’s engine; and
(2) For vehicles not entirely powered by internal combustion engines, the number of revolutions per minute of the motor shaft at the point at which it enters the vehicle transmission gearbox.
Engine throttle, percent full means the driver-requested acceleration as measured by the throttle position sensor on the accelerator pedal compared to the fully-depressed position.
Event means a crash or other physical occurrence that causes the trigger threshold to be met or exceeded, or any non-reversible deployable restraint to be deployed, whichever occurs first.
Event data recorder (EDR) means a device or function in a vehicle that records the vehicle’s dynamic time-series data during the time period just prior to a crash event (e.g., vehicle speed vs. time) or during a crash event (e.g., delta-V vs. time), intended for retrieval after the crash event. For the purposes of this definition, the event data do not include audio and video data.
Frontal air bag means an inflatable restraint system that requires no action by vehicle occupants and is used to meet the applicable frontal crash protection requirements of FMVSS No. 208.
Ignition cycle, crash means the number (count) of power cycles applied to the recording device at the time when the crash event occurred since the first use of the EDR.
Ignition cycle download means the number (count) of power cycles applied to the recording device at the time when the data was downloaded since the first use of the EDR.
Lateral acceleration means the component of the vector acceleration of a point in the vehicle in the y-direction. The lateral acceleration is positive from left to right, from the perspective of the driver when seated in the vehicle facing the direction of forward vehicle travel.
Longitudinal acceleration means the component of the vector acceleration of a point in the vehicle in the x-direction. The longitudinal acceleration is positive in the direction of forward vehicle travel.
Maximum delta-V, lateral means the maximum value of the cumulative change in velocity, as recorded by the EDR, of the vehicle along the lateral axis, starting from crash time zero and ending at 0.3 seconds.
Maximum delta-V, longitudinal means the maximum value of the cumulative change in velocity, as recorded by the EDR, of the vehicle along the longitudinal axis, starting from crash time zero and ending at 0.3 seconds.
Maximum delta-V, resultant means the time-correlated maximum value of the cumulative change in velocity, as recorded by the EDR or processed during data download, along the vector-added longitudinal and lateral axes.
Multi-event crash means the occurrence of 2 events, the first and last of which begin not more than 5 seconds apart.
Non-volatile memory means the memory reserved for maintaining recorded EDR data in a semi-permanent fashion. Data recorded in non-volatile memory is retained after loss of power and can be retrieved with EDR data extraction tools and methods.
Normal acceleration means the component of the vector acceleration of a point in the vehicle in the z-direction. The normal acceleration is positive in a downward direction and is zero when the accelerometer is at rest.
Occupant position classification means the classification indicating that the seating posture of a front outboard occupant (both driver and right front passenger) is determined as being out-of-position.
Occupant size classification means, for the right front passenger, the classification of the occupant as a child (as defined in 49 CFR part 572, subpart N or smaller) or not as an adult (as defined in 49 CFR part 572, subpart O), and for the driver, the classification of the driver as being a 5th percentile female (as defined in 49 CFR Part 572, subpart O) or larger.
Pretensioner means a device that is activated by a vehicle’s crash sensing system and removes slack from a vehicle safety belt system.
Record means the process of saving captured EDR data into a non-volatile device for subsequent retrieval.
Safety belt status means the feedback from the safety system that is used to determine that an occupant’s safety belt (for both driver and right front passenger) is fastened or unfastened.
Seat track position switch, foremost, status means the status of the switch that is installed to detect whether the seat is moved to a forward position.
Service brake, on or off means the status of the device that is installed in or connected to the brake pedal system to detect whether the pedal was pressed. The device can include the brake pedal switch or other driver-operated service brake control.
Side air bag means any inflatable occupant restraint device that is mounted to the seat or side structure of the vehicle interior, and that is designed to deploy in a side impact crash to help mitigate occupant injury and/or ejection.
Side curtain/tube air bag means any inflatable occupant restraint device that is mounted to the side structure of the vehicle interior, and that is designed to deploy in a side impact crash or rollover and to help mitigate occupant injury and/or ejection.
Speed, vehicle indicated means the vehicle speed indicated by a manufacturer-designated subsystem designed to indicate the vehicle’s ground travel speed during vehicle operation.
Stability control means any device that complies with FMVSS No. 126, “Electronic stability control systems.”
Steering input means the angular displacement of the steering wheel measured from the straight-ahead position (position corresponding to zero average steer angle of a pair of steered wheels).
Suppression switch status means the status of the switch indicating whether an air bag suppression system is on or off.
Time from event 1 to 2 means the elapsed time from time zero of the first event to time zero of the second event.
Time, maximum delta-V, lateral means the time from crash time zero to the point where the maximum value of the cumulative change in velocity is found, as recorded by the EDR, along the lateral axis.
Time, maximum delta-V, longitudinal means the time from crash time zero to the point where the maximum value of the cumulative change in velocity is found, as recorded by the EDR, along the longitudinal axis.
Time, maximum delta-V, resultant means the time from crash time zero to the point where the maximum delta-V resultant occurs, as recorded by the EDR or processed during data download.
Time to deploy, pretensioner means the elapsed time from crash time zero to the deployment command for the safety belt pretensioner (for both driver and right front passenger).
Time to deploy, side air bag/curtain means the elapsed time from crash time zero to the deployment command for a side air bag or a side curtain/tube air bag (for both driver and right front passenger).
Time to first stage means the elapsed time between time zero and the time when the first stage of a frontal air bag is commanded to fire.
Time to n
Time zero means whichever of the following occurs first:
(1) For systems with “wake-up” air bag control systems, the time at which the occupant restraint control algorithm is activated; or
(2) For continuously running algorithms,
(i) The first point in the interval where a longitudinal cumulative delta-V of over 0.8 km/h (0.5 mph) is reached within a 20 ms time period; or
(ii) For vehicles that record “delta-V, lateral,” the first point in the interval where a lateral cumulative delta-V of over 0.8 km/h (0.5 mph) is reached within a 5 ms time period; or
(3) Deployment of a non-reversible deployable restraint.
Trigger threshold means a change in vehicle velocity, in the longitudinal direction, that equals or exceeds 8 km/h within a 150 ms interval. For vehicles that record “delta-V, lateral,” trigger threshold means a change in vehicle velocity in either the longitudinal or lateral direction that equals or exceeds 8 km/h within a 150 ms interval.
Vehicle roll angle means the angle between the vehicle’s y-axis and the ground plane.
Volatile memory means the memory reserved for buffering of captured EDR data. The memory is not capable of retaining data in a semi-permanent fashion. Data captured in volatile memory is continuously overwritten and is not retained in the event of a power loss or retrievable with EDR data extraction tools.
X-direction means in the direction of the vehicle’s X-axis, which is parallel to the vehicle’s longitudinal centerline. The X-direction is positive in the direction of forward vehicle travel.
Y-direction means in the direction of the vehicle’s Y-axis, which is perpendicular to its X-axis and in the same horizontal plane as that axis. The Y-direction is positive from left to right, from the perspective of the driver when seated in the vehicle facing the direction of forward vehicle travel.
Z-direction means in the direction of the vehicle’s Z-axis, which is perpendicular to the X- and Y-axes. The Z-direction is positive in a downward direction.
§ 563.6 Requirements for vehicles.
Each vehicle equipped with an EDR must meet the requirements specified in § 563.7 for data elements, § 563.8 for data format, § 563.9 for data capture, § 563.10 for crash test performance and survivability, and § 563.11 for information in owner’s manual.
§ 563.7 Data elements.
(a) Data elements required for all vehicles. Each vehicle equipped with an EDR must record all of the data elements listed in Table I, during the interval/time and at the sample rate specified in that table.
Table I – Data Elements Required for All Vehicles Equipped With an EDR
| Data element | Recording interval/time 1 (relative to time zero) | Data sample rate (samples per second) |
|---|---|---|
| Delta-V, longitudinal | 0 to 250 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | 100 |
| Maximum delta-V, longitudinal | 0-300 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | N/A |
| Time, maximum delta-V | 0-300 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | N/A |
| Speed, vehicle indicated | −5.0 to 0 sec | 2 |
| Engine throttle, % full (or accelerator pedal, % full) | −5.0 to 0 sec | 2 |
| Service brake, on/off | −5.0 to 0 sec | 2 |
| Ignition cycle, crash | −1.0 sec | N/A |
| Ignition cycle, download | At time of download 3 | N/A |
| Safety belt status, driver | −1.0 sec | N/A |
| Frontal air bag warning lamp, on/off 2 | −1.0 sec | N/A |
| Frontal air bag deployment, time to deploy, in the case of a single stage air bag, or time to first stage deployment, in the case of a multi-stage air bag, driver | Event | N/A |
| Frontal air bag deployment, time to deploy, in the case of a single stage air bag, or time to first stage deployment, in the case of a multi-stage air bag, right front passenger | Event | N/A |
| Multi-event, number of event | Event | N/A |
| Time from event 1 to 2 | As needed | N/A |
| Complete file recorded (yes, no) | Following other data | N/A |
1 Pre-crash data and crash data are asynchronous. The sample time accuracy requirement for pre-crash time is −0.1 to 1.0 sec (e.g., T = −1 would need to occur between −1.1 and 0 seconds.)
2 The frontal air bag warning lamp is the readiness indicator specified in S4.5.2 of FMVSS No. 208, and may also illuminate to indicate a malfunction in another part of the deployable restraint system.
3 The ignition cycle at the time of download is not required to be recorded at the time of the crash, but shall be reported during the download process.
(b) Data elements required for vehicles under specified conditions. Each vehicle equipped with an EDR must record each of the data elements listed in column 1 of Table II for which the vehicle meets the condition specified in column 2 of that table, during the interval/time and at the sample rate specified in that table.
Table II – Data Elements Required for Vehicles Under Specified Minimum Conditions
| Data element name | Condition for requirement | Recording interval/time 1 (relative to time zero) | Data sample rate (per second) |
|---|---|---|---|
| Lateral acceleration | If recorded 2 | N/A | N/A |
| Longitudinal acceleration | If recorded | N/A | N/A |
| Normal acceleration | If recorded | N/A | N/A |
| Delta-V, lateral | If recorded | 0-250 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | 100 |
| Maximum delta-V, lateral | If recorded | 0-300 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | N/A |
| Time maximum delta-V, lateral | If recorded | 0-300 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | N/A |
| Time for maximum delta-V, resultant | If recorded | 0-300 ms or 0 to End of Event Time plus 30 ms, whichever is shorter | N/A |
| Engine rpm | If recorded | −5.0 to 0 sec | 2 |
| Vehicle roll angle | If recorded | −1.0 up to 5.0 sec 3 | 10 |
| ABS activity (engaged, non-engaged) | If recorded | −5.0 to 0 sec | 2 |
| Stability control (on, off, or engaged) | If recorded | −5.0 to 0 sec | 2 |
| Steering input | If recorded | −5.0 to 0 sec | 2 |
| Safety belt status, right front passenger (buckled, not buckled) | If recorded | −1.0 sec | N/A |
| Frontal air bag suppression switch status, right front passenger (on, off, or auto) | If recorded | −1.0 sec | N/A |
| Frontal air bag deployment, time to nth stage, driver 4 | If equipped with a driver’s frontal air bag with a multi-stage inflator | Event | N/A |
| Frontal air bag deployment, time to nth stage, right front passenger 4 | If equipped with a right front passenger’s frontal air bag with a multi-stage inflator | Event | N/A |
| Frontal air bag deployment, nth stage disposal, driver, Y/N (whether the nth stage deployment was for occupant restraint or propellant disposal purposes) | If recorded | Event | N/A |
| Frontal air bag deployment, nth stage disposal, right front passenger, Y/N (whether the nth stage deployment was for occupant restraint or propellant disposal purposes) | If recorded | Event | N/A |
| Side air bag deployment, time to deploy, driver | If recorded | Event | N/A |
| Side air bag deployment, time to deploy, right front passenger | If recorded | Event | N/A |
| Side curtain/tube air bag deployment, time to deploy, driver side | If recorded | Event | N/A |
| Side curtain/tube air bag deployment, time to deploy, right side | If recorded | Event | N/A |
| Pretensioner deployment, time to fire, driver | If recorded | Event | N/A |
| Pretensioner deployment, time to fire, right front passenger | If recorded | Event | N/A |
| Seat track position switch, foremost, status, driver | If recorded | −1.0 sec | N/A |
| Seat track position switch, foremost, status, right front passenger | If recorded | −1.0 sec | N/A |
| Occupant size classification, driver | If recorded | −1.0 sec | N/A |
| Occupant size classification, right front passenger | If recorded | −1.0 sec | N/A |
| Occupant position classification, driver | If recorded | −1.0 sec | N/A |
| Occupant position classification, right front passenger | If recorded | −1.0 sec | N/A |
1 Pre-crash data and crash data are asynchronous. The sample time accuracy requirement for pre-crash time is −0.1 to 1.0 sec (e.g. T = −1 would need to occur between −1.1 and 0 seconds.)
2 “If recorded” means if the data is recorded in non-volatile memory for the purpose of subsequent downloading.
3 “vehicle roll angle” may be recorded in any time duration; −1.0 sec to 5.0 sec is suggested.
4 List this element n − 1 times, once for each stage of a multi-stage air bag system.
§ 563.8 Data format.
(a) The data elements listed in Tables I and II, as applicable, must be reported in accordance with the range, accuracy, and resolution specified in Table III
Table III – Reported Data Element Format
| Data element | Minimum range | Accuracy 1 | Resolution |
|---|---|---|---|
| Lateral acceleration | At option of manufacturer | At option of manufacturer | At option of manufacturer. |
| Longitudinal acceleration | At option of manufacturer | At option of manufacturer | At option of manufacturer. |
| Normal Acceleration | At option of manufacturer | At option of manufacturer | At option of manufacturer. |
| Longitudinal delta-V | −100 km/h to + 100 km/h | ±10% | 1 km/h. |
| Lateral delta-V | −100 km/h to + 100 km/h | ±10% | 1 km/h. |
| Maximum delta-V, longitudinal | −100 km/h to + 100 km/h | ±10% | 1 km/h. |
| Maximum delta-V, lateral | −100 km/h to + 100 km/h | ±10% | 1 km/h. |
| Time, maximum delta-V, longitudinal | 0-300 ms, or 0−End of Event Time plus 30 ms, whichever is shorter | ±3 ms | 2.5 ms. |
| Time, maximum delta-V, lateral | 0-300 ms, or 0−End of Event Time plus 30 ms, whichever is shorter | ±3 ms | 2.5 ms. |
| Time, maximum delta-V, resultant | 0-300 ms, or 0−End of Event Time plus 30 ms, whichever is shorter | ±3 ms | 2.5 ms. |
| Vehicle Roll Angle | −1080 deg to + 1080 deg | ±10% | 10 deg. |
| Speed, vehicle indicated | 0 km/h to 200 km/h | ±1 km/h | 1 km/h. |
| Engine throttle, percent full (accelerator pedal percent full) | 0 to 100% | ±5% | 1%. |
| Engine rpm | 0 to 10,000 rpm | ±100 rpm | 100 rpm. |
| Service brake | On or Off | N/A | On or Off. |
| ABS activity | On or Off | N/A | On or Off. |
| Stability control | On, Off, or Engaged | N/A | On, Off, or Engaged. |
| Steering input | −250 deg CW to + 250 deg CCW | ±5% | ±1%. |
| Ignition cycle, crash | 0 to 60,000 | ±1 cycle | 1 cycle. |
| Ignition cycle, download | 0 to 60,000 | ±1 cycle | 1 cycle. |
| Safety belt status, driver | On or Off | N/A | On or Off. |
| Safety belt status, right front passenger | On or Off | N/A | On or Off. |
| Frontal air bag warning lamp | On or Off | N/A | On or Off. |
| Frontal air bag suppression switch status, right front passenger | On, Off, or Auto | N/A | On, Off, or Auto. |
| Frontal air bag deployment, time to deploy/first stage, driver | 0 to 250 ms | ±2ms | 1 ms. |
| Frontal air bag deployment, time to deploy/first stage, right front passenger | 0 to 250 ms | ±2 ms | 1 ms. |
| Frontal air bag deployment, time to nth stage, driver | 0 to 250 ms | ±2 ms | 1 ms. |
| Frontal air bag deployment, time to nth stage, right front passenger | 0 to 250 ms | ±2 ms | 1 ms. |
| Frontal air bag deployment, nth stage disposal, driver | Yes or No | N/A | Yes or No. |
| Frontal air bag deployment, nth stage disposal, right front passenger | Yes or No | N/A | Yes or No. |
| Side air bag deployment, time to deploy, driver | 0 to 250 ms | ±2 ms | 1 ms. |
| Side air bag deployment, time to deploy, right front passenger | 0 to 250 ms | ±2 ms | 1 ms. |
| Side curtain/tube air bag deployment, time to deploy, driver side | 0 to 250 ms | ±2 ms | 1 ms. |
| Side curtain/tube air bag deployment, time to deploy, right side | 0 to 250 ms | ±2 ms | 1 ms. |
| Pretensioner deployment, time to fire, driver | 0 to 250 ms | ±2 ms | 1 ms. |
| Pretensioner deployment, time to fire, right front passenger | 0 to 250 ms | ±2 ms | 1 ms. |
| Seat track position switch, foremost, status, driver | Yes or No | N/A | Yes or No. |
| Seat track position switch, foremost, status, right front passenger | Yes or No | N/A | Yes or No. |
| Occupant size classification, driver | 5th percentile female or larger | N/A | Yes or No. |
| Occupant size classification, right front passenger | Child | N/A | Yes or No. |
| Occupant position classification, driver | Out of position | N/A | Yes or No. |
| Occupant position classification, right front passenger | Out of position | N/A | Yes or No. |
| Multi-event, number of event | 1 or 2 | N/A | 1 or 2. |
| Time from event 1 to 2 | 0 to 5.0 sec | 0.1 sec | 0.1 sec. |
| Complete file recorded | Yes or No | N/A | Yes or No. |
1 Accuracy requirement only applies within the range of the physical sensor. For vehicles manufactured after September 1, 2014, if measurements captured by a sensor exceed the design range of the sensor, the reported element must indicate when the measurement first exceeded the design range of the sensor.
(b) Acceleration Time-History data and format: the longitudinal, lateral, and normal acceleration time-history data, as applicable, must be filtered either during the recording phase or during the data downloading phase to include:
(1) The Time Step (TS) that is the inverse of the sampling frequency of the acceleration data and which has units of seconds;
(2) The number of the first point (NFP), which is an integer that when multiplied by the TS equals the time relative to time zero of the first acceleration data point;
(3) The number of the last point (NLP), which is an integer that when multiplied by the TS equals the time relative to time zero of the last acceleration data point; and
(4) NLP – NFP + 1 acceleration values sequentially beginning with the acceleration at time NFP * TS and continue sampling the acceleration at TS increments in time until the time NLP * TS is reached.
§ 563.9 Data capture.
The EDR must capture and record the data elements for events in accordance with the following conditions and circumstances:
(a) In a frontal air bag deployment crash, capture and record the current deployment data. In a side or side curtain/tube air bag deployment crash, where lateral delta-V is recorded by the EDR, capture and record the current deployment data. The memory for the air bag deployment event must be locked to prevent any future overwriting of the data.
(b) In an event that does not meet the criteria in § 563.9(a), capture and record the current event data, up to two events, subject to the following conditions:
(1) If an EDR non-volatile memory buffer void of previous-event data is available, the current event data is recorded in the buffer.
(2) If an EDR non-volatile memory buffer void of previous-event data is not available, the manufacturer may choose to either overwrite any previous event data that does not deploy an air bag with the current event data, or to not record the current event data.
(3) EDR buffers containing previous frontal, side, or side curtain/tube air bag deployment-event data must not be overwritten by the current event data.
§ 563.10 Crash test performance and survivability.
(a) Each vehicle subject to the requirements of S5, S14.5, S15, or S17 of 49 CFR 571.208, Occupant crash protection, must comply with the requirements in subpart (c) of this section when tested according to S8, S16, and S18 of 49 CFR 571.208.
(b) Each vehicle subject to the requirements of 49 CFR 571.214, Side impact protection, that meets a trigger threshold or has a frontal air bag deployment, must comply with the requirements of subpart (c) of this section when tested according to the conditions specified in 49 CFR 571.214 for a moving deformable barrier test.
(c) The data elements required by § 563.7, except for the “Engine throttle, percent full,” “engine RPM,” and “service brake, on/off,” must be recorded in the format specified by § 563.8, exist at the completion of the crash test, and be retrievable by the methodology specified by the vehicle manufacturer under § 563.12 for not less than 10 days after the test, and the complete data recorded element must read “yes” after the test.
§ 563.11 Information in owner’s manual.
(a) The owner’s manual in each vehicle covered under this regulation must provide the following statement in English:
This vehicle is equipped with an event data recorder (EDR). The main purpose of an EDR is to record, in certain crash or near crash-like situations, such as an air bag deployment or hitting a road obstacle, data that will assist in understanding how a vehicle’s systems performed. The EDR is designed to record data related to vehicle dynamics and safety systems for a short period of time, typically 30 seconds or less. The EDR in this vehicle is designed to record such data as:
• How various systems in your vehicle were operating;
• Whether or not the driver and passenger safety belts were buckled/fastened;
• How far (if at all) the driver was depressing the accelerator and/or brake pedal; and,
• How fast the vehicle was traveling.
These data can help provide a better understanding of the circumstances in which crashes and injuries occur. NOTE: EDR data are recorded by your vehicle only if a non-trivial crash situation occurs; no data are recorded by the EDR under normal driving conditions and no personal data (e.g., name, gender, age, and crash location) are recorded. However, other parties, such as law enforcement, could combine the EDR data with the type of personally identifying data routinely acquired during a crash investigation.
To read data recorded by an EDR, special equipment is required, and access to the vehicle or the EDR is needed. In addition to the vehicle manufacturer, other parties, such as law enforcement, that have the special equipment, can read the information if they have access to the vehicle or the EDR.
(b) The owner’s manual may include additional information about the form, function, and capabilities of the EDR, in supplement to the required statement in § 563.11(a).
§ 563.12 Data retrieval tools.
Each manufacturer of a motor vehicle equipped with an EDR shall ensure by licensing agreement or other means that a tool(s) is commercially available that is capable of accessing and retrieving the data stored in the EDR that are required by this part. The tool(s) shall be commercially available not later than 90 days after the first sale of the motor vehicle for purposes other than resale.
PART 564 – REPLACEABLE LIGHT SOURCE AND SEALED BEAM HEADLAMP INFORMATION
§ 564.1 Scope.
This part requires the submission of dimensional, electrical specification, and marking/designation information as specified in Appendices A and B of this part, for original equipment replaceable light sources used in motor vehicle headlighting systems. This part also serves as a repository for design information as specified in appendix C of this part, for original equipment and replacement standardized sealed beam units used in motor vehicle headlighting systems.
§ 564.2 Purposes.
The purposes of this part are achieved through its Appendices:
(a) The purposes of appendix A of this part are to ensure:
(1) The availability to replacement light source manufacturers of the manufacturing specifications of original equipment light sources so that replacement light sources are interchangeable with original equipment light sources and provide equivalent performance, and
(2) That redesigned or newly developed light sources are designated as distinct, different, and noninterchangeable with previously existing light sources.
(b) The purposes of appendix B of this part are to ensure:
(1) That original equipment light sources are replaceable and that replacement light sources provide equivalent performance, and
(2) That redesigned or newly developed light sources are designated as distinct, different, and noninterchangeable with previously existing light sources.
(c) The purpose of appendix C of this part is to ensure the availability to original equipment and replacement sealed beam headlamp manufacturers of the manufacturing specifications of standardized sealed beam headlamp units used on motor vehicles so that all sealed beam headlamp units of a specific type are interchangeable with all other units of that same type and provide equivalent performance.
§ 564.3 Applicability.
This part applies to replaceable light sources used as original equipment, and standardized sealed beam headlamp units used as original equipment and replacement equipment in motor vehicle headlighting systems.
§ 564.4 Definitions.
All terms defined in the Act and the regulations and standards issued under its authority are used as defined therein.
§ 564.5 Information filing; agency processing of filings.
(a) Each manufacturer of a motor vehicle, original equipment headlamp, or original equipment headlamp replaceable light source, which intends to manufacture a replaceable light source as original equipment or to incorporate a replaceable light source in its headlamps or motor vehicles, shall furnish the information specified in appendix A. If the rated laboratory life of the light source is not less than 2,000 hours, the manufacturer shall furnish the information specified in either appendix A or appendix B of this part. Information shall be furnished to: Associate Administrator for Rulemaking, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., West Building, Washington, DC 20590 Attention: Part 564-Replaceable Light Source Information (unless the Agency has already filed such information in Docket No. NHTSA 98-3397).
(b) The manufacturer shall submit such information not later than 60 days before it intends to begin manufacture of the replaceable light source to which the information applies, or to incorporate the light source into a headlamp, or to incorporate the light source into a motor vehicle of its manufacture. Each submission shall consist of one original set of information and ten legible reproduced copies, all on 8
(c) The Associate Administrator promptly reviews each submission and informs the manufacturer not later than 30 days after its receipt whether the submission has been accepted. Upon acceptance, the Associate Administrator files the information in Docket No. NHTSA 98-3397. The Associate Administrator does not accept any submission that does not contain all the information specified in appendix A or appendix B of this part, or whose accompanying information indicates that any new light source which is the subject of a submission is interchangeable with any replaceable light source for which the agency has previously filed information in Docket No. NHTSA 98-3397.
(d) A manufacturer may request modification of a light source for which information has previously been filed in Docket No. NHTSA 98-3397, and the submission shall be processed in the manner provided by § 564.5(c). A request for modification shall contain the following:
(1) All the information specified in appendix A or appendix B of this part that is relevant to the modification requested,
(2) The reason for the requested modification,
(3) A statement that the use of the light source as modified will not create a noncompliance with any requirement of Federal Motor Vehicle Safety Standard No. 108 (49 CFR 571.108) when used to replace an unmodified light source in a headlamp certified by its manufacturer as conforming to all applicable Federal motor vehicle safety standards, together with reasons in support of the statement; and
(4) Information demonstrating that the modification would not adversely affect interchangeability with the original light source.
After review of the request for modification, the Associate Administrator may seek further information either from the manufacturer or through a notice published in the
(e) Information submitted under this section is made available by NHTSA for public inspection as soon as practicable after its receipt, but not later than the date on which a vehicle equipped with a new or revised replaceable light source is offered for sale.
Appendix A to Part 564 – Information to be Submitted for Replaceable Light Sources
A. Lower beam filament dimensions or filament tolerance box dimensions and relation of these to the bulb base reference plane and centerline.
1. Axial location of the filament centerline or the filament tolerance box relative to the bulb base reference plane.
2. Vertical location of the filament centerline or the filament tolerance box relative to the bulb base centerline.
3. Transverse location of the filament centerline or the filament tolerance box relative to the bulb base centerline.
4. Filament tolerance box dimensions, if used.
B. Upper beam filament dimensions or the filament tolerance box dimensions, and relation of these to the bulb base reference plane and centerline.
1. Axial location of the filament centerline or the filament tolerance box relative to the bulb base reference plane.
2. Vertical location of the filament centerline or the filament tolerance box relative to the bulb base centerline.
3. Transverse location of the filament centerline or the filament tolerance box relative to the bulb base centerline.
4. Filament tolerance box dimensions, if used.
C. If the replaceable light source has both a lower beam and an upper beam filament, the dimensional relationship between the two filament centerlines or the filament tolerance boxes may be provided instead of referencing the upper beam filament centerline or filament tolerance box to the bulb base centerline or reference plane.
D. For a light source using excited gas mixtures as a filament, necessary fiducial information and specifications including electrode position dimensions and tolerance information that provide similar location and characteristics information required by paragraphs A, B, and C of this section I for light sources using a resistive type filament.
A. Maximum length from bulb base reference plane to tip of filament capsule.
B. Maximum radial distances from bulb base centerline to periphery of filament capsule and/or supports.
C. Location of black cap relative to low beam filament centerline, filament tolerance box or other to-be-specified reference.
D. Size, length, shape, or other pertinent features and dimensions for providing undistorted walls for the filament capsule.
A. Angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.
B. Diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.
C. Diameter of the bulb base at the interface of the base and its perpendicular reference surface.
D. Dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surfaces, etc.
A. Mating angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.
B. Mating diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.
C. Mating diameter of the bulb holder at the interface of the bulb base aperture and its perpendicular reference surface.
D. Mating dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surfaces, etc.
A. Maximum depth of harness connector insertion into bulb base.
B. Location of electrical pins in bulb base.
C. Dimensions of electrical pins in bulb base – length, diameter, width, thickness and etc.
D. Fit of harness connector into bulb base providing all necessary dimensions, key/keyway controls, and dimensions, tapers etc.
E. Dimensions and location of locking features for wiring harness connector to bulb base.
F. Identification of upper beam, lower beam, and common terminals.
A. Type.
B. Material.
C. Dimensions.
A. Maximum power (in watts).
B. Luminous Flux with tolerance (in lumens) with black cap if so equipped, measured in accordance with the document: Illuminating Engineering Society of North America, LM-45; IES Approved Method for Electrical and Photometric Measurements of General Service Incandescent Filament Lamps (April 1980). This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from the Illuminating Engineering Society of North America, 345 East 47th St., New York, NY 10017. Copies may be inspected at the National Highway Traffic Safety Administration, Technical Information Services, 1200 New Jersey Avenue, Washington, DC 20590, or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
IF A BALLAST IS REQUIRED FOR OPERATION, A COMPLETE LISTING OF THE REQUIREMENTS AND PARAMETERS BETWEEN THE LIGHT SOURCE AND BALLAST, AND BALLAST AND THE VEHICLE SHALL ALSO BE PROVIDED.
Appendix B to Part 564 – Information to be Submitted for Long Life Replaceable Light Sources of Limited Definition
A. Lower beam filament or discharge arc dimensions or filament or discharge arc tolerance box dimensions and relation of these to the bulb base reference plane and centerline.
1. Axial location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base reference plane.
2. Vertical location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.
3. Transverse location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.
4. Filament or discharge arc tolerance box dimensions, if used.
B. Upper beam filament or discharge arc dimensions or the filament or discharge arc tolerance box dimensions and relation of these to the bulb base reference plane and centerline.
1. Axial location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base reference plane.
2. Vertical location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.
3. Transverse location of the filament or discharge arc centerline or the filament or discharge arc tolerance box relative to the bulb base centerline.
4. Filament or discharge arc tolerance box dimensions, if used.
C. If the replaceable light source has both a lower beam and upper beam filament or discharge arc, the dimensional relationship between the two filament or discharge arc centerlines or the filament or discharge arc tolerance boxes may be provided instead of referencing the upper beam filament or discharge arc centerline or filament or discharge arc tolerance box to the bulb base centerline or reference plane.
D. For a light source using excited gas mixtures as a filament, necessary fiducial information and specifications including electrode position dimensions, and tolerance information that provide similar location and characteristics information required by paragraphs A, B, and C of this section I for light sources using a resistive type filament.
A. Angular locations, diameters, key/keyway sizes, and any other interchangeability dimensions for indexing the bulb base in the bulb holder.
B. Diameter, width, depth, and surface finish of seal groove, surface, or other pertinent sealing features.
C. Diameter of the bulb base at the interface of the base and its perpendicular reference surface.
D. Dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surface, etc.
A. Mating angular locations, diameters, key/keyway sizes, any other interchangeability dimensions for indexing the bulb base in the bulb holder.
B. Mating diameter, width, depth, and surface, or other pertinent sealing features.
C. Mating diameter of the bulb holder at the interface of the bulb base aperture and its perpendicular reference surface.
D. Mating dimensions of features related to retention of the bulb base in the bulb holder such as tabs, keys, keyways, surface, or any other characteristics necessary for mating dimensions.
A. Maximum power (in watts).
B. Luminous Flux (in lumens).
C. Rated laboratory life of the light source/ballast combination (not less than 2,000 hours).
A. Manufacturer’s part number for the ballast.
B. Any other characteristics necessary for system operation.
Appendix C to Part 564 – Information Applicable to Standardized Sealed Beam Headlamp Units
A. Dimensions marked “I”, indicating interchangeability, for which conformance is mandatory.
B. All other dimensions which are for design purposes.
A. Dimensions marked “I”, indicating interchangeability, for which conformance is mandatory.
B. All other dimensions which are for design purposes.
PART 565 – VEHICLE IDENTIFICATION NUMBER (VIN) REQUIREMENTS
Subpart A – General Applicability of Subparts
§ 565.1 Purpose and scope.
This part specifies the format, content and physical requirements for a vehicle identification number (VIN) system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns.
§ 565.2 Application.
(a)(1) Except as provided in paragraph (a)(2) of this section, subpart B of this part 565 applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position, and to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after April 30, 2009. Vehicles imported into the United States under 49 CFR 591.5(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of §§ 565.13(b), 565.13(c), 565.13(g), 565.13(h), 565.14 and 565.15.
(2) All motor vehicles identified as model year 2009 or earlier vehicles by their manufacturer must comply with subpart C of this part 565.
(b) Subpart B of this part 565 applies to vehicles manufactured on or after April 30, 2008 and before April 30, 2009, whose vehicle identification number (VIN) does not have a letter “A” or “B” in the 10th position of the VIN and that are not identified as model year 2009 or earlier vehicles by their manufacturer.
Subpart B – VIN Requirements
§ 565.10 Purpose and scope.
This part specifies the format, content and physical requirements for a vehicle identification number (VIN) system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns.
§ 565.11 Applicability.
See subpart A of this part 565 regarding the general applicability of this subpart. This part applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position, and to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after April 30 2009 that are not identified by their manufacturer as model year 2009 or earlier vehicles. Vehicles imported into the United States under 49 CFR 591.5(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of §§ 565.13(b), 565.13(c), 565.13(g), 565.13(h), 565.14 and § 565.15.
§ 565.12 Definitions.
(a) Federal Motor Vehicle Safety Standards Definitions. Unless otherwise indicated, all terms used in this part that are defined in 49 CFR 571.3 are used as defined in 49 CFR 571.3.
(b) Body type means the general configuration or shape of a vehicle distinguished by such characteristics as the number of doors or windows, cargo-carrying features and the roofline (e.g., sedan, fastback, hatchback).
(c) Check digit means a single number or the letter X used to verify the accuracy of the transcription of the vehicle identification number.
(d) Engine type means a power source with defined characteristics such as fuel utilized, number of cylinders, displacement, and net brake horsepower. The specific manufacturer and make shall be represented if the engine powers a passenger car or a multipurpose passenger vehicle, or truck with a gross vehicle weight rating of 4536 kg (10,000 lb) or less.
(e) High-volume manufacturer, for purposes of this part, means a manufacturer of 1,000 or more vehicles of a given type each year.
(f) Incomplete vehicle means an assemblage consisting, as a minimum, of frame and chassis structure, power train, steering system, suspension system and braking system, to the extent that those systems are to be part of the completed vehicle, that requires further manufacturing operations, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, to become a completed vehicle.
(g) Line means a name that a manufacturer applies to a family of vehicles within a make which have a degree of commonality in construction, such as body, chassis or cab type.
(h) Low-volume manufacturer, for purposes of this part, means a manufacturer of fewer than 1,000 vehicles of a given type each year.
(i) Make means a name that a manufacturer applies to a group of vehicles or engines.
(j) Manufacturer means a person –
(1) Manufacturing or assembling motor vehicles or motor vehicle equipment; or
(2) Importing motor vehicles or motor vehicle equipment for resale.
(k) Manufacturer identifier means the first three digits of a VIN of a vehicle manufactured by a high-volume manufacturer, and the first three digits of a VIN and the twelfth through fourteenth digits of a VIN of a vehicle manufactured by a low-volume manufacturer.
(l) Model means a name that a manufacturer applies to a family of vehicles of the same type, make, line, series and body type.
(m) Model year means the year used to designate a discrete vehicle model, irrespective of the calendar year in which the vehicle was actually produced, provided that the production period does not exceed 24 months.
(n) Plant of manufacture means the plant where the manufacturer affixes the VIN.
(o) Series means a name that a manufacturer applies to a subdivision of a “line” denoting price, size or weight identification and that is used by the manufacturer for marketing purposes.
(p) Trailer kit means a trailer that is fabricated and delivered in complete but unassembled form and that is designed to be assembled without special machinery or tools.
(q) Type means a class of vehicle distinguished by common traits, including design and purpose. Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, incomplete vehicles, low speed vehicles, and motorcycles are separate types.
(r) VIN means a series of Arabic numbers and Roman letters that is assigned to a motor vehicle for identification purposes.
§ 565.13 General requirements.
(a) Each vehicle manufactured in one stage shall have a VIN that is assigned by the manufacturer. Each vehicle manufactured in more than one stage shall have a VIN assigned by the incomplete vehicle manufacturer. Vehicle alterers, as specified in 49 CFR 567.7, shall utilize the VIN assigned by the original manufacturer of the vehicle.
(b) Each VIN shall consist of seventeen (17) characters.
(c) A check digit shall be part of each VIN. The check digit shall appear in position nine (9) of the VIN, on the vehicle and on any transfer documents containing the VIN prepared by the manufacturer to be given to the first owner for purposes other than resale.
(d) The VINs of any two vehicles subject to the Federal motor vehicle safety standards and manufactured within a 60-year period beginning with the 1980 model year shall not be identical.
(e) The VIN of each vehicle shall appear clearly and indelibly upon either a part of the vehicle, other than the glazing, that is not designed to be removed except for repair or upon a separate plate or label that is permanently affixed to such a part.
(f) The VIN for passenger cars, multipurpose passenger vehicles, low speed vehicles, and trucks of 4536 kg or less GVWR shall be located inside the passenger compartment. It shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. Each character in the VIN subject to this paragraph shall have a minimum height of 4 mm.
(g) Each character in each VIN shall be one of the letters in the set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] assigned according to the method given in § 565.15.
(h) All spaces provided for in the VIN must be occupied by a character specified in paragraph (g) of this section.
(i) The type face utilized for each VIN shall consist of capital, sanserif characters.
§ 565.14 Motor vehicles imported into the United States.
(a) Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle.
(b) All passenger cars, multipurpose passenger vehicles, low speed vehicles and trucks of 4536 kg or less GVWR certified by a Registered Importer under 49 CFR part 592 whose VINs do not comply with part 565.13 and 565.14 shall have a plate or label that contains the following statement, in characters that have a minimum height of 4 mm and the identification number assigned by the vehicle’s original manufacturer inserted in the blank: SUBSTITUTE FOR U.S. VIN: _____ SEE 49 CFR PART 565. The plate or label shall conform to § 565.13 (h) and (i). The plate or label shall be permanently affixed inside the passenger compartment. The plate or label shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. It shall be located in such a manner as not to cover, obscure, or overlay any part of any identification number affixed by the original manufacturer. Motor vehicles conforming to Canada Motor Vehicle Safety Standard 115 are exempt from this paragraph.
§ 565.15 Content requirements.
(a) The first section shall consist of three characters that occupy positions one through three (1-3) in the VIN. This section shall uniquely identify the manufacturer and type of the motor vehicle if the manufacturer is a high-volume manufacturer. If the manufacturer is a low-volume manufacturer, positions one through three (1-3) along with positions twelve through fourteen (12-14) in the VIN shall uniquely identify the manufacturer and type of the motor vehicle. These characters are assigned in accordance with § 565.16(a). A “9” shall be placed in the third position of the VIN if the manufacturer identifier is six characters. A “9” in the third position always indicates the presence of a six-character manufacturer identifier. The National Highway Traffic Safety Administration offers access to manufacturer identifier assignments via its search engine at the following Internet Web site: http://www.nhtsa.dot.gov/cars/rules/manufacture.
(b) The second section shall consist of five characters, which occupy positions four through eight (4-8) in the VIN. This section shall uniquely identify the attributes of the vehicle as specified in Table I. For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, the fourth character (position 7) of this section shall be alphabetic. The characters utilized and their placement within the section may be determined by the manufacturer, but the specified attributes must be decipherable with information supplied by the manufacturer in accordance with § 565.16(c). In submitting the required information to NHTSA relating gross vehicle weight rating, the designations in Table II shall be used. The use of these designations within the VIN itself is not required. Tables I and II follow:
Table I – Type of Vehicle and Information Decipherable
Table II – Gross Vehicle Weight Rating Classes
| Class A – Not greater than 1360 kg. (3,000 lbs.) |
| Class B – Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.) |
| Class C – Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.) |
| Class D – Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.) |
| Class E – Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.) |
| Class F – Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.) |
| Class G – Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.) |
| Class H – Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.) |
| Class 3 – Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.) |
| Class 4 – Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.) |
| Class 5 – Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.) |
| Class 6 – Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.) |
| Class 7 – Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.) |
| Class 8 – Greater than 14968 kg. (33,001 lbs. and over) |
(c) The third section shall consist of one character, which occupies position nine (9) in the VIN. This section shall be the check digit whose purpose is to provide a means for verifying the accuracy of any VIN transcription. After all other characters in VIN have been determined by the manufacturer, the check digit shall be calculated by carrying out the mathematical computation specified in paragraphs (c) (1) through (4) of this section.
(1) Assign to each number in the VIN its actual mathematical value and assign to each letter the value specified for it in Table III, as follows:
Table III – Assigned Values
| A = 1 |
| B = 2 |
| C = 3 |
| D = 4 |
| E = 5 |
| F = 6 |
| G = 7 |
| H = 8 |
| J = 1 |
| K = 2 |
| L = 3 |
| M = 4 |
| N = 5 |
| P = 7 |
| R = 9 |
| S = 2 |
| T = 3 |
| U = 4 |
| V = 5 |
| W = 6 |
| X = 7 |
| Y = 8 |
| Z = 9 |
(2) Multiply the assigned value for each character in the VIN by the position weight factor specified in Table IV, as follows:
Table IV – VIN Position and Weight Factor
| 1st | 8 |
| 2d | 7 |
| 3d | 6 |
| 4th | 5 |
| 5th | 4 |
| 6th | 3 |
| 7th | 2 |
| 8th | 10 |
| 9th | (check digit) |
| 10th | 9 |
| 11th | 8 |
| 12th | 7 |
| 13th | 6 |
| 14th | 5 |
| 15th | 4 |
| 16th | 3 |
| 17th | 2 |
(3) Add the resulting products and divide the total by 11.
(4) The check digit is based on either the Fractional Remainder or the Decimal Equivalent Remainder as reflected in Table V. All Decimal Equivalent Remainders in Table V are rounded to the nearest thousandth. The check digit, zero through nine (0-9) or the letter “X” shall appear in VIN position nine (9).
Table V – Ninth Position Check Digit Values
[Rounded to the nearest thousandth]
| Fractional Remainder | 0 | 1/11 | 2/11 | 3/11 | 4/11 | 5/11 | 6/11 | 7/11 | 8/11 | 9/11 | 10/11 |
| Decimal Equivalent Remainder | 0 | 0.091 | 0.182 | 0.273 | 0.364 | 0.455 | 0.545 | 0.634 | 0.727 | 0.818 | 0.909 |
| Check Digit | 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | X |
(5) A sample check digit calculation is shown in Table VI as follows:
Table VI – Calculation of a Check Digit
| Vin Position | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 |
| Sample VIN | 1 | G | 4 | A | H | 5 | 9 | H | 5 | G | 1 | 1 | 8 | 3 | 4 | 1 | |
| Assigned Value | 1 | 7 | 4 | 1 | 8 | 5 | 9 | 8 | 5 | 7 | 1 | 1 | 8 | 3 | 4 | 1 | |
| Weight Factor | 8 | 7 | 6 | 5 | 4 | 3 | 2 | 10 | 0 | 9 | 8 | 7 | 6 | 5 | 4 | 3 | 2 |
| Multiply Assigned value times weight factor | 8 | 49 | 24 | 5 | 32 | 15 | 18 | 80 | 0 | 45 | 56 | 7 | 6 | 40 | 12 | 12 | 2 |
Add products: 8 + 49 + 24 + 5 + 32 + 15 + 18 + 80 + 0 + 45 + 56 + 7 + 6 + 40 + 12 + 12 + 2 = 411.
Divide by 11: 411/11 = 37 4/11 or 37.3636.
If the fourth digit is 5 or greater, round up. If the fourth digit is 4 or smaller, round down.
In the example above, the remainder is 4/11 or 0.364 when rounded up.
Looking up the remainder in Table V – Ninth Position Check Digit Values indicates that “4” is the check digit to be inserted in position nine (9) of the VIN for this sample digit calculation.
(d) The fourth section shall consist of eight characters, which occupy positions ten through seventeen (10-17) of the VIN. The last five (5) characters of this section shall be numeric for passenger cars and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, and the last four (4) characters shall be numeric for all other vehicles.
(1) The first character of the fourth section shall represent the vehicle model year. The year shall be designated as indicated in Table VII as follows:
Table VII – Year Codes for VIN
| Year | Code |
|---|---|
| 2005 | 5 |
| 2006 | 6 |
| 2007 | 7 |
| 2008 | 8 |
| 2009 | 9 |
| 2010 | A |
| 2011 | B |
| 2012 | C |
| 2013 | D |
| 2014 | E |
| 2015 | F |
| 2016 | G |
| 2017 | H |
| 2018 | J |
| 2019 | K |
| 2020 | L |
| 2021 | M |
| 2022 | N |
| 2023 | P |
| 2024 | R |
| 2025 | S |
| 2026 | T |
| 2027 | V |
| 2028 | W |
| 2029 | X |
| 2030 | Y |
| 2031 | 1 |
| 2032 | 2 |
| 2033 | 3 |
| 2034 | 4 |
| 2035 | 5 |
| 2036 | 6 |
| 2037 | 7 |
| 2038 | 8 |
| 2039 | 9 |
Note to Table VII: For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, if position 7 is numeric, the Model Year in position 10 of the VIN refers to a year in the range 1980-2009. If position 7 is alphabetic, the Model Year in Position 10 of the VIN refers to a year in the range 2010-2039.
(2) The second character of the fourth section shall represent the plant of manufacture.
(3) The third through the eighth characters of the fourth section (positions 12 through 17) shall represent the number sequentially assigned by the manufacturer in the production process if the manufacturer is a high-volume manufacturer. If a manufacturer is a low-volume manufacturer, the third, fourth, and fifth characters of the fourth section (positions 12, 13, and 14), combined with the three characters of the first section (positions 1, 2, and 3), shall uniquely identify the manufacturer and type of the motor vehicle and the sixth, seventh, and eighth characters of the fourth section (positions 15, 16, and 17) shall represent the number sequentially assigned by the manufacturer in the production process.
§ 565.16 Reporting requirements.
The information collection requirements contained in this part have been approved by the Office of Management and Budget under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq) and have been assigned OMB Control Number 2127-0510.
(a) The National Highway Traffic Safety Administration (NHTSA) has contracted with the SAE International to coordinate the assignment of manufacturer identifiers to manufacturers in the United States. Manufacturer identifiers will be supplied by SAE at no charge. All requests for assignments of manufacturer identifiers should be forwarded directly to: SAE International, 400 Commonwealth Drive, Warrendale, Pennsylvania, 15096, Attention: WMI Coordinator (telephone: 724-776-4841). Any requests for identifiers submitted to NHTSA will be forwarded to SAE. Manufacturers may request a specific identifier or may request only assignment of an identifier(s). SAE will review requests for specific identifiers to determine that they do not conflict with an identifier already assigned or block of identifiers already reserved. SAE will confirm the assignments in writing to the requester. Once confirmed by SAE, the identifier need not be resubmitted to NHTSA.
(b) Manufacturers of vehicles subject to this part shall submit, either directly or through an agent, the unique identifier for each make and type of vehicle it manufactures at least 60 days before affixing the first VIN using the identifier. Manufacturers whose unique identifier appears in the fourth section of the VIN shall also submit the three characters of the first section that constitutes a part of their identifier.
(c) Manufacturers of vehicles subject to the requirements of this part shall submit to NHTSA the information necessary to decipher the characters contained in its VINs. Amendments to this information shall be submitted to the agency for VINs containing an amended coding. The agency will not routinely provide written approvals of these submissions, but will contact the manufacturer should any corrections to these submissions be necessary.
(d) The information required under paragraph (c) of this section shall be submitted at least 60 days prior to offering for sale the first vehicle identified by a VIN containing that information, or if information concerning vehicle characteristics sufficient to specify the VIN code is unavailable to the manufacturer by that date, then within one week after that information first becomes available. The information shall be addressed to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE, Washington, DC 20590, Attention: VIN Coordinator.
Subpart C – Alternative VIN Requirements In Effect for Limited Period
§ 565.20 Purpose and scope.
This part specifies the format, content and physical requirements for a vehicle identification number (VIN) system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns.
§ 565.21 Applicability.
See subpart A of this part 565 regarding the applicability of this subpart. This part applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, and motorcycles. Vehicles imported into the United States under 49 CFR 591.5(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of § 565.23(b), §§ 565.23(c), 565.23(g), 565.23(h), 565.24 and 565.25.
§ 565.22 Definitions.
(a) Federal Motor Vehicle Safety Standards Definitions. Unless otherwise indicated, all terms used in this part that are defined in 49 CFR 571.3 are used as defined in 49 CFR 571.3.
(b) Body type means the general configuration or shape of a vehicle distinguished by such characteristics as the number of doors or windows, cargo-carrying features and the roofline (e.g., sedan, fastback, hatchback).
(c) Check digit means a single number or the letter X used to verify the accuracy of the transcription of the vehicle identification number.
(d) Engine type means a power source with defined characteristics such as fuel utilized, number of cylinders, displacement, and net brake horsepower. The specific manufacturer and make shall be represented if the engine powers a passenger car or a multipurpose passenger vehicle, or truck with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less.
(e) Incomplete vehicle means an assemblage consisting, as a minimum, of frame and chassis structure, power train, steering system, suspension system and braking system, to the extent that those systems are to be part of the completed vehicle, that requires further manufacturing operations, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, to become a completed vehicle.
(f) Line means a name that a manufacturer applies to a family of vehicles within a make which have a degree of commonality in construction, such as body, chassis or cab type.
(g) Make means a name that a manufacturer applies to a group of vehicles or engines.
(h) Manufacturer means a person –
(1) Manufacturing or assembling motor vehicles or motor vehicle equipment; or
(2) Importing motor vehicles or motor vehicle equipment for resale.
(i) Model means a name that a manufacturer applies to a family of vehicles of the same type, make, line, series and body type.
(j) Model Year means the year used to designate a discrete vehicle model, irrespective of the calendar year in which the vehicle was actually produced, provided that the production period does not exceed 24 months.
(k) Plant of manufacture means the plant where the manufacturer affixes the VIN.
(l) Series means a name that a manufacturer applies to a subdivision of a “line” denoting price, size or weight identification and that is used by the manufacturer for marketing purposes.
(m) Trailer kit means a trailer that is fabricated and delivered in complete but unassembled form and that is designed to be assembled without special machinery or tools.
(n) Type means a class of vehicle distinguished by common traits, including design and purpose. Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, incomplete vehicles and motorcycles are separate types.
(o) VIN means a series of Arabic numbers and Roman letters that is assigned to a motor vehicle for identification purposes.
§ 565.23 General requirements.
(a) Each vehicle manufactured in one stage shall have a VIN that is assigned by the manufacturer. Each vehicle manufactured in more than one stage shall have a VIN assigned by the incomplete vehicle manufacturer. Vehicle alterers, as specified in 49 CFR 567.7, shall utilize the VIN assigned by the original manufacturer of the vehicle.
(b) Each VIN shall consist of seventeen (17) characters.
(c) A check digit shall be part of each VIN. The check digit shall appear in position nine (9) of the VIN, on the vehicle and on any transfer documents containing the VIN prepared by the manufacturer to be given to the first owner for purposes other than resale.
(d) The VINs of any two vehicles manufactured within a 30-year period shall not be identical.
(e) The VIN of each vehicle shall appear clearly and indelibly upon either a part of the vehicle, other than the glazing, that is not designed to be removed except for repair or upon a separate plate or label that is permanently affixed to such a part.
(f) The VIN for passenger cars, multipurpose passenger vehicles and trucks of 4536 kg or less GVWR shall be located inside the passenger compartment. It shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. Each character in the VIN subject to this paragraph shall have a minimum height of 4 mm.
(g) Each character in each VIN shall be one of the letters in the set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] assigned according to the method given in § 565.25.
(h) All spaces provided for in the VIN must be occupied by a character specified in paragraph (g) of this section.
(i) The type face utilized for each VIN shall consist of capital, sanserif characters.
§ 565.24 Motor vehicles imported into the United States.
(a) Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle.
(b) A passenger car certified by a Registered Importer under 49 CFR part 592 shall have a plate or label that contains the following statement, in characters with a minimum height of 4 mm, with the identification number assigned by the original manufacturer provided in the blank: SUBSTITUTE FOR U.S. VIN:___SEE PART 565. The plate or label shall conform to § 565.23 (h) and (i). The plate or label shall be permanently affixed inside the passenger compartment. The plate or label shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. It shall be located in such a manner as not to cover, obscure, or overlay any part of any identification number affixed by the original manufacturer. Passenger cars conforming to Canadian Motor Vehicle Safety Standard 115 are exempt from this paragraph.
§ 565.25 Content requirements.
The VIN shall consist of four sections of characters which shall be grouped accordingly:
(a) The first section shall consist of three characters that occupy positions one through three (1-3) in the VIN. This section shall uniquely identify the manufacturer, make and type of the motor vehicle if its manufacturer produces 500 or more motor vehicles of its type annually. If the manufacturer produces less than 500 motor vehicles of its type annually, these characters along with the third, fourth and fifth characters of the fourth section shall uniquely identify the manufacturer, make and type of the motor vehicle. These characters are assigned in accordance with § 565.26(a).
(b) The second section shall consist of five characters, which occupy positions four through eight (4-8) in the VIN. This section shall uniquely identify the attributes of the vehicle as specified in Table VIII. For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, the first and second characters shall be alphabetic and the third and fourth characters shall be numeric. The fifth character may be either alphabetic or numeric. The characters utilized and their placement within the section may be determined by the manufacturer, but the specified attributes must be decipherable with information supplied by the manufacturer in accordance with § 565.26(c). In submitting the required information to NHTSA relating to gross vehicle weight rating, the designations in Table IX shall be used. The use of these designations within the VIN itself is not required. Tables VIII and IX follow:
Table VIII – Type of Vehicle and Information Decipherable
Note to Table VIII: Engine net brake horsepower when encoded in the VIN shall differ by no more than 10 percent from the actual net brake horsepower; shall in the case of motorcycle with an actual net brake horsepower of 2 or less, be not more than 2; and shall be greater than 2 in the case of a motorcycle with an actual brake horsepower greater than 2.
Table IX – Gross Vehicle Weight Rating Classes
| Class A – Not greater than 1360 kg. (3,000 lbs.) |
| Class B – Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.) |
| Class C – Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.) |
| Class D – Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.) |
| Class E – Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.) |
| Class F – Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.) |
| Class G – Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.) |
| Class H – Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.) |
| Class 3 – Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.) |
| Class 4 – Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.) |
| Class 5 – Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.) |
| Class 6 – Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.) |
| Class 7 – Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.) |
| Class 8 – Greater than 14968 kg. (33,001 lbs. and over). |
(c) The third section shall consist of one character, which occupies position nine (9) in the VIN. This section shall be the check digit whose purpose is to provide a means for verifying the accuracy of any VIN transcription. After all other characters in VIN have been determined by the manufacturer, the check digit shall be calculated by carrying out the mathematical computation specified in paragraphs (c) (1) through (4) of this section.
(1) Assign to each number in the VIN its actual mathematical value and assign to each letter the value specified for it in Table X, as follows:
Table X – Assigned Values
| A = 1 |
| B = 2 |
| C = 3 |
| D = 4 |
| E = 5 |
| F = 6 |
| G = 7 |
| H = 8 |
| J = 1 |
| K = 2 |
| L = 3 |
| M = 4 |
| N = 5 |
| P = 7 |
| R = 9 |
| S = 2 |
| T = 3 |
| U = 4 |
| V = 5 |
| W = 6 |
| X = 7 |
| Y = 8 |
| Z = 9 |
(2) Multiply the assigned value for each character in the VIN by the position weight factor specified in Table XI, as follows:
Table XI – VIN Position and Weight Factor
| 1st | 8 |
| 2d | 7 |
| 3d | 6 |
| 4th | 5 |
| 5th | 4 |
| 6th | 3 |
| 7th | 2 |
| 8th | 10 |
| 9th | (check digit) |
| 10th | 9 |
| 11th | 8 |
| 12th | 7 |
| 13th | 6 |
| 14th | 5 |
| 15th | 4 |
| 16th | 3 |
| 17th | 2 |
(3) Add the resulting products and divide the total by 11.
(4) The numerical remainder is the check digit. If the remainder is 10 the letter “X” shall be used to designate the check digit. The correct numeric remainder, zero through nine (0-9) or the letter “X,” shall appear in VIN position nine (9).
(5) A sample check digit calculation is shown in Table XII as follows:
Table XII – Calculation of a Check Digit
| VIN Position 12 | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 |
| Sample VIN | 1 | G | 4 | A | H | 5 | 9 | H | … | 5 | G | 1 | 1 | 8 | 3 | 4 | 1 |
| Assigned Value | 1 | 7 | 4 | 1 | 8 | 5 | 9 | 8 | … | 5 | 7 | 1 | 1 | 8 | 3 | 4 | 1 |
| Weight Factor | 8 | 7 | 6 | 5 | 4 | 3 | 2 | 10 | 0 | 9 | 8 | 7 | 6 | 5 | 4 | 3 | 2 |
| Multiply Assigned value times | 8 | 49 | 24 | 5 | 32 | 15 | 18 | 80 | 0 | 45 | 56 | 7 | 6 | 40 | 12 | 12 | 2 |
Add products: 8 + 49 + 24 + 5 + 32 + 15 + 18 + 80 + 0 + 45 + 56 + 7 + 6 + 40 + 12 + 12 + 2 = 411.
Divide by 11: 411/11 = 37 4/11.
The remainder is 4; this is the check digit to be inserted in position nine (9) of the VIN.
(d) The fourth section shall consist of eight characters, which occupy positions ten through seventeen (10-17) of the VIN. The last five (5) characters of this section shall be numeric for passenger cars and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, and the last four (4) characters shall be numeric for all other vehicles.
(1) The first character of the fourth section shall represent the vehicle model year. The year shall be designated as indicated in Table XIII as follows:
Table XIII – Year Codes for VIN
| Year | Code |
|---|---|
| 1980 | A |
| 1981 | B |
| 1982 | C |
| 1983 | D |
| 1984 | E |
| 1985 | F |
| 1986 | G |
| 1987 | H |
| 1988 | J |
| 1989 | K |
| 1990 | L |
| 1991 | M |
| 1992 | N |
| 1993 | P |
| 1994 | R |
| 1995 | S |
| 1996 | T |
| 1997 | V |
| 1998 | W |
| 1999 | X |
| 2000 | Y |
| 2001 | 1 |
| 2002 | 2 |
| 2003 | 3 |
| 2004 | 4 |
| 2005 | 5 |
| 2006 | 6 |
| 2007 | 7 |
| 2008 | 8 |
| 2009 | 9 |
| 2010 | A |
| 2011 | B |
| 2012 | C |
| 2013 | D |
(2) The second character of the fourth section shall represent the plant of manufacture.
(3) The third through the eighth characters of the fourth section shall represent the number sequentially assigned by the manufacturer in the production process if the manufacturer produces 500 or more vehicles of its type annually. If the manufacturer produces less than 500 motor vehicles of its type annually, the third, fourth and fifth characters of the fourth section, combined with the three characters of the first section, shall uniquely identify the manufacturer, make and type of the motor vehicle and the sixth, seventh, and eighth characters of the fourth section shall represent the number sequentially assigned by the manufacturer in the production process.
§ 565.26 Reporting requirements.
The information collection requirements contained in this part have been approved by the Office of Management and Budget under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.) and have been assigned OMB Control Number 2127-0510.
(a) The National Highway Traffic Safety Administration (NHTSA) has contracted with the SAE International (SAE) to coordinate the assignment of manufacturer identifiers. Manufacturer identifiers will be supplied by SAE at no charge. All requests for assignments of manufacturer identifiers should be forwarded directly to: SAE International, 400 Commonwealth Drive, Warrendale, Pennsylvania 15096, Attention: WMI Coordinator. Any requests for identifiers submitted to NHTSA will be forwarded to SAE. Manufacturers may request a specific identifier or may request only assignment of an identifier(s). SAE will review requests for specific identifiers to determine that they do not conflict with an identifier already assigned or block of identifiers already reserved. SAE will confirm the assignments in writing to the requester. Once confirmed by SAE, the identifier need not be resubmitted to NHTSA.
(b) Manufacturers of vehicles subject to this part shall submit, either directly or through an agent, the unique identifier for each make and type of vehicle it manufactures at least 60 days before affixing the first VIN using the identifier. Manufacturers whose unique identifier appears in the fourth section of the VIN shall also submit the three characters of the first section that constitutes a part of their identifier.
(c) Manufacturers of vehicles subject to the requirements of this part shall submit to NHTSA the information necessary to decipher the characters contained in its VINs. Amendments to this information shall be submitted to the agency for VINs containing an amended coding. The agency will not routinely provide written approvals of these submissions, but will contact the manufacturer should any corrections to these submissions be necessary.
(d) The information required under paragraph (c) of this section shall be submitted at least 60 days prior to offering for sale the first vehicle identified by a VIN containing that information, or if information concerning vehicle characteristics sufficient to specify the VIN code is unavailable to the manufacturer by that date, then within one week after that information first becomes available. The information shall be addressed to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590, Attention: VIN Coordinator.
PART 566 – MANUFACTURER IDENTIFICATION
§ 566.1 Scope.
This part requires manufacturers of motor vehicles, and of motor vehicle equipment to which a motor vehicle safety standard applies, to submit identifying information and a description of the items they produce.
§ 566.2 Purpose.
The purpose of this part is to facilitate the regulation of manufacturers under the National Traffic and Motor Vehicle Safety Act, and to aid in establishing a code numbering system for all regulated manufacturers.
§ 566.3 Application.
This part applies to all manufacturers of motor vehicles, and to manufacturers of motor vehicle equipment, other than tires, to which a motor vehicle safety standard applies (hereafter referred to as “covered equipment”).
§ 566.4 Definitions.
All terms defined in the Act and the rules and standards issued under its authority are used as defined therein. Specifically, incomplete vehicle, intermediate manufacturer, and final-stage manufacturer are used as defined in Part 568 – Vehicles Manufactured in Two or More Stages.
§ 566.5 Requirements.
Each manufacturer of motor vehicles, and each manufacturer of covered equipment, shall furnish the information specified in paragraphs (a) through (c) of this section to: Administrator, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590.
(a) Full individual, partnership, or corporate name of the manufacturer.
(b) Residence address of the manufacturer and State of incorporation if applicable.
(c) Description of each type of motor vehicle or of covered equipment manufactured by the manufacturer, including, for motor vehicles, the approximate ranges of gross vehicle weight ratings for each type.
(1) Except as noted below, the description may be of general types, such as “passenger cars” or “brake fluid.”
(2) In the case of multipurpose passenger vehicles, trucks, and trailers, the description shall be specific enough also to indicate the types of use for which the vehicles are intended, such as “tank trailer,” “motor home,” or “cargo van.”
(3) In the case of motor vehicles produced in two or more stages, if the manufacturer is an incomplete vehicle manufacturer, the description shall so state and include a description indicating the stage of completion of the vehicle and, where known, the types of use for which the vehicle is intended.
§ 566.6 Submittal of information.
Each manufacturer required to submit information under § 566.5 shall submit the information not later than February 1, 1972. After that date, each person who begins to manufacture a type of motor vehicle or covered equipment for which he has not submitted the required information shall submit the information specified in paragraphs (a) through (c) of § 566.5 not later than 30 days after he begins manufacture. Each manufacturer who has submitted required information shall keep his entry current, accurate and complete by submitting revised information not later than 30 days after the relevant changes in his business occur.
PART 567 – CERTIFICATION
§ 567.1 Purpose.
The purpose of this part is to specify the content and location of, and other requirements for, the certification label to be affixed to motor vehicles as required by the National Traffic and Motor Vehicle Safety Act, as amended (the Vehicle Safety Act) (49 U.S.C. 30115) and the Motor Vehicle Information and Cost Savings Act, as amended (the Cost Savings Act), (49 U.S.C. 30254 and 33109), to address certification-related duties and liabilities, and to provide the consumer with information to assist him or her in determining which of the Federal Motor Vehicle Safety Standards (part 571 of this chapter), Bumper Standards (part 581 of this chapter), and Federal Theft Prevention Standards (part 541 of this chapter), are applicable to the vehicle.
§ 567.2 Application.
(a) This part applies to manufacturers including alterers of motor vehicles to which one or more standards are applicable.
(b) In the case of imported motor vehicles that do not have the label required by 49 CFR 567.4, Registered Importers of vehicles admitted into the United States under 49 U.S.C. 30141-30147 and 49 CFR part 591 must affix a label as required by 49 CFR 567.4, after the vehicle has been brought into conformity with the applicable Safety, Bumper and Theft Prevention Standards.
§ 567.3 Definitions.
All terms that are defined in the Act and the rules and standards issued under its authority are used as defined therein. The term “bumper” has the meaning assigned to it in Title I of the Cost Savings Act and the rules and standards issued under its authority.
Addendum means the document described in § 568.5 of this chapter.
Altered vehicle means a completed vehicle previously certified in accordance with § 567.4 or § 567.5 that has been altered other than by the addition, substitution, or removal of readily attachable components, such as mirrors or tire and rim assemblies, or by minor finishing operations such as painting, before the first purchase of the vehicle other than for resale, in such a manner as may affect the conformity of the vehicle with one or more Federal Motor Vehicle Safety Standard(s) or the validity of the vehicle’s stated weight ratings or vehicle type classification.
Alterer means a person who alters by addition, substitution, or removal of components (other than readily attachable components) a certified vehicle before the first purchase of the vehicle other than for resale.
Chassis-cab means an incomplete vehicle, with a completed occupant compartment, that requires only the addition of cargo-carrying, work-performing, or load-bearing components to perform its intended functions.
Completed vehicle means a vehicle that requires no further manufacturing operations to perform its intended function.
Final-stage manufacturer means a person who performs such manufacturing operations on an incomplete vehicle that it becomes a completed vehicle.
Incomplete trailer means a vehicle that is capable of being drawn and that consists, at a minimum, of a chassis (including the frame) structure and suspension system but needs further manufacturing operations performed on it to become a completed vehicle.
Incomplete vehicle means
(1) An assemblage consisting, at a minimum, of chassis (including the frame) structure, power train, steering system, suspension system, and braking system, in the state that those systems are to be part of the completed vehicle, but requires further manufacturing operations to become a completed vehicle; or
(2) An incomplete trailer.
Incomplete vehicle document or IVD means the document described in 49 CFR 568.4(a) and (b).
Incomplete vehicle manufacturer means a person who manufactures an incomplete vehicle by assembling components none of which, taken separately, constitute an incomplete vehicle.
Intermediate manufacturer means a person, other than the incomplete vehicle manufacturer or the final-stage manufacturer, who performs manufacturing operations on a vehicle manufactured in two or more stages.
§ 567.4 Requirements for manufacturers of motor vehicles.
(a) Each manufacturer of motor vehicles (except vehicles manufactured in two or more stages) shall affix to each vehicle a label, of the type and in the manner described below, containing the statements specified in paragraph (g) of this section.
(b) The label shall be riveted or permanently affixed in such a manner that it cannot be removed without destroying or defacing it.
(c) Except for trailers and motorcycles, the label shall be affixed to either the hinge pillar, door-latch post, or the door edge that meets the door-latch post, next to the driver’s seating position, or if none of these locations is practicable, to the left side of the instrument panel. If that location is also not practicable, the label shall be affixed to the inward-facing surface of the door next to the driver’s seating position. If none of the preceding locations is practicable, notification of that fact, together with drawings or photographs showing a suggested alternate location in the same general area, shall be submitted for approval to the Administrator, National Highway Traffic Safety Administration, Washington, D.C. 20590. The location of the label shall be such that it is easily readable without moving any part of the vehicle except an outer door.
(d) The label for trailers shall be affixed to a location on the forward half of the left side, such that it is easily readable from outside the vehicle without moving any part of the vehicle.
(e) The label for motorcycles shall be affixed to a permanent member of the vehicle as close as is practicable to the intersection of the steering post with the handle bars, in a location such that it is easily readable without moving any part of the vehicle except the steering system.
(f) The lettering on the label shall be of a color that contrasts with the background of the label.
(g) The label shall contain the following statements, in the English language, lettered in block capitals and numerals not less than three thirty-seconds of an inch high, in the order shown:
(1) Name of manufacturer: Except as provided in paragraphs (g)(1)(i), (ii) and (iii) of this section, the full corporate or individual name of the actual assembler of the vehicle shall be spelled out, except that such abbreviations as “Co.” or “Inc.” and their foreign equivalents, and the first and middle initials of individuals, may be used. The name of the manufacturer shall be preceded by the words “Manufactured By” or “Mfd By.” In the case of imported vehicles to which the label required by this section is affixed by the Registered Importer, the name of the Registered Importer shall also be placed on the label in the manner described in this paragraph, directly below the name of the actual assembler.
(i) If a vehicle is assembled by a corporation that is controlled by another corporation that assumes responsibility for conformity with the standards, the name of the controlling corporation may be used.
(ii) If a vehicle is fabricated and delivered in complete but unassembled form, such that it is designed to be assembled without special machinery or tools, the fabricator of the vehicle may affix the label and name itself as the manufacturer for the purposes of this section.
(iii) If a trailer is sold by a person who is not its manufacturer, but who is engaged in the manufacture of trailers and assumes legal responsibility for all duties and liabilities imposed by the Act with respect to that trailer, the name of that person may appear on the label as the manufacturer. In such a case the name shall be preceded by the words “Responsible Manufacturer” or “Resp Mfr.”
(2) Month and year of manufacture: This shall be the time during which work was completed at the place of main assembly of the vehicle. It may be spelled out, as “June 2000”, or expressed in numerals, as “6/00”.
(3) “Gross Vehicle Weight Rating” or “GVWR” followed by the appropriate value in pounds, which shall not be less than the sum of the unloaded vehicle weight, rated cargo load, and 150 pounds times the number of the vehicle’s designated seating positions. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.
(4) “Gross Axle Weight Rating” or “GAWR,” followed by the appropriate value in pounds, for each axle, identified in order from front to rear (e.g., front, first intermediate, second intermediate, rear). The ratings for any consecutive axles having identical gross axle weight ratings when equipped with tires having the same tire size designation may, at the option of the manufacturer, be stated as a single value, with the label indicating to which axles the ratings apply.
(a) All axles – 2,400 kg (5,290 lb) with LT245/75R16(E) tires.
(b) Front – 5,215 kg (11,500 lb) with 295/75R22.5(G) tires.
First intermediate to rear – 9,070 kg (20,000 lb) with 295/75R22.5(G) tires.
(5) One of the following statements, as appropriate:
(i) For passenger cars, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety, bumper, and theft prevention standards in effect on the date of manufacture shown above.” The expression “U.S.” or “U.S.A.” may be inserted before the word “Federal”.
(ii) In the case of multipurpose passenger vehicles (MPVs) and trucks with a GVWR of 6,000 pounds or less, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety and theft prevention standards in effect on the date of manufacture shown above.” The expression “U.S.” or “U.S.A.” may be inserted before the (word “Federal”).
(iii) In the case of multipurpose passenger vehicles (MPVs) and trucks with a GVWR of over 6,000 pounds, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety standards in effect on the date of manufacture shown above.” The expression “U.S.” or “U.S.A.” may be inserted before the word “Federal”.
(iv) For all other vehicles, the statement: “This vehicle conforms to all applicable Federal motor vehicle safety standards in effect on the date of manufacture shown above.” The expression “U.S.” or “U.S.A.” may be inserted before the word “Federal”.
(6) Vehicle identification number.
(7) The type classification of the vehicle as defined in § 571.3 of this chapter (e.g., truck, MPV, bus, trailer).
(h) Multiple GVWR-GAWR ratings. (1) (For passenger cars only) In cases in which different tire sizes are offered as a customer option, a manufacturer may at its option list more than one set of values for GVWR and GAWR, to meet the requirements of paragraphs (g) (3) and (4) of this section. If the label shows more than one set of weight rating values, each value shall be followed by the phrase “with _tires,” inserting the proper tire size designations. A manufacturer may, at its option, list one or more tire sizes where only one set of weight ratings is provided.
GVWR: 4,400 lb with P195/65R15 tires; 4,800 lb with P205/75R15 tires.
GAWR: Front – 2,000 lb with P195/65R15 tires at 24 psi; 2,200 lb with P205/75R15 tires at 24 psi. Rear – 2,400 lb with P195/65R15 tires at 28 psi; 2,600 lb with P205/75R15 tires at 28 psi.
(2) (For multipurpose passenger vehicles, trucks, buses, trailers, and motorcycles) The manufacturer may, at its option, list more than one GVWR-GAWR-tire-rim combination on the label, as long as the listing contains the tire-rim combination installed as original equipment on the vehicle by the manufacturer and conforms in content and format to the requirements for tire-rim-inflation information set forth in Standard Nos. 110, 120, 129 and 139 (§§ 571.110, 571.120, 571.129 and 571.139 of this chapter).
(3) At the option of the manufacturer, additional GVWR-GAWR ratings for operation of the vehicle at reduced speeds may be listed at the bottom of the certification label following any information that is required to be listed.
(i) [Reserved]
(j) A manufacturer may, at its option, provide information concerning which tables in the document that accompanies the vehicle pursuant to § 575.6(a) of this chapter apply to the vehicle. This information may not precede or interrupt the information required by paragraph (g) of this section.
(k) In the case of passenger cars imported into the United States under 49 CFR 591.5(f) to which the label required by this section has not been affixed by the original assembler of the passenger car, a label meeting the requirements of this paragraph shall be affixed before the vehicle is imported into the United States, if the car is from a line listed in appendix A of 49 CFR part 541. This label shall be in addition to, and not in place of, the label required by paragraphs (a) through (j), inclusive, of this section.
(1) The label shall be riveted or permanently affixed in such a manner that it cannot be removed without destroying or defacing it.
(2) The label shall be affixed to either the hinge pillar, door-latch post, or the door edge that meets the door-latch post, next to the driver’s seating position, or, if none of these locations is practicable, to the left side of the instrument panel. If that location is also not practicable, the label shall be affixed to the inward-facing surface of the door next to the driver’s seating position. The location of the label shall be such that it is easily readable without moving any part of the vehicle except an outer door.
(3) The lettering on the label shall be of a color that contrasts with the background of the label.
(4) The label shall contain the following statements, in the English language, lettered in block capitals and numerals not less than three thirty-seconds of an inch high, in the order shown:
(i) Model year (if applicable) or year of manufacture and line of the vehicle, as reported by the manufacturer that produced or assembled the vehicle. “Model year” is used as defined in § 593.4 of this chapter. “Line” is used as defined in § 541.4 of this chapter.
(ii) Name of the importer. The full corporate or individual name of the importer of the vehicle shall be spelled out, except that such abbreviations as “Co.” or “Inc.” and their foreign equivalents and the middle initial of individuals, may be used. The name of the importer shall be preceded by the words “Imported By”.
(iii) The statement: “This vehicle conforms to the applicable Federal motor vehicle theft prevention standard in effect on the date of manufacture.”
(l)(1) In the case of a passenger car imported into the United States under 49 CFR 591.5(f) which does not have a vehicle identification number that complies with 49 CFR 565.4 (b), (c), and (g) at the time of importation, the Registered Importer shall permanently affix a label to the vehicle in such a manner that, unless the label is riveted, it cannot be removed without being destroyed or defaced. The label shall be in addition to the label required by paragraph (a) of this section, and shall be affixed to the vehicle in a location specified in paragraph (c) of this section.
(2) The label shall contain the following statement, in the English language, lettered in block capitals and numerals not less than 4 mm high, with the location on the vehicle of the original manufacturer’s identification number provided in the blank: ORIGINAL MANUFACTURER’S IDENTIFICATION NUMBER SUBSTITUTING FOR U.S. VIN IS LOCATED ___.
§ 567.5 Requirements for manufacturers of vehicles manufactured in two or more stages.
(a) Location of information labels for incomplete vehicles. Each incomplete vehicle manufacturer or intermediate vehicle manufacturer shall permanently affix a label to each incomplete vehicle, in the location and form specified in § 567.4, and in a manner that does not obscure other labels. If the locations specified in 49 CFR 567.4(c) are not practicable, the label may be provided as part of the IVD package so that it can be permanently affixed in the acceptable locations provided for in that subsection when the vehicle is sufficiently manufactured to allow placement in accordance therewith.
(b) Incomplete vehicle manufacturers. (1) Except as provided in paragraph (f) of this section and notwithstanding the certification of a final-stage manufacturer under 49 CFR 567.5(d)(2)(v), each manufacturer of an incomplete vehicle assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act with respect to:
(i) Components and systems it installs or supplies for installation on the incomplete vehicle, unless changed by a subsequent manufacturer;
(ii) The vehicle as further manufactured or completed by an intermediate or final-stage manufacturer, to the extent that the vehicle is completed in accordance with the IVD; and
(iii) The accuracy of the information contained in the IVD.
(2) Except as provided in paragraph (f) of this section, each incomplete vehicle manufacturer shall affix an information label to each incomplete vehicle that contains the following statements:
(i) Name of incomplete vehicle manufacturer preceded by the words “incomplete vehicle MANUFACTURED BY” or “incomplete vehicle MFD BY”.
(ii) Month and year of manufacture of the incomplete vehicle. This may be spelled out, as in “JUNE 2000”, or expressed in numerals, as in “6/00”. No preface is required.
(iii) “Gross Vehicle Weight Rating” or “GVWR” followed by the appropriate value in kilograms and (pounds), which shall not be less than the sum of the unloaded vehicle weight, rated cargo load, and 150 pounds times the number of the vehicle’s designated seating positions, if known. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.
(iv) “Gross Axle Weight Rating” or “GAWR,” followed by the appropriate value in kilograms and (pounds) for each axle, identified in order from front to rear (e.g., front, first intermediate, second intermediate, rear). The ratings for any consecutive axles having identical gross axle weight ratings when equipped with tires having the same tire size designation may be stated as a single value, with the label indicating to which axles the ratings apply.
(v) Vehicle Identification Number.
(c) Intermediate manufacturers. (1) Except as provided in paragraphs (f) and (g) of this section and notwithstanding the certification of a final-stage manufacturer under § 567.5(d)(2)(v), each intermediate manufacturer of a vehicle manufactured in two or more stages assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act with respect to:
(i) Components and systems it installs or supplies for installation on the incomplete vehicle, unless changed by a subsequent manufacturer;
(ii) The vehicle as further manufactured or completed by an intermediate or final-stage manufacturer, to the extent that the vehicle is completed in accordance with the addendum to the IVD furnished by the intermediate vehicle manufacturer;
(iii) Any work done by the intermediate manufacturer on the incomplete vehicle that was not performed in accordance with the IVD or an addendum of a prior intermediate manufacturer; and
(iv) The accuracy of the information in any addendum to the IVD furnished by the intermediate vehicle manufacturer.
(2) Except as provided in paragraphs (f) and (g) of this section, each intermediate manufacturer of an incomplete vehicle shall affix an information label, in a manner that does not obscure the labels applied by previous stage manufacturers, to each incomplete vehicle, which contains the following statements:
(i) Name of intermediate manufacturer, preceded by the words “INTERMEDIATE MANUFACTURE BY” or “INTERMEDIATE MFR”.
(ii) Month and year in which the intermediate manufacturer performed its last manufacturing operation on the incomplete vehicle. This may be spelled out, as “JUNE 2000”, or expressed as numerals, as “6/00”. No preface is required.
(iii) “Gross Vehicle Weight Rating” or “GVWR”, followed by the appropriate value in kilograms and (pounds), if different from that identified by the incomplete vehicle manufacturer.
(iv) “Gross Axle Weight Rating” or “GAWR” followed by the appropriate value in kilograms and (pounds), if different from that identified by the incomplete vehicle manufacturer.
(v) Vehicle identification number.
(d) Final-stage manufacturers. (1) Except as provided in paragraphs (f) and (g) of this section, each final-stage manufacturer of a vehicle manufactured in two or more stages assumes legal responsibility for all certification-related duties and liabilities under the Vehicle Safety Act, except to the extent that the incomplete vehicle manufacturer or an intermediate manufacturer has provided equipment subject to a safety standard or expressly assumed responsibility for standards related to systems and components it supplied and except to the extent that the final-stage manufacturer completed the vehicle in accordance with the prior manufacturers’ IVD or any addendum furnished pursuant to 49 CFR part 568, as to the Federal motor vehicle safety standards fully addressed therein.
(2) Except as provided in paragraphs (f) and (g) of this section, each final-stage manufacturer shall affix a certification label to each vehicle, in a manner that does not obscure the labels applied by previous stage manufacturers, and that contains the following statements:
(i) Name of final-stage manufacturer, preceded by the words “MANUFACTURED BY” or “MFD BY”.
(ii) Month and year in which final-stage manufacture is completed. This may be spelled out, as in “JUNE 2000”, or expressed in numerals, as in “6/00”. No preface is required.
(iii) “Gross Vehicle Weight Rating” or “GVWR” followed by the appropriate value in kilograms and (pounds), which shall not be less than the sum of the unloaded vehicle weight, rated cargo load, and 150 pounds times the number of the vehicle’s designated seating positions. However, for school buses the minimum occupant weight allowance shall be 120 pounds per passenger and 150 pounds for the driver.
(iv) “GROSS AXLE WEIGHT RATING” or “GAWR”, followed by the appropriate value in kilograms and (pounds) for each axle, identified in order from front to rear (e.g., front, first intermediate, second intermediate, rear). The ratings for any consecutive axles having identical gross axle weight ratings when equipped with tires having the same tire size designation may be stated as a single value, with the label indicating to which axles the ratings apply.
(b) Front – 5,215 kg (11,500 lb) with 295/75R22.5(G) tires;
(c) First intermediate to rear – 9,070 kg (20,000 lb) with 295/75R22.5(G) tires.
(v)(A) One of the following alternative certification statements:
(1) “This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and Bumper and Theft Prevention Standards, if applicable] in effect in (month, year).”
(2) “This vehicle has been completed in accordance with the prior manufacturers’ IVD, where applicable. This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and Bumper and Theft Prevention Standards, if applicable] in effect in (month, year).”
(3) “This vehicle has been completed in accordance with the prior manufacturers’ IVD, where applicable, except for [insert FMVSS(s)]. This vehicle conforms to all applicable Federal Motor Vehicle Safety Standards, [and Bumper and Theft Prevention Standards if applicable] in effect in (month, year).”
(B) The date shown in the statement required in paragraph (d)(2)(v)(A) of this section shall not be earlier than the manufacturing date provided by the incomplete or intermediate stage manufacturer and not later than the date of completion of the final-stage manufacture.
(C) Notwithstanding the certification statements in paragraph (d)(2)(v)(A) of this section, the legal responsibilities and liabilities for certification under the Vehicle Safety Act shall be allocated among the vehicle manufacturers as provided in 567.5(b)(1), (c)(1), and (d)(1), and 49 CFR 568.4(a)(9).
(vi) Vehicle identification number.
(vii) The type classification of the vehicle as defined in 49 CFR 571.3 (e.g., truck, MPV, bus, trailer).
(e) More than one set of figures for GVWR and GAWR, and one or more tire sizes, may be listed in satisfaction of the requirements of paragraphs (d)(2)(iii) and (iv) of this section, as provided in § 567.4(h).
(f) If an incomplete vehicle manufacturer assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety Act, with respect to the vehicle as finally manufactured, the incomplete vehicle manufacturer shall ensure that a label is affixed to the final vehicle in conformity with paragraph (d) of this section, except that the name of the incomplete vehicle manufacturer shall appear instead of the name of the final-stage manufacturer after the words “MANUFACTURED BY” or “MFD BY” required by paragraph (d)(2)(i) of this section.
(g) If an intermediate manufacturer of a vehicle assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety Act, with respect to the vehicle as finally manufactured, the intermediate manufacturer shall ensure that a label is affixed to the final vehicle in conformity with paragraph (d) of this section, except that the name of the intermediate manufacturer shall appear instead of the name of the final-stage manufacturer after the words “MANUFACTURED BY” or “MFD BY” required by paragraph (f) of this section.
§ 567.6 Requirements for persons who do not alter certified vehicles or do so with readily attachable components.
A person who does not alter a motor vehicle or who alters such a vehicle only by the addition, substitution, or removal of readily attachable components such as mirrors or tires and rim assemblies, or minor finishing operations such as painting, in such a manner that the vehicle’s stated weight ratings are still valid, need not affix a label to the vehicle, but shall allow a manufacturer’s label that conforms to the requirements of this part to remain affixed to the vehicle. If such a person is a distributor of the motor vehicle, allowing the manufacturer’s label to remain affixed to the vehicle shall satisfy the distributor’s certification requirements under the Vehicle Safety Act.
§ 567.7 Requirements for persons who alter certified vehicles.
(a) With respect to the vehicle alterations it performs, an alterer:
(1) Has a duty to determine continued conformity of the altered vehicle with applicable Federal motor vehicle safety, Bumper, and Theft Prevention standards, and
(2) Assumes legal responsibility for all duties and liabilities for certification under the Vehicle Safety Act.
(b) The vehicle manufacturer’s certification label and any information labels shall remain affixed to the vehicle and the alterer shall affix to the vehicle an additional label in the manner and location specified in § 567.4, in a manner that does not obscure any previously applied labels, and containing the following information:
(1) The statement: “This vehicle was altered by (individual or corporate name) in (month and year in which alterations were completed) and as altered it conforms to all applicable Federal Motor Vehicle Safety, Bumper and Theft Prevention Standards affected by the alteration and in effect in (month, year).” The second date shall be no earlier than the date of manufacture of the certified vehicle (as specified on the certification label), and no later than the date alterations were completed.
(2) If the gross vehicle weight rating or any of the gross axle weight ratings of the vehicle as altered are different from those shown on the original certification label, the modified values shall be provided in the form specified in § 567.4(g)(3) and (4).
(3) If the vehicle as altered has a different type classification from that shown on the original certification label, the type as modified shall be provided.
PART 568 – VEHICLES MANUFACTURED IN TWO OR MORE STAGES – ALL INCOMPLETE, INTERMEDIATE AND FINAL-STAGE MANUFACTURERS OF VEHICLES MANUFACTURED IN TWO OR MORE STAGES
§ 568.1 Purpose and scope.
The purpose of this part is to prescribe the method by which manufacturers of vehicles manufactured in two or more stages shall ensure conformity of those vehicles with the Federal motor vehicle safety standards (“standards”) and other regulations issued under the National Traffic and Motor Vehicle Safety Act, as amended (49 U.S.C. § 30115) and the Motor Vehicle Information and Cost Savings Act, as amended (49 U.S.C. 32504 and 33108(c)).
§ 568.2 Application.
This part applies to incomplete vehicle manufacturers, intermediate manufacturers, and final-stage manufacturers of vehicles manufactured in two or more stages.
§ 568.3 Definitions.
All terms that are defined in the Act and the rules and standards issued under its authority are used as defined therein. The term “bumper” has the meaning assigned to it in Title I of the Cost Savings Act and the rules and standards issued under its authority. The definitions contained in 49 CFR part 567 apply to this part.
§ 568.4 Requirements for incomplete vehicle manufacturers.
(a) The incomplete vehicle manufacturer shall furnish for each incomplete vehicle, at or before the time of delivery, an incomplete vehicle document (“IVD”) that contains the following statements, in the order shown, and all other information required by this part to be included therein:
(1) Name and mailing address of the incomplete vehicle manufacturer.
(2) Month and year during which the incomplete vehicle manufacturer performed its last manufacturing operation on the incomplete vehicle.
(3) Identification of the incomplete vehicle(s) to which the document applies. The identification shall be by vehicle identification number (VIN) or groups of VINs to permit a person to ascertain positively that a document applies to a particular incomplete vehicle after the document has been removed from the vehicle.
(4) Gross vehicle weight rating (GVWR) of the completed vehicle for which the incomplete vehicle is intended.
(5) Gross axle weight rating (GAWR) for each axle of the completed vehicle for which the incomplete vehicle is intended, listed and identified in order from front to rear (e.g., front, first intermediate, second intermediate, rear). The ratings for any consecutive axles having identical gross axle weight ratings when equipped with tires having the same tire size designation may, at the option of the incomplete vehicle manufacturer, be stated as a single value, with the label indicating to which axles the ratings apply.
(b) Front – 5,215 kg (11,500 lb) with 295/75R22.5(G) tires.
(c) First intermediate to rear – 9,070 kg (20,000 lb) with 295/75R22.5(G) tires.
(6) Listing of the vehicle types as defined in 49 CFR 571.3 (e.g., truck, MPV, bus, trailer) into which the incomplete vehicle may appropriately be manufactured.
(7) Listing, by number, of each standard, in effect at the time of manufacture of the incomplete vehicle, that applies to any of the vehicle types listed in paragraph (a)(6) of this section, followed in each case by one of the following three types of statement, as applicable:
(i) Type 1 – A statement that the vehicle when completed will conform to the standard if no alterations are made in identified components of the incomplete vehicle.
(ii) Type 2 – A statement of specific conditions of final manufacture under which the manufacturer specifies that the completed vehicle will conform to the standard.
(iii) Type 3 – A statement that conformity with the standard cannot be determined based upon the components supplied on the incomplete vehicle, and that the incomplete vehicle manufacturer makes no representation as to conformity with the standard.
(8) Each document shall contain a table of contents or chart summarizing all the standards applicable to the vehicle pursuant to 49 CFR 568.4(a)(7).
(9) A certification that the statements contained in the incomplete vehicle document are accurate as of the date of manufacture of the incomplete vehicle and can be used and relied on by any intermediate and/or final-stage manufacturer as a basis for certification.
(b) To the extent the IVD expressly incorporates by reference body builder or other design and engineering guidance (Reference Material), the incomplete vehicle manufacturer shall make such Reference Material readily available to subsequent manufacturers. Reference Materials incorporated by reference in the IVD shall be deemed to be part of the IVD.
(c) The IVD shall be attached to the incomplete vehicle in such a manner that it will not be inadvertently detached, or alternatively, it may be sent directly to a final-stage manufacturer, intermediate manufacturer or purchaser for purposes other than resale to whom the incomplete vehicle is delivered. The Reference Material in paragraph (b) of this section need not be attached to each vehicle.
§ 568.5 Requirements for intermediate manufacturers.
Each intermediate manufacturer of a vehicle manufactured in two or more stages shall furnish to the final-stage manufacturer the document required by 49 CFR 568.4 in the manner specified in that section. If any of the changes in the vehicle made by the intermediate manufacturer affects the validity of the statements in the IVD, that manufacturer shall furnish an addendum to the IVD that contains its name and mailing address and an indication of all changes that should be made in the IVD to reflect changes that it made to the vehicle. The addendum shall contain a certification by the intermediate manufacturer that the statements contained in the addendum are accurate as of the date of manufacture by the intermediate manufacturer and can be used and relied on by any subsequent intermediate manufacturer(s) and the final-stage manufacturer as a basis for certification.
§ 568.6 Requirements for final-stage manufacturers.
Each final-stage manufacturer shall complete the vehicle in such a manner that it conforms to the applicable standards in effect on the date selected by the final-stage manufacturer, including the date of manufacture of the incomplete vehicle, the date of final completion, or a date between those two dates. This requirement shall, however, be superseded by any conflicting provisions of a standard that applies by its terms to vehicles manufactured in two or more stages.
§ 568.7 Requirements for manufacturers who assume legal responsibility for a vehicle.
(a) If an incomplete vehicle manufacturer assumes legal responsibility for all duties and liabilities imposed on manufacturers by the National Traffic and Motor Vehicle Safety Act, as amended (49 U.S.C. chapter 301) (hereafter referred to as the Act), with respect to a vehicle as finally manufactured, the requirements of §§ 568.4, 568.5 and 568.6 do not apply to that vehicle. In such a case, the incomplete vehicle manufacturer shall ensure that a label is affixed to the final vehicle in conformity with 49 CFR 567.5(f).
(b) If an intermediate manufacturer of a vehicle assumes legal responsibility for all duties and liabilities imposed on manufacturers by the Vehicle Safety Act, with respect to the vehicle as finally manufactured, §§ 568.5 and 568.6 do not apply to that vehicle. In such a case, the intermediate manufacturer shall ensure that a label is affixed to the final vehicle in conformity with 49 CFR 567.5(g). The assumption of responsibility by an intermediate manufacturer does not, however, change the requirements for incomplete vehicle manufacturers in § 568.4.
PART 569 – REGROOVED TIRES
§ 569.1 Purpose and scope.
This part sets forth the conditions under which regrooved and regroovable tires manufactured or regrooved after the effective date of the regulation may be sold, offered for sale, introduced for sale or delivered for introduction into interstate commerce.
§ 569.3 Definitions.
(a) Statutory definitions. All terms used in this part that are defined in section 102 of the National Traffic and Motor Vehicle Safety Act of 1966 (15 U.S.C. 1391) are used as defined in the Act.
(b) Motor Vehicle Safety Standard definitions. Unless otherwise indicated, all terms used in this part that are defined in the Motor Vehicle Safety Standards, part 571, of this subchapter (hereinafter “The Standards”), are used as defined therein without regard to the applicability of a standard in which a definition is contained.
(c) Regroovable tire means a tire, either original tread or retread, designed and constructed with sufficient tread material to permit renewal of the tread pattern or the generation of a new tread pattern in a manner which conforms to this part.
(d) Regrooved tire means a tire, either original tread or retread, on which the tread pattern has been renewed or a new tread has been produced by cutting into the tread of a worn tire to a depth equal to or deeper than the molded original groove depth.
§ 569.5 Applicability.
(a) General. Except as provided in paragraph (b) of this section, this part applies to all motor vehicle regrooved or regroovable tires manufactured or regrooved after the effective date of the regulation.
(b) Export. This part does not apply to regrooved or regroovable tires intended solely for export and so labeled or tagged.
§ 569.7 Requirements.
(a) Regrooved tires. (1) Except as permitted by paragraph (a)(2) of this section, no person shall sell, offer for sale, or introduce or deliver for introduction into interstate commerce regrooved tires produced by removing rubber from the surface of a worn tire tread to generate a new tread pattern. Any person who regrooves tires and leases them to owners or operators of motor vehicles and any person who regrooves his own tires for use on motor vehicles is considered to be a person delivering for introduction into interstate commerce within the meaning of this part.
(2) A regrooved tire may be sold, offered for sale, or introduced for sale or delivered for introduction into interstate commerce only if it conforms to each of the following requirements:
(i) The tire being regrooved shall be a regroovable tire;
(ii) After regrooving, cord material below the grooves shall have a protective covering of tread material at least
(iii) After regrooving, the new grooves generated into the tread material and any residual original molded tread groove which is at or below the new regrooved depth shall have a minimum of 90 linear inches of tread edges per linear foot of the circumference;
(iv) After regrooving, the new groove width generated into the tread material shall be a minimum of
(v) After regrooving, all new grooves cut into the tread shall provide unobstructed fluid escape passages; and
(vi) After regrooving, the tire shall not contain any of the following defects, as determined by a visual examination of the tire either mounted on the rim, or dismounted, whichever is applicable:
(A) Cracking which extends to the fabric,
(B) Groove cracks or wear extending to the fabric, or
(C) Evidence of ply, tread, or sidewall separation;
(vii) If the tire is siped by cutting the tread surface without removing rubber, the tire cord material shall not be damaged as a result of the siping process, and no sipe shall be deeper than the original or retread groove depth.
(b) Siped regroovable tires. No person shall sell, offer for sale, or introduce for sale or deliver for introduction into interstate commerce a regroovable tire that has been siped by cutting the tread surface without removing rubber if the tire cord material is damaged as a result of the siping process, or if the tire is siped deeper than the original or retread groove depth.
§ 569.9 Labeling of regroovable tires.
(a) Regroovable tires. After August 30, 1969, each tire designed and constructed for regrooving shall be labeled on both sidewalls with the word “Regroovable” molded on or into the tire in raised or recessed letters 0.025 to 0.040 inch. The word “Regroovable” shall be in letters 0.38 to 0.50 inch in height and not less than 4 inches and not more than 6 inches in length. The lettering shall be located in the sidewall of the tire between the maximum section width and the bead in an area which will not be obstructed by the rim flange.
PART 570 – VEHICLE IN USE INSPECTION STANDARDS
Subpart A – Vehicles With GVWR of 10,000 Pounds or Less
§ 570.1 Scope.
This part specifies standards and procedures for inspection of hydraulic service brake systems, steering and suspension systems, and tire and wheel assemblies of motor vehicles in use.
§ 570.2 Purpose.
The purpose of this part is to establish criteria for the inspection of motor vehicles by State inspection systems, in order to reduce death and injuries attributable to failure or inadequate performance of motor vehicle systems.
§ 570.3 Applicability.
This part does not in itself impose requirements on any person. It is intended to be implemented by States through the highway safety program standards issued under the Highway Safety Act (23 U.S.C. 402) with respect to inspection of motor vehicles with gross vehicle weight rating of 10,000 pounds or less, except motorcycles or trailers.
§ 570.4 Definitions.
Unless otherwise indicated, all terms used in this part that are defined in 49 CFR part 571, Motor Vehicle Safety Standards, are used as defined in that part.
§ 570.5 Service brake system.
Unless otherwise noted, the force to be applied during inspection procedures to power-assisted and full-power brake systems is 25 lb, and to all other systems, 50 lb.
(a) Failure indicator. The brake system failure indicator lamp, if part of a vehicle’s original equipment, shall be operable. (This lamp is required by Federal Motor Vehicle Safety Standard No. 105, 49 CFR 571.105, on every new passenger car manufactured on or after January 1, 1968, and on other types of motor vehicles manufactured on or after September 1, 1975.)
(1) Inspection procedure. Apply the parking brake and turn the ignition to start, or verify lamp operation by other means indicated by the vehicle manufacturer that the brake system failure indicator lamp is operable.
(b) Brake system integrity. The brake system shall demonstrate integrity as indicated by no perceptible decrease in pedal height under a 125 pound force applied to the brake pedal or by no illumination of the brake system failure indicator lamp. The brake system shall withstand the application of force to the pedal without failure of any line or other part.
(1) Inspection procedures. With the engine running on vehicles equipped with power brake systems, and the ignition turned to “on” in other vehicles, apply a force of 125 pounds to the brake pedal and hold for 10 seconds. Note any decrease in pedal height, and whether the lamp illuminates.
(c) Brake pedal reserve. When the brake pedal is fully depressed, the distance that the pedal has traveled from its free position shall be not greater than 80 percent of the total distance from its free position to the floorboard or other object that restricts pedal travel.
(1) Inspection procedure. Measure the distance (A) from the free pedal position to the floorboard or other object that restricts brake pedal travel. Depress the brake pedal, and with the force applied measure the distance (B) from the depressed pedal position to the floorboard or other object that restricts pedal travel.
(d) Service brake performance. Compliance with one of the following performance criteria will satisfy the requirements of this section. Verify that tire inflation pressure is within the limits recommended by vehicle manufacturer before conducting either of the following tests.
(1) Roller-type or drive-on platform tests. The force applied by the brake on a front wheel or a rear wheel shall not differ by more than 20 percent from the force applied by the brake on the other front wheel or the other rear wheel respectively.
(i) Inspection procedure. The vehicle shall be tested on a drive-on platform, or a roller-type brake analyzer with the capability of measuring equalization. The test shall be conducted in accordance with the test equipment manufacturer’s specifications. Note the left to right brake force variance.
(2) Road test. The service brake system shall stop the vehicle in a distance of 25 feet or less from a speed of 20 miles per hour without leaving a 12-foot-wide lane.
(i) Inspection procedure. The road test shall be conducted on a level (not to exceed plus or minus one percent grade) dry, smooth, hard-surfaced road that is free from loose material, oil, or grease. The service brakes shall be applied at a vehicle speed of 20 miles per hour and the vehicle shall be brought to a stop as specified. Measure the distance required to stop.
(e) Brake hoses and assemblies. Brake hoses shall not be mounted so as to contact the vehicle body or chassis. Hoses shall not be cracked, chafed, or flattened. Protective devices, such as “rub rings,” shall not be considered part of the hose or tubing.
(1) Inspection procedure. Examine visually, inspecting front brake hoses through all wheel positions from full left to full right for conditions indicated.
To inspect for paragraphs (f), (g), and (h) of this section, remove at a minimum one front wheel and one rear wheel.
(f) Disc and drum condition. If the drum is embossed with a maximum safe diameter dimension or the rotor is embossed with a minimum safety thickness dimension, the drum or disc shall be within the appropriate specifications. These dimensions will be found on motor vehicles manufactured since January 1, 1971, and may be found on vehicles manufactured for several years prior to that time. If the drums and discs are not embossed, the drums and discs shall be within the manufacturer’s specifications.
(1) Inspection procedure. Examine visually for condition indicated, measuring as necessary.
(g) Friction materials. On each brake the thickness of the lining or pad shall not be less than one thirty-second of an inch over the rivet heads, or the brake shoe on bonded linings or pads. Brake linings and pads shall not have cracks or breaks that extend to rivet holes except minor cracks that do not impair attachment. Drum brake linings shall be securely attached to brake shoes. Disc brake pads shall be securely attached to shoe plates.
(1) Inspection procedure. Examine visually for conditions indicated, and measure height of rubbing surface of lining over rivet heads. Measure bonded lining thickness over shoe surface at the thinnest point on the lining or pad.
(h) Structural and mechanical parts. Backing plates and caliper assemblies shall not be deformed or cracked. System parts shall not be broken, misaligned, missing, binding, or show evidence of severe wear. Automatic adjusters and other parts shall be assembled and installed correctly.
(1) Inspection procedure. Examine visually for conditions indicated.
§ 570.6 Brake power unit.
(a) Vacuum hoses shall not be collapsed, abraded, broken, improperly mounted, or audibly leaking. With residual vacuum exhausted and a constant 25 pound force on the brake pedal, the pedal shall fall slightly when the engine is started, demonstrating integrity of the power assist system. This test is not applicable to vehicles equipped with full power brake system as the service brake performance test shall be considered adequate test of system performance.
(1) Inspection procedure. With engine running, examine hoses visually and aurally for conditions indicated. Stop engine and apply service brakes several times to destroy vacuum in system. Depress brake pedal with 25 pounds of force and while maintaining that force, start the engine. If brake pedal does not fall slightly under force when the engine starts, there is a malfunction in the power assist system.
§ 570.7 Steering systems.
(a) System play. Lash or free play in the steering system shall not exceed values shown in Table 1.
(1) Inspection procedure. With the engine on and the wheels in the straight ahead position, turn the steering wheel in one direction until there is a perceptible movement of a front wheel. If a point on the steering wheel rim moves more than the value shown in Table 1 before perceptible return movement of the wheel under observation, there is excessive lash or free play in the steering system.
Table 1 – Steering System Free Play Values
| Steering wheel diameter (inches) | Lash (inches) |
|---|---|
| 16 or less | 2 |
| 18 | 2 |
| 20 | 2 |
| 22 | 2 |
(b) Linkage play. Free play in the steering linkage shall not exceed one-quarter of an inch.
(1) Inspection procedure. Elevate the front end of the vehicle to load the ball joints. Insure that wheel bearings are correctly adjusted. Grasp the front and rear of a tire and attempt to turn the tire and wheel assembly left and right. If the free movement at the front or rear tread of the tire exceeds one-quarter inch there is excessive steering linkage play.
(c) Free turning. Steering wheels shall turn freely through the limit of travel in both directions.
(1) Inspection procedure. Turn off steering wheel through the limit of travel in both directions. Feel for binding or jamming in the steering gear mechanism.
(d) Alignment. Toe-in and toe-out measurements shall not be greater than 1.5 times the value listed in the vehicle manufacturer’s service specification for alignment setting.
(1) Inspection procedure. Verify that toe-in or toe-out is not greater than 1.5 times the values listed in the vehicle manufacturer’s service specification for alignment settings as measured by a bar-type scuff gauge or other toe-in measuring device. Values to convert toe-in readings in inches to scuff gauge readings in ft/mi side-slip for different wheel sizes are provided in Table I. Tire diameters used in computing scuff gauge readings are based on the average maximum tire dimensions of grown tires in service for typical wheel and tire assemblies.
Table I – Toe-in Settings From Vehicle MFR’s Service Specifications
| Wheel size (inches) | Nominal tire diameter (inches) | Readings in feet per mile sideslip | ||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 13 | 25.2 | 13.1 | 26.2 | 39.3 | 52.4 | 65.5 | 78.6 | 91.7 | 104.8 | 117.9 |
| 14 | 26.4 | 12.5 | 25.0 | 37.5 | 50.0 | 62.5 | 75.0 | 87.5 | 100.0 | 112.5 |
| 15 | 28.5 | 11.5 | 23.0 | 34.5 | 46.0 | 57.5 | 69.0 | 80.5 | 92.0 | 103.5 |
| 16 | 35.6 | 9.3 | 18.6 | 27.9 | 37.2 | 46.5 | 55.8 | 65.1 | 74.4 | 83.7 |
(e) Power steering system. The power steering system shall not have cracked or slipping belts, or insufficient fluid in the reservoir.
(1) Inspection procedure. Examine fluid reservoir and pump belts for conditions indicated.
§ 570.8 Suspension systems.
(a) Suspension condition. Ball joint seals shall not be cut or cracked. Structural parts shall not be bent or damaged. Stabilizer bars shall be connected. Springs shall not be broken, or extended above the vehicle manufacturer’s design height. Spacers, if installed, shall be installed on both front springs, both rear springs, or on all four springs. Shock absorber mountings, shackles, and U-bolts shall be securely attached. Rubber bushings shall not be cracked, extruded out from or missing from suspension joints. Radius rods shall not be missing or damaged.
(1) Inspection procedure. Examine front and rear end suspension parts for conditions indicated.
(b) Shock absorber condition. There shall be no oil on the shock absorber housing attributable to leakage by the seal, and the vehicle shall not continue free rocking motion for more than two cycles.
(1) Inspection procedure. Examine shock absorbers for oil leaking from within, then with vehicle on a level surface, push down on one end of vehicle and release. Note number of cycles of free rocking motion. Repeat procedure at other end of vehicle.
§ 570.9 Tires.
(a) Tread depth. The tread on each tire shall be not less than two thirty-seconds of an inch deep.
(1) Inspection procedure. Passenger car tires have tread depth indicators that become exposed when tread depth is less than two thirty-seconds of an inch. Inspect for indicators in any two adjacent major grooves at three locations spaced approximately equally around the outside of the tire. For vehicles other than passenger cars, it may be necessary to measure tread depth with a tread gauge.
(b) Type. Vehicle shall be equipped with tires on the same axle that are matched in tire size designation, construction, and profile.
(1) Inspection procedures. Examine visually. A major mismatch in tire size designation, construction, and profile between tires on the same axle, or a major deviation from the size as recommended by the manufacturer (e.g., as indicated on the glove box placard on 1968 and later passenger cars) are causes for rejection.
(c) General condition. Tires shall be free from chunking, bumps, knots, or bulges evidencing cord, ply, or tread separation from the casing or other adjacent materials.
(1) Inspection procedure. Examine visually for conditions indicated.
(d) Damage. Tire cords or belting materials shall not be exposed, either to the naked eye or when cuts or abrasions on the tire are probed.
(1) Inspection procedures. Examine visually for conditions indicated, using a blunt instrument if necessary to probe cuts or abrasions.
§ 570.10 Wheel assemblies.
(a) Wheel integrity. A tire rim, wheel disc, or spider shall have no visible cracks, elongated bolt holes, or indication of repair by welding.
(1) Inspection procedure. Examine visually for conditions indicated.
(b) Deformation. The lateral and radial runout of each rim bead area shall not exceed one-eighth of an inch of total indicated runout.
(1) Inspection procedure. Using a runout indicator gauge, and a suitable stand, measure lateral and radial runout of rim bead through one full wheel revolution and note runout in excess of one-eighth of an inch.
(c) Mounting. All wheel nuts and bolts shall be in place and tight.
(1) Inspection procedure. Check wheel retention for conditions indicated.
Subpart B – Vehicles With GVWR of More Than 10,000 Pounds
§ 570.51 Scope.
This part specifies standards and procedures for the inspection of brake, steering and suspension systems, and tire and wheel assemblies, of motor vehicles in use with a gross vehicle weight rating of more than 10,000 pounds.
§ 570.52 Purpose.
The purpose of this part is to establish criteria for the inspection of motor vehicles through State inspection programs, in order to reduce deaths and injuries attributable to failure or inadequate performance of the motor vehicle systems covered by this part.
§ 570.53 Applicability.
This part does not in itself impose requirements on any person. It is intended to be implemented by States through the highway safety program standards issued under the Highway Safety Act (23 U.S.C. 402) with respect to inspection of motor vehicles with gross vehicle weight rating greater than 10,000 pounds, except mobile structure trailers.
§ 570.54 Definitions.
Unless otherwise indicated, all terms used in this part that are defined in part 571 of this chapter, Motor Vehicle Safety Standards, are used as defined in that part.
Air-over-hydraulic brake subsystem means a subsystem of the air brake that uses compressed air to transmit a force from the driver control to a hydraulic brake system to actuate the service brakes.
Electric brake system means a system that uses electric current to actuate the service brake.
Vacuum brake system means a system that uses a vacuum and atmospheric pressure for transmitting a force from the driver control to the service brake, but does not include a system that uses vacuum only to assist the driver in applying muscular force to hydraulic or mechanical components.
§ 570.55 Hydraulic brake system.
The following requirements apply to vehicles with hydraulic brake systems.
(a) Brake system failure indicator. The hydraulic brake system failure indicator lamp, if part of a vehicle’s original equipment, shall be operable.
(1) Inspection procedure. Apply the parking brake and turn the ignition to start to verify that the brake system failure indicator lamp is operable, or verify by other means recommended by the vehicle manufacturer.
(b) Brake system integrity. The hydraulic brake system shall demonstrate integrity as indicated by no perceptible decrease in pedal height under a 125-pound force applied to the brake pedal and by no illumination of the brake system failure indicator lamp. The brake system shall withstand the application of force to the pedal without failure of any tube, hose or other part.
(1) Inspection procedure. With the engine running in vehicles equipped with power brake systems and the ignition turned to “on” in other vehicles, apply a force of 125 pounds to the brake pedal and hold for 10 seconds. Note any additional decrease in pedal height after the initial decrease, and whether the brake system failure indicator lamp illuminates.
(c) Brake pedal reserve. When the brake pedal is depressed with a force of 50 pounds, the distance that the pedal has traveled from its free position shall be not greater than 80 percent of the total distance from its free position to the floorboard or other object that restricts pedal travel. The brake pedal reserve test is not required for vehicles with brake systems designed by the original vehicle, manufacturer to operate with greater than 80 percent pedal travel.
(1) Inspection procedure. Measure the distance (i) from the free pedal position to the floor board or other object that restricts brake pedal travel. Depress the brake pedal, and with the force applied measure the distance (ii) from the depressed pedal position to the floor board or other object that restricts pedal travel. Determine the pedal travel percentage as
(d) Brake hoses, master cylinder, tubes and tube assemblies. Hydraulic brake hoses shall not be mounted so as to contact the vehicle body or chassis. Hoses shall not be cracked, chafed, or flattened. Brake tubes shall not be flattened or restricted. Brake hoses and tubes shall be attached or supported to prevent damage by vibration or abrasion. Master cylinder shall not show signs of leakage. Hose or tube protective rings or devices shall not be considered part of the hose or tubing.
(1) Inspection procedure. Examine visually brake master cylinder, hoses and tubes, including front brake hoses, through all wheel positions from full left turn to full right turn for conditions indicated.
§ 570.56 Vacuum brake assist unit and vacuum brake system.
The following requirements apply to vehicles with vacuum brake assist units and vacuum brake systems.
(a) Vacuum brake assist unit integrity. The vacuum brake assist unit shall demonstrate integrity as indicated by a decrease in pedal height when the engine is started and a constant 50-pound force is maintained on the pedal.
(1) Inspection procedure. Stop the engine and apply service brake several times to destroy vacuum in system. Depress the brake pedal with 50 pounds of force and while maintaining that force, start the engine. If the brake pedal does not move slightly under force when the engine starts, there is a malfunction in the power assist unit.
(b) Low-vacuum indicator. If the vehicle has a low-vacuum indicator, the indicator activation level shall not be less than 8 inches of mercury.
(1) Inspection procedure. Run the engine to evacuate the system fully. Shut off the engine and slowly reduce the vacuum in the system by moderate brake applications until the vehicle vacuum gauge reads 8 inches of mercury. Observe the functioning of the low-vacuum indicator.
(c) Vacuum brake system integrity. (1) The vacuum brake system shall demonstrate integrity by meeting the following requirements:
(i) The vacuum brake system shall provide vacuum reserve to permit one service brake application with a brake pedal force of 50 pounds after the engine is turned off without actuating the low vacuum indicator.
(ii) Trailer vacuum brakes shall operate in conjunction with the truck or truck tractor brake pedal.
(2) Inspection procedure. (i) Check the trailer vacuum system by coupling trailer(s) to truck or truck tractor and opening trailer shutoff valves. Start the engine and after allowing approximately 1 minute to build up the vacuum, apply and release the brake pedal. In the case of trailer brakes equipped with brake chamber rods, observe the chamber rod movement. Run the engine to re-establish maximum vacuum, then shut off the engine and apply the brakes with a 50-pound force on the brake pedal. Note the brake application and check for low-vacuum indicator activation.
(ii) For a combination vehicle equipped with breakaway protection and no reservoir on the towing vehicle supply line, close the supply line shutoff valve and disconnect the supply line. Apply a 50-pound force to the brake pedal on the towing vehicle and release. Trailer brakes should remain in the applied position.
(d) Vacuum system hoses, tubes and connections. Vacuum hoses, tubes and connections shall be in place and properly supported. Vacuum hoses shall not be collapsed, cracked or abraded.
(1) Inspection procedure. With the engine running, examine hoses and tubes for the conditions indicated and note broken or missing clamps.
§ 570.57 Air brake system and air-over-hydraulic brake subsystem.
The following requirements apply to vehicles with air brake and air-over-hydraulic brake systems. Trailer(s) must be coupled to a truck or truck-tractor for the purpose of this inspection, except as noted.
(a) Air brake system integrity. The air brake system shall demonstrate integrity by meeting the following requirements:
(1) With the vehicle in a stationary position, compressed air reserve shall be sufficient to permit one full service brake application, after the engine is stopped and with the system fully charged, without lowering reservoir pressure more than 20 percent below the initial reading.
(2) The air brake system compressor shall increase the air pressure in the reservoir(s) from the level developed after the test prescribed in § 570.57(a)(1) to the initial pressure noted before the full brake application, with the engine running at the manufacturer’s maximum recommended number of revolutions per minute with the compressor governor in the cut-off position, in not more than 30 seconds for vehicles manufactured prior to March 1, 1975. For vehicles, manufactured on or after March 1, 1975, the time allowed for air pressure buildup shall not exceed 45 seconds.
(3) The warning device (visual or audible) connected to the brake system air pressure source shall be activated when air pressure is lowered to an activating level that is not less than 50 psi. For vehicles manufactured to conform to Federal Motor Vehicle Safety Standard No. 121, the low-pressure indicator shall be activated when air pressure is lowered to an activating level that is not less than 60 psi.
(4) The governor cut-in pressure shall be not lower than 80 psi, and the cut-out pressure shall be not higher than 135 psi, unless other values are recommended by the vehicle manufacturer.
(5) Air brake pressure shall not drop more than 2 psi in 1 minute for single vehicles or more than 3 psi in 1 minute for combination vehicles, with the engine stopped and service brakes released. There may be an additional 1 psi drop per minute for each additional towed vehicle.
(6) With the reservoir(s) fully charged, air pressure shall not drop more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 minute for combination vehicles, with the engine stopped and service brakes fully applied. There may be an additional 1 psi drop per minute for each additional towed vehicle.
(7) The compressor drive belt shall not be badly worn or frayed and belt-tension shall be sufficient to prevent slippage.
(b) Air brake system hoses, tubes and connections. Air system tubes, hoses and connections shall not be restricted, cracked or improperly supported, and the air hose shall not be abraded.
(1) Inspection procedure. Stop the engine and examine air hoses, tubes and connections visually for conditions specified.
(c) Air-over-hydraulic brake subsystem integrity. The air-over-hydraulic brake subsystem shall demonstrate integrity by meeting the following requirements:
(1) The air brake system compressor shall increase the air pressure in the reservoir(s) from the level developed after the test prescribed in § 570.57(a)(1) to the initial pressure noted before the full brake application, with the engine running at the manufacturer’s recommended number of revolutions per minute and the compressor governor in the cut-out position, in not more than 30 seconds for vehicles manufactured prior to March 1, 1975. For vehicles manufactured on or after March 1, 1975, the time for air pressure build up shall not exceed 45 seconds.
(2) The warning device (visual or audible) connected to the brake system air pressure source shall be activated when the air pressure is lowered to not less than 50 psi.
(3) The governor cut-in pressure shall be not lower than 80 psi, and the cut-out pressure shall not be higher than 135 psi, unless other values are recommended by the vehicle manufacturer.
(4) Air brake pressure shall not drop more than 2 psi in 1 minute for single vehicles or more than 3 psi in 1 minute for combination vehicles, with the engine stopped and service brakes released. Allow a 1-psi drop per minute for each additional towed vehicle.
(5) With the reservoir(s) fully charged, air pressure shall not drop more than 3 psi in 1 minute for single vehicles or more than 4 psi in 1 minute for combination vehicles, with the engine stopped and service brakes fully applied. Allow a 1-psi pressure drop in 1 minute for each additional towed vehicle.
(6) The compressor drive belt shall not be badly worn or frayed and belt tension shall be sufficient to prevent slippage.
(d) Air-over-hydraulic brake subsystem hoses, master cylinder, tubes and connections. System tubes, hoses and connections shall not be cracked or improperly supported, the air and hydraulic hoses shall not be abraded and the master cylinder shall not show signs of leakage.
(1) Inspection procedure. Stop the engine and examine air and hydraulic brake hoses, brake master cylinder, tubes and connections visually for conditions specified.
§ 570.58 Electric brake system.
(a) Electric brake system integrity. The average brake amperage value shall be not more than 20 percent above, and not less than 30 percent below, the brake manufacturer’s maximum current rating. In progressing from zero to maximum, the ammeter indication shall show no fluctuation evidencing a short circuit or other interruption of current.
(1) Inspection procedure. Insert a low range (0 to 25 amperes for most 2- and 4-brake systems and 0 to 40 amperes for a 6-brake system) d.c. ammeter into the brake circuit between the controller and the brakes. With the controller in the “off” position, the ammeter should read zero. Gradually apply the controller to the “full on” position for a brief period (not to exceed 1 minute) and observe the maximum ammeter reading. Gradually return the controller to “full off” and observe return to zero amperes. Divide the maximum ammeter reading by the number of brakes and determine the brake amperage value.
(b) Electric brake wiring condition. Electric brake wiring shall not be frayed. Wiring clips or brackets shall not be broken or missing. Terminal connections shall be clean. Conductor wire gauge shall not be below the brake manufacturer’s minimum recommendation.
(1) Inspection procedure. Examine visually for conditions specified.
§ 570.59 Service brake system.
(a) Service brake performance. Compliance with any one of the following performance criteria will satisfy the requirements of this section. Verify that tire inflation pressure is within the limits recommended by the vehicle manufacturer before conducting either of the following tests.
(1) Roller-type or drive-on platform tests. The force applied by the brake on a front wheel or a rear wheel shall not differ by more than 25 percent from the force applied by the brake on the other front wheel or the other rear wheel respectively.
(i) Inspection procedure. The vehicle shall be tested on a drive-on platform, or a roller-type brake analyzer with the capability of measuring equalization. The test shall be conducted in accordance with the test equipment manufacturer’s specifications. Note the brake force variance.
(2) Road test. The service brake system shall stop single unit vehicles, except truck-tractors, in a distance of not more than 35 feet, or combination vehicles and truck-tractors in a distance of not more than 40 feet, from a speed of 20 mph, without leaving a 12-foot-wide lane.
(i) Inspection procedure. The road test shall be conducted on a level (not to exceed plus or minus 1 percent grade), dry, smooth, hard-surfaced road that is free from loose material, oil or grease. The service brakes shall be applied at a vehicle speed of 20 mph and the vehicle shall be brought to a stop as specified. Measure the distance required to stop.
Inspect for paragraphs (b), (c) and (d) of this section on vehicles equipped with brake inspection ports or access openings, and when removal of wheel is not required.
(b) Disc and drum condition. If the drum is embossed with a maximum safe diameter dimension or the rotor is embossed with a minimum safe thickness dimension, the drum or disc shall be within the appropriate specifications. These dimensions will generally be found on motor vehicles manufactured since January 1, 1971, and may be found on vehicles manufactured for several years prior to that time. If the drums and discs are not embossed, they shall be within the manufacturer’s specifications.
(1) Inspection procedure. Examine visually for the condition indicated, measuring as necessary.
(c) Friction materials. On each brake, the thickness of the lining or pad shall not be less than one thirty-second of an inch over the fastener, or one-sixteenth of an inch over the brake shoe on bonded linings or pads. Brake linings and pads shall not have cracks or breaks that extend to rivet holes except minor cracks that do not impair attachment. The wire in wire-backed lining shall not be visible on the friction surface. Drum brake linings shall be securely attached to brake shoes. Disc brake pads shall be securely attached to shoe plates.
(1) Inspection procedure. Examine visually for the conditions indicated, and measure the height of the rubbing surface of the lining over the fastener heads. Measure bonded lining thickness over the surface at the thinnest point on the lining or pad.
(d) Structural and mechanical parts. Backing plates, brake spiders and caliper assemblies shall not be deformed or cracked. System parts shall not be broken, misaligned, missing, binding, or show evidence of severe wear. Automatic adjusters and other parts shall be assembled and installed correctly.
(1) Inspection procedure. Examine visually for conditions indicated.
§ 570.60 Steering system.
(a) System play. Lash or free play in the steering system shall not exceed the values shown in Table 2.
(1) Inspection procedure. With the engine on and the steering axle wheels in the straight ahead position, turn the steering wheel in one direction until there is a perceptible movement of the wheel. If a point on the steering wheel rim moves more than the value shown in Table 1 before perceptible return movement of the wheel under observation, there is excessive lash or free play in the steering system.
Table 2. Steering Wheel Free Play Values
| Steering wheel diameter (inches) | Lash (inches) |
|---|---|
| 16 or less | 2 |
| 18 | 2 |
| 20 | 2 |
| 22 | 2 |
(b) Linkage play. Free play in the steering linkage shall not exceed the values shown in Table 3.
(1) Inspection procedure. Elevate the front end of the vehicle to load the ball joints, if the vehicle is so equipped. Insure that wheel bearings are correctly adjusted. Grasp the front and rear of a tire and attempt to turn the tire and wheel assemble left and right. If the free movement at the front or rear tread of the tire exceeds the applicable value shown in Table 3, there is excessive steering linkage play.
Table 3. Front Wheel Steering Linkage Free Play
| Nominal bead diameter or rim size (inches) | Play (inches) |
|---|---|
| 16 or less | |
| 16.01 through 18.00 | |
| 18.01 or more |
(c) Free turning. Steering wheels shall turn freely through the limit of travel in both directions.
(1) Inspection procedure. With the engine running on a vehicle with power steering, or the steerable wheels elevated on a vehicle without power steering, turn the steering wheel through the limit of travel in both directions. Feel for binding or jamming in the steering gear mechanism.
(d) Alignment. Toe-in or toe-out condition shall not be greater than 1.5 times the values listed in the vehicle manufacturer’s service specification for alignment setting.
(1) Inspection procedure. Drive the vehicle over a sideslip indicator or measure with a tread gauge, and verify that the toe-in or toe-out is not greater than 1.5 times the values listed in the vehicle manufacturer’s service specification.
(e) Power steering system. The power steering system shall not have cracked, frayed or slipping belts, chafed or abrated hoses, show signs of leakage or have insufficient fluid in the reservoir.
(1) Inspection procedure. Examine fluid reservoir, hoses and pump belts for the conditions indicated.
Inspection of the suspension system must not precede the service brake performance test.
§ 570.61 Suspension system.
(a) Suspension condition. Ball joint seals shall not be cut or cracked, other than superficial surface cracks. Ball joints and kingpins shall not be bent or damaged. Stabilizer bars shall be connected. Springs shall not be broken and coil springs shall not be extended by spacers. Shock absorber mountings, shackles, and U-bolts shall be securely attached. Rubber bushings shall not be cracked, extruded out from or missing from suspension joints. Radius rods shall not be missing or damaged.
(1) Inspection procedure. Examine front and rear end suspension parts for the conditions indicated.
(b) Shock absorber condition. There shall be no oil on the shock absorber housings attributable to leakage by the seal.
(1) Inspection procedure. Examine shock absorbers for oil leakage from within.
§ 570.62 Tires.
(a) Tread depth. The tread shall be not less than four thirty-seconds of an inch deep on each front tire of any vehicle other than a trailer and not less than two thirty-seconds of an inch on all other tires.
(1) Inspection procedure. For tires with treadwear indicators, check for indicators in any two adjacent major grooves at three locations spaced approximately 120° apart around the circumference of the tire. For tires without treadwear indicators, measure the tread depth with a suitable gauge or scale in two adjacent major grooves at 3 locations spaced approximately 120° apart around the circumference of the tire at the area of greatest wear.
(b) Type. Vehicles should be equipped with tires on the same axle that are matched in construction and tire size designation, and dual tires shall be matched for overall diameter within one-half inch.
(1) Inspection procedure. Examine visually. A mismatch in size and construction between tires on the same axle, or a major deviation from the size recommended by the vehicle or tire manufacturer, is a cause for rejection. On a dual-tire arrangement the diameter of one of the duals must be within one-half inch of the other as measured by a gauge block inserted between the tire and a caliper.
(c) General condition. Tires shall be free from chunking, bumps, knots, or bulges evidencing cord, ply or tread separation from the casing.
(1) Inspection procedure. Examine visually for the conditions indicated.
(d) Damage. Tire cords or belting materials shall not be exposed, either to the naked eye or when cuts on the tire are probed. Reinforcement repairs to the cord body are allowable on tires other than front-mounted tires.
(1) Inspection procedure. Examine visually for the conditions indicated, using a blunt instrument if necessary to probe cuts and abrasions.
(e) Special purpose tires. Tires marked “Not For Highway Use” or “Farm Use Only” or other such restrictions shall not be used on any motor vehicles operating on public highways.
(1) Inspection procedure. Examine visually for tires labeled with specific restrictions.
§ 570.63 Wheel assemblies.
(a) Wheel integrity. A tire rim, wheel disc or spider shall have no visible cracks, elongated bolt holes, or indications of in-service repair by welding.
(1) Inspection procedure. Examine visually for the conditions indicated.
(b) Cast wheels. Cast wheels shall not be cracked or show evidence of excessive wear in the clamp area.
(1) Inspection procedure. Examine visually for the conditions indicated.
(c) Mounting. All wheel nuts shall be in place and tight.
(1) Inspection procedure. Check wheel retention for the conditions indicated.
PART 571 – FEDERAL MOTOR VEHICLE SAFETY STANDARDS
Subpart A – General
§ 571.1 Scope.
This part contains the Federal Motor Vehicle Safety Standards for motor vehicles and motor vehicle equipment established under section 103 of the National Traffic and Motor Vehicle Safety Act of 1966 (80 Stat. 718).
§ 571.3 Definitions.
(a) Statutory definitions. All terms defined in section 102 of the Act are used in their statutory meaning.
(b) Other definitions. As used in this chapter –
Act means the National Traffic and Motor Vehicle Safety Act of 1966 (80 Stat. 718).
Approved, unless used with reference to another person, means approved by the Secretary.
Boat trailer means a trailer designed with cradle-type mountings to transport a boat and configured to permit launching of the boat from the rear of the trailer.
Bus means a motor vehicle with motive power, except a trailer, designed for carrying more than 10 persons.
Curb weight means the weight of a motor vehicle with standard equipment; maximum capacity of engine fuel, oil, and coolant; and, if so equipped, air conditioning and additional weight optional engine.
Designated seating capacity means the number of designated seating positions provided.
Designated seating position means:
(1) For vehicles manufactured prior to September 1, 2011, any plan view location capable of accommodating a person at least as large as a 5th percentile adult female, if the overall seat configuration and design and vehicle design is such that the position is likely to be used as a seating position while the vehicle is in motion, except for auxiliary seating accommodations such as temporary or folding jump seats. Any bench or split-bench seat in a passenger car, truck or multipurpose passenger vehicle with a GVWR less than 4,536 kilograms (10,000 pounds), having greater than 127 centimeters (50 inches) of hip room (measured in accordance with Society of Automotive Engineers (SAE) Recommended Practice J1100a, revised September 1975, “Motor Vehicle Dimensions” (incorporated by reference, see § 571.5), shall have not less than three designated seating positions, unless the seat design or vehicle design is such that the center position cannot be used for seating. For the sole purpose of determining the classification of any vehicle sold or introduced into interstate commerce for purposes that include carrying students to and from school or related events, any location in such vehicle intended for securement of an occupied wheelchair during vehicle operation shall be regarded as four designated seating positions.
(2) For vehicles manufactured on and after September 1, 2011, designated seating position means a seat location that has a seating surface width, as described in § 571.10(c) of this part, of at least 330 mm (13 inches). The number of designated seating positions at a seat location is determined according to the procedure set forth in § 571.10(b) of this part. However, for trucks and multipurpose passenger vehicles with a gross vehicle weight rating greater than 10,000 lbs, police vehicles as defined in S7 of FMVSS No. 208, firefighting vehicles, ambulances, and motor homes, a seating location that is labeled in accordance with S4.4 of FMVSS No. 207 will not be considered a designated seating position. For the sole purpose of determining the classification of any vehicle sold or introduced into interstate commerce for purposes that include carrying students to and from school or related events, any location in such a vehicle intended for securement of an occupied wheelchair during vehicle operation is regarded as four designated seating positions.
Driver means the occupant of a motor vehicle seated immediately behind the steering control system.
Emergency brake means a mechanism designed to stop a motor vehicle after a failure of the service brake system.
5th percentile adult female means a person possessing the dimensions and weight of the 5th percentile adult female specified for the total age group in “Weight, Height, and Selected Body Dimensions of Adults: United States – 1960-1962,” first published as Public Health Service Publication No. 1000 Series 11-No. 8, June 1965 and republished as DHEW Publication No. (HRA) 76-1074 (incorporated by reference, see § 571.5).
Firefighting vehicle means a vehicle designed exclusively for the purpose of fighting fires.
Fixed collision barrier means a flat, vertical, unyielding surface with the following characteristics:
(1) The surface is sufficiently large that when struck by a tested vehicle, no portion of the vehicle projects or passes beyond the surface.
(2) The approach is a horizontal surface that is large enough for the vehicle to attain a stable attitude during its approach to the barrier, and that does not restrict vehicle motion during impact.
(3) When struck by a vehicle, the surface and its supporting structure absorb no significant portion of the vehicle’s kinetic energy, so that a performance requirement described in terms of impact with a fixed collision barrier must be met no matter how small an amount of energy is absorbed by the barrier.
Forward control means a configuration in which more than half of the engine length is rearward of the foremost point of the windshield base and the steering wheel hub is in the forward quarter of the vehicle length.
Full trailer means a trailer, except a pole trailer, that is equipped with two or more axles that support the entire weight of the trailer.
Gross axle weight rating or GAWR means the value specified by the vehicle manufacturer as the load-carrying capacity of a single axle system, as measured at the tire-ground interfaces.
Gross combination weight rating or GCWR means the value specified by the manufacturer as the loaded weight of a combination vehicle.
Gross vehicle weight rating or GVWR means the value specified by the manufacturer as the loaded weight of a single vehicle.
H-Point means the pivot center of the torso and thigh on the three-dimensional device used in defining and measuring vehicle seating accommodation, as defined in Society of Automotive Engineers (SAE) Recommended Practice J1100, revised February 2001, “Motor Vehicle Dimensions” (incorporated by reference, see § 571.5).
Head impact area means all nonglazed surfaces of the interior of a vehicle that are statically contactable by a 6.5-inch diameter spherical head form of a measuring device having a pivot point to “top-of-head” dimension infinitely adjustable from 29 to 33 inches in accordance with the following procedure, or its graphic equivalent:
(a) At each designated seating position, place the pivot point of the measuring device –
(1) For seats that are adjustable fore and aft, at –
(i) The seating reference point; and
(ii) A point 5 inches horizontally forward of the seating reference point and vertically above the seating reference point an amount equal to the rise which results from a 5-inch forward adjustment of the seat or 0.75 inch; and
(2) For seats that are not adjustable fore and aft, at the seating reference point.
(b) With the pivot point to “top-of-head” dimension at each value allowed by the device and the interior dimensions of the vehicle, determine all contact points above the lower windshield glass line and forward of the seating reference point.
(c) With the head form at each contact point, and with the device in a vertical position if no contact points exists for a particular adjusted length, pivot the measuring device forward and downward through all arcs in vertical planes to 90° each side of the vertical longitudinal plane through the seating reference point, until the head form contacts an interior surface or until it is tangent to a horizontal plane 1 inch above the seating reference point, whichever occurs first.
Interior compartment door means any door in the interior of the vehicle installed by the manufacturer as a cover for storage space normally used for personal effects.
Longitudinal or longitudinally means parallel to the longitudinal centerline of the vehicle.
Low-speed vehicle (LSV) means a motor vehicle,
(1) That is 4-wheeled,
(2) Whose speed attainable in 1.6 km (1 mile) is more than 32 kilometers per hour (20 miles per hour) and not more than 40 kilometers per hour (25 miles per hour) on a paved level surface, and
(3) Whose GVWR is less than 1,361 kilograms (3,000 pounds).
Motorcycle means a motor vehicle with motive power having a seat or saddle for the use of the rider and designed to travel on not more than three wheels in contact with the ground.
Motor-driven cycle means a motorcycle with a motor that produces 5-brake horsepower or less.
Motor home means a multipurpose passenger vehicle with motive power that is designed to provide temporary residential accommodations, as evidenced by the presence of at least four of the following facilities: Cooking; refrigeration or ice box; self-contained toilet; heating and/or air conditioning; a potable water supply system including a faucet and a sink; and a separate 110-125 volt electrical power supply and/or propane.
Multifunction school activity bus (MFSAB) means a school bus whose purposes do not include transporting students to and from home or school bus stops.
Multipurpose passenger vehicle means a motor vehicle with motive power, except a low-speed vehicle or trailer, designed to carry 10 persons or less which is constructed either on a truck chassis or with special features for occasional off-road operation.
Open-body type vehicle means a vehicle having no occupant compartment top or an occupant compartment top that can be installed or removed by the user at his convenience.
Outboard designated seating position means a designated seating position where a longitudinal vertical plane tangent to the outboard side of the seat cushion is less than 12 inches from the innermost point on the inside surface of the vehicle at a height between the design H-point and the shoulder reference point (as shown in fig. 1 of Federal Motor Vehicle Safety Standard No. 210) and longitudinally between the front and rear edges of the seat cushion.
Overall vehicle width means the nominal design dimension of the widest part of the vehicle, exclusive of signal lamps, marker lamps, outside rearview mirrors, flexible fender extensions, and mud flaps, determined with doors and windows closed and the wheels in the straight-ahead position.
Parking brake means a mechanism designed to prevent the movement of a stationary motor vehicle.
Passenger car means a motor vehicle with motive power, except a low-speed vehicle, multipurpose passenger vehicle, motorcycle, or trailer, designed for carrying 10 persons or less.
Pelvic impact area means that area of the door or body side panel adjacent to any outboard designated seating position which is bounded by horizontal planes 7 inches above and 4 inches below the seating reference point and vertical transverse planes 8 inches forward and 2 inches rearward of the seating reference point.
Pole trailer means a motor vehicle without motive power designed to be drawn by another motor vehicle and attached to the towing vehicle by means of a reach or pole, or by being boomed or otherwise secured to the towing vehicle, for transporting long or irregularly shaped loads such as poles, pipes, or structural members capable generally of sustaining themselves as beams between the supporting connections.
Recreation vehicle trailer means a trailer, except a trailer designed primarily to transport cargo, designed to be drawn by a vehicle with motive power by means of a bumper, frame or fifth wheel hitch and designed to provide temporary residential accommodations, as evidenced by the presence of at least four of the following facilities: cooking; refrigeration or ice box; self-contained toilet; heating and/or air conditioning; a potable water supply system including a faucet and a sink; and a separate 110-125 volt electrical power supply and/or propane. “Recreation vehicle trailer” includes trailers used for personal purposes, commonly known as “sport utility RVs” or “toy haulers,” which usually have spacious rather than incidental living quarters and provide a cargo area for smaller items for personal use such as motorcycles, mountain bikes, all terrain vehicles (ATVs), snowmobiles, canoes or other types of recreational gear.
School bus means a bus that is sold, or introduced in interstate commerce, for purposes that include carrying students to and from school or related events, but does not include a bus designed and sold for operation as a common carrier in urban transportation.
Seating reference point (SgRP) means the unique design H-point, as defined in Society of Automotive Engineers (SAE) Recommended Practice J1100, revised June 1984, “Motor Vehicle Dimensions” (incorporated by reference, see § 571.5), which:
(1) Establishes the rearmost normal design driving or riding position of each designated seating position, which includes consideration of all modes of adjustment, horizontal, vertical, and tilt, in a vehicle;
(2) Has X, Y, and Z coordinates, as defined in Society of Automotive Engineers (SAE) Recommended Practice J1100, revised June 1984, “Motor Vehicle Dimensions” (incorporated by reference, see § 571.5), established relative to the designed vehicle structure;
(3) Simulates the position of the pivot center of the human torso and thigh; and
(4) Is the reference point employed to position the two-dimensional drafting template with the 95th percentile leg described in Society of Automotive Engineers (SAE) Standard J826, revised May 1987, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation” (incorporated by reference, see § 571.5), or, if the drafting template with the 95th percentile leg cannot be positioned in the seating position, is located with the seat in its most rearward adjustment position.
Semitrailer means a trailer, except a pole trailer, so constructed that a substantial part of its weight rests upon or is carried by another motor vehicle.
Service brake means the primary mechanism designed to stop a motor vehicle.
Speed attainable in 1 mile means the speed attainable by accelerating at maximum rate from a standing start for 1 mile, on a level surface.
Speed attainable in 2 miles means the speed attainable by accelerating at maximum rate from a standing start for 2 miles, on a level surface.
Torso line means the line connecting the “H” point and the shoulder reference point as defined in Society of Automotive Engineers (SAE) Standard J787b, revised September 1966, “Motor Vehicle Seat Belt Anchorage” (incorporated by reference, see § 571.5).
Trailer means a motor vehicle with or without motive power, designed for carrying persons or property and for being drawn by another motor vehicle.
Trailer converter dolly means a trailer chassis equipped with one or more axles, a lower half of a fifth wheel and a drawbar.
Truck means a motor vehicle with motive power, except a trailer, designed primarily for the transportation of property or special purpose equipment.
Truck tractor means a truck designed primarily for drawing other motor vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.
Unloaded vehicle weight means the weight of a vehicle with maximum capacity of all fluids necessary for operation of the vehicle, but without cargo, occupants, or accessories that are ordinarily removed from the vehicle when they are not in use.
95th percentile adult male means a person possessing the dimensions and weight of the 95th percentile adult male specified “Weight, Height, and Selected Body Dimensions of Adults: United States – 1960-1962,” first published as Public Health Service Publication No. 1000 Series 11-No. 8, June 1965 and republished as DHEW Publication No. (HRA) 76-1074 (incorporated by reference, see § 571.5).
Vehicle fuel tank capacity means the tank’s unusable capacity (i.e., the volume of fuel left at the bottom of the tank when the vehicle’s fuel pump can no longer draw fuel from the tank) plus its usable capacity (i.e., the volume of fuel that can be pumped into the tank through the filler pipe with the vehicle on a level surface and with the unusable capacity already in the tank). The term does not include the vapor volume of the tank (i.e., the space above the fuel tank filler neck) nor the volume of the fuel tank filler neck.
§ 571.4 Explanation of usage.
The word any, used in connection with a range of values or set of items in the requirements, conditions, and procedures of the standards or regulations in this chapter, means generally the totality of the items or values, any one of which may be selected by the Administration for testing, except where clearly specified otherwise.
“Each tire shall be capable of meeting the requirements of this standard when mounted on any rim specified by the manufacturer as suitable for use with that tire.” This means that, where the manufacturer specifies more than one rim as suitable for use with a tire, the tire must meet the requirements with whatever rim the Administration selects from the specified group.
“Any one of the items listed below may, at the option of the manufacturer, be substituted for the hardware specified in S4.1.” Here the wording clearly indicates that the selection of items is at the manufacturer’s option.
§ 571.5 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
(b) American Association of Textile Chemists and Colorists (AATCC), 1 Davis Dr., P.O. Box 12215, Research Triangle Park, NC 27709. Web site: http://www.aatcc.org.
(1) AATCC Test Method 30-1981, “Fungicides, Evaluation on Textiles: Mildew and Rot Resistance of Textiles,” into § 571.209.
(2) AATCC Gray Scale for Evaluating Change in Color into §§ 571.209; 571.213.
(c) American National Standards Institute (ANSI), 1899 L St., NW., 11th floor, Washington, DC 20036. Telephone: (202) 293-8020; Fax: (202) 293-9287; Web site: http://www.ansi.org. Copies of ANSI/RESNA Standard WC/Vol.1-1998 Section 13 may also be obtained from Rehabilitation Engineering and Assistive Technology Society of North America (RESNA), 1700 North Moore St., Suite 1540, Arlington, VA 22209-1903. Telephone: (703) 524-6686; Web site http://www.resna.org.
(1) ANSI S1.11-2004, “Specification for Octave-Band and Fractional-Octave-Band Analog and Digital Filters,” approved February 19, 2004, into § 571.141.
(2) ANSI Z26.1-1977, “Safety Code for Safety Glazing Materials for Glazing Motor Vehicles Operating on Land Highways,” approved January 26, 1977, into § 571.205(a).
(3) ANSI Z26.1a-1980, “Safety Code for Safety Glazing Materials for Glazing Motor Vehicles Operating on Land Highways,” approved July 3, 1980, into § 571.205(a).
(4) ANSI/SAE Z26.1-1996, “American National Standard for Safety Glazing Materials for Glazing Motor Vehicles and Motor Vehicle Equipment Operating on Land Highways-Safety Standard,” approved August 11, 1997, into § 571.205.
(5) ANSI/RESNA Standard WC/Vol. 1-1998, Section 13, “Wheelchairs: Determination of Coefficient of Friction of Test Surfaces,” into § 571.403.
(d) ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. Telephone: (610) 832-9500; Fax (610) 832-9555; Web site: http://www.astm.org.
(1) 1985 Annual Book of ASTM Standards, Vol. 05.04, “Test Methods for Rating Motor, Diesel, Aviation Fuels, A2. Reference Materials and Blending Accessories, (“ASTM Motor Fuels section”),” A2.3.2, A2.3.3, and A2.7, into §§ 571.108; 571.205(a).
(2) ASTM B117-64, “Standard Method of Salt Spray (Fog) Testing,” revised 1964, into § 571.125.
(3) ASTM B117-73 (Reapproved 1979), “Standard Method of Salt Spray (Fog) Testing,” approved March 29, 1973, into §§ 571.108; 571.209.
(4) ASTM B117-97, “Standard Practice for Operating Salt Spray (Fog) Apparatus,” approved April 10, 1997, into § 571.403.
(5) ASTM B117-03, “Standard Practice for Operating Salt Spray (Fog) Apparatus,” approved October 1, 2003, into §§ 571.106; 571.111.
(6) ASTM B456-79, “Standard Specification for Electrodeposited Coatings of Copper Plus Nickel Plus Chromium and Nickel Plus Chromium,” approved January 26, 1979, into § 571.209.
(7) ASTM B456-95, “Standard Specification for Electrodeposited Coatings of Copper Plus Nickel Plus Chromium and Nickel Plus Chromium,” approved October 10, 1995, into § 571.403.
(8) ASTM C150-56, “Standard Specification for Portland Cement,” approved 1956, into § 571.108.
(9) ASTM C150-77, “Standard Specification for Portland Cement,” approved February 26, 1977, into § 571.108.
(10) ASTM D362-84, “Standard Specification for Industrial Grade Toluene,” approved March 30, 1984, into §§ 571.108; 571.205(a).
(11) ASTM D445-65, “Standard Method of Test for Viscosity of Transparent and Opaque Liquids (Kinematic and Dynamic Viscosities),” approved August 31, 1965, into § 571.116.
(12) ASTM D471-98, “Standard Test Method for Rubber Property – Effect of Liquids,” approved November 10, 1998, into § 571.106.
(13) ASTM D484-71, “Standard Specification for Hydrocarbon Drycleaning Solvents,” effective September 15, 1971, into § 571.301.
(14) ASTM D756-78, “Standard Practice for Determination of Weight and Shape Changes of Plastics under Accelerated Service Conditions,” approved July 28, 1978, into § 571.209.
(15) ASTM D1003-92, “Standard Test Method for Haze and Luminous Transmittance of Transparent Plastics,” approved October 15, 1992, into § 571.108.
(16) ASTM D1056-07, “Standard Specification for Flexible Cellular Materials – Sponge or Expanded Rubber,” approved March 1, 2007, into § 571.213.
(17) ASTM D1121-67, “Standard Method of Test for Reserve Alkalinity of Engine Antifreezes and Antirusts,” accepted June 12, 1967, into § 571.116.
(18) ASTM D1123-59, “Standard Method of Test for Water in Concentrated Engine Antifreezes by the Iodine Reagent Method,” revised 1959, into § 571.116.
(19) ASTM D1193-70, “Standard Specification for Reagent Water,” effective October 2, 1970, into § 571.116.
(20) ASTM D1415-68, “Standard Method of Test for International Hardness of Vulcanized Natural and Synthetic Rubbers,” accepted February 14, 1968, into § 571.116.
(21) ASTM D2515-66, “Standard Specification for Kinematic Glass Viscometers,” adopted 1966, into § 571.116.
(22) ASTM D4329-99, “Standard Practice for Fluorescent UV Exposure of Plastics,” approved January 10, 1999, into § 571.106.
(23) ASTM D4956-90, “Standard Specification for Retroreflective Sheeting for Traffic Control,” approved October 26, 1990, into § 571.108.
(24) ASTM E1-68, “Standard Specifications for ASTM Thermometers” (including tentative revisions), accepted September 13, 1968, into § 571.116.
(25) ASTM E4-79, “Standard Methods of Load Verification of Testing Machines,” approved June 11, 1979, into § 571.209.
(26) ASTM E4-03, “Standard Practices for Force Verification of Testing Machines,” approved August 10, 2003, into § 571.106.
(27) ASTM E8-89, “Standard Test Methods of Tension Testing of Metallic Materials,” approved May 15, 1989, into § 571.221.
(28) ASTM E77-66, “Standard Method for Inspection, Test, and Standardization of Etched-Stem Liquid-in-Glass Thermometers,” revised 1966, into § 571.116.
(29) ASTM E274-65T, “Tentative Method of Test for Skid Resistance of Pavements Using a Two-Wheel Trailer,” issued 1965, into §§ 571.208; 571.301.
(30) ASTM E274-70, “Standard Method of Test for Skid Resistance of Paved Surfaces Using a Full-Scale Tire,” revised July 1974, into §§ 571.105; 571.122a.
(31) ASTM E298-68, “Standard Methods for Assay of Organic Peroxides,” effective September 13, 1968, into § 571.116.
(32) ASTM E308-66, “Standard Practice for Spectrophotometry and Description of Color in CIE 1931 System,” reapproved 1981, into § 571.108.
(33) ASTM E1136-93 (Reapproved 2003), “Standard Specification for a Radial Standard Reference Test Tire,” approved March 15, 1993, into §§ 571.105; 571.121; 571.122; 571.126; 571.135; 571.136; 571.139; 571.500.
(34) ASTM E1337-90 (Reapproved 2008), “Standard Test Method for Determining Longitudinal Peak Braking Coefficient of Paved Surfaces Using a Standard Reference Test Tire,” approved June 1, 2008, into §§ 571.105; 571.121; 571.122; 571.126; 571.135; 571.136; 571.500.
(35) ASTM F1805-00, “Standard Test Method for Single Wheel Driving Traction in a Straight Line on Snow- and Ice-Covered Surfaces,” approved November 10, 2000, into § 571.139.
(36) ASTM G23-81, “Standard Practice for Generating Light-Exposure Apparatus (Carbon-Arc Type) With and Without Water for Exposure of Nonmetallic Materials,” approved March 26, 1981, into § 571.209.
(37) ASTM G151-97, “Standard Practice for Exposing Nonmetallic Materials in Accelerated Test Devices that Use Laboratory Light Sources,” approved July 10, 1997, into § 571.106.
(38) ASTM G154-00, “Standard Practice for Operating Fluorescent Light Apparatus for UV Exposure of Nonmetallic Materials,” approved February 10, 2000, into § 571.106.
(e) Department of Defense, DODSSP Standardization Document Order Desk, 700 Robbins Ave., Philadelphia, PA 19111-5098. Web site: http://dodssp.daps.dla.mil/.
(1) MIL-S-13192, “Military Specification, Shoes, Men’s, Dress, Oxford,” October 30, 1976, into § 571.214.
(2) MIL-S-13192P, “Military Specification, Shoes, Men’s, Dress, Oxford,” 1988, including Amendment 1, October 14, 1994, into § 571.208.
(3) MIL-S-21711E, “Military Specification, Shoes, Women’s,” 3 December 1982, including Amendment 2, October 14, 1994, into §§ 571.208; 571.214.
(f) General Services Administration (GSA), Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. Telephone: (202) 512-1800; Web site: http://www.gsa.gov.
(1) GSA Federal Specification L-S-300, “Sheeting and Tape, Reflective; Nonexposed Lens, Adhesive Backing,” September 7, 1965, into § 571.108.
(2) [Reserved]
(g) Illuminating Engineering Society of North America (IES), 120 Wall St., 7th Floor, New York, NY 10005-4001. Telephone: (212) 248-5000; Web site: http://www.iesna.org.
(1) IES LM 45, “IES Approved Method for Electrical and Photometric Measurements of General Service Incandescent Filament Lamps,” approved April 1980, into § 571.108.
(2) [Reserved]
(h) International Commission on Illumination (CIE), CIE Central Bureau, Kegelgasse 27, A-1030 Vienna, Austria. http://www.cie.co.at.
(1) CIE 1931 Chromaticity Diagram, developed 1931, into § 571.108.
(2) [Reserved]
(i) International Organization for Standardization (ISO), 1, ch. de la Voie-Creuse, CP 56, CH-1211 Geneva 20, Switzerland. Telephone: + 41 22 749 01 11. Fax: + 41 22 733 34 30. Web site: http://www.iso.org/.
(1) ISO 7117:1995(E), “Motorcycles – Measurement of maximum speed,” Second edition, March 1, 1995, into § 571.122.
(2) ISO 10844:1994(E) “Acoustics – Test Surface for Road Vehicle Noise Measurements,” First edition, 1994-09-01, into § 571.141.
(3) ISO 10844: 2011(E) “Acoustics – Specification of test tracks for measuring noise emitted by road vehicles and their tyres,” Second edition, 2011-02-01 into § 571.141.
(4) ISO 10844: 2014(E) “Acoustics – Specification of test tracks for measuring noise emitted by road vehicles and their tyres,” Third edition, 2014-05-15 into § 571.141.
(j) National Center for Health Statistics, Centers for Disease Control (CDC), National Division for Health Statistics, Division of Data Services, Hyattsville, MD 20782. Telephone: 1 (800) 232-4636. Web site: http://www.cdc.gov/nchs.
(1) DHEW Publication No. (HRA) 76-1074, “Weight, Height, and Selected Body Dimensions of Adults: United States – 1960-1962,” first published as Public Health Service Publication No. 1000 Series 11-No. 8, June 1965, into § 571.3.
(2) [Reserved]
(k) National Highway Traffic Safety Administration (NHTSA), 1200 New Jersey Ave. SE., Washington, DC 20590. Web site: http://www.nhtsa.gov.
(1) Drawing Package, “NHTSA Standard Seat Assembly; FMVSS No. 213, No. NHTSA-213-2003,” (consisting of drawings and a bill of materials), June 3, 2003, into § 571.213.
(2) Drawing Package, SAS-100-1000, Standard Seat Belt Assembly with Addendum A, Seat Base Weldment (consisting of drawings and a bill of materials), October 23, 1998, into § 571.213.
(3) “Parts List; Ejection Mitigation Headform Drawing Package,” December 2010, into § 571.226.
(4) “Parts List and Drawings; Ejection Mitigation Headform Drawing Package” December 2010, into § 571.226.
(l) SAE International, 400 Commonwealth Drive, Warrendale, PA 15096. Telephone: (724) 776-4841; Web site: http://www.sae.org.
(1) SAE Recommended Practice J100-1995, “Class ‘A’ Vehicle Glazing Shade Bands,” revised June 1995, into § 571.205.
(2) SAE Recommended Practice J211a, “Instrumentation for Impact Tests,” revised December 1971, into § 571.222.
(3) SAE Recommended Practice J211, “Instrumentation for Impact Tests,” revised June 1980, into §§ 571.213; 571.218.
(4) SAE Recommended Practice J211/1, revised March 1995, “Instrumentation for Impact Test – Part 1 – Electronic Instrumentation” into §§ 571.202a; 571.208; 571.218; 571.403.
(5) SAE Recommended Practice J211-1 DEC2003, “Instrumentation for Impact Test – Part 1 – Electronic Instrumentation,” revised December 2003, into §§ 571.206; 571.209.
(6) SAE Recommended Practice J227a, “Electric Vehicle Test Procedure,” revised February 1976, into §§ 571.105; 571.135.
(7) SAE Standard J527a, “Brazed Double Wall Low Carbon Steel Tubing,” revised May 1967, into § 571.116.
(8) SAE Recommended Practice J567b, “Bulb Sockets,” revised April 1964, into § 571.108.
(9) SAE Recommended Practice J573d, “Lamp Bulbs and Sealed Units,” revised December 1968, into § 571.108.
(10) SAE Recommended Practice J575-1983, “Tests for Motor Vehicle Lighting Devices and Components,” revised July 1983, into § 571.131.
(11) SAE Recommended Practice J578, “Color Specification,” revised May 1988, into § 571.131.
(12) SAE Recommended Practice J578-1995, “Color Specification,” revised June 1995, into § 571.403.
(13) SAE Recommended Practice J592 JUN92, “Clearance, Side Marker, and Identification Lamps,” revised June 1992, into § 571.121.
(14) SAE Recommended Practice J592e-1972, “Clearance, Side Marker, and Identification Lamps,” revised July 1972, into § 571.121.
(15) SAE Recommended Practice J602-1963, “Headlamp Aiming Device for Mechanically Aimable Sealed Beam Headlamp Units,” reaffirmed August 1963, into § 571.108.
(16) SAE Recommended Practice J602-1980, “Headlamp Aiming Device for Mechanically Aimable Sealed Beam Headlamp Units,” revised October 1980, into § 571.108.
(17) SAE Recommended Practice J673a, “Automotive Glazing,” revised August 1967, into § 571.205(a).
(18) SAE Recommended Practice J673, “Automotive Safety Glasses,” revised April 1993, into § 571.205.
(19) SAE Recommended Practice J726 SEP79, “Air Cleaner Test Code,” revised April 1979, into § 571.209.
(20) SAE Recommended Practice J759 JAN95, “Lighting Identification Code,” revised January 1995, into § 571.121.
(21) SAE Standard J787b, “Motor Vehicle Seat Belt Anchorage,” revised September 1966, into § 571.3.
(22) SAE Recommended Practice J800c, “Motor Vehicle Seat Belt Assembly Installations,” revised November 1973, into § 571.209.
(23) SAE Standard J826-1980, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation,” revised April 1980, into §§ 571.208; 571.214.
(24) SAE Standard J826 MAY87, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation,” revised May 1987, into §§ 571.3; 571.210.
(25) SAE Standard J826-1992, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation,” revised June 1992, into § 571.225.
(26) SAE Standard J826 JUL95, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation,” revised July 1995, into §§ 571.10; 571.111; 571.202; 571.202a; 571.216a.
(27) SAE Recommended Practice J839b, “Passenger Car Side Door Latch Systems,” revised May 1965, into § 571.201.
(28) SAE Recommended Practice J839-1991, “Passenger Car Side Door Latch Systems,” revised June 1991, into § 571.206.
(29) SAE Recommended Practice J902, “Passenger Car Windshield Defrosting Systems,” revised August 1964, into § 571.103.
(30) SAE Recommended Practice J902a, “Passenger Car Windshield Defrosting Systems,” revised March 1967 (Editorial change June 1967), into § 571.103.
(31) SAE Recommended Practice J903a, “Passenger Car Windshield Wiper Systems,” revised May 1966, into § 571.104.
(32) SAE Recommended Practice J921, “Instrument Panel Laboratory Impact Test Procedure,” approved June 1965, into § 571.201.
(33) SAE Recommended Practice J941, “Passenger Car Driver’s Eye Range,” approved November 1965, into § 571.104.
(34) SAE Recommended Practice J941b, “Motor Vehicle Driver’s Eye Range,” revised February 1969, into § 571.108.
(35) SAE Recommended Practice J942, “Passenger Car Windshield Washer Systems,” approved November 1965, into § 571.104.
(36) SAE Recommended Practice J944 JUN80, “Steering Control System – Passenger Car – Laboratory Test Procedure,” revised June 1980, into § 571.203.
(37) SAE Standard J964 OCT84, “Test Procedure for Determining Reflectivity of Rear View Mirrors,” reaffirmed October 1984, into § 571.111.
(38) SAE Recommended Practice J972, “Moving Rigid Barrier Collision Tests,” revised May 2000, into § 571.105.
(39) SAE Recommended Practice J977, “Instrumentation for Laboratory Impact Tests,” approved November 1966, into § 571.201.
(40) SAE Recommended Practice J1100a, “Motor Vehicle Dimensions,” revised September 1975, into § 571.3.
(41) SAE Recommended Practice J1100 JUN84, “Motor Vehicle Dimensions,” revised June 1984, into §§ 571.3; 571.210.
(42) SAE Recommended Practice J1100-1993, “Motor Vehicle Dimensions,” revised June 1993, into § 571.225.
(43) SAE Recommended Practice J1100, “Motor Vehicle Dimensions,” revised February 2001, into § 571.3.
(44) SAE Recommended Practice J1133, “School Bus Stop Arm,” revised April 1984, into § 571.131.
(45) SAE Standard J1703b, “Motor Vehicle Brake Fluid,” revised July 1970, into § 571.116.
(46) SAE Standard J1703 NOV83, “Motor Vehicle Brake Fluid,” revised November 1983, into § 571.116.
(47) SAE RM-66-04, “Compatibility Fluid,” Appendix B to SAE Standard J1703 JAN95, “Motor Vehicle Brake Fluid,” revised January 1995, into §§ 571.106; 571.116.
(48) SAE Recommended Practice J2009, “Discharge Forward Lighting Systems,” revised February 1993, into § 571.108.
(49) SAE Standard J2889-1, “Measurement of Minimum Noise Emitted by Road Vehicles,” December 2014 into § 571.141.
(50) SAE Aerospace-Automotive Drawing Standards, issued September 1963, into §§ 571.104; 571.202.
(m) United Nations Economic Commission for Europe (UNECE), United Nations, Conference Services Division, Distribution and Sales Section, Office C.115-1, Palais des Nations, CH-1211, Geneva 10, Switzerland. Web site: www.unece.org/trans/main/wp29/wp29regs.html.
(1) UNECE Regulation 17 “Uniform Provisions Concerning the Approval of Vehicles with Regard to the Seats, their Anchorages and Any Head Restraints”: ECE 17 Rev. 1/Add. 16/Rev. 4 (July 31, 2002), into § 571.202.
(2) UNECE Regulation 48 “Uniform Provisions Concerning the Approval of Vehicles With Regard to the Installation of Lighting and Light-Signaling Devices,” E/ECE/324-E/ECE/TRANS/505, Rev.1/Add.47/Rev.1/Corr.2 (February 26, 1996), into § 571.108.
§ 571.7 Applicability.
(a) General. Except as provided in paragraphs (c) and (d) of this section, each standard set forth in subpart B of this part applies according to its terms to all motor vehicles or items of motor vehicle equipment the manufacture of which is completed on or after the effective date of the standard.
(b) [Reserved]
(c) Military vehicles. No standard applies to a vehicle or item of equipment manufactured for, and sold directly to, the Armed Forces of the United States in conformity with contractual specifications.
(d) Export. No standard applies to a vehicle or item of equipment in the circumstances provided in section 108(b)(5) of the Act (15 U.S.C. 1397 (b)(5)).
(e) Combining new and used components. When a new cab is used in the assembly of a truck, the truck will be considered newly manufactured for purposes of paragraph (a) of this section, the application of the requirements of this chapter, and the Act, unless the engine, transmission, and drive axle(s) (as a minimum) of the assembled vehicle are not new, and at least two of these components were taken from the same vehicle.
(f) Combining new and used components in trailer manufacture. When new materials are used in the assembly of a trailer, the trailer will be considered newly manufactured for purposes of paragraph (a) of this section, the application of the requirements of this chapter, and the Act, unless, at a minimum, the trailer running gear assembly (axle(s), wheels, braking and suspension) is not new, and was taken from an existing trailer –
(1) Whose identity is continued in the reassembled vehicle with respect to the Vehicle Identification Number; and
(2) That is owned or leased by the user of the reassembled vehicle.
§ 571.8 Effective date.
(a) Firefighting vehicles. Notwithstanding the effective date provisions of the motor vehicle safety standards in this part, the effective date of any standard or amendment of a standard issued after September 1, 1971, to which firefighting vehicles must conform shall be, with respect to such vehicles, either 2 years after the date on which such standard or amendment is published in the rules and regulations section of the
(b) Vehicles built in two or more stages vehicles and altered vehicles. Unless Congress directs or the agency expressly determines that this paragraph does not apply, the date for manufacturer certification of compliance with any standard, or amendment to a standard, that is issued on or after September 1, 2006 is, insofar as its application to intermediate and final-stage manufacturers and alterers is concerned, one year after the last applicable date for manufacturer certification of compliance. Nothing in this provision shall be construed as prohibiting earlier compliance with the standard or amendment or as precluding NHTSA from extending a compliance effective date for intermediate and final-stage manufacturers and alterers by more than one year.
§ 571.9 Separability.
If any standard established in this part or its application to any person or circumstance is held invalid, the remainder of the part and the application of that standard to other persons or circumstances is not affected thereby.
§ 571.10 Designation of seating positions.
(a) Application. This section applies to passenger cars, trucks, multipurpose passenger vehicles, and buses manufactured on or after September 1, 2010. However, paragraph (b) of this section does not apply to trucks and multipurpose passenger vehicles with a gross vehicle weight rating greater than 10,000 lbs, school buses, police vehicles as defined in S7 of Standard No. 208 (49 CFR 571.208), firefighting vehicles, ambulances, or motor homes. To determine the number of passenger seating positions in school buses, see S4.1 of Standard No. 222 (49 CFR 571.222).
(b) Number of designated seating positions. The formula for calculating the number of designated seating positions (N) for any seat location with a seating surface width greater than 330 mm (13 inches) is as follows:
(1) For seat locations with a seating surface width, as described in paragraph (c), of less than 1400 mm (55.2 inches): N = The greater of 1 or [seating surface width (in mm)/350] rounded down to the nearest whole number;
(2) For seat locations with a seating surface width, as described in paragraph (c), greater than or equal to 1400 mm (55.2 inches): N = No less than [seating surface width (in mm)/450] rounded down to the nearest whole number.
(c) Seating surface measurement. (1) As used in this section, “seating surface” only includes the seat cushion and soft trim and excludes unpadded trim components such as a decorative seat shield, seat adjusters, or adjuster covers. As used in paragraphs (c)(1)(ii) and (iii) of this section, “outboard” and “inboard” are determined with respect to the measurement zone established in paragraph (c)(1)(i) of this section. As used in this section, “seating surface width” is the maximum horizontal width of a seating surface determined by the following procedure:
(i) Establish a measurement zone bounded by two vertical planes oriented perpendicular to the direction the seat is facing. One is located 150 mm (5.9 inches) behind the front leading surface of the seat and the other is located 250 mm (9.8 inches) behind the front leading surface of the seat. A measurement location within this zone is any vertical plane parallel to the planes establishing the boundary of the zone.
(ii) For each measurement location within the zone, establish vertical reference planes parallel to the direction the seat faces that intersect the most outboard point on each side of the seating surface at that measurement location. If outboard interior trim contacts the top surface of the seat cushion, establish another vertical plane parallel to the direction the seat faces that intersects the most inboard point of contact between outboard interior trim and the top surface of the seat cushion.
(iii) For measurement within the zone, measure horizontally between and perpendicular to the most inboard vertical reference planes established in (ii), as shown in Figure 1 (provided for illustration purposes).
(2) Adjacent seating surfaces are considered to form a single, continuous seating surface whose overall width is measured as specified in (c)(1) of this section, unless
(i) The seating surfaces are separated by:
(A) A fixed trimmed surface whose top surface is unpadded and that has a width not less than 140 mm (5.5 inches), as measured in each transverse vertical plane within that measurement zone, or
(B) A void whose cross section in each transverse vertical plane within that measurement zone is a rectangle that is not less than 140 mm (5.5 inches) wide and not less than 140 mm (5.5 inches) deep. The top edge of the cross section in any such plane is congruent with the transverse horizontal line that intersects the lowest point on the portion of the top profile of the seating surfaces that lie within that plane, or
(ii) Interior trim interrupts the measurement of the nominal hip room between adjacent seating surfaces, measured laterally along the “X” plane through the H-point. For purposes of this paragraph, the H-point is located using the SAE three-dimensional H-point machine per Society of Automotive Engineers (SAE) Surface Vehicle Standard J826, revised July 1995, “Devices for Use in Defining and Measuring Vehicle Seating Accommodation” (incorporated by reference, see section 571.5) with the legs and leg weights removed, or
(iii) The seating surfaces are adjacent outboard seats, and the lateral distance between any point on the seat cushion of one seat and any point on the seat cushion of the other seat is not less than 140 mm (5.5 inches).
(3) Folding, removable, and adjustable seats are measured in the configuration that results in the single largest maximum seating surface width.
Subpart B – Federal Motor Vehicle Safety Standards
§ 571.101 Standard No. 101; Controls and displays.
S1. Scope. This standard specifies performance requirements for location, identification, color, and illumination of motor vehicle controls, telltales and indicators.
S2. Purpose. The purpose of this standard is to ensure the accessibility, visibility and recognition of motor vehicle controls, telltales and indicators, and to facilitate the proper selection of controls under daylight and nighttime conditions, in order to reduce the safety hazards caused by the diversion of the driver’s attention from the driving task, and by mistakes in selecting controls.
S3. Application. This standard applies to passenger cars, multipurpose passenger vehicles, trucks, and buses.
S4. Definitions.
Adjacent, with respect to a control, telltale or indicator, and its identifier means:
(a) The identifier is in close proximity to the control, telltale or indicator; and
(b) No other control, telltale, indicator, identifier or source of illumination appears between the identifier and the telltale, indicator, or control that the identifier identifies.
Common space means an area on which more than one telltale, indicator, identifier, or other message may be displayed, but not simultaneously.
Control means the hand-operated part of a device that enables the driver to change the state or functioning of the vehicle or a vehicle subsystem.
Indicator means a device that shows the magnitude of the physical characteristics that the instrument is designed to sense.
Identifier means a symbol, word, or words used to identify a control, telltale, or indicator.
Multi-function control means a control through which the driver may select, and affect the operation of, more than one vehicle function.
Multi-task display means a display on which more than one message can be shown simultaneously.
Telltale means an optical signal that, when illuminated, indicates the actuation of a device, a correct or improper functioning or condition, or a failure to function.
S5. Requirements. Each passenger car, multipurpose passenger vehicle, truck and bus that is fitted with a control, a telltale or an indicator listed in Table 1 or Table 2 must meet the requirements of this standard for the location, identification, color, and illumination of that control, telltale or indicator. However, the requirements for telltales and indicators do not apply to vehicles with GVWRs of 4,536 kg or greater if these specified vehicles are manufactured before September 1, 2013.
S5.1.1 The controls listed in Table 1 and in Table 2 must be located so they are operable by the driver under the conditions of S5.6.2.
S5.1.2 The telltales and indicators listed in Table 1 and Table 2 and their identification must be located so that, when activated, they are visible to a driver under the conditions of S5.6.1 and S5.6.2.
S5.1.3 Except as provided in S5.1.4, the identification for controls, telltales and indicators must be placed on or adjacent to the telltale, indicator or control that it identifies.
S5.1.4 The requirement of S5.1.3 does not apply to a multi-function control, provided the multi-function control is associated with a multi-task display that:
(a) Is visible to the driver under the conditions of S5.6.1 and S5.6.2,
(b) Identifies the multi-function control with which it is associated graphically or using words,
(c) For multi-task displays with layers, identifies on the top-most layer each system for which control is possible from the associated multi-function control, including systems not otherwise regulated by this standard. Subfunctions of the available systems need not be shown on the top-most layer of the multi-task display, and
(d) Identifies the controls of Table 1 and Table 2 with the identification specified in those tables or otherwise required by this standard, whenever those are the active functions of the multi-function control. For lower levels of multi-task displays with layers, identification is permitted but not required for systems not otherwise regulated by this standard.
(e) Does not display telltales listed in Table 1 or Table 2.
S5.2.1 Except for the Low Tire Pressure Telltale, each control, telltale and indicator that is listed in column 1 of Table 1 or Table 2 must be identified by the symbol specified for it in column 2 or the word or abbreviation specified for it in column 3 of Table 1 or Table 2. If a symbol is used, each symbol provided pursuant to this paragraph must be substantially similar in form to the symbol as it appears in Table 1 or Table 2. If a symbol is used, each symbol provided pursuant to this paragraph must have the proportional dimensional characteristics of the symbol as it appears in Table 1 or Table 2. The Low Tire Pressure Telltale (either the display identifying which tire has low pressure or the display which does not identify which tire has low pressure) shall be identified by the appropriate symbol designated in column 4, or both the symbol in column 4 and the words in column 3. No identification is required for any horn (i.e., audible warning signal) that is activated by a lanyard or by the driver pressing on the center of the face plane of the steering wheel hub; or for a turn signal control that is operated in a plane essentially parallel to the face plane of the steering wheel in its normal driving position and which is located on the left side of the steering column so that it is the control on that side of the column nearest to the steering wheel face plane. However, if identification is provided for a horn control in the center of the face plane of the steering wheel hub, the identifier must meet Table 2 requirements for the horn.
S5.2.2 Any symbol, word, or abbreviation not shown in Table 1 or Table 2 may be used to identify a control, a telltale or an indicator that is not listed in those tables.
S5.2.3 Supplementary symbols, words, or abbreviations may be used at the manufacturer’s discretion in conjunction with any symbol, word, or abbreviation specified in Table 1 or Table 2.
S5.2.5 A single symbol, word, or abbreviation may be used to identify any combination of the control, indicator, and telltale for the same function.
S5.2.6 Except as provided in S5.2.7, all identifications of telltales, indicators and controls listed in Table 1 or Table 2 must appear to the driver to be perceptually upright. A rotating control that has an “off” position shall appear to the driver perceptually upright when the rotating control is in the “off” position.
S5.2.7 The identification of the following items need not appear to the driver to be perceptually upright:
(a) A horn control;
(b) Any control, telltale or indicator located on the steering wheel, when the steering wheel is positioned for the motor vehicle to travel in a direction other than straight forward; and
(c) Any rotating control that does not have an “off” position.
S5.2.8 Each control for an automatic vehicle speed system (cruise control) and each control for heating and air conditioning systems must have identification provided for each function of each such system.
S5.2.9 Each control that regulates a system function over a continuous range must have identification provided for the limits of the adjustment range of that function. If color coding is used to identify the limits of the adjustment range of a temperature function, the hot limit must be identified by the color red and the cold limit by the color blue. If the status or limit of a function is shown by a display not adjacent to the control for that function, both the control (unless it is a multi-function control complying with S5.1.4) and the display must be independently identified as to the function of the control, in compliance with S5.2.1, on or adjacent to the control and on or adjacent to the display.
(a) Except as provided in S5.3.1(c), the identifications of controls for which the word “Yes” is specified in column 5 of Table 1 must be capable of being illuminated whenever the headlamps are activated. This requirement does not apply to a control located on the floor, floor console, steering wheel, steering column, or in the area of windshield header, or to a control for a heating and air-conditioning system that does not direct air upon the windshield.
(b) Except as provided in S5.3.1(c), the indicators and their identifications for which the word “Yes” is specified in column 5 of Table 1 must be illuminated whenever the vehicle’s propulsion system and headlamps are activated.
(c) The indicators, their identifications and the identifications of controls need not be illuminated when the headlamps are being flashed or operated as daytime running lamps.
(d) At the manufacturer’s option, any control, indicator, or their identifications may be capable of being illuminated at any time.
(e) A telltale must not emit light except when identifying the malfunction or vehicle condition it is designed to indicate, or during a bulb check.
S5.3.2.1 Means must be provided for illuminating the indicators, identifications of indicators and identifications of controls listed in Table 1 to make them visible to the driver under daylight and nighttime driving conditions.
S5.3.2.2 The means of providing the visibility required by S5.3.2.1:
(a) Must be adjustable to provide at least two levels of brightness;
(b) At a level of brightness other than the highest level, the identification of controls and indicators must be barely discernible to the driver who has adapted to dark ambient roadway condition;
(c) May be operable manually or automatically; and
(d) May have levels of brightness, other than the two required visible levels of brightness, at which those items and identification are not visible.
(1) If the level of brightness is adjusted by automatic means to a point where those items or their identification are not visible to the driver, means shall be provided to enable the driver to restore visibility.
(a) Means must be provided for illuminating telltales and their identification sufficiently to make them visible to the driver under daylight and nighttime driving conditions.
(b) The means for providing the required visibility may be adjustable manually or automatically, except that the telltales and identification for brakes, highbeams, turn signals, and safety belts may not be adjustable under any driving condition to a level that is invisible.
(1) Light intensity which is manually or automatically adjustable to provide at least two levels of brightness;
(2) A single intensity that is barely discernible to a driver who has adapted to dark ambient roadway conditions;or
(3) A means of being turned off.
(b) Paragraph (a) of S5.3.4 does not apply to buses that are normally operated with the passenger compartment illuminated.
S5.3.5 The provisions of S5.3.4 do not apply to buses that are normally operated with the passenger compartment illuminated.
S5.4.1 The light of each telltale listed in Table 1 must be of the color specified for that telltale in column 6 of that table.
S5.4.2 Any indicator or telltale not listed in Table 1 and any identification of that indicator or telltale must not be a color that masks the driver’s ability to recognize any telltale, control, or indicator listed in Table 1.
S5.4.3 Each identifier used for the identification of a telltale, control or indicator must be in a color that stands out clearly against the background. However, this requirement does not apply to an identifier for a horn control in the center of the face plane of the steering wheel hub. For vehicles with a GVWR of under 4,536 kg (10,000 pounds), the compliance date for this provision is September 1, 2011. For vehicles with a GVWR of 4,536 kg (10,000 pounds) or over, the compliance date for this provision is September 1, 2013.
S5.5.1 A common space may be used to show messages from any sources, subject to the requirements in S5.5.2 through S5.5.6.
S5.5.2 The telltales for any brake system malfunction required by Table 1 to be red, air bag malfunction, low tire pressure, electronic stability control malfunction (as of September 1, 2011), passenger air bag off, high beam, turn signal, and seat belt must not be shown in the same common space.
S5.5.3 The telltales and indicators that are listed in Table 1 and are shown in the common space must illuminate at the initiation of any underlying condition.
S5.5.4 Except as provided in S5.5.5, when the underlying conditions exist for actuation of two or more telltales, the messages must be either:
(a) Repeated automatically in sequence, or
(b) Indicated by visible means and capable of being selected for viewing by the driver under the conditions of S5.6.2.
S5.5.5 In the case of the telltale for a brake system malfunction, air bag malfunction, side air bag malfunction, low tire pressure, electronic stability control malfunction (as of September 1, 2011), passenger air bag off, high beam, turn signal, or seat belt that is designed to display in a common space, that telltale must displace any other symbol or message in that common space while the underlying condition for the telltale’s activation exists.
S5.5.6(a) Except as provided in S5.5.6(b), messages displayed in a common space may be cancelable automatically or by the driver.
(b) Telltales for high beams, turn signal, low tire pressure, and passenger air bag off, and telltales for which the color red is required in Table 1 must not be cancelable while the underlying condition for their activation exists.
S5.6.1 The driver has adapted to the ambient light roadway conditions.
S5.6.2 The driver is restrained by the seat belts installed in accordance with 49 CFR 571.208 and adjusted in accordance with the vehicle manufacturer’s instructions.
§ 571.102 Standard No. 102; Transmission shift position sequence, starter interlock, and transmission braking effect.
S1. Purpose and scope. This standard specifies the requirements for the transmission shift position sequence, a starter interlock, and for a braking effect of automatic transmissions, to reduce the likelihood of shifting errors, to prevent starter engagement by the driver when the transmission is in any drive position, and to provide supplemental braking at speeds below 40 kilometers per hour (25 miles per hour).
S2. Application. This standard applies to passenger cars, multi-purpose passenger vehicles, trucks, and buses.
S3. Requirements.
S3.1 Automatic transmissions.
S3.1.1 Location of transmission shift positions on passenger cars. A neutral position shall be located between forward drive and reverse drive positions.
S3.1.1.1 Transmission shift levers. If a steering-column-mounted transmission shift lever is used, movement from neutral position to forward drive position shall be clockwise. If the transmission shift lever sequence includes a park position, it shall be located at the end, adjacent to the reverse drive position.
S3.1.2 Transmission braking effect. In vehicles having more than one forward transmission gear ratio, one forward drive position shall provide a greater degree of engine braking than the highest speed transmission ratio at vehicle speeds below 40 kilometers per hour (25 miles per hour).
S3.1.3 Starter interlock. Except as provided in S3.1.3.1 through S3.1.3.3, the engine starter shall be inoperative when the transmission shift position is in a forward or reverse drive position.
S3.1.3.1 After the driver has activated the vehicle’s propulsion system:
(a) The engine may stop and restart automatically when the transmission shift position is in any forward drive gear;
(b) The engine may not automatically stop when the transmission is in reverse gear; and
(c) The engine may automatically restart in reverse gear only if the vehicle satisfies (1) and (2):
(1) When the engine is automatically stopped in a forward drive shift position and the driver selects Reverse, the engine restarts immediately whenever the service brake is applied.
(2) When the engine is automatically stopped in a forward drive shift position and the driver selects Reverse, the engine does not start automatically if the service brake is not applied.
S3.1.3.2 Notwithstanding S3.1.3.1, the engine may stop and start at any time after the driver has activated the vehicle’s propulsion system if the vehicle can meet the requirements specified in paragraphs (a) and (b):
(a) For passenger cars, multi-purpose passenger vehicles, trucks and buses with a GVWR less than or equal to 4,536 kg (10,000 pounds), the vehicle’s propulsion system can propel the vehicle in the normal travel mode in all forward and reverse drive gears without the engine operating. For passenger cars, multipurpose passenger vehicles, trucks and buses with a GVWR greater than 4,536 kg (10,000 pounds), the vehicle’s propulsion system can propel the vehicle in the normal travel mode in Reverse and at least one forward drive gear without the engine operating.
(b) If the engine automatically starts while the vehicle is traveling at a steady speed and steady accelerator control setting, the engine does not cause the vehicle to accelerate.
S3.1.3.3 If the transmission shift position is in Park, automatically stopping or restarting the engine shall not take the transmission out of Park.
S3.1.4 Identification of shift positions and of shift position sequence.
S3.1.4.1 Except as specified in S3.1.4.3, if the transmission shift position sequence includes a park position, identification of shift positions, including the positions in relation to each other and the position selected, shall be displayed in view of the driver whenever any of the following conditions exist:
(a) The ignition is in a position where the transmission can be shifted; or
(b) The transmission is not in park.
S3.1.4.2 Except as specified in S3.1.4.3, if the transmission shift position sequence does not include a park position, identification of shift positions, including the positions in relation to each other and the position selected, shall be displayed in view of the driver whenever the ignition is in a position in which the engine is capable of operation.
S3.1.4.3 Such information need not be displayed when the ignition is in a position that is used only to start the vehicle.
S3.1.4.4 All of the information required to be displayed by S3.1.4.1 or S3.1.4.2 shall be displayed in view of the driver in a single location. At the option of the manufacturer, redundant displays providing some or all of the information may be provided.
S3.2 Manual transmissions. Identification of the shift lever pattern of manual transmissions, except three forward speed manual transmissions having the standard “H” pattern, shall be displayed in view of the driver at all times when a driver is present in the driver’s seating position.
§ 571.103 Standard No. 103; Windshield defrosting and defogging systems.
S1. Scope. This standard specifies requirements for windshield defrosting and defogging systems.
S2. Application. This standard applies to passenger cars, multipurpose passenger vehicles, trucks, and buses.
S3. Definitions. Road load means the power output required to move a given motor vehicle at curb weight plus 180 kilograms on level, clean, dry, smooth portland cement concrete pavement (or other surface with equivalent coefficient of surface friction) at a specified speed through still air at 20 degrees Celsius, and standard barometric pressure (101.3 kilopascals) and includes driveline friction, rolling friction, and air resistance.
S4. Requirements. (a) Except as provided in paragraph (b) of this section, each passenger car shall meet the requirements specified in S4.1, S4.2, and S4.3, and each multipurpose passenger vehicle, truck, and bus shall meet the requirements specified in § 4.1.
(b) Each passenger car, multipurpose passenger vehicle, truck, and bus manufactured for sale in the noncontinental United States may, at the option of the manufacturer, have a windshield defogging system which operates either by applying heat to the windshield or by dehumidifying the air inside the passenger compartment of the vehicle, in lieu of meeting the requirements specified by paragraph (a) of this section.
S4.1 Each vehicle shall have a windshield defrosting and defogging system.
S4.2 Each passenger car windshield defrosting and defogging system shall meet the requirements of section 3 of SAE Recommended Practice J902 (1964) (incorporated by reference, see § 571.5) when tested in accordance with S4.3, except that “the critical area” specified in paragraph 3.1 of SAE Recommended Practice J902 (1964) shall be that established as Area C in accordance with Motor Vehicle Safety Standard No. 104, “Windshield Wiping and Washing Systems,” and “the entire windshield” specified in paragraph 3.3 of SAE Recommended Practice J902 (1964) shall be that established as Area A in accordance with § 571.104.
S4.3 Demonstration procedure. The passenger car windshield defrosting and defogging system shall be tested in accordance with the portions of paragraphs 4.1 through 4.4.7 of SAE Recommended Practice J902 (1964) or SAE Recommended Practice J902a (1967) (both incorporated by reference, see § 571.5) applicable to that system, except that –
(a) During the first 5 minutes of the test:
(1) For a passenger car equipped with a heating system other than a heat exchanger type that uses the engine’s coolant as a means to supply the heat to the heat exchanger, the warm-up procedure is that specified by the vehicle’s manufacturer for cold weather starting, except that connection to a power or heat source external to the vehicle is not permitted.
(2) For all other passenger cars, the warm-up procedure may be that recommended by the vehicle’s manufacturer for cold weather starting.
(b) During the last 35 minutes of the test period (or the entire test period if the 5-minute warm-up procedure specified in paragraph (a) of this section is not used),
(1) For a passenger car equipped with a heating system other than a heat exchanger type that uses the engine’s coolant as a means to supply the heat to the heat exchanger, the procedure shall be that specified by the vehicle’s manufacturer for cold weather starting, except that connection to a power or heat source external to the vehicle is not permitted.
(2) For all other passenger cars, either –
(i) The engine speed shall not exceed 1,500 r.p.m. in neutral gear; or
(ii) The engine speed and load shall not exceed the speed and load at 40 kilometers per hour in the manufacturer’s recommended gear with road load;
(c) A room air change of 90 times per hour is not required;
(d) The windshield wipers may be used during the test if they are operated without manual assist;
(e) One or two windows may be open a total of 25 millimeters;
(f) The defroster blower may be turned on at any time; and
(g) The wind velocity is at any level from 0 to 3 kilometers per hour.
(h) The test chamber temperature and the wind velocity shall be measured, after the engine has been started, at the forwardmost point of the vehicle or a point 914 millimeters from the base of the windshield, whichever is farther forward, at a level halfway between the top and bottom of the windshield on the vehicle centerline.
§ 571.104 Standard No. 104; Windshield wiping and washing systems.
S1. Scope. This standard specifies requirements for windshield wiping and washing systems.
S2. Application. This standard applies to passenger cars, multipurpose passenger vehicles, trucks, and buses.
S3. Definitions. The term seating reference point is substituted for the terms manikin H point, manikin H point with seat in rearmost position and H point wherever any of these terms appear in any SAE Standard or SAE Recommended Practice referred to in this standard.
Daylight opening means the maximum unobstructed opening through the glazing surface, as defined in paragraph 2.3.12 of section E, “Ground Vehicle Practice,” of SAE Aerospace-Automotive Drawing Standards (1963) (incorporated by reference, see § 571.5).
Glazing surface reference line means the line resulting from the intersection of the glazing surface and a horizontal plane 635 millimeters above the seating reference point, as shown in Figure 1 of SAE Recommended Practice J903a (1966) (incorporated by reference, see § 571.5).
Overall width means the maximum overall body width dimension “W116”, as defined in section E, “Ground Vehicle Practice,” of SAE Aerospace-Automotive Drawing Standards (1963) (incorporated by reference, see § 571.5).
Plan view reference line means –
(a) For vehicles with bench-type seats, a line parallel to the vehicle longitudinal centerline outboard of the steering wheel centerline 0.15 times the difference between one-half of the shoulder room dimension and the steering wheel centerline-to-car-centerline dimension as shown in Figure 2 of SAE Recommended Practice J903a (1966) (incorporated by reference, see § 571.5); or
(b) For vehicles with individual-type seats, either –
(i) A line parallel to the vehicle longitudinal centerline which passes through the center of the driver’s designated seating position; or
(ii) A line parallel to the vehicle longitudinal centerline located so that the geometric center of the 95 percent eye range contour is positioned on the longitudinal centerline of the driver’s designated seating position.
Shoulder room dimension means the front shoulder room dimension “W3” as defined in section E, “Ground Vehicle Practice,” of SAE Aerospace-Automotive Drawing Standards (1963) (incorporated by reference, see § 571.5).
95 percent eye range contour means the 95th percentile tangential cutoff specified in SAE Recommended Practice J941 (1965) (incorporated by reference, see § 571.5).
S4. Requirements.
S4.1 Windshield wiping system. Each vehicle shall have a power-driven windshield wiping system that meets the requirements of S4.1.1.
S4.1.1 Frequency.
S4.1.1.1 Each windshield wiping system shall have at least two frequencies or speeds.
S4.1.1.2 One frequency or speed shall be at least 45 cycles per minute regardless of engine load and engine speed.
S4.1.1.3 Regardless of engine speed and engine load, the highest and one lower frequency or speed shall differ by at least 15 cycles per minute. Such lower frequency or speed shall be at least 20 cycles per minute regardless of engine speed and engine load.
S4.1.1.4 Compliance with subparagraphs S4.1.1.2 and S4.1.1.3 may be demonstrated by testing under the conditions specified in sections 4.1.1 and 4.1.2 of SAE Recommended Practice J903a (1966) (incorporated by reference, see § 571.5).
S4.1.2 Wiped area. When tested wet in accordance with SAE Recommended Practice J903a (1966) (incorporated by reference, see § 571.5), each passenger car windshield wiping system shall wipe the percentage of Areas A, B, and C of the windshield (established in accordance with S4.1.2.1) that (1) is specified in column 2 of the applicable table following subparagraph S4.1.2.1 and (2) is within the area bounded by a perimeter line on the glazing surface 25 millimeters from the edge of the daylight opening.
S4.1.2.1 Areas A, B, and C shall be established as shown in Figures 1 and 2 of SAE Recommended Practice J903a (1966) (incorporated by reference, see § 571.5) using the angles specified in Columns 3 through 6 of Table I, II, III, or IV, as applicable.
Table I – Passenger Cars of Less Than 1520 Millimeters in Overall Width
| Column 1 – Area | Column 2 – Minimum percent to be wiped | Angles in degrees | |||
|---|---|---|---|---|---|
| Column 3 – Left | Column 4 – Right | Column 5 – Up | Column 6 – Down | ||
| A | 80 | 16 | 49 | 7 | 5 |
| B | 94 | 13 | 46 | 4 | 3 |
| C | 99 | 7 | 15 | 3 | 1 |
Table II – Passenger Cars of 1520 or More But Less Than 1630 Millimeters in Overall Width
| Column 1 – Area | Column 2 – Minimum percent to be wiped | Angles in degrees | |||
|---|---|---|---|---|---|
| Column 3 – Left | Column 4 – Right | Column 5 – Up | Column 6 – Down | ||
| A | 80 | 17 | 51 | 8 | 5 |
| B | 94 | 13 | 49 | 4 | 3 |
| C | 99 | 7 | 15 | 3 | 1 |
Table III – Passenger Cars of 1630 or More But Less Than 1730 Millimeters in Overall Width
| Column 1 – Area | Column 2 – Minimum percent to be wiped | Angles in degrees | |||
|---|---|---|---|---|---|
| Column 3 – Left | Column 4 – Right | Column 5 – Up | Column 6 – Down | ||
| A | 80 | 17 | 53 | 9 | 5 |
| B | 94 | 14 | 51 | 5 | 3 |
| C | 99 | 8 | 15 | 4 | 1 |
Table IV – Passenger Cars of 1730 or More Millimeters in Overall Width
| Column 1 – Area | Column 2 – Minimum percent to be wiped | Angles in degrees | |||
|---|---|---|---|---|---|
| Column 3 – Left | Column 4 – Right | Column 5 – Up | Column 6 – Down | ||
| A | 80 | 18 | 56 | 10 | 5 |
| B | 94 | 14 | 53 | 5 | 3 |
| C | 99 | 10 | 15 | 5 | 1 |
S4.2 Windshield washing system.
S4.2.1 Each passenger car shall have a windshield washing system that meets the requirements of SAE Recommended Practice J942 (1965) (incorporated by reference, see § 571.5), except that the reference to “the effective wipe pattern defined in SAE J903, paragraph 3.1.2” in paragraph 3.1 of SAE Recommended Practice J942 (1965) shall be deleted and “the areas established in accordance with subparagraph S4.1.2.1 of Motor Vehicle Safety Standard No. 104” shall be inserted in lieu thereof.
S4.2.2 Each multipurpose passenger vehicle, truck, and bus shall have a windshield washing system that meets the requirements of SAE Recommended Practice J942 (1965) (incorporated by reference, see § 571.5), except that the reference to “the effective wipe pattern defined in SAE J903, paragraph 3.1.2” in paragraph 3.1 of SAE Recommended Practice J942 (1965) shall be deleted and “the pattern designed by the manufacturer for the windshield wiping system on the exterior surface of the windshield glazing” shall be inserted in lieu thereof.
§ 571.105 Standard No. 105; Hydraulic and electric brake systems.
S1. Scope. This standard specifies requirements for hydraulic and electric service brake systems, and associated parking brake systems.
S2. Purpose. The purpose of this standard is to insure safe braking performance under normal and emergency conditions.
S3. Application. This standard applies to multi-purpose passenger vehicles, trucks, and buses with a GVWR greater than 3,500 kilograms (7,716 pounds) that are equipped with hydraulic or electric brake systems.
S4. Definitions.
Antilock brake system or ABS means a portion of a service brake system that automatically controls the degree of rotational wheel slip during braking by:
(1) Sensing the rate of angular rotation of the wheels;
(2) Transmitting signals regarding the rate of wheel angular rotation to one or more controlling devices which interpret those signals and generate responsive controlling output signals; and
(3) Transmitting those controlling signals to one or more modulators which adjust brake actuating forces in response to those signals.
Backup system means a portion of a service brake system, such as a pump, that automatically supplies energy, in the event of a primary brake power source failure.
Brake power assist unit means a device installed in a hydraulic brake system that reduces the operator effort required to actuate the system, and that if inoperative does not prevent the operator from braking the vehicle by a continued application of muscular force on the service brake control.
Brake power unit means a device installed in a brake system that provides the energy required to actuate the brakes, either directly or indirectly through an auxiliary device, with the operator action consisting only of modulating the energy application level.
Directly Controlled Wheel means a wheel for which the degree of rotational wheel slip is sensed, either at that wheel or on the axle shaft for that wheel and corresponding signals are transmitted to one or more modulators that adjust the brake actuating forces at that wheel. Each modulator may also adjust the brake actuating forces at other wheels that are on the same axle or in the same axle set in response to the same signal or signals.
Electric vehicle or EV means a motor vehicle that is powered by an electric motor drawing current from rechargeable storage batteries, fuel cells, or other portable sources of electrical current, and which may include a non-electrical source of power designed to charge batteries and components thereof.
Electrically-actuated service brakes means service brakes that utilize electrical energy to actuate the foundation brakes.
Full brake application means a brake application in which the force on the brake pedal reaches 150 pounds within 0.3 seconds from the point of application of force to the brake control.
Hydraulic brake system means a system that uses hydraulic fluid as a medium for transmitting force from a service brake control to the service brake, and that may incorporate a brake power assist unit, or a brake power unit.
Indirectly Controlled Wheel means a wheel at which the degree of rotational wheel slip is not sensed, but at which the modulator of an antilock braking system adjusts its brake actuating forces in response to signals from one or more sensed wheels.
Initial brake temperature means the average temperature of the service brakes on the hottest axle of the vehicle 0.2 mi before any brake application.
Lightly loaded vehicle weight means:
(a) For vehicles with a GVWR of 10,000 lbs. or less, unloaded vehicle weight plus 400 lbs. (including driver and instrumentation);
(b) For vehicles with a GVWR greater than 10,000 lbs., unloaded vehicle weight plus 500 lbs. (including driver and instrumentation).
Maximum drive-through speed means the highest possible constant speed at which the vehicle can be driven through 200 feet of a 500-foot radius curve arc without leaving the 12-foot lane.
Parking mechanism means a component or subsystem of the drive train that locks the drive train when the transmission control is placed in a parking or other gear position and the ignition key is removed.
Peak friction coefficient or PFC means the ratio of the maximum value of braking test wheel longitudinal force to the simultaneous vertical force occurring prior to wheel lockup, as the braking torque is progressively increased.
Pressure component means a brake system component that contains the brake system fluid and controls or senses the fluid pressure.
Regenerative braking system or RBS means an electrical energy system that is installed in an EV for recovering or dissipating kinetic energy, and which uses the propulsion motor(s) as a retarder for partial braking of the EV while returning electrical energy to the propulsion batteries or dissipating electrical energy.
Skid number means the frictional resistance of a pavement measured in accordance with ASTM E274-70 (incorporated by reference, see § 571.5) at 40 mph, omitting water delivery as specified in paragraphs 7.1 and 7.2 of that method.
Snub means the braking deceleration of a vehicle from a higher reference speed to a lower reference speed that is greater than zero.
Spike stop means a stop resulting from the application of 200 lbs of force on the service brake control in 0.08 s.
Split service brake system means a brake system consisting of two or more subsystems actuated by a single control, designed so that a single failure in any subsystem (such as a leakage-type failure of a pressure component of a hydraulic subsystem except structural failure of a housing that is common to two or more subsystems, or an electrical failure in an electric subsystem) does not impair the operation of any other subsystem.
Stopping distance means the distance traveled by a vehicle from the point of application of force to the brake control to the point at which the vehicle reaches a full stop.
Tandem axle means a group of two or more axles placed in close arrangement one behind the other with the center lines of adjacent axles not more than 72 inches apart.
Variable proportioning brake system means a system that automatically adjusts the braking force at the axles to compensate for vehicle static axle loading and/or dynamic weight transfer between axles during deceleration.
Wheel lockup means 100 percent wheel slip.
S5. Requirements.
S5.1 Service brake systems. Each vehicle must be equipped with a service brake system acting on all wheels. Wear of the service brake must be compensated for by means of a system of automatic adjustment. Each passenger car and each multipurpose passenger vehicle, truck, and bus with a GVWR of 10,000 pounds or less must be capable of meeting the requirements of S5.1.1 through S5.1.6 under the conditions prescribed in S6, when tested according to the procedures and in the sequence set forth in S7. Each school bus with a GVWR greater than 10,000 pounds must be capable of meeting the requirements of S5.1.1 through S5.1.5, and S5.1.7 under the conditions specified in S6, when tested according to the procedures and in the sequence set forth in S7. Each multipurpose passenger vehicle, truck and bus (other than a school bus) with a GVWR greater than 10,000 pounds must be capable of meeting the requirements of S5.1.1, S5.1.2, S5.1.3, and S5.1.7 under the conditions specified in S6, when tested according to the procedures and in the sequence set forth in S7. Except as noted in S5.1.1.2 and S5.1.1.4, if a vehicle is incapable of attaining a speed specified in S5.1.1, S5.1.2, S5.1.3, or S5.1.6, its service brakes must be capable of stopping the vehicle from the multiple of 5 mph that is 4 to 8 mph less than the speed attainable in 2 miles, within distances that do not exceed the corresponding distances specified in Table II. If a vehicle is incapable of attaining a speed specified in S5.1.4 in the time or distance interval set forth, it must be tested at the highest speed attainable in the time or distance interval specified.
S5.1.1 Stopping distance. (a) The service brakes shall be capable of stopping each vehicle with a GVWR of less than 8,000 pounds, and each school bus with a GVWR between 8,000 pounds and 10,000 pounds in four effectiveness tests within the distances and from the speeds specified in S5.1.1.1, S5.1.1.2, S5.1.1.3, and S5.1.1.4.
(b) The service brakes shall be capable of stopping each vehicle with a GVWR of between 8,000 pounds and 10,000 pounds, other than a school bus, in three effectiveness tests within the distances and from the speeds specified in S5.1.1.1, S5.1.1.2, and S5.1.1.4.
(c) The service brakes shall be capable of stopping each vehicle with a GVWR greater than 10,000 pounds in two effectiveness tests within the distances and from the speeds specified in S5.1.1.2 and S5.1.1.3. Each school bus with a GVWR greater than 10,000 pounds manufactured after January 12, 1996 and before March 1, 1999 and which is equipped with an antilock brake system may comply with paragraph S5.1.1.2 and S5.5.1 rather than the first effectiveness test, as specified in S5.1.1.1. Each school bus with a GVWR greater than 10,000 pounds manufactured on or after March 1, 1999 shall be capable of meeting the requirements of S5.1.1 through S5.1.5, under the conditions prescribed in S6, when tested according to the procedures and in the sequence set forth in S7.
S5.1.1.1 In the first (preburnished) effectiveness test, the vehicle shall be capable of stopping from 30 mph and 60 mph within the corresponding distances specified in column I of table II.
S5.1.1.2 In the second effectiveness test, each vehicle with a GVWR of 10,000 pounds or less and each school bus with a GVWR greater than 10,000 pounds shall be capable of stopping from 30 mph and 60 mph, and each vehicle with a GVWR greater than 10,000 pounds (other than a school bus) shall be capable of stopping from 60 mph, within the corresponding distances specified in Column II of Table II. If the speed attainable in 2 miles is not less than 84 mph, a passenger car or other vehicle with a GVWR of 10,000 pounds or less shall also be capable of stopping from 80 mph within the corresponding distances specified in Column II of Table II.
S5.1.1.3 In the third effectiveness test the vehicle shall be capable of stopping at lightly loaded vehicle weight from 60 mph within the corresponding distance specified in column III of table II.
S5.1.1.4 In the fourth effectiveness test, a vehicle with a GVWR of 10,000 pounds or less shall be capable of stopping from 30 and 60 mph within the corresponding distances specified in column I of table II. If the speed attainable in 2 miles is not less than 84 mph, a passenger car, or other vehicle with a GVWR of 10,000 lbs., or less, shall also be capable of stopping from 80 mph within the corresponding distance specified in column I of table II.
If the speed attainable in 2 miles is not less than 99 mph, a passenger car shall, in addition, be capable of stopping from the applicable speed indicated below, within the corresponding distance specified in column I of table II.
| Speed attainable in 2 miles (mph) | Required to stop from (mph) |
|---|---|
| Not less than 99 but less than 104 | 95 |
| 104 or more | 100 |
S5.1.2 Partial failure.
S5.1.2.1 In vehicles manufactured with a split service brake system, in the event of a rupture or leakage type of failure in a single subsystem, other than a structural failure of a housing that is common to two or more subsystems, the remaining portion(s) of the service brake system shall continue to operate and shall be capable of stopping a vehicle from 60 mph within the corresponding distance specified in column IV of table II.
S5.1.2.2 In vehicles not manufactured with a split service brake system, in the event of any one rupture or leakage type of failure in any component of the service brake system the vehicle shall, by operation of the service brake control, be capable of stopping 10 times consecutively from 60 mph within the corresponding distance specified in column IV of table II.
S5.1.2.3 For a vehicle manufactured with a service brake system in which the brake signal is transmitted electrically between the brake pedal and some or all of the foundation brakes, regardless of the means of actuation of the foundation brakes, the vehicle shall be capable of stopping from 60 mph within the corresponding distance specified in Column IV of Table II with any single failure in any circuit that electrically transmits the brake signal, and with all other systems intact.
S5.1.2.4 For an EV manufactured with a service brake system that incorporates RBS, the vehicle shall be capable of stopping from 60 mph within the corresponding distance specified in Column IV of Table II with any single failure in the RBS, and with all other systems intact.
S5.1.3 Inoperative brake power assist unit or brake power unit. A vehicle equipped with one or more brake power assist units shall meet the requirements of either S5.1.3.1, S5.1.3.2, or S5.1.3.4 (chosen at the option of the manufacturer), and a vehicle equipped with one or more brake power units shall meet the requirements of either S5.1.3.1, S5.1.3.3, or S5.1.3.4 (chosen at the option of the manufacturer).
S5.1.3.1 The service brakes on a vehicle equipped with one or more brake power assist units or brake power units, with one such unit inoperative and depleted of all reserve capability, shall be capable of stopping a vehicle from 60 mph within the corresponding distance specified in column IV of table II.
S5.1.3.2 Brake power assist units. The service brakes on a vehicle equipped with one or more brake power assist units, with one such unit inoperative, shall be capable of stopping a vehicle from 60 mph:
(a) In six consecutive stops at an average deceleration for each stop that is not lower than that specified in column I of table III, when the inoperative unit is not initially depleted of all reserve capability; and
(b) In a final stop, at an average deceleration that is not lower than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) or 6 FPSPS for vehicles other than passenger cars (equivalent stopping distance 646 feet), as applicable, when the inoperative unit is depleted of all reserve capacity.
S5.1.3.3 Brake power units. The service brakes of a vehicle equipped with one or more brake power units with an accumulator-type reserve system, with any one failure in any one unit shall be capable of stopping the vehicle from 60 mph –
(a) In 10 consecutive stops at an average deceleration for each stop that is not lower than that specified in column II of table III, when the unit is not initially depleted of all reserve capability; and
(b) In a final stop, at an average deceleration that is not lower than 7 FPSPS for passenger cars (equivalent stopping distance 554 feet) or 6 FPSPS for vehicles other than passenger cars (equivalent stopping distance 646 feet), as applicable, when the inoperative unit is depleted of all reserve capacity.
S5.1.3.4 Brake power assist and brake power units. The service brakes of a vehicle equipped with one or more brake power assist units or brake power units with a backup system, with one brake power assist unit or brake power unit inoperative and depleted of all reserve capability and with only the backup system operating in the failed subsystem, shall be capable of stopping the vehicle from 60 mph in 15 consecutive stops at an average deceleration for each stop that is not lower than 12 fpsps (equivalent stopping distance 323 feet).
S5.1.3.5 Electric brakes. Each vehicle with electrically-actuated service brakes (brake power unit) shall comply with the requirements of S5.1.3.1 with any single electrical failure in the electrically-actuated service brakes and all other systems intact.
S5.1.4 Fade and recovery. The service brakes shall be capable of stopping each vehicle in two fade and recovery tests as specified below.
S5.1.4.1 The control force used for the baseline check stops or snubs shall be not less than 10 pounds, nor more than 60 pounds, except that the control force for a vehicle with a GVWR of 10,000 pounds or more may be between 10 pounds and 90 pounds.
S5.1.4.2 (a) Each vehicle with GVWR of 10,000 lbs or less shall be capable of making 5 fade stops (10 fade stops on the second test) from 60 mph at a deceleration not lower than 15 fpsps for each stop, followed by 5 fade stops at the maximum deceleration attainable from 5 to 15 fpsps.
(b) Each vehicle with a GVWR greater than 10,000 pounds shall be capable of making 10 fade snubs (20 fade snubs on the second test) from 40 mph to 20 mph at 10 fpsps for each snub.
S5.1.4.3 (a) Each vehicle with a GVWR of 10,000 pounds or less shall be capable of making five recovery stops from 30 mph at 10 fpsps for each stop, with a control force application that falls within the following maximum and minimum limits:
(1) A maximum for the first four recovery stops of 150 pounds, and for the fifth stop, of 20 pounds more than the average control force for the baseline check; and
(2) A minimum of –
(A) The average control force for the baseline check minus 10 pounds, or
(B) The average control force for the baseline check times 0.60,
(b) Each vehicle with a GVWR of more than 10,000 pounds shall be capable of making five recovery snubs from 40 mph to 20 mph at 10 fpsps for each snub, with a control force application that falls within the following maximum and minimum limits:
(1) A maximum for the first four recovery snubs of 150 pounds, and for the fifth snub, of 20 pounds more than the average control force for the baseline check (but in no case more than 100 pounds); and
(2) A minimum of –
(A) The average control force for the baseline check minus 10 pounds, or
(B) The average control force for the baseline check times 0.60,
S5.1.5 Water recovery. The service brakes shall be capable of stopping each vehicle in a water recovery test, as specified below.
S5.1.5.1 The control force used for the baseline check stops or snubs shall be not less than 10 pounds, nor more than 60 pounds, except that the control force for a vehicle with a GVWR of 10,000 pounds or more may be between 10 and 90 pounds.
S5.1.5.2(a) After being driven for 2 minutes at a speed of 5 mph in any combination of forward and reverse directions through a trough having a water dept of 6 inches, each vehicle with a GVWR of 10,000 pounds or less shall be capable of making five recovery stops from 30 mph at ten fpsps for each stop with a control force application that falls within the following maximum and minimum limits:
(1) A maximum for the first four recovery stops of 150 pounds, and for the fifth stop, of 45 pounds more than the average control force for the baseline check (but in no case more than 90 pounds, except that the maximum control force for the fifth stop in the case of a vehicle manufactured before September 1, 1976, shall be not more than plus 60 pounds of the average control force for the baseline check (but in no case more than 110 pounds).
(2) A minimum of –
(A) The average control force for the baseline check minus 10 pounds, or
(B) The average control force for the baseline check times 0.60,
(b) After being driven for 2 minutes at a speed of 5 mph in any combination of forward and reverse directions through a trough having a water depth of 6 inches, each vehicle with a GVWR of more than 10,000 pounds shall be capable of making five recovery stops from 30 mph at 10 fpsps for each stop with a control force application that falls within the following maximum and minimum limits:
(1) A maximum for the first four recovery stops of 150 pounds, and for the fifth stop, of 60 pounds more than the average control force for the baseline check (but in no case more than 110 pounds); and
(2) A minimum of –
(A) The average control force for the baseline check minus 10 pounds, or
(B) The average control force for the baseline check times 0.60,
S5.1.6 Spike stops. Each vehicle with a GVWR of 10,000 lbs. or less shall be capable of making 10 spike stops from 30 mph, followed by 6 effectiveness (check) stops from 60 mph, at least one of which shall be within a corresponding stopping distance specified in column I of table II.
S5.1.7 Stability and control during braking. When stopped four consecutive times under the conditions specified in S6, each vehicle with a GVWR greater than 10,000 pounds manufactured on or after July 1, 2005 and each vehicle with a GVWR greater than 10,000 pounds manufactured in two or more stages on or after July 1, 2006 shall stop from 30 mph or 75 percent of the maximum drive-through speed, whichever is less, at least three times within the 12-foot lane, without any part of the vehicle leaving the roadway. Stop the vehicle with the vehicle at its lightly loaded vehicle weight, or at the manufacturer’s option, at its lightly loaded vehicle weight plus not more than an additional 1000 pounds for a roll bar structure on the vehicle.
S5.2 Parking Brake System. Each vehicle shall be manufactured with a parking brake system of a friction type with a solely mechanical means to retain engagement, which shall under the conditions of S6, when tested according to the procedures specified in S7, meet the requirements specified in S5.2.1, S5.2.2, or S5.2.3 as appropriate, with the system engaged –
(a) In the case of a vehicle with a GVWR of 4,536 kilograms (10,000 pounds) or less, with a force applied to the control not to exceed 125 pounds for a foot-operated system and 90 pounds for a hand-operated system; and
(b) In the case of a vehicle with a GVWR greater than 4,536 kilograms (10,000 pounds), with a force applied to the control not to exceed 150 pounds for a foot-operated system and 125 pounds for a hand-operated system.
S5.2.1. Except as provided in § 5.2.2, the parking brake system on a passenger car and on a school bus with a GVWR of 10,000 pounds or less shall be capable of holding the vehicle stationary (to the limit of traction on the braked wheels) for 5 minutes in both a forward and reverse direction on a 30 percent grade.
S5.2.2 A vehicle of a type described in S5.2.1 at the option of the manufacturer may meet the requirements of S5.2.2.1, S5.2.2.2, and S5.2.2.3 instead of the requirements of S5.2.1 if:
(a) The vehicle has a transmission or transmission control which incorporates a parking mechanism, and
(b) The parking mechanism must be engaged before the ignition key can be removed.
S5.2.2.1 The vehicle’s parking brake and parking mechanism, when both are engaged, shall be capable of holding the vehicle stationary (to the limit of traction of the braked wheels) for 5 minutes, in both forward and reverse directions, on a 30 percent grade.
S5.2.2.2 The vehicle’s parking brake, with the parking mechanism not engaged, shall be capable of holding the vehicle stationary for 5 minutes, in both forward and reverse directions, on a 20 percent grade.
S5.2.2.3 With the parking mechanism engaged and the parking brake not engaged, the parking mechanism shall not disengage or fracture in a manner permitting vehicle movement, when the vehicle is impacted at each end, on a level surface, by a barrier moving at 2
S5.2.3 (a) The parking brake system on a multipurpose passenger vehicle, truck or bus (other than a school bus) with a GVWR of 4,536 kilograms (10,000 pounds) or less shall be capable of holding the vehicle stationary for 5 minutes, in both forward and reverse directions, on a 20 percent grade.
(b) The parking brake system on a multipurpose passenger vehicle, truck, or bus (including a school bus) with a GVWR greater than 4,536 kilograms (10,000 pounds) shall be capable of holding the vehicle stationary for 5 minutes, in both forward and reverse directions, on a 20 percent grade.
S5.3 Brake system indicator lamp. Each vehicle shall have a brake system indicator lamp or lamps, mounted in front of and in clear view of the driver, which meet the requirements of S5.3.1 through S5.3.5. A vehicle with a GVWR of 10,000 pounds or less may have a single common indicator lamp. A vehicle with a GVWR of greater than 10,000 pounds may have an indicator lamp which is common for gross loss of pressure, drop in the level of brake fluid, or application of the parking brake, but shall have a separate indicator lamp for antilock brake system malfunction. However, the options provided in S5.3.1(a) shall not apply to a vehicle manufactured without a split service brake system; such a vehicle shall, to meet the requirements of S5.3.1(a), be equipped with a malfunction indicator that activates under the conditions specified in S5.3.1(a)(4). This warning indicator shall, instead of meeting the requirements of S5.3.2 through S5.3.5, activate (while the vehicle remains capable of meeting the requirements of S5.1.2.2 and the ignition switch is in the “on” position) a continuous or intermittent audible signal and a flashing warning light, displaying the words “STOP-BRAKE FAILURE” in block capital letters not less than one-quarter of an inch in height.
S5.3.1 An indicator lamp shall be activated when the ignition (start) switch is in the “on” (“run”) position and whenever any of the conditions (a) or (b), (c), (d), (e), (f), and (g) occur:
(a) A gross loss of pressure (such as caused by rupture of a brake line but not by a structural failure of a housing that is common to two or more subsystems) due to one of the following conditions (chosen at the option of the manufacturer):
(1) Before or upon application of a differential pressure of not more than 225 lb/in
(2) Before or upon application of 50 pounds of control force upon a fully manual service brake.
(3) Before or upon application of 25 pounds of control force upon a service brake with a brake power assist unit.
(4) When the supply pressure in a brake power unit drops to a level not less than one-half of the normal system pressure.
(b) A drop in the level of brake fluid in any master cylinder reservoir compartment to less than the recommended safe level specified by the manufacturer or to one-fourth of the fluid capacity of that reservoir compartment, whichever is greater.
(c) A malfunction that affects the generation or transmission of response or control signals in an antilock brake system, or a total functional electrical failure in a variable proportioning brake system.
(d) Application of the parking brake.
(e) For a vehicle with electrically-actuated service brakes, failure of the source of electric power to the brakes, or diminution of state of charge of the batteries to less than a level specified by the manufacturer for the purpose of warning a driver of degraded brake performance.
(f) For a vehicle with electric transmission of the service brake control signal, failure of a brake control circuit.
(g) For an EV with RBS that is part of the service brake system, failure of the RBS.
S5.3.2 (a) Except as provided in paragraph (b) of this section, all indicator lamps shall be activated as a check of lamp function either when the ignition (start) switch is turned to the “on” (run) position when the engine is not running, or when the ignition (start) switch is in a position between “on” (run) and “start” that is designated by the manufacturer as a check position.
(b) The indicator lamps need not be activated when a starter interlock is in operation.
S5.3.3 (a) Each indicator lamp activated due to a condition specified in S5.3.1 shall remain activated as long as the malfunction exists, whenever the ignition (start) switch is in the “on” (run) position, whether or not the engine is running.
(b) For vehicles manufactured on and after September 1, 1999 with GVWRs greater than 10,000 lbs, each message about the existence of a malfunction, as described in S5.3.1(c), shall be stored in the antilock brake system after the ignition switch is turned to the “off” position and the indicator lamp shall be automatically reactivated when the ignition switch is again turned to the “on” position. The indicator lamp shall also be activated as a check of lamp function whenever the ignition is turned to the “on” (run) position. The indicator lamp shall be deactivated at the end of the check of lamp function unless there is a malfunction or a message about a malfunction that existed when the key switch was last turned to the “off” position.
S5.3.4 When an indicator lamp is activated it may be steady burning or flashing.
S5.3.5 (a) Each indicator lamp shall display word, words or abbreviation, in accordance with the requirements of Standard No. 101 (49 CFR 571.101) and/or this section, which shall have letters not less than
(b) If a single common indicator is used, the lamp shall display the word “Brake”. The letters and background of a single common indicator shall be of contrasting colors, one of which is red.
(c)(1) If separate indicators are used for one or more of the conditions described in S5.3.1(a) through S5.3.1(g) of this standard, the indicator display shall include the word “Brake” and appropriate additional labeling, except as provided in (c)(1) (A) through (D) of this paragraph.
(A) If a separate indicator lamp is provided for gross loss of pressure, the words “Brake Pressure” shall be used for S5.3.1(a).
(B) If a separate indicator lamp is provided for low brake fluid, the words “Brake Fluid” shall be used for S5.3.1(b), except for vehicles using hydraulic system mineral oil.
(C) If a separate indicator lamp is provided for an anti-lock system, the single word “Antilock” or “Anti-lock”, or the abbreviation “ABS”, may be used for S5.3.1(c).
(D) If a separate indicator lamp is provided for application of the parking brake, the single word “Park” may be used for S5.3.1(d).
(E) If a separate indicator is used for the regenerative brake system, the symbol “RBS” may be used. RBS failure may also be indicated by a lamp displaying the symbol “ABS/RBS.”
(2) Except for a separate indicator lamp for an anti-lock system, a regenerative system, or an indicator for both anti-lock and regenerative system, the letters and background of each separate indicator lamp shall be of contrasting colors, one of which is red. The letters and background of a separate lamp for an anti-lock system, a regenerative system, or a lamp displaying both an anti-lock and a regenerative system shall be of contrasting colors, one of which is yellow.
S5.4 Reservoirs.
S5.4.1 Master cylinder reservoirs. A master cylinder shall have a reservoir compartment for each service brake subsystem serviced by the master cylinder. Loss of fluid from one compartment shall not result in a complete loss of brake fluid from another compartment.
S5.4.2 Reservoir capacity. Reservoirs, whether for master cylinders or other type systems, shall have a total minimum capacity equivalent to the fluid displacement resulting when all the wheel cylinders or caliper pistons serviced by the reservoirs move from a new lining, fully retracted position (as adjusted initially to the manufacturer’s recommended setting) to a fully worn, fully applied position, as determined in accordance with S7.18(c) of this standard. Reservoirs shall have completely separate compartments for each subsystem except that in reservoir systems utilizing a portion of the reservoir for a common supply to two or more subsystems, individual partial compartments shall each have a minimum volume of fluid equal to at least the volume displaced by the master cylinder piston servicing the subsystem, during a full stroke of the piston. Each brake power unit reservoir servicing only the brake system shall have a minimum capacity equivalent to the fluid displacement required to charge the system piston(s) or accumulator(s) to normal operating pressure plus the displacement resulting when all the wheel cylinders or caliper pistons serviced by the reservoir or accumulator(s) move from a new lining fully retracted position (as adjusted initially to the manufacturer’s recommended setting) to a fully worn, fully applied position.
S5.4.3 Reservoir labeling – Each vehicle equipped with hydraulic brakes shall have a brake fluid warning statement that reads as follows, in letters at least one-eighth of an inch high: “WARNING, Clean filler cap before removing. Use only ___ fluid from a sealed container.” (Inserting the recommended type of brake fluid as specified in 49 CFR 571.116, e.g., “DOT 3”). The lettering shall be –
(a) Permanently affixed, engraved, or embossed;
(b) Located so as to be visible by direct view, either on or within 4 inches of the brake fluid reservoir filler plug or cap; and
(c) Of a color that contrasts with its background, if it is not engraved or embossed.
S5.5 Antilock and variable proportioning brake systems.
S5.5.1 Each vehicle with a GVWR greater than 10,000 pounds, except for any vehicle with a speed attainable in 2 miles of not more than 33 mph, shall be equipped with an antilock brake system that directly controls the wheels of at least one front axle and the wheels of at least one rear axle of the vehicle. On each vehicle with a GVWR greater than 10,000 pounds but not greater than 19,500 pounds and motor homes with a GVWR greater than 10,000 pounds but not greater than 22,500 pounds manufactured before March 1, 2001, the antilock brake system may also directly control the wheels of the rear drive axle by means of a single sensor in the driveline. Wheels on other axles of the vehicle may be indirectly controlled by the antilock brake system.
S5.5.2 In the event of any failure (structural or functional) in an antilock or variable proportioning brake system, the vehicle shall be capable of meeting the stopping distance requirements specified in S5.1.2 for service brake system partial failure. For an EV that is equipped with both ABS and RBS that is part of the service brake system, the ABS must control the RBS.
S5.6 Brake system integrity. Each vehicle shall be capable of completing all performance requirements of S5 without –
(a) Detachment or fracture of any component of the braking system, such as brake springs and brake shoe or disc pad facing, other than minor cracks that do not impair attachment of the friction facing. All mechanical components of the braking system shall be intact and functional. Friction facing tearout (complete detachment of lining) shall not exceed 10 percent of the lining on any single frictional element.
(b) Any visible brake fluid or lubricant on the friction surface of the brake, or leakage at the master cylinder or brake power unit reservoir cover, seal and filler openings.
S6 Test conditions. The performance requirements of S5 shall be met under the following conditions. Where a range of conditions is specified, the vehicle shall be capable of meeting the requirements at all points within the range. Compliance of vehicles manufactured in two or more stages may, at the option of the final-stage manufacturer, be demonstrated to comply with this standard by adherence to the instructions of the incomplete manufacturer provided with the vehicle in accordance with § 568.4(a)(7)(ii) and § 568.5 of title 49 of the Code of Federal Regulations.
S6.1 Vehicle weight.
S6.1.1 Other than tests specified at lightly loaded vehicle weight in S7.5(a), S7.7, S7.8, and S7.9, the vehicle is loaded to its GVWR such that the weight on each axle as measured at the tire-ground interface is in proportion to its GAWR, except that each fuel tank is filled to any level from 100 percent of capacity (corresponding to full GVWR) to 75 percent. However, if the weight on any axle of a vehicle at lightly loaded vehicle weight exceeds the axle’s proportional share of the gross vehicle weight rating, the load required to reach GVWR is placed so that the weight on that axle remains the same as a lightly loaded vehicle weight.
S6.1.2 For applicable tests specified in S7.5(a), S7.7, S7.8, and S7.9, vehicle weight is lightly loaded vehicle weight, with the added weight, except for the roll bar structure allowed for trucks and buses with a GVWR greater than 10,000 pounds, distributed in the front passenger seat area in passenger cars, multipurpose passenger vehicles, and trucks, and in the area adjacent to the driver’s seat in buses.
S6.2 Electric vehicles and electric brakes.
S6.2.1 The state of charge of the propulsion batteries is determined in accordance with SAE Recommended Practice J227a (1976) (incorporated by reference, see § 571.5). The applicable sections of SAE J227a (1976) are 3.2.1 through 3.2.4, 3.3.1 through 3.3.2.2, 3.4.1 and 3.4.2, 4.2.1, 5.2, 5.2.1, and 5.3.
S6.2.2 At the beginning of the first effectiveness test specified in S7.3, and at the beginning of each burnishing procedure, each EV’s propulsion battery is at the maximum state of charge recommended by the manufacturer, as stated in the vehicle operator’s manual or on a label that is permanently attached to the vehicle, or, if the manufacturer has made no recommendation, at a state of charge of not less than 95 percent. If a battery is replaced rather than recharged, the replacement battery is to be charged and measured for state of charge in accordance with these procedures. During each burnish procedure, each propulsion battery is restored to the recommended state of charge or a state of charge of not less than 95 percent after each increment of 40 burnish stops until each burnish procedure is complete. The batteries may be charged at a more frequent interval if, during a particular 40-stop increment, the EV is incapable of achieving the initial burnish test speed. During each burnish procedure, the propulsion batteries may be charged by an external means or replaced by batteries that are charged to the state of charge recommended by the manufacturer or a state of charge of not less than 95 percent. For EVs having a manual control for setting the level of regenerative braking, the manual control, at the beginning of each burnish procedure, is set to provide maximum regenerative braking throughout the burnish.
S6.2.3 At the beginning of each performance test in the test sequence (S7,3, S7.5, S7.7 through S7.11, and S7.13 through S7.19 of this standard), unless otherwise specified, each propulsion battery of an EV is at the maximum state of charge recommended by the manufacturer, as stated in the vehicle operator’s manual or on a label that is permanently attached to the vehicle, or, if the manufacturer has made no recommendation, at a state of charge of not less than 95 percent. If batteries are replaced rather than recharged, each replacement battery shall be charged and measured for state of charge in accordance with these procedures. No further charging of any propulsion battery occurs during any of the performance tests in the test sequence of this standard. If the propulsion batteries are depleted during a test sequence such that the vehicle reaches automatic shut-down, will not accelerate, or the low state of charge warning lamp is illuminated, the vehicle is to be accelerated to brake test speed by auxiliary means.
S6.2.4 (a) For an EV equipped with RBS, the RBS is considered to be part of the service brake system if it is automatically controlled by an application of the service brake control, if there is no means provided for the driver to disconnect or otherwise deactivate it, and if it is activated in all transmission positions, including neutral. The RBS is operational during all burnishes and all tests, except for the test of a failed RBS.
(b) For an EV equipped with an RBS that is not part of the service brake system, the RBS is operational and set to produce the maximum regenerative braking effect during the burnishes, and is disabled during the test procedures. If the vehicle is equipped with a neutral gear that automatically disables the RBS, the test procedures which are designated to be conducted in gear may be conducted in neutral.
S6.2.5 For tests conducted “in neutral,” the operator of an EV with no “neutral” position (or other means such as a clutch for disconnecting the drive train from the propulsion motor(s)) does not apply any electromotive force to the propulsion motor(s). Any electromotive force that is applied to the propulsion motor(s) automatically remains in effect unless otherwise specified by the test procedure.
S6.2.6 A vehicle equipped with electrically-actuated service brakes also performs the following test series. Conduct 10 stopping tests from a speed of 100 kph or the maximum vehicle speed, whichever is less. At least two of the 10 stopping distances must be less than or equal to 70 meters. The vehicle is loaded to GVWR for these tests and the transmission is in the neutral position when the service brake control is actuated and throughout the remainder of the test. The battery or batteries providing power to those electrically-actuated brakes, at the beginning of each test, shall be in a depleted state of charge for conditions (a), (b), or (c) of this paragraph as appropriate. An auxiliary means may be used to accelerate an EV to test speed.
(a) For an EV equipped with electrically-actuated service brakes deriving power from the propulsion batteries, and with automatic shut-down capability of the propulsion motor(s), the propulsion batteries are at not more than five percent above the EV actual automatic shut-down critical value. The critical value is determined by measuring the state-of-charge of each propulsion battery at the instant that automatic shut-down occurs and averaging the states-of-charge recorded.
(b) For an EV equipped with electrically-actuated service brakes deriving power from the propulsion batteries, and with no automatic shut-down capability of the propulsion motor(s), the propulsion batteries are at an average of not more than five percent above the actual state of charge at which the brake failure warning signal, required by S5.3.1(e) of this standard, is illuminated.
(c) For a vehicle which has an auxiliary battery (or batteries) that provides electrical energy to operate the electrically-actuated service brakes, the auxiliary battery(batteries) is (are) at (at an average of) not more than five percent above the actual state of charge at which the brake failure warning signal, required by S5.3.1(e) of this standard, is illuminated.
S6.3 Tire inflation pressure. Tire inflation pressure is the pressure recommended by the vehicle manufacturer for the GVWR of the vehicle.
S6.4 Transmission selector control. For S7.3, S7.5, S7.8, S7.15, S7.17, S7.11.1.2, S7.11.2.2, S7.11.3.2, and as required for S7.13, the transmission selector control is in neutral for all decelerations. For all other tests during all decelerations, the transmission selector is in the control position, other than overdrive, recommended by the manufacturer for driving on a level surface at the applicable test speed. To avoid engine stall during tests required to be run in gear a manual transmission may be shifted to neutral (or the clutch disengaged) when the vehicle speed decreases to 20 mph.
S6.5 Engine. Engine idle speed and ignition timing settings are according to the manufacturer’s recommendations. If the vehicle is equipped with an adjustable engine speed governor, it is adjusted according to the manufacturer’s recommendation.
S6.6 Vehicle openings. All vehicle openings (doors, windows, hood, trunk, convertible top, cargo doors, etc.) are closed except as required for instrumentation purposes.
S6.7 Ambient temperature. The ambient temperature is any temperature between 32 °F. and 100 °F.
S6.8 Wind velocity. The wind velocity is zero.
S6.9 Road surface.
S6.9.1 For vehicles with a GVWR of 10,000 pounds or less, road tests are conducted on a 12-foot-wide, level roadway, having a skid number of 81. Burnish stops are conducted on any surface. The parking brake test surface is clean, dry, smooth, Portland cement concrete.
S6.9.2(a) For vehicles with a GVWR greater than 10,000 pounds, road tests (excluding stability and control during braking tests) are conducted on a 12-foot-wide, level roadway, having a peak friction coefficient of 0.9 when measured using an ASTM E1136-93 (Reapproved 2003) (incorporated by reference, see § 571.5), standard reference test tire, in accordance with ASTM E1337-90 (Reapproved 2008) (incorporated by reference, see § 571.5), at a speed of 40 mph, without water delivery. Burnish stops are conducted on any surface. The parking brake test surface is clean, dry, smooth, Portland cement concrete.
S6.9.2(b) For vehicles with a GVWR greater than 10,000 pounds, stability and control during braking tests are conducted on a 500-foot-radius curved roadway with a wet level surface having a peak friction coefficient of 0.5 when measured on a straight or curved section of the curved roadway using an ASTM E1136-93 (Reapproved 2003) standard reference tire, in accordance with ASTM E1337-90 (Reapproved 2008) at a speed of 40 mph, with water delivery.
S6.10 Vehicle position and wheel lockup restrictions. The vehicle is aligned in the center of the roadway at the start of each brake application. Stops, other than spike stops, are made without any part of the vehicle leaving the roadway.
S6.10.1 For vehicles with a GVWR of 10,000 pounds or less, stops are made with wheel lockup permitted only as follows:
(a) At vehicle speeds above 10 mph, there may be controlled wheel lockup on an antilock-equipped axle, and lockup of not more than one wheel per vehicle, uncontrolled by an antilock system. (Dual wheels on one side of an axle are considered a single wheel.)
(b) At vehicle speeds of 10 mph or less, any wheel may lock up for any duration.
(c) Unlimited wheel lockup is allowed during spike stops (but not spike check stops), partial failure stops, and inoperative brake power or power assist unit stops.
S6.10.2 For vehicles with a GVWR greater than 10,000 pounds, stops are made with wheel lockup permitted only as follows:
(a) At vehicle speeds above 20 mph, any wheel on a nonsteerable axle other than the two rearmost nonliftable, nonsteerable axles may lock up for any duration. The wheels on the two rearmost nonliftable, nonsteerable axles may lock up according to (b).
(b) At vehicle speeds above 20 mph, one wheel on any axle or two wheels on any tandem may lock up for any duration.
(c) At vehicle speeds above 20 mph, any wheel not permitted to lock in (a) or (b) may lock up repeatedly, with each lockup occurring for a duration of one second or less.
(d) At vehicle speeds of 20 mph or less, any wheel may lock up for any duration.
(e) Unlimited wheel lockup is allowed during partial failure stops, and inoperative brake power or power assist stops.
S6.11 Thermocouples. The brake temperature is measured by plug-type thermocouples installed in the approximate center of the facing length and width of the most heavily loaded shoe or disc pad, one per brake, as shown in figure 1. A second thermocouple may be installed at the beginning of the test sequence if the lining wear is expected to reach a point causing the first thermocouple to contact the metal rubbing surface of a drum or rotor. For centergrooved shoes or pads, thermocouples are installed within one-eighth of an inch to one-quarter inch of the groove and as close to the center as possible.
S6.12 Initial brake temperature. Unless otherwise specified the brake temperature is 150 °F. to 200 °F.
S6.13 Control forces. Unless otherwise specified, the force applied to a brake control is not less than 15 lb and not more than 150 lb.
S6.14 Special drive conditions. A vehicle with a GVWR greater than 10,000 pounds equipped with an interlocking axle system or a front wheel drive system that is engaged and disengaged by the driver is tested with the system disengaged.
S6.15 Selection of compliance options. Where manufacturer options are specified, the manufacturer shall select the option by the time it certifies the vehicle and may not thereafter select a different option for the vehicle. Each manufacturer shall, upon request from the National Highway Traffic Safety Administration, provide information regarding which of the compliance options it has selected for a particular vehicle or make/model.
S7. Test procedure and sequence. Each vehicle shall be capable of meeting all the applicable requirements of S5 when tested according to the procedures and sequence set forth below, without replacing any brake system part or making any adjustments to the brake system other than as permitted in the burnish and reburnish procedures and in S7.9 and S7.10. (For vehicles only having to meet the requirements of S5.1.1, S5.1.2, S5.1.3, and S5.1.7 in section S5.1, the applicable test procedures and sequence are S7.1, S7.2, S7.4, S7.5(b), S7.5(a), S7.8, S7.9, S7.10, and S7.18. However, at the option of the manufacturer, the following test procedure and sequence may be conducted: S7.1, S7.2, S7.3, S7.4, S7.5(b), S7.6, S7.7, S7.5(a), S7.8, S7.9, S7.10, and S7.18. The choice of this option must not be construed as adding to the requirements specified in S5.1.2 and S5.1.3.) Automatic adjusters must remain activated at all times. A vehicle shall be deemed to comply with the stopping distance requirements of S5.1 if at least one of the stops at each speed and load specified in each of S7.3, S7.5(b), S7.8, S7.9, S7.10, S7.15 and S7.17 (check stops) is made within a stopping distance that does not exceed the corresponding distance specified in Table II. When the transmission selector control is required to be in neutral for a deceleration, a stop or snub must be obtained by the following procedures:
(a) Exceed the test speed by 4 to 8 mph;
(b) Close the throttle and coast in gear to approximately 2 mph above the test speed;
(c) Shift to neutral; and
(d) When the test speed is reached, apply the service brakes.
S7.1 Brake warming. If the initial brake temperature for the first stop in a test procedure (other than S7.7 and S7.16) has not been reached, heat the brakes to the initial brake temperature by making not more than 10 snubs from not more than 40 to 10 mph, at a deceleration not greater than 10 fpsps.
S7.2 Pretest instrumentation check. Conduct a general check of instrumentation by making not more than 10 stops from a speed of not more than 30 mph, or 10 snubs from a speed of not more than 40 to 10 mph, at a deceleration of not more than 10 fpsps. If instrument repair, replacement, or adjustment is necessary, make not more than 10 additional stops or snubs after such repair, replacement, or adjustment.
S7.3 Service brake system – first (preburnish) effectiveness test. Make six stops from 30 mph. Then make six stops from 60 mph.
S7.4 Service brake system – burnish procedure.
S7.4.1 Vehicles with GVWR of 10,000 lb or less.
S7.4.1.1 Burnish. Burnish the brakes by making 200 stops from 40 mph at 12 fpsps (the 150 lb control force limit does not apply here). The interval from the start of one service brake application to the start of the next shall be either the time necessary to reduce the initial brake temperature to between 230 °F. and 270 °F., or the distance of 1 mile, whichever occurs first. Accelerate to 40 mph after each stop and maintain that speed until making the next stop.
S7.4.1.2 Brake adjustment – post burnish. After burnishing, adjust the brakes in accordance with the manufacturer’s published recommendations.
S7.4.2 Vehicles with GVWR greater than 10,000 pounds.
S7.4.2.1 Burnish. Vehicles are burnished according to the following procedures. Make 500 snubs between 40 mph and 20 mph at a deceleration rate of 10 f.p.s.p.s. Except where an adjustment is specified, after each brake application accelerate to 40 mph and maintain that speed until making the next brake application at a point 1 mile from the initial point of the previous brake application. If the vehicle cannot attain a speed of 40 mph in 1 mph, continue to accelerate until the vehicle reaches 40 mph or until the vehicle has traveled 1.5 miles from the initial point of the previous brake application, whichever occurs first. The brakes shall be adjusted three times during the burnish procedure, in accordance with the manufacturer’s recommendations, after 125, 250, and 375 snubs.
S7.4.2.2 Brake adjustment – post burnish. After burnishing, adjust the brakes in accordance with the manufacturer’s published recommendations.
S7.5 (a) Stability and control during braking (vehicles with a GVWR greater than 10,000 pounds). Make four stops in the lightly-loaded weight condition specified in S5.1.7. Use a full brake application for the duration of the stop, with the clutch pedal depressed or the transmission selector control in the neutral position, for the duration of each stop.
(b) Service brake system – second effectiveness test. For vehicles with a GVWR of 10,000 pounds or less, or any school bus, make six stops from 30 mph. Then, for any vehicle, make six stops from 60 mph. Then, for a vehicle with a GVWR of 10,000 pounds or less, make four stops from 80 mph if the speed attainable in 2 miles is not less than 84 mph.
S7.6 First reburnish. Repeat S7.4, except make 35 burnish stops or snubs. In the case of vehicles burnished in accordance with S7.4.2.1(a) of this section, reburnish the vehicle by making 35 snubs from 60 to 20 mph, but if the hottest brake temperature reaches 500 °F ±50 °F, make the remainder of the brake applications from the highest snub condition listed in Table IV that will maintain the hottest brake temperature at 500 °F ±50 °F. If at a snub condition of 40 to 20 mph, the temperature of the hottest brake exceeds 550 °F, make the remainder of the 35 brake applications from the snub condition without regard to brake temperature.
S7.7 Parking brake test. The parking brake tests for any vehicle on different grades, in different directions, and for different loads may be conducted in any order. The force required for actuation of a hand-operated brake system shall be measured at the center of the hand grip area or at a distance of 1
S7.7.1 Test procedure for requirements of S5.2.1 and S5.2.3.
S7.7.1.1 Condition the parking brake friction elements so that the temperature at the beginning of the test is at any level not more than 150 °F. (when the temperature of components on both ends of an axle are averaged).
S7.7.1.2 Drive the vehicle, loaded to GVWR, onto the specified grade with the longitudinal axis of the vehicle in the direction of the slope of the grade, stop the vehicle and hold it stationary by application of the service brake control, and place the transmission in neutral.
S7.7.1.3 With the vehicle held stationary by means of the service brake control, apply the parking brake by a single application of the force specified in (a), (b), or (c) of this paragraph, except that a series of applications to achieve the specified force may be made in the case of a parking brake system design that does not allow the application of the specified force in a single application:
(a) In the case of a passenger car or other vehicle with a GVWR of 10,000 lbs. or less, not more than 125 pounds for a foot-operated system, and not more than 90 pounds for a hand-operated system; and
(b) In the case of a vehicle with a GVWR greater than 4,536 kilograms (10,000 pounds) not more than 150 pounds for a foot-operated system, and not more than 125 pounds for a hand-operated system.
(c) For a vehicle using an electrically-activated parking brake, apply the parking brake by activating the parking brake control.
S7.7.1.4 Following the application of the parking brake in accordance with S7.7.1.3, release all force on the service brake control and commence the measurement of time if the vehicle remains stationary. If the vehicle does not remain stationary, reapplication of the service brake to hold the vehicle stationary, with reapplication of a force to the parking brake control at the level specified in S7.7.1.3 (a) or (b) as appropriate for the vehicle being tested (without release of the ratcheting or other holding mechanism of the parking brake) may be used twice to attain a stationary position.
S7.7.1.5 Following observation of the vehicle in a stationary condition for the specified time in one direction, repeat the same test procedure with the vehicle orientation in the opposite direction on the specified grade.
S7.7.1.6 Check the operation of the parking brake application indicator required by S5.3.1(d).
S7.7.2 Test procedure for requirements of S5.2.2 (a) Check that transmission must be placed in park position to release key;
(b) Test as in S7.7.1, except in addition place the transmission control to engage the parking mechanism; and
(c) Test as in S7.7.1 except on a 20 percent grade, with the parking mechanism not engaged.
S7.7.3 Lightly loaded vehicle. Repeat S7.7.1 or S7.7.2 as applicable except with the vehicle at lightly loaded vehicles weight or at manufacturer’s option, for a vehicle with GVWR greater than 10,000 pounds, at lightly loaded vehicle weight plus not more than an additional 1,000 pounds for a roll bar structure on the vehicle.
S7.7.4 Non-service brake type parking brake systems. For vehicles with parking brake systems not utilizing the service brake friction elements, burnish the friction elements of such systems prior to parking brake tests according to the manufacturer’s published recommendations as furnished to the purchaser. If no recommendations are furnished, run the vehicle in an unburnished condition.
S7.8 Service brake system test – lightly loaded vehicle (third effectiveness) test. Make six stops from 60 mph with vehicle at lightly vehicle weight, or at the manufacturer’s option for a vehicle with GVWR greater than 10,000 pounds, at lightly loaded vehicle weight plus not more than an additional 1,000 pounds for a roll bar structure on the vehicle. (This test is not applicable to a vehicle which has a GVWR of not less than 7,716 pounds and not greater than 10,000 pounds and is not a school bus.)
S7.9 Service brake system test – partial failure.
S7.9.1 With the vehicle at lightly loaded vehicle weight or at the manufacturer’s option for a vehicle with a GVWR greater than 10,000 pounds, at lightly loaded vehicle weight plus not more than an additional 1,000 pounds for a roll bar structure on the vehicle, alter the service brake system to produce any one rupture or leakage type of failure, other than a structural failure of a housing that is common to two or more subsystems. Determine the control force, pressure level, or fluid level (as appropriate for the indicator being tested) necessary to activate the brake system indicator lamp. Make four stops if the vehicle is equipped with a split service brake system, or 10 stops if the vehicle is not so equipped, each from 60 mph, by a continuous application of the service brake control. Restore the service brake system to normal at completion of this test.
S7.9.2 Repeat S7.9.1 for each of the other subsystems.
S7.9.3 Repeat S7.9.1 and S7.9.2 with vehicle at GVWR. Restore the service brake system to normal at completion of this test.
S7.9.4 (For vehicles with antilock and/or variable proportioning brake systems.) With vehicle at GVWR, disconnect functional power source, or otherwise render antilock system inoperative. Disconnect variable proportioning brake system. Make four stops, each from 60 mph. If more than one antilock or variable proportioning brake subsystem is provided, disconnect or render one subsystem inoperative and run as above. Restore system to normal at completion of this test. Repeat for each subsystem provided.
Determine whether the brake system indicator lamp is activated when the electrical power source to the antilock or variable proportioning unit is disconnected.
S7.9.5 For a vehicle in which the brake signal is transmitted electrically between the brake pedal and some or all of the foundation brakes, regardless of the means of actuation of the foundation brakes, the tests in S7.9.1 through S7.9.3 of this standard are conducted by inducing any single failure in any circuit that electrically transmits the brake signal, and all other systems intact. Determine whether the brake system indicator lamp is activated when the failure is induced.
S7.9.6 For an EV with RBS that is part of the service brake system, the tests specified in S7.9.1 through S7.9.3 are conducted with the RBS disconnected and all other systems intact. Determine whether the brake system indicator lamp is activated when the RBS is disconnected.
S7.10 Service brake system – inoperative brake power unit or brake power assist unit test. (For vehicles equipped with brake power unit or brake power assist unit.)
S7.10.1 Regular procedure. (This test need not be run if the option in S7.10.2 is selected.) On vehicles with brake power assist units, render the brake power assist unit inoperative, or one of the brake power assist unit subsystems if two or more subsystems are provided, by disconnecting the relevant power supply. Exhaust any residual brake power reserve capability of the disconnected system. On vehicles with brake power units, disconnect the primary source of power. Make four stops, each from 60 mph by a continuous application of the service brake control. Restore the system to normal at completion of this test. For vehicles equipped with more than one brake power unit or brake power assist unit, conduct tests of each in turn.
S7.10.2 Optional Procedures. On vehicles with brake power assist units, the unit is charged to maximum prior to start of test. (Engine may be run up in speed, then throttle closed quickly to attain maximum charge on vacuum assist units.) Brake power units shall also be charged to maximum accumulator pressure prior to start of test. No recharging is allowed after start of test.
(a) (For vehicles with brake power assist units.) Disconnect the primary source of power. Make six stops each from 60 mph, to achieve the average deceleration for each stop as specified in table III. Apply the brake control as quickly as possible. Maintain control force until vehicle has stopped.
(b) (For vehicles with brake power units with accumulator type systems.) Test as in S7.10.2(a), except make 10 stops instead of 6 and, at the completion of the 10 stops, deplete the failed element of the brake power unit of any residual brake power reserve capability before making the final stop.
(c) (For vehicles with brake power assist or brake power units with backup systems.) If the brake power or brake power assist unit operates in conjunction with a backup system and the backup system is activated automatically in the event of a primary power failure, the backup system is operative during this test. Disconnect the primary source of power of one subsystem. Make 15 stops, each from 60 mph, with the backup system activated for the failed subsystem, to achieve an average deceleration of 12 fpsps for each stop.
(d) Restore systems to normal at completion of these tests. For vehicles equipped with more than one brakepower assist or brakepower unit, conduct tests of each in turn.
S7.10.3 Electric brakes.
(a) For vehicles with electrically-actuated service brakes, the tests in S7.10.1 or S7.10.2 are conducted with any single electrical failure in the electric brake system instead of the brake power or brake power assist systems, and all other systems intact.
(b) For EVs with RBS that is part of the service brake system, the tests in S7.10.1 or S7.10.2 are conducted with the RBS discontinued and all other systems intact.
S7.11 Service brake system – first fade and recovery test.
S7.11.1 Baseline check stops or snubs.
S7.11.1.1 Vehicles with GVWR of 10,000 lb or less. Make three stops from 30 mph at 10 fpsps for each stop. Control force readings may be terminated when vehicle speed falls to 5 mph. Average the maximum brake control force required for the three stops.
S7.11.1.2 Vehicles with GVWR greater than 10,000 pounds. With transmission in neutral (or declutched), make three snubs from 40 to 20 mph at 10 fpsps for each snub. Average the maximum brake control force required for the three snubs.
S7.11.2 Fade stops or snubs.
S7.11.2.1 Vehicles with GVWR of 10,000 pounds or less. Make 5 stops from 60 mph at 15 fpsps followed by 5 stops at the maximum attainable deceleration between 5 and 15 fpsps for each stop. Establish an initial brake temperature before the first brake application of 130° to 150 °F. Initial brake temperatures before brake applications for subsequent stops are those occurring at the distance intervals. Attain the required deceleration within 1 second and, as a minimum, maintain it for the remainder of the stopping time. Control force readings may be terminated when vehicle speed falls to 5 mph. Leave an interval of 0.4 mi between the start of brake applications. Accelerate immediately to the initial test speed after each stop. Drive 1 mi at 30 mph after the last fade stop, and immediately follow the recovery procedure specified in S7.11.3.1.
S7.11.2.2 Vehicles with GVWR greater than 10,000 lb. With transmission in neutral (or declutched) make 10 snubs from 40 to 20 mph at 10 fpsps for each snub. Establish an initial brake temperature before the first brake application of 130 °F. to 150 °F. Initial brake temperatures before brake application for subsequent snubs are those occurring in the time intervals specified below. Attain the required deceleration within 1 s and maintain it for the remainder of the snubbing time. Leave an interval of 30 s between snubs (start of brake application to start of brake application). Accelerate immediately to the initial test speed after each snub. Drive for 1.5 mi at 40 mph after the last snub and immediately follow the recovery procedure specified in S7.11.3.2.
S7.11.3 Recovery stops or snubs.
S7.11.3.1 Vehicles with GVWR of 10,000 lb or less. Make five stops from 30 mph at 10 fpsps for each stop. Control force readings may be terminated when vehicle speed falls to 5 mph. Allow a braking distance interval of 1 mi. Immediately after each stop accelerate at maximum rate to 30 mph and maintain that speed until making the next stop. Record the maximum control force for each stop.
S7.11.3.2 Vehicles with GVWR greater than 10,000 lb. With transmission in neutral (or declutched) make five snubs from 40 to 20 mph at 10 fpsps for each snub. After each snub, accelerate at maximum rate to 40 mph and maintain that speed until making the next brake application at a point 1.5 mi from the point of the previous brake application. Record the maximum control force for each snub.
S7.12 Service brake system – second reburnish. Repeat S7.6.
S7.13 Service brake system – second fade and recovery test. Repeat S7.11 except in S7.11.2 run 15 fade stops or 20 snubs instead of 10.
S7.14 Third reburnish. Repeat S7.6.
S7.15 Service brake system – fourth effectiveness test. Repeat S7.5. Then (for passenger cars) make four stops from either 95 mph if the speed attainable in 2 mi is 99 to (but not including) 104 mph, or 100 mph if the speed attainable in 2 mi is 104 mph or greater.
S7.16 Service brake system – water recovery test.
S7.16.1 Baseline check stop. Make three stops from 30 mph at 10 fpsps for each stop. Control force readings may be terminated when vehicle speed falls to 5 mph. Average the maximum brake control force required for the three stops.
S7.16.2 Wet brake recovery stops. With the brakes fully released at all times, drive the vehicle for 2 min at a speed of 5 mph in any combination of forward and reverse directions, through a trough having a water depth of 6 in. After leaving the trough, immediately accelerate at a maximum rate to 30 mph without a brake application. Immediately upon reaching that speed make five stops, each from 30 mph at 10 fpsps for each stop. After each stop (except the last), accelerate the vehicle immediately at a maximum rate to a speed of 30 mph and begin the next stop.
S7.17 Spike stops. Make 10 successive spike stops from 30 mph with the transmission in neutral, with no reverse stops. Make spike stops by applying a control force of 200 lb while recording control force versus time. Maintain control force until vehicle has stopped. At completion of 10 spike stops, make six effectiveness stops from 60 mph.
S7.18 Final inspection. Inspect –
(a) The service brake system for detachment or fracture of any components, such as brake springs and brake shoes or disc pad facing.
(b) The friction surface of the brake, the master cylinder or brake power unit reservoir cover and seal and filler openings, for leakage of brake fluid or lubricant.
(c) The master cylinder or brake power unit reservoir for compliance with the volume and labeling requirements of S5.4.2 and S5.4.3. In determining the fully applied worn condition assume that the lining is worn to: (1) Rivet or bolt heads on riveted or bolted linings, or (2) within one thirty-seconds of an inch of shoe or pad mounting surface on bonded linings, or (3) the limit recommended by the manufacturer, whichever is larger relative to the total possible shoe or pad movement. Drums or rotors are assumed to be at nominal design drum diameter or rotor thickness. Linings are assumed adjusted for normal operating clearance in the released position.
(d) The brake system indicator light(s), for compliance with operation in various key positions, lens color, labeling, and location, in accordance with S5.3.
S7.19 Moving barrier test. (Only for vehicles that have been tested according to S7.7.2.) Load the vehicle to GVWR, release parking brake, and place the transmission selector control to engage the parking mechanism. With a moving barrier as described in paragraph 4.3 of SAE Recommended Practice J972 (2000) (incorporated by reference, see § 571.5), impact the vehicle from the front at 2
The vehicle used for this test need not be the same vehicle that has been used for the braking tests.
The second thermocouple shall be installed at .080 inch depth within 1 inch circumferentially of the thermocouple installed at .040 inch depth.
Table I – Brake Test Procedure Sequence and Requirements
| Sequence | Test load | Test procedure | Requirements | |
|---|---|---|---|---|
| Light | GVWR | |||
| 1. Instrumentation check | S7.2 | |||
| 2. First (preburnish) effectiveness test | X | S7.3 | S5.1.1.1 | |
| 3. Burnish procedure | X | S7.4 | ||
| 4. Second effectiveness test | X | S7.5(b) | S5.1.1.2 | |
| 5. First reburnish | X | S7.6 | ||
| 6. Parking brake | X | X | S7.7 | S5.2 |
| 7. Stability and control during braking (braking-in-a-curve test) | X | S7.5(a) | S5.1.7 | |
| 8. Third effectiveness (lightly loaded vehicle) | X | S7.8 | S5.1.1.3 | |
| 9. Partial failure | X | X | S7.9 | S5.1.2 |
| 10. Inoperative brake power and power assist units | X | S7.10 | S5.1.3 | |
| 11. First fade and recovery | X | S7.11 | S5.1.4 | |
| 12. Second reburnish | X | S7.12 | ||
| 13. Second fade and recovery | X | S7.13 | S5.1.4 | |
| 14. Third reburnish | X | S7.14 | ||
| 15. Fourth effectiveness | X | S7.15 | S5.1.1.4 | |
| 16. Water recovery | X | S7.16 | S5.1.5 | |
| 17. Spike stops | X | S7.17 | S5.1.6 | |
| 18. Final inspection | S7.18 | S5.6 | ||
| 19. Moving barrier test | X | S7.19 | S5.2.2.3 | |
Table III – Inoperative Brake Power Assist and Brake Power Units
| Stop No. | Average deceleration, FPSPS | Equivalent stopping distance, feet | ||||||
|---|---|---|---|---|---|---|---|---|
| Column 1 – brake power assist | Column 2 – brake power unit | Column 3 – brake power assist | Column 4 – brake power unit | |||||
| (a) | (b) and (c) | (a) | (b) and (c) | (a) | (b) and (c) | (a) | (b) and (c) | |
| 1 | 16.0 | 14.0 | 16.0 | 13.0 | 242 | 277 | 242 | 298 |
| 2 | 12.0 | 12.0 | 13.0 | 11.0 | 323 | 323 | 298 | 352 |
| 3 | 10.0 | 10.0 | 12.0 | 10.0 | 388 | 388 | 323 | 388 |
| 4 | 9.0 | 8.5 | 11.0 | 9.5 | 431 | 456 | 352 | 409 |
| 5 | 8.0 | 7.5 | 10.0 | 9.0 | 484 | 517 | 388 | 431 |
| 6 | 7.5 | 6.7 | 9.5 | 8.5 | 517 | 580 | 409 | 456 |
| 7 | 1 7.0 | 1 6.0 | 9.0 | 8.0 | 554 | 646 | 431 | 484 |
| 8 | NA | NA | 8.5 | 7.5 | NA | NA | 456 | 517 |
| 9 | NA | NA | 8.0 | 7.0 | NA | NA | 484 | 554 |
| 10 | NA | NA | 7.5 | 6.5 | NA | NA | 517 | 596 |
| 11 | NA | NA | 1 7.0 | 1 6.0 | NA | NA | 554 | 646 |
1 Depleted. (a) Passenger cars; (b) vehicles other than passenger cars with GVWR of 10,000 lbs or less; (c) vehicles with GVWR greater than 10,000 lbs; NA = Not applicable.
§ 571.106 Standard No. 106; Brake hoses.
S1. Scope. This standard specifies labeling and performance requirements for motor vehicle brake hose, brake hose assemblies, and brake hose end fittings.
S2. Purpose. The purpose of this standard is to reduce deaths and injuries occurring as a result of brake system failure from pressure or vacuum loss due to hose or hose assembly rupture.
S3. Application. This standard applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, and motorcycles, and to hydraulic, air, and vacuum brake hose, brake hose assemblies, and brake hose end fittings for use in those vehicles.
S4. Definitions.
Armor means protective material installed on a brake hose to increase the resistance of the hose or hose assembly to abrasion or impact damage.
Brake hose means a flexible conduit, other than a vacuum tubing connector, manufactured for use in a brake system to transmit or contain the fluid pressure or vacuum used to apply force to a vehicle’s brakes. For hose, a dimensional description such as “
Brake hose assembly means a brake hose, with or without armor, equipped with end fittings for use in a brake system, but does not include an air or vacuum assembly prepared by the owner or operator of a used vehicle, by his employee, or by a repair facility, for installation in that used vehicle.
Brake hose end fitting means a coupler, other than a clamp, designed for attachment to the end of a brake hose.
Free length means the linear measurement of hose exposed between the end fittings of a hose assembly in a straight position.
Permanently attached end fitting means an end fitting that is attached by deformation of the fitting about the hose by crimping or swaging, or an end fitting that is attached by use of a sacrificial sleeve or ferrule that requires replacement each time a hose assembly is rebuilt.
Preformed means a brake hose that is manufactured with permanent bends and is shaped to fit a specific vehicle without further bending.
Rupture means any failure that results in separation of a brake hose from its end fitting or in leakage.
Vacuum tubing connector means a flexible conduit of vacuum that (i) connects metal tubing to metal tubing in a brake system, (ii) is attached without end fittings, and (iii) when installed, has an unsupported length less than the total length of those portions that cover the metal tubing.
S5. Requirements – hydraulic brake hose, brake hose assemblies, and brake hose end fittings.
S5.1 Construction. (a) Each hydraulic brake hose assembly shall have permanently attached brake hose end fittings which are attached by deformation of the fitting about the hose by crimping or swaging.
(b) Each hydraulic brake hose assembly that is equipped with a permanent supplemental support integrally attached to the assembly and is manufactured as a replacement for use on a vehicle not equipped, as an integral part of the vehicle’s original design, with a means of attaching the support to the vehicle shall be equipped with a bracket that is integrally attached to the supplemental support and that adapts the vehicle to properly accept this type of brake hose assembly.
S5.2 Labeling.
S5.2.1 Each hydraulic brake hose, except hose sold as part of a motor vehicle, shall have at least two clearly identifiable stripes of at least one-sixteenth of an inch in width, placed on opposite sides of the brake hose parallel to its longitudinal axis. One stripe may be interrupted by the information required by S5.2.2, and the other stripe may be interrupted by additional information at the manufacturer’s option. However, hydraulic brake hose manufactured for use only in an assembly whose end fittings prevent its installation in a twisted orientation in either side of the vehicle, need not meet the requirements of S5.2.1.
S5.2.2 Each hydraulic brake hose shall be labeled, or cut from bulk hose that is labeled, at intervals of not more than 6 inches, measured from the end of one legend to the beginning of the next, in block capital letters and numerals at least one-eighth of an inch high, with the information listed in paragraphs (a) through (e) of this section. The information need not be present on hose that is sold as part of a brake hose assembly or a motor vehicle.
(a) The symbol DOT, constituting a certification by the hose manufacturer that the hose conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The marking may consist of a designation other than block capital letters required by S5.2.2.
(c) The month, day, and year, or the month and year, of manufacture, expressed in numerals. For example, 10/1/96 means October 1, 1996.
(d) The nominal inside diameter of the hose expressed in inches or fractions of inches, or in millimeters followed by the abbreviation “mm.”
(e) Either “HR” to indicate that the hose is regular expansion hydraulic hose or “HL” to indicate that the hose is low expansion hydraulic hose.
S5.2.3 Package labeling for brake hose assemblies designed to be used with a supplemental support. (a) Each hydraulic brake hose assembly that is equipped with a permanent supplemental support integrally attached to the assembly and is manufactured as a replacement assembly for a vehicle equipped, as an integral part of the vehicle’s original design, with a means of attaching the support to the vehicle shall be sold in a package that is marked or labeled as follows: “FOR USE ON [insert Manufacturer, Model Name] ONLY”;
(b) Each hydraulic brake hose assembly that is equipped with a permanent supplemental support integrally attached to the assembly and is manufactured as a replacement for use on a vehicle not equipped, as an integral part of the vehicle’s original design, with a means of attaching the support to the vehicle shall comply with paragraphs (a) (1) and (2) of this section:
(1) Be sold in a package that is marked or labeled as follows: “FOR USE ONLY WITH A SUPPLEMENTAL SUPPORT.”
(2) Be accompanied by clear, detailed instructions explaining the proper installation of the brake hose and the supplemental support bracket to the vehicle and the consequences of not attaching the supplemental support bracket to the vehicle. The instructions shall be printed on or included in the package specified in paragraph (a)(1) of this section.
S5.2.4 Each hydraulic brake hose assembly, except those sold as part of a motor vehicle, shall be labeled by means of a band around the brake hose assembly as specified in this paragraph or, at the option of the manufacturer, by means of labeling as specified in S5.2.4.1. The band may at the manufacturer’s option be attached so as to move freely along the length of the assembly, as long as it is retained by the end fittings. The band shall be etched, embossed, or stamped in block capital letters, numerals or symbols at least one-eighth of an inch high, with the following information:
(a) The symbol DOT constituting certification by the hose assembler that the hose assembly conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose assembly, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The designation may consist of block capital letters, numerals or a symbol.
S5.2.4.1 At least one end fitting of a hydraulic brake hose assembly shall be etched, stamped or embossed with a designation at least one-sixteenth of an inch high that identifies the manufacturer of the hose assembly and is filed in accordance with S5.2.4(b).
S5.3 Test requirements. A hydraulic brake hose assembly or appropriate part thereof shall be capable of meeting any of the requirements set forth under this heading, when tested under the conditions of S13 and the applicable procedures of S6. However, a particular hose assembly or appropriate part thereof need not meet further requirements after having been subjected to and having met the constriction requirement (S5.3.1) and any one of the requirements specified in S5.3.2 through S5.3.13.
S5.3.1 Constriction. Except for that part of an end fitting which does not contain hose, every inside diameter of any section of a hydraulic brake hose assembly shall be not less than 64 percent of the nominal inside diameter of the brake hose (S6.12).
S5.3.2 Expansion and burst strength. The maximum expansion of a hydraulic brake hose assembly at 1,000 psi, 1,500 psi and 2,900 psi shall not exceed the values specified in Table I (S6.1), except that a brake hose larger than
Table I – Maximum Expansion of Free Length Brake Hose, CC/FT
| Hydraulic brake hose, inside diameter | Test pressure | |||||
|---|---|---|---|---|---|---|
| 1,000 psi | 1,500 psi | 2,900 psi | ||||
| Regular expansion hose | Low expansion hose | Low expansion hose | Regular expansion hose | Regular expansion hose | Low expansion hose | |
| 0.66 | 0.33 | 0.79 | 0.42 | 1.21 | 0.61 | |
| > | 0.86 | 0.55 | 1.02 | 0.72 | 1.67 | 0.91 |
| > | 1.04 | 0.82 | 1.30 | 1.17 | * | * |
S5.3.3 Whip resistance. A hydraulic brake hose assembly shall not rupture when run continuously on a flexing machine for 35 hours (S6.3).
S5.3.4 Tensile strength. A hydraulic brake hose assembly shall withstand a pull of 325 pounds without separation of the hose from its end fittings during a slow pull test, and shall withstand a pull of 370 pounds without separation of the hose from its end fittings during a fast pull test (S6.4).
S5.3.5 Water absorption and burst strength. A hydraulic brake hose assembly, after immersion in water for 70 hours (S6.5), shall withstand water pressure of 4,000 psi for 2 minutes, and then shall not rupture at less than 5,000 psi (S6.2).
S5.3.6 Water absorption and tensile strength. A hydraulic brake hose assembly, after immersion in water for 70 hours (S6.5), shall withstand a pull of 325 pounds without separation of the hose from its end fittings during a slow pull test, and shall withstand a pull of 370 pounds without separation of the hose from its end fittings during a fast pull test (S6.4).
S5.3.7 Water absorption and whip resistance. A hydraulic brake hose assembly, after immersion in water for 70 hours (S6.5), shall not rupture when run continuously on a flexing machine for 35 hours (S6.3).
S5.3.8 Low-temperature resistance. A hydraulic brake hose conditioned at a temperature between minus 49 degrees Fahrenheit (minus 45 degrees Celsius) and minus 54 degrees Fahrenheit (minus 48 degrees Celsius) for 70 hours shall not show cracks visible without magnification when bent around a cylinder as specified in S6.6 (S6.6).
S5.3.9 Brake fluid compatibility, constriction, and burst strength. Except for brake hose assemblies designed for use with mineral or petroleum-based brake fluids, a hydraulic brake hose assembly shall meet the constriction requirement of S5.3.1 after having been subjected to a temperature of 248 degrees Fahrenheit (120 degrees Celsius) for 70 hours while filled with SAE RM-66-04 “Compatibility Fluid,” as described in Appendix B of SAE Standard J1703 JAN95 (incorporated by reference, see § 571.5). It shall then withstand water pressure of 4,000 psi for 2 minutes and thereafter shall not rupture at less than 5,000 psi (S6.2 except all sizes of hose are tested at 5,000 psi).
S5.3.10 Ozone resistance. A hydraulic brake hose shall not show cracks visible under 7-power magnification after exposure to ozone for 70 hours at 104 °F. (S6.8).
S5.3.11 Dynamic ozone test. A hydraulic brake hose shall not show cracks visible without magnification after having been subjected to a 48-hour dynamic ozone test (S6.9).
S5.3.12 High temperature impulse test. A brake hose assembly tested under the conditions in S6.10:
(a) Shall withstand pressure cycling for 150 cycles, at 295 degrees Fahrenheit (146 degrees Celsius) without leakage;
(b) Shall not rupture during a 2-minute, 4,000 psi pressure hold test, and;
(c) Shall not burst at a pressure less than 5,000 psi.
S5.3.13 End fitting corrosion resistance. After 24 hours of exposure to salt spray, a hydraulic brake hose end fitting shall show no base metal corrosion on the end fitting surface except where crimping or the application of labeling information has caused displacement of the protective coating (S6.11).
S6. Test procedures – Hydraulic brake hose, brake hose assemblies, and brake hose end fittings.
S6.1. Expansion test.
S6.1.1 Apparatus. Utilize a test apparatus (as shown in Figure 1) which consists of:
(a) Source for required fluid pressure;
(b) Test fluid of water without any additives and free of gases;
(c) Reservoir for test fluid;
(d) Pressure gauges;
(e) Brake hose end fittings in which to mount the hose vertically; and
(f) Graduate burette with 0.05 cc increments.
S6.1.2 Preparation. (a) Measure the free length of the hose assembly.
(b) Mount the hose so that it is in a vertical straight position without tension when pressure is applied.
(c) Fill the hose with test fluid and bleed all gases from the system.
(d) Close the valve to the burette and apply 1,500 psi for 10 seconds; then release pressure.
S6.1.3 Calculation of expansion at 1,000 and 1,500 psi. (a) Adjust the fluid level in the burette to zero.
(b) Close the valve to the burette, apply pressure at the rate of 15,000 psi per minute, and seal 1,000 psi in the hose (1,500 psi in the second series, and 2,900 psi in the third series).
(c) After 3 seconds open the valve to the burette for 10 seconds and allow the fluid in the expanded hose to rise into the burette.
(d) Repeat the procedure in steps (b) and (c) twice. Measure the amount of test fluid which has accumulated in the burette as a result of the three applications of pressure.
(e) Calculate the volumetric expansion per foot by dividing the total accumulated test fluid by 3 and further dividing by the free length of the hose in feet.
S6.2 Burst strength test. (a) Connect the brake hose to a pressure system and fill it completely with water, allowing all gases to escape.
(b) Apply water pressure of 4,000 psi at a rate of 15,000 psi per minute.
(c) After 2 minutes at 4,000 psi, increase the pressure at the rate of 15,000 psi per minute until the pressure exceeds 5,000 psi for a brake hose larger than
S6.3 Whip resistance test.
S6.3.1 Apparatus. Utilize test apparatus that is dynamically balanced and includes:
(a) A movable header consisting of a horizontal bar equipped with capped end fittings and mounted through bearings at each end to points 4 inches from the center of two vertically rotating disks whose edges are in the same vertical plane;
(b) An adjustable stationary header parallel to the movable header in the same horizontal plane as the centers of the disks, and fitted with open end fittings;
(c) An elapsed time indicator; and
(d) A source of water pressure connected to the open end fittings.
S6.3.2 Preparation. (a) Except for the supplemental support specified in S6.3.2(d), remove all external appendages including, but not limited to, hose armor, chafing collars, mounting brackets, date band and spring guards.
(b) Measure the hose free length.
(c) Mount the hose in the whip test machine, introducing slack as specified in Table II for the size hose tested, measuring the projected length parallel to the axis of the rotating disks. The manufacturer may, at his option, adapt the fitting attachment points to permit mounting hose assemblies equipped with angled or other special fittings in the same orientation as hose assemblies equipped with straight fittings.
(d) In the case of a brake hose assembly equipped with a permanent supplemental support integrally attached to the assembly, the assembly may be mounted using the supplemental support and associated means of simulating its attachment to the vehicle. Mount the supplemental support in the same vertical and horizontal planes as the stationary header end of the whip test fixture described in S6.3.1(b). Mount or attach the supplemental support so that it is positioned in accordance with the recommendation of the assembly manufacturer for attaching the supplemental support on a vehicle.
Table II – Hose Lengths
| Free length between end fittings, inches | Slack, inches | |
|---|---|---|
| More than | ||
| 8 to 15 | 1.750 | |
| 10 to 15 | 1,000 | |
| Over 15 | 1.250 | |
| Over 19 to 24, inclusive | 0.750 | |
S6.3.3 Operation. (a) Apply 235 psi water pressure and bleed all gases from the system.
(b) Drive the movable head at 800 rpm.
S6.4 Tensile strength test. Utilize a tension testing machine conforming to the requirements of ASTM E4-03 (incorporated by reference, see § 571.5) and provided with a recording device to measure the force applied.
S6.4.1 Preparation. Mount the hose assembly to ensure straight, evenly distributed machine pull.
S6.4.2 Operation. (a) Conduct the slow pull test by applying tension at a rate of 1 inch per minute travel of the moving head until separation occurs.
(b) Conduct the fast pull test by applying tension at a rate of 2 inches per minute travel of the moving head until separation occurs.
S6.5 Water absorption sequence tests. (a) Prepare three brake hose assemblies and measure the free length of the hose assemblies.
(b) Immerse the brake hose assemblies in distilled water at 185 degrees Fahrenheit (85 degrees Celsius) for 70 hours. Remove the brake hose assemblies from the water and condition in air at room temperature for 30 minutes.
(c) Conduct the tests in S6.2, S6.3, and S6.4, using a different hose for each sequence.
S6.6 Low temperature resistance test.
S6.6.1 Preparation. (a) Remove hose armor, if any, and condition the hose in a straight position in air at a temperature between minus 49 degrees Fahrenheit and minus 54 degrees Fahrenheit (minus 45 degrees Celsius and minus 48 degrees Celsius) for 70 hours.
(b) Condition a cylinder in air at a temperature between minus 49 degrees Fahrenheit and minus 54 degrees Fahrenheit (minus 45 degrees Celsius and minus 48 degrees Celsius) for 70 hours, using a cylinder of 2
S6.6.2 Flexibility testing. Bend the conditioned hose 180 degrees around the conditioned cylinder at a steady rate in a period of 3 to 5 seconds. Examine without magnification for cracks.
S6.7 Brake fluid compatibility test.
S6.7.1 Preparation. (a) Attach a hose assembly below a 1-pint reservoir filled with 100 ml. of SAE RM-66-04 Compatibility Fluid as shown in Figure 2.
(b) Fill the hose assembly with brake fluid, seal the lower end, and place the test assembly in an oven in a vertical position.
S6.7.2 Oven treatment. (a) Condition the hose assembly at 200 °F. for 70 hours.
(b) Cool the hose assembly at room temperature for 30 minutes.
(c) Drain the brake hose assembly, immediately determine that every inside diameter of any section of the hose assembly, except for that part of an end fitting which does not contain hose, is not less than 64 percent of the nominal inside diameter of the hose, and conduct the test specified in S6.2.
S6.8 Ozone resistance test. Utilize a cylinder with a diameter eight times the nominal outside diameter of the brake hose excluding armor.
S6.8.1 Preparation. After removing any armor, bind a hydraulic brake hose 360° around the cylinder. In the case of hose shorter than the circumference of the cylinder, bend the hose so that as much of its length as possible is in contact.
S6.8.2 Exposure to ozone. (a) Condition the hose on the cylinder in air at room temperature for 24 hours.
(b) Immediately thereafter, condition the hose on the cylinder for 70 hours in an exposure chamber having an ambient air temperature of 104 degrees Fahrenheit (40 degrees Celsius) during the test and containing air mixed with ozone in the proportion of 100 parts of ozone per 100 million parts of air by volume.
(c) Examine the hose for cracks under 7-power magnification, ignoring areas immediately adjacent to or within the area covered by binding.
S6.9 Dynamic ozone test.
S6.9.1 Apparatus. Utilize a test apparatus shown in Figure 3 which is constructed so that:
(a) It has a fixed pin with a vertical orientation over which one end of the brake hose is installed.
(b) It has a movable pin that is oriented 30 degrees from vertical, with the top of the movable pin angled towards the fixed pin. The moveable pin maintains its orientation to the fixed pin throughout its travel in the horizontal plane. The other end of the brake hose is installed on the movable pin.
S6.9.2 Preparation. (a) Precondition the hose assembly by laying it on a flat surface in an unstressed condition, at room temperature, for 24 hours.
(b) Cut the brake hose assembly to a length of 8.6 inches (218 mm), such that no end fittings remain on the cut hose.
(c) Mount the brake hose onto the test fixture by fully inserting the fixture pins into each end of the hose. Secure the hose to the fixture pins using a band clamp at each end of the hose.
(d) Place the test fixture into an ozone chamber
(e) Stabilize the atmosphere in the ozone chamber so that the ambient temperature is 104 °F (40 degrees Celsius) and the air mixture contains air mixed with ozone in the proportion of 100 parts of ozone per 100 million parts of air by volume. This atmosphere is to remain stable throughout the remainder of the test.
(f) Begin cycling the movable pin at a rate of 0.3 Hz. Continue the cycling for 48 hours.
(g) At the completion of 48 hours of cycling, remove the test fixture from the ozone chamber. Without removing the hose from the test fixture, visually examine the hose for cracks without magnification, ignoring areas immediately adjacent to or within the area covered by the band clamps. Examine the hose with the movable pin at any point along its travel.
S6.10 High temperature impulse test.
S6.10.1 Apparatus. (a) A pressure cycling machine to which one end of the brake hose assembly can be attached, with the entire hose assembly installed vertically inside of a circulating air oven. The machine shall be capable of increasing the pressure in the hose from zero psi to 1600 psi, and decreasing the pressure in the hose from 1600 psi to zero psi, within 2 seconds.
(b) A circulating air oven that can reach a temperature of 295 degrees Fahrenheit (146 degrees Celsius) within 30 minutes, and that can maintain a constant 295 degrees F (146 degrees Celsius) thereafter, with the brake hose assembly inside of the oven and attached to the pressure cycling machine.
(c) A burst test apparatus to conduct testing specified in S6.2
S6.10.2 Preparation. (a) Connect one end of the hose assembly to the pressure cycling machine and plug the other end of the hose. Fill the pressure cycling machine and hose assembly with SAE RM-66-04 “Compatibility Fluid,” as described in Appendix B of SAE Standard J1703 JAN95 (incorporated by reference, see § 571.5) and bleed all gases from the system.
(b) Place the brake hose assembly inside of the circulating air oven in a vertical position. Increase the oven temperature to 295 degrees F (146 degrees Celsius) and maintain this temperature throughout the pressure cycling test.
(c) During each pressure cycle, the pressure in the hose is increased from zero psi to 1600 psi and held constant for 1 minute, then the pressure is decreased from 1600 psi to zero psi and held constant for 1 minute. Perform 150 pressure cycles on the brake hose assembly.
(d) Remove the brake hose assembly from the oven, disconnect it from the pressure cycling machine, and drain the fluid from the hose. Cool the brake hose assembly at room temperature for 45 minutes.
(e) Wipe the brake hose using acetone to remove residual Compatibility Fluid. Conduct the burst strength test in S6.2, except all sizes of hose are tested at 5,000 psi.
S6.11 End fitting corrosion test. Utilize the apparatus described in ASTM B117-03 (incorporated by reference, see § 571.5).
S6.11.1 Construction. Construct the salt spray chamber so that:
(a) The construction material does not affect the corrosiveness of the fog.
(b) The hose assembly is supported or suspended 30 degrees from the vertical and parallel to the principal direction of the horizontal flow of fog through the chamber.
(c) The hose assembly does not contact any metallic material or any material capable of acting as a wick
(d) Condensation which falls from the assembly does not return to the solution reservoir for respraying.
(e) Condensation from any source does not fall on the brake hose assemblies or the solution collectors.
(f) Spray from the nozzles is not directed onto the hose assembly.
S6.11.2 Preparation. (a) Plug each end of the hose assembly.
(b) Mix a salt solution five parts by weight of sodium chloride to 95 parts of distilled water, using sodium chloride substantially free of nickel and copper, and containing on a dry basis not more than 0.1 percent of sodium iodide and not more than 0.3 percent total impurities. Ensure that the solution is free of suspended solids before the solution is atomized.
(c) After atomization at 95 degrees Fahrenheit (35 degrees Celsius), ensure that the collected solution is in the PH range of 6.5 to 7.2. Make the PH measurements at 77 degrees Fahrenheit (28 degrees Celsius).
(d) Maintain a compressed air supply to the nozzle or nozzles free of oil and dirt and between 10 and 25 psi.
S6.11.3 Operation. Subject the brake hose assembly to the salt spray continuously for 24 hours.
(a) Regulate the mixture so that each collector will collect from 1 to 2 milliliters of solution per hour for each 80 square centimeters of horizontal collecting area.
(b) Maintain exposure zone temperature at 95 degrees Fahrenheit (35 degrees Celsius).
(c) Upon completion, remove the salt deposit from the surface of the hose by washing gently or dipping in clean running water not warmer than 100 degrees Fahrenheit (38 degrees Celsius) and then drying immediately.
S6.12 Constriction test. Brake hose constriction test requirements shall be met using at least one of the methods specified in S6.12.1, S6.12.2, or S6.12.3.
S6.12.1 Plug gauge. (a) Utilize a plug gauge as shown in Figure 4. Diameter “A” is equal to 64 percent of the nominal inside diameter of the hydraulic brake hose being tested.
(b) Brake hose assemblies that are to be used for additional testing have constriction testing only at each end fitting. Other brake hose assemblies may be cut into 3-inch lengths to permit constriction testing of the entire assembly. Hose assemblies with end fittings that do not permit entry of the gauge (e.g., restrictive orifice or banjo fitting) are cut 3 inches from the point at which the hose terminates in the end fitting and then tested from the cut end.
(c) Hold the brake hose in a straight position and vertical orientation.
(d) Place the spherical end of the plug gauge just inside the hose or end fitting. If the spherical end will not enter the hose or end fitting using no more force than gravity acting on the plug gauge, this constitutes failure of the constriction test.
(e) Release the plug gauge. Within 3 seconds, the plug gauge shall fall under the force of gravity alone up to the handle of the gauge. If the plug gauge does not fully enter the hose up to the handle of the gauge within three seconds, this constitutes failure of the constriction test.
S6.12.2 Extended plug gauge. (a) The test in 6.12.1 may be conducted with an extended plug gauge to enable testing of the entire brake hose from one end fitting, without cutting the brake hose. The extended plug gauge weight and spherical diameter specifications are as shown in Figure 4, but the handle portion of the gauge may be deleted and the gauge length may be greater than 3 inches.
(b) The required performance of the extended plug gauge in S6.12.1(e) is that after the plug gauge is released, the extended plug gauge shall fall under the force of gravity alone at an average rate of 1 inch per second until the spherical diameter of the extended gauge passes through all portions of the brake hose assembly containing hose. If the extended plug gauge does not pass through all portions of the brake hose assembly containing hose at an average rate of 1 inch per second, this constitutes failure of the constriction test.
S6.12.3 Drop ball test. (a) Utilize a rigid spherical ball with a diameter equal to 64 percent of the nominal inside diameter of the hydraulic brake hose being tested. The weight of the spherical ball shall not exceed 2 ounces (57 grams).
(b) Hold the brake hose in a straight position and vertical orientation.
(c) Hold the ball just above the end fitting.
(d) Release the ball. The ball shall fall under the force of gravity alone completely through all portions of the brake hose assembly containing hose, at an average rate of 1 inch per second. Failure of the ball to pass completely through all portions of the brake hose assembly containing hose, at an average rate of 1 inch per second, constitutes failure of the constriction test.
S7. Requirements – Air brake hose, brake hose assemblies, and brake hose end fittings.
S7.1 Construction. Each air brake hose assembly shall be equipped with permanently attached brake hose end fittings or reusable brake hose end fittings. Each air brake hose constructed of synthetic or natural elastomeric rubber shall conform to the dimensional requirements specified in Table III, except for brake hose manufactured in metric sizes.
S7.2 Labeling
S7.2.1 Hose. Each air brake hose shall be labeled, or cut from bulk hose that is labeled, at intervals of not more than 6 inches, measured from the end of one legend to the beginning of the next, in block capital letters and numerals at least one-eighth of an inch high, with the information listed in paragraphs (a) through (e) of this section. The information need not be present on hose that is sold as part of a brake hose assembly or a motor vehicle.
(a) The symbol DOT, constituting a certification by the hose manufacturer that the hose conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The designation may consist of block capital letters, numerals, or a symbol.
(c) The month, day, and year, or the month and year, of manufacture, expressed in numerals. For example, 10/1/96 means October 1, 1996.
(d) The nominal inside diameter of the hose expressed in inches or fractions of inches or in millimeters. The abbreviation “mm” shall follow hose sizes that are expressed in millimeters. (Examples:
(e) The type designation corresponding to the brake hose dimensions in Table III. Type A shall be labeled with the letter “A”, Type AI shall be labeled with the letters “AI”, and type AII shall be labeled with the letters “AII”. Metric air brake hose shall be labeled with the letter “A.”
Table III – Air Brake Hose Dimensions – Inside Diameter (ID) and Outside Diameter (OD) Dimensions in Inches (Millimeters)
| Type A – Hose Size – Nominal Inside Diameter | ||||||
|---|---|---|---|---|---|---|
(1) | ||||||
| Min. I.D. | 0.227 (5.8) | 0.289 (7.3) | 0.352 (8.9) | 0.407 (10.3) | 0.469 (11.9) | 0.594 (15.1) |
| Max. I.D. | 0.273 (6.9) | 0.335 (8.5) | 0.398 (10.1) | 0.469 (11.9) | 0.531 (13.5) | 0.656 (16.7) |
| Min. O.D. | 0.594 (15.1) | 0.656 (16.7) | 0.719 (18.3) | 0.781 (19.8) | 0.844 (21.4) | 1.031 (26.2) |
| Max. O.D. | 0.656 (16.7) | 0.719 (18.3) | 0.781 (19.8) | 0.843 (21.4) | 0.906 (23.0) | 1.094 (27.8) |
| Type AI (2) – Hose Size – Nominal Inside Diameter | ||||||
| Min. I.D. | 0.188 (4.8) | 0.250 (6.4) | 0.312 (7.9) | 0.406 (10.3) | 0.500 (12.7) | 0.625 (15.9) |
| Max. I.D. | 0.214 (5.4) | 0.281 (7.1) | 0.343 (8.7) | 0.437 (11.1) | 0.539 (13.7) | 0.667 (16.9) |
| Min. O.D. | 0.472 (12.0) | 0.535 (13.6) | 0.598 (15.1) | 0.714 (18.1) | 0.808 (20.5) | 0.933 (23.7) |
| Max. O.D. | 0.510 (13.0) | 0.573 (14.6) | 0.636 (16.2) | 0.760 (19.3) | 0.854 (21.7) | 0.979 (24.9) |
| Type AII (2) – Hose Size – Nominal Inside Diameter | ||||||
| Min. I.D. | 0.188 (4.8) | 0.250 (6.4) | 0.312 (7.9) | 0.406 (10.3) | 0.500 (12.7) | 0.625 (15.9) |
| Max. I.D. | 0.214 (5.4) | 0.281 (7.1) | 0.343 (8.7) | 0.437 (11.1) | 0.539 (13.7) | 0.667 (16.9) |
| Min. O.D. | 0.500 (12.7) | 0.562 (14.3) | 0.656 (16.7) | 0.742 (18.8) | 0.898 (22.8) | 1.054 (26.8) |
| Max. O.D. | 0.539 (13.7) | 0.602 (15.3) | 0.695 (17.7) | 0.789 (20.1) | 0.945 (24.0) | 1.101 (27.9) |
(1) Notes: Type A, sizes
(2) Types AI and AII, all sizes, can be assembled with reusable or permanently-attached (crimped) end fittings.
S7.2.2 End fittings. Except for an end fitting that is attached by deformation of the fitting about a hose by crimping or swaging, at least one component of each air brake hose fitting shall be etched, embossed, or stamped in block capital letters and numerals at least one-sixteenth of an inch high with the following information:
(a) The symbol DOT, constituting a certification by the manufacturer of that component that the component conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of that component of the fitting, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. S.W., Washington, DC 20590. The designation may consist of block capital letters, numerals, or a symbol.
(c) The letter “A” shall indicate intended use in air brake systems. In the case of an end fitting intended for use in a reusable assembly with brake hose subject to Table III, “AI” or “AII” shall indicate use with Type I or Type II hose, respectively.
(d) The nominal inside diameter of the hose to which the fitting is properly attached expressed in inches or fractions of inches or in millimeters. (See examples in S7.2.1 (d).) The abbreviation “mm” shall follow hose sizes that are expressed in millimeters.
S7.2.3 Assemblies. Each air brake hose assembly made with end fittings that are attached by crimping or swaging, except those sold as part of a motor vehicle, shall be labeled by means of a band around the brake hose assembly as specified in this paragraph or, at the option of the manufacturer, by means of labeling as specified in S7.2.3.1. The band may at the manufacturer’s option be attached so as to move freely along the length of the assembly, as long as it is retained by the end fittings. The band shall be etched, embossed, or stamped in block capital letters, numerals or symbols at least one-eighth of an inch high, with the following information:
(a) The symbol DOT, constituting certification by the hose assembler that the hose assembly conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose assembly, which shall be filed in writing with: Office of Crash Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The designation may consist of block capital letters, numerals or a symbol.
S7.2.3.1 At least one end fitting of an air brake hose assembly made with end fittings that are attached by crimping or swaging shall be etched, stamped or embossed with a designation at least one-sixteenth of an inch high that identifies the manufacturer of the hose assembly and is filed in accordance with S7.2.3(b).
S7.3 Test requirements. Each air brake hose assembly or appropriate part thereof shall be capable of meeting any of the requirements set forth under this heading, when tested under the conditions of S13 and the applicable procedures of S8. However, a particular hose assembly or appropriate part thereof need not meet further requirements after having met the constriction requirement (S7.3.1) and then having been subjected to any one of the requirements specified in S7.3.2 through S7.3.13.
S7.3.1 Constriction. Every inside diameter of any section of an air brake hose assembly shall not be less than 66 percent of the nominal inside diameter of the brake hose. (S8.14)
S7.3.2 High temperature resistance. An air brake hose shall not show external or internal cracks, charring, or disintegration visible without magnification when straightened after being bent for 70 hours at 212 degrees Fahrenheit (100 degrees Celsius) over a small test cylinder having the radius specified in Table IV for the size of hose tested. (S8.1)
S7.3.3 Low temperature resistance. The inside and outside surfaces of an air brake hose shall not show cracks as a result of conditioning at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 70 hours when bent around a large test cylinder having the radius specified in Table IV for the size of hose tested (S8.2).
Table IV – Air Brake Hose Diameters and Test Cylinder Radii
| Nominal hose inside diameter, inches 1 | |||||||
| Nominal hose inside diameter, millimeters 1 | 4, 5 | 6 | 8 | 10 | 12 | 16 | |
| Small test cylinder, radius in inches (millimeters) 2 | 1 (25) | 1 | 1 | 1 | 1 | 2 (51) | 2 |
| Large test cylinder, radius in inches (millimeters) 3 | 2 (51) | 2 | 3 (76) | 3 | 3 | 4 (102) | 4 |
Notes:
1 These sizes are listed to provide test cylinder radii for brake hoses manufactured in these sizes. They do not represent conversions.
2 Small test cylinders are used for the high temperature resistance test.
3 Large test cylinders are used for the low temperature resistance, ozone resistance, and adhesion of wire-reinforced hose tests.
S7.3.4 Oil resistance. After immersion in ASTM No. 3 oil for 70 hours at 212 °F. the volume of a specimen prepared from the inner tube and cover of an air brake hose shall not increase more than 100 percent (S8.3).
S7.3.5 Ozone resistance. An air brake hose assembly shall not show cracks visible under 7-power magnification after exposure to ozone for 70 hours at 104 degrees Fahrenheit (40 degrees Celsius) when bent around a test cylinder of the radius specified in Table IV for the size of hose tested (S8.4).
S7.3.6 Length change. An air brake hose shall not contract in length more than 7 percent nor elongate more than 5 percent when subjected to air pressure of 200 psi (S8.5).
S7.3.7 Adhesion. (a) Except for hose reinforced by wire, an air brake hose shall withstand a tensile force of 8 pounds per inch of length before separation of adjacent layers (S8.6).
(b) An air brake hose reinforced by wire shall permit a steel ball to roll freely along the entire length of the inside of the hose when the hose is subjected to a vacuum of 25 inches of Hg and bent around a test cylinder (S8.13).
S7.3.8 Flex strength and air pressure leakage. An air brake hose assembly of the length specified in the table accompanying Figure 5, when subjected to a flex test and internal pressure cycling, shall be capable of having its internal pressure increased from zero to 140 psi within 2 minutes with pressurized air supplied through an orifice (S8.7).
S7.3.9 Corrosion resistance and burst strength. An air brake hose assembly exposed to salt spray shall not rupture when exposed to hydrostatic pressure of 900 psi (S8.8).
S7.3.10 Tensile strength. An air brake hose assembly designed for use between a frame and axle or between a towed and towing vehicle shall withstand, without separation of the hose from its end fittings, a pull of 250 pounds if it is
S7.3.11 Water absorption and tensile strength. After immersion in distilled water for 70 hours, an air brake hose assembly designed for use between a frame and axle or between a towed and a towing vehicle shall withstand, without separation of the hose from its end fittings, a pull of 250 pounds if it is
S7.3.12 Zinc chloride resistance. The outer cover of an air brake hose shall not show cracks visible under 7-power magnification after immersion in a 50 percent zinc chloride aqueous solution for 200 hours (S8.11).
S7.3.13 End fitting corrosion resistance. After 24 hours of exposure to salt spray, air brake hose end fittings shall show no base metal corrosion on the end fitting surface except where crimping or the application of labeling information causes a displacement of the protective coating.
S8. Test procedures – Air brake hose, brake hose assemblies, and brake hose end fittings.
S8.1 High temperature resistance test.
(a) Utilize a small test cylinder with a radius specified in Table IV for the size of hose tested.
(b) Bind the hose around the cylinder and condition it in an air oven for 70 hours at 212 degrees Fahrenheit (100 degrees Celsius).
(c) Cool the hose to room temperature, remove it from the cylinder and straighten it.
(d) Without magnification, examine the hose externally and cut the hose lengthwise and examine the inner tube.
S8.2 Low temperature resistance test. (a) Utilize a large test cylinder with a radius specified in Table IV for the size of hose tested.
(b) Condition the cylinder and the brake hose, in a straight position, in a cold box at minus 40 °F. for 70 hours.
(c) With the hose and cylinder at minus 40 degrees Fahrenheit (minus 40 degrees Celsius), bend the hose 180 degrees around the cylinder at a steady rate in a period of 3 to 5 seconds. Remove the hose from the test cylinder and visibly examine the exterior of the hose for cracks without magnification.
(d) Allow the hose to warm at room temperature for 2 hours. All reusable end fittings are removed from the hose. All permanently-attached end fittings are cut away from the hose. Cut through one wall of the hose longitudinally along its entire length. Unfold the hose to permit examination of the interior surface. Visibly examine the interior of the hose for cracks without magnification.
S8.3 Oil resistance test. Utilize three test specimens and average the results.
S8.3.1 Preparation. Fashion a test specimen by cutting a rectangular block 2 inches long and not less than one-third of an inch in width, having a thickness of not more than one-sixteenth inch, from the brake hose and buff the specimen on both faces to ensure smooth surfaces.
S8.3.2 Measurement. (a) Weigh each specimen to the nearest milligram in air (W1) and in distilled water (W2) at room temperature. If wetting is necessary to remove air bubbles, dip the specimen in acetone and thoroughly rinse it with distilled water.
(b) Immerse each specimen in ASTM IRM 903 oil for 70 hours at 212 degrees Fahrenheit (100 degrees Celsius) and then cool in ASTM IRM 903 oil at room temperature for 30 to 60 minutes.
(c) Dip the specimen quickly in acetone and blot it lightly with filter paper.
(d) Weigh each specimen in a tared weighing bottle (W3) and in distilled water (W4) within five minutes of removal from the cooling liquid.
(e) Calculate the percentage increase in volume follows:
S8.4 Ozone resistance test. Conduct the test specified in S6.8, using air brake hose, except use the large test cylinder specified in Table IV for the size of hose tested.
S8.5 Length change test. (a) Position a test hose in a straight, horizontal position, and apply air pressure of 10 psi thereto.
(b) Measure the hose to determine original free length.
(c) Without releasing the 10 psi, raise the air pressure to the test hose to 200 psi.
(d) Measure the hose under 200 psi to determine final free length. An elongation or contraction is an increase or decrease, respectively, in the final free length from the original free length of the hose.
S8.6 Adhesion test for air brake hose not reinforced by wire.
S8.6.1 Apparatus. A tension testing machine that is power-driven and that applies a constant rate of extension is used for measuring the force required to separate the layers of the test specimen. The apparatus is constructed so that:
(a) The recording head includes a freely rotating form with an outside diameter substantially the same as the inside diameter of the hose specimen to be placed on it.
(b) The freely rotating form is mounted so that its axis of rotation is in the plane of the ply being separated from the specimen and so that the applied force is perpendicular to the tangent of the specimen circumference at the line of separation.
(c) The rate of travel of the power-actuated grip is a uniform one inch per minute and the capacity of the machine is such that maximum applied tension during the test is not more than 85 percent nor less than 15 percent of the machine’s rated capacity.
(d) The machine produces a chart with separation as one coordinate and applied tension as the other.
S8.6.2 Preparation. (a) Cut a test specimen of 1 inch or more in length from the hose to be tested and cut the layer to be tested of that test specimen longitudinally along its entire length to the level of contact with the adjacent layer.
(b) Peel the layer to be tested from the adjacent layer to create a flap large enough to permit attachment of the power-actuated clamp of the apparatus.
(c) Mount the test specimen on the freely rotating form with the separated layer attached to the power-actuated clamp.
S8.6.3 [Reserved]
S8.6.4 Calculations. (a) The adhesion value shall be the minimum force recorded on the chart excluding that portion of the chart which corresponds to the initial and final 20 percent portion along the displacement axis.
(b) Express the force in pounds per inch of length.
S8.7 Flex strength and air pressure test.
S8.7.1 Apparatus. A flex testing machine with a fixed hose assembly attachment point and a movable hose assembly attachment point, which meets the dimensional requirements of Figure 5 for the size of hose being tested. The attachment points connect to the end fittings on the hose assembly without leakage and, after the hose assembly has been installed for the flex test, are restrained from rotation. The movable end has a linear travel of 6 inches and a cycle rate of 100 cycles per minute. The machine is capable of increasing the air pressure in the hose assembly from zero to 150 psi within 2 seconds, and decreasing the air pressure in the hose assembly from 150 to zero psi within 2 seconds.
Table Accompanying Figure 5 – Dimensions in Inches (Millimeters)
| Free hose length | Nominal hose inside diameter | Dimensions | |||||||
|---|---|---|---|---|---|---|---|---|---|
| Position “1” | Position “2” | ||||||||
| A | B | C | R (1) | A | B | C | R (1) | ||
| 10.00 (254) | 3.00 (76) | 2.75 (70) | 3.75 (95) | 1.40 (34) | 3.00 (76) | 2.75 (70) | 3.75 (95) | 1.20 (30) | |
| 11.00 (279) | 3.00 (76) | 3.50 (89) | 4.50 (114) | 1.70 (43) | 3.00 (76) | 3.50 (89) | 4.50 (114) | 1.30 (33) | |
| 14.00 (355) | 3.00 (76) | 4.00 (102) | 5.00 (127) | 2.20 (56) | 3.00 (76) | 4.00 (102) | 5.00 (127) | 1.80 (46) | |
S8.7.2 Preparation. (a) Lay the hose material on a flat surface in an unstressed condition. Apply a permanent marking line along the centerline of the hose on the uppermost surface.
(b) Prepare the hose assembly with a free length as shown in the table accompanying Figure 5. The end fittings shall be attached according to the end fitting manufacturer’s instructions.
(c) Plug the ends of the hose assembly and conduct the salt spray test in S6.11 using an air brake hose assembly. Remove the plugs from the end fittings.
(d) Within 168 hours of completion of the salt spray test, expose the hose assembly to an air temperature of 212 degrees Fahrenheit (100 degrees Celsius) for 70 hours, with the hose in a straight position. Remove the hose and cool it at room temperature for 2 hours. Within 166 hours, subject the hose to the flexure test in S8.7.2(e).
(e) Install the hose assembly on the flex testing machine as follows. With the movable hose attachment point at the mid point of its travel, attach one end of the hose to the movable attachment point with the marked line on the hose in the uppermost position. Attach the other end of the hose to the fixed attachment point allowing the hose to follow its natural curvature.
(f) Cycle the air pressure in the hose by increasing the pressure in the hose from zero psi to 150 psi and holding constant for one minute, then decreasing the pressure from 150 psi to zero psi and holding constant for one minute. Continue the pressure cycling for the duration of the flex testing. Begin the flex testing by cycling the movable attachment point through 6 inches of travel at a rate of 100 cycles per minute. Stop the flex testing and pressure cycling after one million flex cycles have been completed.
(g) Install an orifice with a hole diameter of 0.0625 inches and a thickness of 0.032 inches in the air pressure supply line to the hose assembly. Provide a gauge or other means to measure air pressure in the hose assembly. Regulate the supply air pressure to the orifice to 150 psi.
(h) Apply 150 psi air pressure to the orifice. After 2 minutes have elapsed, measure the air pressure in the brake hose assembly, while pressurized air continues to be supplied through the orifice.
S8.8 Corrosion resistance and burst strength test. (a) Conduct the test specified in S6.11 using an air brake hose assembly. Remove the plugs from the ends of the hose assembly.
(b) Fill the hose assembly with water, allowing all gases to escape. Apply water pressure at a uniform rate of increase of approximately 1,000 psi per minute until the hose ruptures.
S8.9 Tensile strength test. Utilize a tension testing machine conforming to the requirements of ASTM E4-03 (incorporated by reference, see § 571.5) and provided with a recording device to measure the force applied.
(a) Attach an air brake hose assembly to the testing machine to permit straight, even, machine pull on the hose. Use adapters to mount hose assemblies equipped with angled end fittings so that the hose is in a straight position when installed on the machine.
(b) Apply tension at a rate of 1 inch per minute travel of the moving head until separation occurs.
S8.10 Water Absorption and tensile strength test. Immerse an air brake hose assembly in distilled water at room temperature for 70 hours. Thirty minutes after removal from the water, conduct the test specified in S8.9.
S8.11 Zinc chloride resistance test. Immerse an air brake hose in a 50 percent zinc chloride aqueous solution at room temperature for 200 hours. Remove it from the solution and examine it under 7-power magnification for cracks.
S8.12 End fitting corrosion resistance test. Conduct the test specified in S6.11 using an air brake hose assembly.
S8.13 Adhesion test for air brake hose reinforced by wire. (a) Place a steel ball with a diameter equal to 73 percent of the nominal inside diameter of the hose being tested inside of the hose. Plug one end of the hose. Attach the other end of the hose to a source of vacuum.
(b) Subject the hose to a vacuum of 25 inches of Hg for five minutes. With the vacuum still applied to the hose, bend the hose 180 degrees around a large test cylinder with a radius specified in Table IV for the size of hose tested. At the location of this bend, bend the hose 180 degrees around the test cylinder in the opposite direction.
(c) With the vacuum still applied to the hose, return the hose to a straight position. Attempt to roll the ball inside the hose using gravity from one end of the hose to the other end.
S8.14 Constriction test. Perform the constriction test in S6.12 using an air brake hose, except that the spherical diameter “A” of the plug gauge in Figure 4, or the diameter of the rigid spherical ball in S6.12.3(a), shall be 66 percent of the nominal inside diameter of the air brake hose being tested.
S9. Requirements – vacuum brake hose, brake hose assemblies, and brake hose end fittings.
S9.1 Labeling.
S9.1.1 Hose. Each vacuum brake hose shall be labeled, or cut from bulk hose that is labeled, at intervals of not more than 6 inches, measured from the end of one legend to the beginning of the next, in block capital letters and numerals at least one-eighth of an inch high, with the information listed in paragraphs (a) through (e) of this section. The information need not be present on hose that is sold as part of a brake hose assembly or a motor vehicle. (a) The symbol DOT, constituting a certification by the hose manufacturer that the hose conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose, which shall be filed in writing with: Office of Crash Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The designation may consist of block capital letters, numerals or a symbol.
(c) The month, day, and year, or the month and year, of manufacture, expressed in numerals. For example, 10/1/96 means October 1, 1996.
(d) The nominal inside diameter of the hose expressed in inches or fractions of inches or in millimeters, or the nominal outside diameter of plastic tubing expressed in inches or fractions of inches or in millimeters followed by the letters OD. The abbreviation “mm” shall follow hose sizes that are expressed in millimeters. (Example of inside diameter:
(e) The letters “VL” or “VH” shall indicate that the component is a light-duty vacuum brake hose or heavy-duty vacuum brake hose, respectively.
S9.1.2 End fittings. Except for an end fitting that is attached by heat shrinking or by interference fit with plastic vacuum hose or that is attached by deformation of the fitting about a hose by crimping or swaging, at least one component of each vacuum brake hose fitting shall be etched, embossed, or stamped in block capital letters and numerals at least one-sixteenth of an inch high with the following information:
(a) The symbol DOT, constituting a certification by the manufacturer of that component that the component conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of that component of the fitting, which shall be filed in writing with: Office of Crash Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The designation may consist of block capital letters, numerals or a symbol.
(c) The letters “VL” or “VH” shall indicate that the end fitting is intended for use in a light-duty or heavy-duty vacuum brake system, respectively.
(d) The nominal inside diameter of the hose to which the fitting is properly attached expressed in inches or fractions of inches or in millimeters, or the outside diameter of the plastic tubing to which the fitting is properly attached expressed in inches or fraction of inches or in millimeters followed by the letter OD (See examples in S9.1.1(d)). The abbreviation “mm” shall follow hose sizes that are expressed in millimeters.
S9.1.3 Assemblies. Each vacuum brake hose assembly made with end fittings that are attached by crimping or swaging and each plastic tube assembly made with end fittings that are attached by heat shrinking or dimensional interference fit, except those sold as part of a motor vehicle, shall be labeled by means of a band around the brake hose assembly as specified in this paragraph or, at the option of the manufacturer, by means of labeling as specified in S9.1.3.1. The band may at the manufacturer’s option be attached so as to move freely along the length of the assembly, as long as it is retained by the end fittings. The band shall be etched, embossed, or stamped in block capital letters, numerals or symbols at least one-eighth of an inch high, with the following information:
(a) The symbol DOT, constituting certification by the hose assembler that the hose assembly conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose assembly, which shall be filed in writing with: Office of Crash Avoidance Standards, Vehicle Dynamics Division, National Highway Traffic Safety Administration, 400 Seventh Street SW., Washington, DC 20590. The designation may consist of block capital letters, numerals or a symbol.
S9.1.3.1 At least one end fitting of a vacuum brake hose assembly made with end fittings that are attached by crimping or swaging, or of a plastic tubing assembly made with end fittings that are attached by heat shrinking or dimensional interference fit shall be etched, stamped or embossed with a designation at least one-sixteenth of an inch high that identifies the manufacturer of the hose assembly and is filed in accordance with S9.1.3(b).
S9.2 Test requirements. Each vacuum brake hose assembly or appropriate part thereof shall be capable of meeting any of the requirements set forth under this heading, when tested under the conditions of S13 and the applicable procedures of S10. However, a particular hose assembly or appropriate part thereof need not meet further requirements after having met the constriction requirement (S9.2.1) and then having been subjected to any one of the requirements specified in S9.2.2 through S9.2.10.
S9.2.1 Constriction. Except for that part of an end fitting which does not contain hose, every inside diameter of any section of a vacuum brake hose assembly shall not be less than 75 percent of the nominal inside diameter of the hose if for heavy duty, or 70 percent of the nominal inside diameter of the hose if for light duty (S10.11).
S9.2.2 High temperature resistance. A vacuum brake hose tested under the conditions specified in S10.1:
(a) Shall not have collapse of the outside diameter exceeding 10 percent of the initial outside diameter for a heavy-duty vacuum brake hose, or exceeding 15 percent of the initial outside diameter for a light-duty vacuum brake hose;
(b) Shall not show external cracks, charring, or disintegration visible without magnification, and;
(c) Shall not leak when subjected to a hydrostatic pressure test.
S9.2.3 Low temperature resistance. A vacuum brake hose tested under the conditions specified in S10.2 shall:
(a) Not show cracks visible without magnification after conditioning at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 70 hours when bent around a cylinder having the radius specified in Table V for the size hose tested; and
(b) Not leak when subjected to a hydrostatic pressure test (S10.1(e)).
S9.2.4 Ozone resistance. A vacuum brake hose shall not show cracks visible under 7-power magnification after exposure to ozone for 70 hours (S10.3).
S9.2.5 Burst strength. A vacuum brake hose shall not rupture under hydrostatic pressure of 350 psi (S10.4).
S9.2.6 Vacuum. The collapse of the outside diameter of a vacuum brake hose under internal vacuum of 26 inches of Hg. for five minutes shall not exceed one-sixteenth of an inch (S10.5).
S9.2.7 Bend. The collapse of the outside diameter of a vacuum brake hose, other than a preformed vacuum brake hose, at the middle point of the test length when bent until the ends touch shall not exceed the values given in Table V for the size of hose tested (S10.6).
Table V – Vacuum Brake Hose Test Requirements
| Hose inside diameter* | High temperature resistance | Low temperature resistance | Bend | Deformation – collapsed inside diameter (dimension D), inches | ||||
|---|---|---|---|---|---|---|---|---|
| Inches | Millimeters | Hose length, inches | Radius of cylinder, inches | Hose length, inches | Radius of cylinder, inches | Hose length, inches | Maximum collapse of outside diameter, inches | |
| 5 | 8 | 1 | 17 | 3 | 7 | |||
| 6 | 9 | 1 | 17 | 3 | 8 | |||
| 9 | 1 | 19 | 3 | 9 | ||||
| 8 | 9 | 1 | 19 | 3 | 11 | |||
| 10 | 10 | 1 | 19 | 3 | 12 | |||
| 11 | 2 | 20 | 4 | 14 | ||||
| 11 | 2 | 20 | 4 | 14 | ||||
| 12 | 11 | 2 | 20 | 4 | 16 | |||
| 16 | 12 | 2 | 22 | 4 | 22 | |||
| 14 | 2 | 24 | 5 | 28 | ||||
| 1 | 16 | 3 | 28 | 6 | 36 | |||
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not represent conversions.
S9.2.8 Swell and adhesion. Following exposure to Reference Fuel B (as described in ASTM D471-98 (incorporated by reference, see § 571.5)), every inside diameter of any section of a vacuum brake hose shall not be less than 75 percent of the nominal inside diameter of the hose if for heavy duty, or 70 percent of the nominal inside diameter of the hose if for light duty. The vacuum brake hose shall show no leakage in a vacuum test of 26 inches of Hg for 10 minutes. A vacuum hose that is constructed of two or more layers shall withstand a force of 6 pounds per inch of length before separation of adjacent layers. (S10.7).
S9.2.9 Deformation. A vacuum brake hose shall return to 90 percent of its original outside diameter within 60 seconds after five applications of force as specified in S10.8, except that a wire-reinforced hose need only return to 85 percent of its original outside diameter. In the case of a heavy duty hose, the first application of force shall not exceed a peak value of 70 pounds, and the fifth application of force shall reach a peak value of at least 40 pounds. In the case of light duty hose the first application of force shall not exceed a peak value of 50 pounds, and the fifth application of force shall reach a peak value of at least 20 pounds (S10.9).
S9.2.10 End fitting corrosion resistance. After 24 hours of exposure to salt spray, vacuum brake hose end fittings shall show no base metal corrosion of the end fitting surface except where crimping or the application of labeling information has caused displacement of the protective coating. (S10.10).
S10. Test procedures – Vacuum brake hose, brake hose assemblies, and brake hose end fittings.
S10.1 High temperature resistance test. (a) Measure the initial outside diameter of the hose.
(b) Subject the hose to an internal vacuum of 26 inches of Hg at an ambient temperature of 257 degrees Fahrenheit (125 degrees Celsius) for a period of 96 hours. Remove the hose to room temperature and atmospheric pressure.
(c) Within 5 minutes of completion of the conditioning in S10.1(b), measure the outside diameter at the point of greatest collapse and calculate the percentage collapse based on the initial outside diameter.
(d) Cool the hose at room temperature for 5 hours. Bend the hose around a mandrel with a diameter equal to five times the initial outside diameter of the hose. Examine the exterior of the hose for cracks, charring, or disintegration visible without magnification. Remove the hose from the mandrel.
(e) Fill the hose assembly with water, allowing all gases to escape. Apply water pressure in the hose of 175 psi within 10 seconds. Maintain an internal hydrostatic pressure of 175 psi for one minute and examine the hose for visible leakage.
S10.2 Low temperature resistance test. (a) Conduct the test specified in S8.2(a) through (c) using vacuum brake hose with the cylinder radius specified in Table V for the size of hose tested.
(b) Remove the hose from the test cylinder, warm the hose at room temperature for 5 hours, and conduct the hydrostatic pressure test in S10.1(e).
S10.3 Ozone resistance test. Conduct the test specified in S6.8 using vacuum brake hose.
S10.4 Burst strength test. Conduct the test specified in S8.8 using vacuum brake hose.
S10.5 Vacuum test. Utilize a 12-inch vacuum brake hose assembly sealed at one end. (a) Measure the hose outside diameter.
(b) Attach the hose to a source of vacuum and subject it to a vacuum of 26 inches of Hg for 5 minutes.
(c) Measure the hose to determine the minimum outside diameter while the hose is still subject to vacuum.
S10.6 Bend test. (a) Bend a vacuum brake hose, of the length prescribed in Table V, in the direction of its normal curvature until the ends just touch as shown in Figure 6.
(b) Measure the outside diameter of the specimen at point A before and after bending.
(c) The difference between the two measurements is the collapse of the hose outside diameter on bending.
S10.7 Swell and adhesion test. (a) Fill a specimen of vacuum brake hose 12 inches long with ASTM Reference Fuel B as described in ASTM D471-98 (incorporated by reference, see § 571.5).
(b) Maintain reference fuel in the hose under atmospheric pressure at room temperature for 48 hours.
(c) Remove fuel and conduct the constriction test in S10.11.
(d) Attach the hose to a source of vacuum and subject it to a vacuum of 26 inches of Hg for 10 minutes. Remove the hose from the vacuum source.
(e) For a vacuum brake hose constructed of two or more layers, conduct the test specified in S8.6 using the vacuum brake hose.
S10.8 [Reserved]
S10.9 Deformation test. Table VI specifies the test specimen dimensions.
S10.9.1 Apparatus. Utilize a compression device, equipped to measure force of at least 100 pounds, and feeler gages of sufficient length to be passed completely through the test specimen.
S10.9.2 Operation. (a) Position the test specimen longitudinally in the compression device with the fabric laps not in the line of the applied pressure.
Table VI – Dimensions of Test Specimen and Feeler Gage For Deformation Test
| Hose inside diameter * | Specimen dimensions (see Fig. 7) | Feeler gage dimensions | |||
|---|---|---|---|---|---|
| in. | mm | Depth (inch) | Length (inch) | Width (inch) | Thickness (inch) |
| 5 | 1 | ||||
| 6 | 1 | ||||
| 1 | |||||
| 8 | 1 | ||||
| 10 | 1 | ||||
| 1 | |||||
| 1 | |||||
| 12 | 1 | ||||
| 16 | 1 | ||||
| 1 | |||||
| 1 | 1 | ||||
*These sizes are listed to provide test values for brake hoses manufactured in these sizes. They do not represent conversions.
(b) Apply gradually increasing force to the test specimen to compress its inside diameter to that specified in Table VI (dimension D of Figure 7) for the size of hose tested.
(c) After 5 seconds release the force and record the peak load applied.
(d) Repeat the procedure four times permitting a 10-second recovery period between load applications.
S10.10 End fitting corrosion resistance test. Conduct the test specified in S6.11 using a vacuum brake hose assembly.
S10.11 Constriction test. Perform the constriction test in S6.12 using a vacuum brake hose, except that the spherical diameter “A” of the plug gauge in Figure 4, or the diameter of the rigid spherical ball in S6.12.3(a), shall be 75 percent of the nominal inside diameter of the vacuum brake hose if it is heavy duty, or 70 percent of the nominal inside diameter of the vacuum brake hose if it is light duty.
S11. Requirements – Plastic air brake tubing, plastic air brake tubing assemblies, and plastic air brake tubing end fittings.
11.1 Construction. Each plastic air brake tubing assembly shall be equipped with permanently attached end fittings or reusable end fittings. Plastic air brake tubing shall conform to the dimensional requirements specified in Table VII. (S12.1)
Table VII – Plastic Air Brake Tubing Dimensions
| Nominal tubing outside diameter | Maximum outside diameter | Minimum outside diameter | Nominal inside diameter | Nominal wall thickness | Wall thickness tolerance | |||||
|---|---|---|---|---|---|---|---|---|---|---|
| mm | inches | mm | inches | mm | inches | mm | inches | mm | inches | |
| 3.25 | 0.128 | 3.10 | 0.122 | 2.01 | 0.079 | 0.58 | 0.023 | 0.08 | 0.003 | |
| 4.04 | 0.159 | 3.89 | 0.153 | 2.34 | 0.092 | 0.81 | 0.032 | 0.08 | 0.003 | |
| 4.83 | 0.190 | 4.67 | 0.184 | 2.97 | 0.117 | 0.89 | 0.035 | 0.08 | 0.003 | |
| 6.43 | 0.253 | 6.27 | 0.247 | 4.32 | 0.170 | 1.02 | 0.040 | 0.08 | 0.003 | |
| 8.03 | 0.316 | 7.82 | 0.308 | 5.89 | 0.232 | 1.02 | 0.040 | 0.10 | 0.004 | |
| 9.63 | 0.379 | 9.42 | 0.371 | 6.38 | 0.251 | 1.57 | 0.062 | 0.10 | 0.004 | |
| 12.83 | 0.505 | 12.57 | 0.495 | 9.55 | 0.376 | 1.57 | 0.062 | 0.10 | 0.004 | |
| 16.00 | 0.630 | 15.75 | 0.620 | 11.20 | 0.441 | 2.34 | 0.092 | 0.13 | 0.005 | |
| 19.18 | 0.755 | 18.92 | 0.745 | 14.38 | 0.566 | 2.34 | 0.092 | 0.13 | 0.005 | |
| 6 mm | 6.10 | 0.240 | 5.90 | 0.232 | 4.00 | 0.157 | 1.00 | 0.039 | 0.10 | 0.004 |
| 8 mm | 8.10 | 0.319 | 7.90 | 0.311 | 6.00 | 0.236 | 1.00 | 0.039 | 0.10 | 0.004 |
| 10 mm | 10.13 | 0.399 | 9.87 | 0.389 | 7.00 | 0.276 | 1.50 | 0.059 | 0.10 | 0.004 |
| 12 mm | 12.13 | 0.478 | 11.87 | 0.467 | 9.00 | 0.354 | 1.50 | 0.059 | 0.10 | 0.004 |
| 16 mm | 16.13 | 0.635 | 15.87 | 0.625 | 12.00 | 0.472 | 2.00 | 0.079 | 0.13 | 0.005 |
S11.2 Labeling.
S11.2.1 Plastic air brake tubing. Plastic air brake tubing shall be labeled, or cut from bulk tubing that is labeled, at intervals of not more than 6 inches, measured from the end of one legend to the beginning of the next, in block capital letters and numerals at least one-eighth of an inch high, with the information listed in paragraphs (a) through (e) of this section. The information need not be present on tubing that is sold as part of a motor vehicle.
(a) The symbol DOT, constituting a certification by the hose manufacturer that the hose conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the tubing, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The designation may consist of block capital letters, numerals, or a symbol.
(c) The month, day, and year, or the month and year, of manufacture, expressed in numerals. For example, 10/1/96 means October 1, 1996.
(d) The nominal outside diameter expressed in inches or fractions of inches or in millimeters followed by the letters OD. The abbreviation “mm” shall follow tubing sizes that are expressed in millimeters. (Examples:
(e) The letter “A” shall indicate intended use in air brake systems.
S11.2.2 End fittings. Except for an end fitting that is attached by deformation of the fitting about the tubing by crimping or swaging, at least one component of each plastic air brake tubing end fitting shall be etched, embossed, or stamped in block capital letters and numerals at least one-sixteenth of an inch high with the following information:
(a) The symbol DOT, constituting a certification by the manufacturer that the end fitting conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the end fitting, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The designation may consist of block capital letters, numerals, or a symbol.
(c) The letter “A” shall indicate intended use in air brake systems.
(d) The nominal outside diameter of the plastic tubing to which the fitting is properly attached expressed in inches or fractions of inches or in millimeters followed by the letters OD. The abbreviation “mm” shall follow tubing sizes that are expressed in millimeters. (Examples:
S11.2.3. Assemblies. Each plastic air brake tubing assembly made with end fittings that are attached by crimping or swaging, except those sold as part of a motor vehicle, shall be labeled by means of a band around the brake tubing assembly as specified in this paragraph or, at the option of the manufacturer, by means of labeling as specified in S11.2.3.1. The band may at the manufacturer’s option be attached so as to move freely along the length of the assembly, as long as it is retained by the end fittings. The band shall be etched, embossed, or stamped in block capital letters, numerals or symbols at least one-eighth of an inch high, with the following information:
(a) The symbol DOT, constituting certification by the tubing assembler that the tubing assembly conforms to all applicable motor vehicle safety standards.
(b) A designation that identifies the manufacturer of the hose assembly, which shall be filed in writing with: Office of Vehicle Safety Compliance, Equipment Division NVS-222, National Highway Traffic Safety Administration, 400 Seventh St. SW., Washington, DC 20590. The designation may consist of block capital letters, numerals, or a symbol.
S11.2.3.1 At least one end fitting of a plastic air brake tubing assembly made with end fittings that are attached by crimping or swaging shall be etched, stamped, or embossed with a designation at least one-sixteenth of an inch high that identifies the manufacturer of the tubing assembly and is filed in accordance with S11.2.3(b).
S11.3 Test requirements. Each plastic air brake tubing assembly or appropriate part thereof shall be capable of meeting any of the requirements set forth under this heading, when tested under the conditions of S13 and the applicable procedures of S12. However, a particular tubing assembly or appropriate part thereof need not meet further requirements after having met the constriction requirement (S11.3.1) and then having been subjected to any one of the requirements specified in S11.3.2 through S11.3.24. Unless otherwise specified, testing is conducted on a sample of tubing 12 inches in length.
S11.3.1 Constriction. Every inside diameter of any section of a plastic air brake tubing assembly shall not be less than 66 percent of the nominal inside diameter of the brake tubing. (S12.2)
S11.3.2 High temperature conditioning and dimensional stability. Plastic air brake tubing shall conform to the dimensions in Table VII after conditioning in air at 230 degrees Fahrenheit (110 degrees Celsius) for four hours. (S12.3)
S11.3.3 Boiling water conditioning and dimensional stability. Plastic air brake tubing shall conform to the dimensions in Table VII after conditioning in boiling water for two hours. (S12.4)
S11.3.4 Burst Strength. Plastic air brake tubing shall not rupture when subjected to the burst strength pressure in Table VIII for the size of tubing being tested. (S12.5)
S11.3.5 Moisture absorption and burst strength. Plastic air brake tubing shall not rupture when subjected to 80 percent of the burst strength pressure in Table VIII, after the tubing has been dried in an oven and then conditioned in a 100 percent relative humidity atmosphere at 75 degrees Fahrenheit (24 degrees Celsius) for 100 hours. (S12.6)
Table VIII – Plastic Air Brake Tubing Mechanical Properties
| Nominal tubing OD | Burst strength pressure | Supported bend radius 1 | Unsupported bend radius 2 | Conditioned tensile load | ||||
|---|---|---|---|---|---|---|---|---|
| kPa | Psi | Mm | inches | mm | inches | N | lbf | |
| 6900 | 1000 | 9.4 | 0.37 | 9.4 | 0.37 | 156 | 35 | |
| 8300 | 1200 | 12.7 | 0.50 | 12.7 | 0.50 | 178 | 40 | |
| 8300 | 1200 | 19.1 | 0.75 | 19.1 | 0.75 | 222 | 50 | |
| 8300 | 1200 | 25.4 | 1.00 | 25.4 | 1.00 | 222 | 50 | |
| 6900 | 1000 | 31.8 | 1.25 | 38.1 | 1.50 | 334 | 75 | |
| 9700 | 1400 | 38.1 | 1.50 | 38.1 | 1.50 | 667 | 150 | |
| 6600 | 950 | 50.8 | 2.00 | 63.5 | 2.50 | 890 | 200 | |
| 6200 | 900 | 63.5 | 2.50 | 76.2 | 3.00 | 1446 | 325 | |
| 5500 | 800 | 76.2 | 3.00 | 88.9 | 3.50 | 1557 | 350 | |
| 6 mm | 7600 | 1100 | 20.0 | 0.75 | 25.4 | 1.00 | 222 | 50 |
| 8 mm | 6200 | 900 | 31.8 | 1.25 | 38.1 | 1.50 | 334 | 75 |
| 10 mm | 8200 | 1200 | 38.1 | 1.50 | 38.1 | 1.50 | 667 | 150 |
| 12 mm | 6900 | 1000 | 44.5 | 1.75 | 63.5 | 2.50 | 890 | 200 |
| 16 mm | 6000 | 875 | 69.9 | 2.75 | 76.2 | 3.00 | 1446 | 325 |
S11.3.6 Ultraviolet light resistance. Plastic air brake tubing shall not rupture when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after being exposed to ultraviolet light for 300 hours and then impacted with a one pound weight dropped from a height of 12 inches. (S12.7)
S11.3.7 Low temperature flexibility. The outer surface of plastic air brake tubing shall not show cracks visible without magnification as a result of conditioning in air at 230 degrees Fahrenheit (110 degrees Celsius) for 24 hours, and then conditioning in air at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for four hours, and then bending the tubing 180 degrees around a test cylinder having a radius equal to six times the nominal outside diameter of the tubing. (S12.8)
S11.3.8 High temperature flexibility. Plastic air brake tubing shall not rupture or burst when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after the tubing has been:
(a) Conditioned in air at 230 degrees Fahrenheit (110 degrees Celsius) for 72 hours while bent 180 degrees around a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing being tested; and
(b) Cooled to room temperature while remaining on the cylinder, then straightened; and
(c) Bent 180 degrees around the cylinder in the opposite direction of the first bending. (S12.9)
S11.3.9 High temperature resistance. Plastic air brake tubing shall not rupture or burst when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after the tubing has been conditioned in air at 230 degrees Fahrenheit (110 degrees Celsius) for 72 hours. (S12.10)
S11.3.10 High temperature conditioning, low temperature impact resistance. Plastic air brake tubing shall not rupture or burst when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after the tubing has been conditioned in air at 230 degrees Fahrenheit (110 degrees Celsius) for 24 hours, then conditioned in air at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 4 hours and impacted with a one pound weight dropped from a height of 12 inches. (S12.11)
S11.3.11 Boiling water conditioning, low temperature impact resistance. Plastic air brake tubing shall not rupture when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after the tubing has been conditioned in boiling water for two hours, then conditioned in air at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 4 hours, and then impacted with a one pound weight dropped from a height of 12 inches. (S12.12)
S11.3.12 Zinc chloride resistance. The outer surface of plastic air brake tubing shall not show cracks visible under 7-power magnification after immersion in a 50 percent zinc chloride aqueous solution for 200 hours while bent around a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing tested. (S12.13)
S11.3.13 Methyl alcohol resistance. The outer surface of plastic air brake tubing shall not show cracks visible under 7-power magnification after immersion in a 95 percent methyl alcohol aqueous solution for 200 hours while bent around a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing tested. (S12.14)
S11.3.14 High temperature conditioning and collapse resistance. The collapse of the outside diameter of plastic air brake tubing shall not exceed twenty percent of the original outside diameter when bent 180 degrees on a holding fixture to the unsupported bend radius specified in Table VIII and conditioned in air at 200 degrees Fahrenheit (93 degrees Celsius) for 24 hours. (S12.15)
S11.3.15 Ozone resistance. The outer surface of plastic air brake tubing shall not show cracks visible under 7-power magnification after exposure to ozone for 70 hours at 104 degrees Fahrenheit (40 degrees Celsius). (S12.16)
S11.3.16 Oil resistance. Plastic air brake tubing shall not rupture when subjected to 80 percent of the burst strength pressure in Table VIII for the size of tubing being tested, after the tubing has been conditioned in ASTM IRM 903 oil at 212 degrees Fahrenheit (100 degrees Celsius) for 70 hours. (S12.17)
S11.3.17 Tensile strength. A plastic air brake tubing assembly designed for use between frame and axle or between a towed and a towing vehicle shall withstand, without separation of the tubing from its end fittings, a pull of 250 pounds if it is
S11.3.18 Boiling water conditioning and tensile strength. A plastic air brake tubing assembly when subjected to a tensile pull test shall either elongate 50 percent or withstand the conditioned tensile load in Table VIII without separation from its end fittings, with one end of the assembly conditioned in boiling water for 5 minutes. (S12.19)
S11.3.19 Thermal conditioning and tensile strength. A plastic air brake tubing assembly when subjected to a tensile pull test shall either elongate 50 percent or withstand the conditioned tensile load in Table VIII without separation from its end fittings after the assembly has been subjected to four cycles of conditioning in air at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for thirty minutes, normalizing at room temperature, conditioning in boiling water for 15 minutes, and normalizing at room temperature. (S12.20)
S11.3.20 Vibration resistance. A plastic air brake tubing assembly with an internal air pressure of 120 psig shall not rupture or leak more than 50 cm
S11.3.21 End fitting retention. The end fittings of a plastic air brake tubing assembly shall not rupture when the assembly is filled with water and pressurized to the burst strength pressure in Table VIII. (S12.22)
S11.3.22 Thermal conditioning and end fitting retention. The end fittings of a plastic air brake tubing assembly shall not rupture when the tubing assembly is filled with ASTM IRM 903 oil and:
(a) Conditioning in air at 200 degrees Fahrenheit (93 degrees Celsius) for 24 hours with atmospheric pressure inside the tubing assembly; and
(b) Increasing the pressure inside the tubing assembly to 450 psi, and holding this pressure for five minutes while maintaining an air temperature of 200 degrees Fahrenheit (93 degrees Celsius); and
(c) Reducing the pressure inside the tubing assembly to atmospheric and permitting the tubing assembly to cool at 75 degrees Fahrenheit (24 degrees Celsius) for 1 hour; and
(d) Conditioning the tubing assembly in air at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 24 hours with atmospheric pressure inside the tubing assembly; and
(e) Increasing the pressure inside the tubing assembly to 450 psi, and holding this pressure for five minutes while maintaining an air temperature of minus 40 degrees Fahrenheit (minus 40 degrees Celsius). (S12.23)
S11.3.23 End fitting serviceability. A plastic air brake end fitting that uses a threaded retention nut shall not rupture or leak more than 25 cm
S11.3.24 End fitting corrosion resistance. After 24 hours of exposure to salt spray, air brake hose end fittings shall show no base metal corrosion on the end fitting surface except where crimping or the application of labeling information causes a displacement of the protective coating. (S12.25)
S12. Test procedures – Plastic air brake tubing, plastic air brake tubing assemblies, plastic air brake tubing end fittings.
S12.1 Air brake tubing dimensions. Measure the tubing dimensions including wall thickness, inside diameter, and outside diameter, using appropriate metrology apparatus such as micrometers, dial indicators and gauges, or optical comparators. To account for slight out-of-round conditions, diameter measurements may be calculated using the average of the major and minor diameters.
S12.2 Constriction test. Perform the constriction test in S6.12 using an air brake tubing assembly, except that the spherical diameter “A” of the plug gauge in Figure 4, or the diameter of the rigid spherical ball in S6.12.3(a), shall be 66 percent of the nominal inside diameter of the tubing as specified in Table VII.
S12.3 High temperature conditioning and dimensional stability test. (a) Condition the tubing at 230 degrees Fahrenheit (110 degrees Celsius) for 4 hours in an air oven.
(b) Remove the tubing from the oven and allow to cool at room temperature for 30 minutes.
(c) Measure the dimensions of the tubing using the procedure in S12.1.
S12.4 Boiling water conditioning and dimensional stability test. (a) Utilize a container constructed of a non-reactive material large enough so that the tubing to be tested does not touch any surface of the container. Fill container with distilled water.
(b) Slip the tubing over a stainless steel wire for positioning it in the pot.
(c) Bring the water to a boil. Place the tubing in the water and position it so that it does not touch the container. Boil the tubing for two hours. Replenish the water as necessary, adding it slowly so that the water in the pot boils continuously.
(d) Remove the tubing from the water and allow to cool at room temperature for 30 minutes. Wipe off any water that remains on the tubing.
(e) Measure the dimensions of the tubing using the procedure in S12.1.
S12.5 Burst strength test. (a) Utilize an air brake tubing assembly or prepare a 12 inch length of tubing and install end fittings according to the end fitting manufacturer’s instructions.
(b) Plug one end of the assembly, fill it with water, and connect the other end to a source of water pressure. Bleed any air from the assembly and water pressure system.
(c) Increase the water pressure inside the tubing assembly at a rate of 3,000 psi per minute to the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.6 Moisture absorption and burst strength. (a) Prepare a sample of tubing twelve inches in length.
(b) Condition the tubing at 230 degrees Fahrenheit (110 degrees Celsius) for 24 hours in an air oven. Remove the tubing from the oven and within 30 seconds, and weigh it to establish the initial weight. The weight shall be measured with a resolution of 0.01 gram; if the scale has a higher resolution, then values of 0.005 gram and above shall be rounded to the nearest 0.01 gram and values below 0.005 gram shall be truncated.
(c) Place the tubing in an environmental chamber and condition it for 100 hours at 100 percent relative humidity and a temperature of 75 degrees Fahrenheit (24 degrees Celsius).
(d) Remove the tubing from the chamber and within a period of 5 minutes, remove all surface moisture from the tubing using cloth and weigh the tubing to establish the conditioned weight. Weight shall be measured to the nearest 0.01 gram as in S12.6(b).
(e) Calculate percentage of moisture absorption as follows:
(f) Install end fittings according to the end fitting manufacturers instructions.
(g) Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.7 Ultraviolet light resistance test. (a) Apparatus. An accelerated weathering test machine for ultraviolet light conditioning of plastic air brake tubing. The machine shall be equipped with fluorescent UVA-340 light bulbs and automatic irradiance control. Also utilize an impact test apparatus as shown in Figure 8.
(b) Test standards. The testing is in accordance with ASTM G154-00, ASTM G151-97, and ASTM D4329-99 (all incorporated by reference, see § 571.5).
(c) Preparation. (1) Utilize a 12 inch length of plastic air brake tubing. Mask 1 inch of each end of the tubing where end fittings will be attached using opaque tape.
(2) Attach the tubing to the test rack of the machine, securing it at the ends along the masked sections. Wipe the outside surface of the tubing with acetone to remove any surface contaminants. Place the tubing and rack in the accelerated weathering test machine so that the center of the tubing assembly is approximately in the center of the UV light exposure area of the test machine. (If multiple plastic brake tubing assemblies are tested, then their position in the machine should be rotated according to ASTM D4329-99 S7.4.1, except the rotation shall be each 96 hours instead of weekly.) The distance from the light bulb to the tubing shall be approximately 2 inches. Set the UV irradiance to 0.85 watts per square meter at 340 nm and maintain this level during the testing. Maintain a temperature inside the test chamber of 113 degrees Fahrenheit (45 degrees Celsius), and use only atmospheric humidity. Expose the tubing at this UV irradiance level for 300 hours continuously. Remove the tubing from the test chamber.
(3) Place the tubing inside the impact test apparatus, and drop the impacter onto the tubing from a height of 12 inches.
(4) Remove the masking material from the ends of the tubing. Install end fittings according to the end fitting manufacturer’s instructions. Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
Table Accompanying Figure 8
| Nominal tubing outside diameter | Hole diameter “D” | |
|---|---|---|
| mm | Inches | |
| 3.96 | 0.156 | |
| 4.75 | 0.187 | |
| 5.54 | 0.218 | |
| 7.14 | 0.281 | |
| 8.71 | 0.343 | |
| 10.31 | 0.406 | |
| 13.49 | 0.531 | |
| 16.66 | 0.656 | |
| 20.32 | 0.800 | |
| 6 mm | 6.80 | 0.268 |
| 8 mm | 8.80 | 0.346 |
| 10 mm | 10.80 | 0.425 |
| 12 mm | 12.80 | 0.504 |
| 16 mm | 16.80 | 0.661 |
S12.8 Low temperature flexibility test. (a) Utilize a cylinder having a radius of six times the nominal outside diameter of the tubing.
(b) Condition the tubing in an air oven at 230 degrees Fahrenheit (110 degrees Celsius) for 24 hours. Remove from the oven and cool at room temperature for 30 minutes.
(c) Condition the cylinder and the tubing in an environmental chamber at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for four hours.
(d) With the tubing and test cylinder at minus 40 degrees Fahrenheit (minus 40 degrees Celsius), bend the tubing 180 degrees around the cylinder at a steady rate in a period of 4 to 8 seconds.
S12.9 High temperature flexibility test. (a) Utilize a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing being tested.
(b) Bend the tubing 180 degrees around the cylinder and hold in place with a clamp or other suitable support, applying only enough force on the tubing to hold it in position.
(c) Condition the tubing and cylinder in an air oven at 230 degrees Fahrenheit (110 degrees Celsius) for 72 hours. Remove the tubing and cylinder from the oven and cool at room temperature for two hours.
(d) Remove the clamps or supports from the tubing and straighten the tubing at a steady rate in a period of 4 to 8 seconds.
(e) Rebend the tubing 180 degrees around the cylinder, at the same point but in the opposite direction of the bending in S12.9(b), at a steady rate in a period of 4 to 8 seconds.
(f) Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.10 High temperature resistance test. Condition the tubing in an air oven at 230 degrees Fahrenheit (110 degrees Celsius) for 72 hours. Remove the tubing and allow to cool at room temperature for 30 minutes. Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.11 High temperature conditioning, low temperature impact resistance test. (a) Apparatus. Utilize an impact test apparatus as shown in Figure 8.
(b) Condition the tubing in an air oven at 230 degrees Fahrenheit (110 degrees Celsius) for 72 hours. Remove the tubing and allow to cool at room temperature for 30 minutes.
(c) Condition the tubing and the impact test apparatus in an environmental chamber at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 4 hours.
(d) With the tubing and impact test apparatus at minus 40 degrees Fahrenheit (minus 40 degrees Celsius), place the tubing inside the apparatus and drop the impacter onto the tubing from a height of 12 inches. Remove the tubing from the chamber and allow to warm at room temperature for one hour.
(e) Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.12 Boiling water conditioning, low temperature impact resistance test. (a) Apparatus. Utilize an impact test apparatus as shown in Figure 8.
(b) Condition the tubing in boiling water using the test in S12.4 (a) through (d), except that the length of tubing shall be 12 inches.
(c) Condition the tubing and the impact test apparatus in an environmental chamber at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 4 hours.
(d) With the tubing and impact test apparatus at minus 40 degrees Fahrenheit (minus 40 degrees Celsius), place the tubing inside the apparatus and drop the impacter onto the tubing from a height of 12 inches. Remove the tubing from the chamber and allow to warm at room temperature for one hour.
(e) Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.13 Zinc chloride resistance test. (a) Utilize a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing being tested. The cylinder is constructed of a non-reactive material or coated to prevent chemical reaction with zinc chloride. The length of the tubing sample is long enough so that its ends will not be submerged during the immersion in zinc chloride, or the ends of the tubing are plugged to keep the zinc chloride from entering the tubing.
(b) Bend the tubing 180 degrees around the cylinder and hold in place with a clamp or other suitable support constructed of non-reactive materials, applying only enough force on the tubing to hold it in position.
(c) Immerse the tubing and cylinder in a 50 percent zinc chloride aqueous solution at room temperature for 200 hours.
(d) Remove the tubing and cylinder from the solution. While still on the test cylinder, inspect the tubing under 7-power magnification for cracks.
S12.14 Methyl alcohol resistance. (a) Utilize a cylinder having a radius equal to the supported bend radius in Table VIII for the size of tubing being tested. The cylinder is constructed of a non-reactive material or coated to prevent chemical reaction with methyl alcohol.
(b) Bend the tubing 180 degrees around the cylinder and hold in place with a clamp or other suitable support constructed of non-reactive materials, applying only enough force on the tubing to hold it in position. The ends of the tubing may be shortened so that they will be fully submerged in the methyl alcohol.
(c) Immerse the tubing and cylinder in a 95 percent methyl alcohol aqueous solution at room temperature for 200 hours.
(d) Remove the tubing and cylinder from the solution. While still on the test cylinder, inspect the tubing under 7-power magnification for cracks.
S12.15 High temperature conditioning and collapse resistance test. (a) Apparatus. A holding device consisting of two vertical pins affixed to a flat, horizontal plate. Each pin projects 1 inch above the top surface of the plate. The diameter of each pin is approximately equal to the inside diameter of the tubing being tested. Using the unsupported bend radius for the size of tubing being tested from Table VIII, the distance between the pin centerlines is equal to:
(b) Preparation. (1) Use the unsupported bend radius for the size of tubing being tested from Table VIII and cut the tubing to the following length:
or
(2) Place a reference mark at the center of the sample. At this mark, measure the initial outside diameter of the tubing. If the tubing is slightly out-of-round, use the elliptical minor diameter as the initial outside diameter.
(3) Install the tubing completely over the pins of the holding device so that the tubing is bent 180 degrees. If the tubing has a natural curvature, the tubing shall be bent in the direction of the natural curvature.
(4) Condition the holding device and tubing in an air oven at 200 degrees Fahrenheit (93 degrees Celsius) for 24 hours. Remove the holding device and tubing and allow to cool at room temperature for thirty minutes.
(5) With the tubing still mounted to the holding device, measure the elliptical minor diameter of the tubing at the reference mark to determine the final outside diameter.
(c) Calculation. Calculate the percentage collapse of the outside diameter of the tubing as follows: ([Initial Outside Diameter – Final Outside Diameter] ÷ [Initial Outside Diameter]) × 100
S12.16 Ozone resistance test. Conduct the test specified in S6.8 using plastic air brake tubing.
S12.17 Oil resistance test. (a) Utilize a plastic air brake tubing assembly or prepare a 12 inch length of tubing and install end fittings according to the end fitting manufacturer’s instructions.
(b) Immerse the tubing in ASTM IRM 903 oil at 212 degrees Fahrenheit (100 degrees Celsius) for 70 hours. Remove and allow to cool at room temperature for 30 minutes. Wipe any excess oil from the tubing assembly.
(c) Conduct the burst strength test in S12.5 except use 80 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII and, at the manufacturer’s option, oil may be used as the test medium instead of water.
S12.18 Tensile strength test. Conduct the test in S8.9 using a plastic air brake tubing assembly or an assembly prepared from a 12 inch length of air brake tubing with end fittings installed according to the end fitting manufacturer’s instructions.
S12.19 Boiling water conditioning and tensile strength. (a) Apparatus. Use a tension testing machine as specified in S8.9. The lower attachment point of the machine is equipped with a heated, open-top container that is water tight. The inside of the container (lower attachment point) and upper attachment point of the machine have provisions to quickly attach a brake hose assembly for tensile testing.
(b) Preparation. Prepare an air brake tubing assembly with a free length of 6 inches (six inches of exposed tubing between the end fittings), with the end fittings installed in accordance with the end fitting manufacturer’s instructions. If necessary install adapters on the end fittings to permit quick attachment to the machine, to keep water from entering the tubing assembly, and to ensure that the tubing assembly is in a straight position when installed on the machine. Fill the container with distilled water such that the lower 4 inches of exposed tubing will be submerged when the brake tubing assembly is installed on the machine. Heat the water until it boils. Then quickly install the plastic air brake tubing assembly on the machine with the lower end of the tubing assembly in the boiling water. After the water has boiled continuously for 5 minutes, apply tension to the tubing assembly at a rate of 1 inch per minute travel of the moving head until either the conditioned tensile load in Table VIII for the size of tubing being tested is reached or the free length of the tubing assembly reaches 9 inches, whichever occurs first.
S12.20 Thermal conditioning and tensile strength – (a) Apparatus. Use a tension testing machine as specified in S8.9.
(b) Preparation. Prepare an air brake tubing assembly with a free length of 6 inches (six inches of exposed tubing between the end fittings), with the end fittings installed in accordance with the end fitting manufacturer’s instructions. If necessary install adapters on the end fittings to permit attachment to the machine, to keep water from entering the tubing assembly, and/or to ensure that the tubing assembly is in a straight position when installed on the machine. Subject the tubing assembly to four complete cycles of the following sequence:
(1) Condition the tubing assembly in an environmental chamber at minus 40 degrees Fahrenheit (minus 40 degrees Celsius) for 30 minutes. Remove from the chamber and allow to warm at room temperature for 30 minutes.
(2) Condition the tubing assembly by submerging it in boiling water for 15 minutes. Remove and allow to cool at room temperature for 30 minutes. Install the tubing assembly on the tension testing machine and apply tension to the tubing assembly at a rate of one inch per minute travel of the moving head until either the conditioned tensile load in Table VIII for the size of tubing being tested is reached or the free length of the tubing assembly reaches 9 inches, whichever occurs first.
S12.21 Vibration resistance test. (a) Apparatus. A vibration testing machine that supports a brake tubing assembly by its end fittings in approximately a straight line and includes the following features:
(1) One tubing assembly attachment point is fixed and the other moves in a plane perpendicular to a line projected between the attachment points. The movable attachment point moves in a linear direction and travels
(2) The distance between the attachment points is adjustable to compensate for varying lengths of brake tubing assemblies.
(3) The actuating mechanism for the movable attachment point is balanced to prevent introduction of machine vibration into the brake tubing assembly.
(4) The machine has a compressed air supply system that pressurizes the air brake tubing assembly through one fitting while the other fitting is plugged. The machine’s compressed air supply system includes a pressure gauge or monitoring system and an air flow meter.
(5) The machine is constructed so that an air brake tubing assembly mounted on it can be conditioned in an environmental test chamber.
(b) Preparation. (1) Prepare an air brake tubing assembly with a free length of 18 inches (18 inches of exposed tubing between the end fittings), with the end fittings installed in accordance with the end fitting manufacturer’s instructions. Record the initial tightening torque for an end fitting that uses a threaded retaining nut.
(2) Install the air brake tubing assembly on the vibration testing machine and, with the movable attachment point at the midpoint of its travel, adjust the distance between the attachment points so that they are
(3) With the tubing assembly inside the environmental chamber, apply compressed air to the tubing assembly at a regulated pressure of 120 psi and maintain the supply of air to the tubing assembly for the duration of the test. Set the temperature of the environmental chamber to 220 degrees Fahrenheit (104 degrees Celsius) and initiate cycling of the movable attachment point. After 250,000 cycles, set the temperature of the environmental chamber to minus 40 degrees Fahrenheit (minus 40 degrees Celsius). After 500,000 cycles, set the temperature of the environmental chamber to 220 degrees Fahrenheit (104 degrees Celsius). After 750,000 cycles, set the temperature of the environmental chamber to minus 40 degrees Fahrenheit (minus 40 degrees Celsius). Measure the air flow rate just prior to 1,000,000 cycles and if the compressed air flow rate supplied to the air brake tubing assembly exceeds 50 cubic centimeters per minute this constitutes failure of the test. Stop the cycling at 1,000,000 cycles and set the environmental chamber temperature to 75 degrees Fahrenheit (24 degrees Celsius), while air pressure is still supplied to the air brake tubing assembly. After one hour, measure the compressed air flow rate supplied to the air brake tubing assembly and if the rate exceeds 25 cubic centimeters per minute this constitutes failure of the test.
(4) For end fittings that use a threaded retaining nut, apply 20 percent of the original tightening torque as recorded in S12.21(b)(1). If the retention nut visibly moves, this constitutes a failure of the test.
S12.22 End fitting retention test. (a) Utilize an air brake tubing assembly or prepare a 12 inch length of tubing and install end fittings according to the end fitting manufacturer’s instructions.
(b) Plug one end of the assembly, fill it with water, and connect the other end to a source of water pressure. Bleed any air from the assembly and water pressure system.
(c) Increase the pressure inside the tubing assembly at a rate of 3,000 psi per minute to 50 percent of the burst strength pressure for the size of tubing being tested as specified in Table VIII. Hold the pressure constant for 30 seconds.
(d) Increase the pressure inside the tubing assembly at a rate of 3,000 psi per minute to the burst strength pressure for the size of tubing being tested as specified in Table VIII.
S12.23 Thermal conditioning and end fitting retention test – (a) Apparatus. A source of hydraulic pressure that includes a pressure gauge or monitoring system, uses ASTM IRM 903 oil, and is constructed so that an air brake tubing assembly mounted to it can be conditioned in an environmental test chamber.
(b) Preparation. Utilize an air brake tubing assembly or prepare a 12 inch length of tubing and install end fittings according to the end fitting manufacturer’s instructions. Attach one end of the assembly to the hydraulic pressure supply and plug the other end of the assembly, fill the assembly with ASTM IRM 903 oil and bleed any air from the assembly, and place the tubing assembly inside an environmental chamber. Conduct the following tests:
(1) With atmospheric pressure applied to the oil inside the tubing assembly, set the environmental chamber temperature to 200 degrees Fahrenheit (93 degrees Celsius) and condition the tubing assembly for 24 hours.
(2) With the temperature maintained at 200 degrees Fahrenheit (93 degrees Celsius), increase the oil pressure inside the tubing assembly at a rate of 3,000 psi per minute to 450 psi, and hold this pressure for 5 minutes.
(3) Decrease the oil pressure inside the tubing assembly at a rate of 3,000 psi per minute to atmospheric pressure and set the temperature of the environmental chamber to 75 degrees Fahrenheit (24 degrees Celsius). Condition the tubing assembly at this temperature for 1 hour.
(4) Set the temperature of the environmental chamber to minus 40 degrees Fahrenheit (minus 40 degrees Celsius) and condition the tubing assembly for 24 hours.
(5) With the temperature maintained at minus 40 degrees Fahrenheit (minus 40 degrees Celsius), increase the hydraulic pressure inside the tubing assembly at a rate of 3,000 psi per minute to 450 psi, and hold this pressure for 5 minutes.
S12.24 End fitting serviceability – (a) Apparatus. A source of air pressure that includes a pressure gauge or monitoring system and is equipped with a mass air flow meter.
(b) Preparation. Prepare a 12-inch length of tubing and plug one end. Assemble the end fitting with the threaded retention nut on the other end of the tubing according to the end fitting manufacturer’s instructions, then disassemble the fitting. Repeat the assembly and disassembly sequence three more times, and then reassemble the end fitting (five total assembly steps).
(c) Attach the end fitting with the threaded retention nut to the source of air pressure. Pressurize the tubing at a rate of 3,000 psi per minute to a pressure of 120 psi. If the end fitting leaks, measure and record the leakage rate using the mass air flow meter.
S12.25 End fitting corrosion resistance. Utilize an air brake tubing assembly or prepare a 12-inch length of tubing and install end fittings according to the end fitting manufacturer’s instructions. Conduct the test specified in S6.11 using a plastic air brake tubing assembly.
S13. Test Conditions. Each hose assembly or appropriate part thereof shall be able to meet the requirements of S5, S7, S9, and S11, under the following conditions.
S13.1 The temperature of the testing room is 75 degrees Fahrenheit (24 degrees Celsius).
S13.2 The brake hoses and brake hose assemblies are at least 24 hours old, and unused.
S13.3 Specified test pressures are gauge pressures (psig).
§ 571.107 [Reserved]
§ 571.108 Standard No. 108; Lamps, reflective devices, and associated equipment.
S1 Scope. This standard specifies requirements for original and replacement lamps, reflective devices, and associated equipment.
S2 Purpose. The purpose of this standard is to reduce traffic accidents and deaths and injuries resulting from traffic accidents, by providing adequate illumination of the roadway, and by enhancing the conspicuity of motor vehicles on the public roads so that their presence is perceived and their signals understood, both in daylight and in darkness or other conditions of reduced visibility.
S3 Application. This standard applies to:
S3.1 Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (except pole trailers and trailer converter dollies), and motorcycles;
S3.2 Retroreflective sheeting and reflex reflectors manufactured to conform to S8.2 of this standard; and
S3.3 Lamps, reflective devices, and associated equipment for replacement of like equipment on vehicles to which this standard applies.
S4 Definitions.
Aiming plane means a plane defined by the surface of the three aiming pads on the lens.
Aiming reference plane means a plane which is perpendicular to the longitudinal axis of the vehicle and tangent to the forwardmost aiming pad on the headlamp.
Aiming screws are the horizontal and vertical adjusting screws with self-locking features used to aim and retain a headlamp unit in the proper position.
Axis of reference means the characteristic axis of the lamp for use as the direction of reference (H = 0°, V = 0°) for angles of field for photometric measurements and for installing the lamp on the vehicle.
Backup lamp means a lamp or lamps which illuminate the road to the rear of a vehicle and provide a warning signal to pedestrians and other drivers when the vehicle is backing up or is about to back up.
Beam contributor means an indivisible optical assembly including a lens, reflector, and light source, that is part of an integral beam headlighting system and contributes only a portion of a headlamp beam.
Cargo lamp is a lamp that is mounted on a multipurpose passenger vehicle, truck, or bus for the purpose of providing illumination to load or unload cargo.
Clearance lamps are lamps which show to the front or rear of the vehicle, mounted on the permanent structure of the vehicle as near as practicable to the upper left and right extreme edges to indicate the overall width and height of the vehicle.
Coated materials means a material which has a coating applied to the surface of the finished sample to impart some protective properties. Coating identification means a mark of the manufacturer’s name, formulation designation number, and recommendations for application.
Color Fundamental definitions of color are expressed by Chromaticity Coordinates according to the CIE 1931 Standard Colorimetric System, as described in the CIE 1931 Chromaticity Diagram (incorporated by reference, see § 571.5).
Color bleeding means the migration of color out of a plastic part onto the surrounding surface.
Combination clearance and side marker lamps are single lamps which simultaneously fulfill the requirements of clearance and side marker lamps.
Combination headlamp means a headlamp that is a combination of two different headlamp types chosen from a type F sealed beam headlamp, an integral beam headlamp, or a replaceable bulb headlamp.
Cracking means a separation of adjacent sections of a plastic material with penetration into the specimen.
Crazing means a network of apparent fine cracks on or beneath the surface of materials.
Cutoff means a generally horizontal, visual/optical aiming cue in the lower beam that marks a separation between areas of higher and lower luminance.
Daytime running lamps (DRLs) are steady burning lamps that are used to improve the conspicuity of a vehicle from the front and front sides when the regular headlamps are not required for driving.
Delamination means a separation of the layers of a material including coatings.
Design voltage means the voltage used for design purposes.
Direct reading indicator means a device that is mounted in its entirety on a headlamp or headlamp aiming or headlamp mounting equipment, is part of a VHAD, and provides information about headlamp aim in an analog or digital format.
Effective light-emitting surface means that portion of a lamp that directs light to the photometric test pattern, and does not include transparent lenses, mounting hole bosses, reflex reflector area, beads or rims that may glow or produce small areas of increased intensity as a result of uncontrolled light from an area of
Effective projected luminous lens area means the area of the orthogonal projection of the effective light-emitting surface of a lamp on a plane perpendicular to a defined direction relative to the axis of reference. Unless otherwise specified, the direction is coincident with the axis of reference.
Exposed means material used in lenses or optical devices exposed to direct sunlight as installed on the vehicle.
Filament means that part of the light source or light emitting element(s), such as a resistive element, the excited portion of a specific mixture of gases under pressure, or any part of other energy conversion sources, that generates radiant energy which can be seen.
Flash means a cycle of activation and deactivation of a lamp by automatic means continuing until stopped either automatically or manually.
Fully opened means the position of the headlamp concealment device in which the headlamp is in the design open operating position.
H-V axis means the line from the center of the principal filament of a lamp to the intersection of the horizontal (H) and vertical (V) lines of a photometric test screen.
Haze means the cloudy or turbid appearance of an otherwise transparent specimen caused by light scattered from within the specimen or from its surface.
Headlamp means a lighting device providing an upper and/or a lower beam used for providing illumination forward of the vehicle.
Headlamp concealment device means a device, with its operating system and components, that provides concealment of the headlamp when it is not in use, including a movable headlamp cover and a headlamp that displaces for concealment purposes.
Headlamp mechanical axis means the line formed by the intersection of a horizontal and a vertical plane through the light source parallel to the longitudinal axis of the vehicle. If the mechanical axis of the headlamp is not at the geometric center of the lens, then the location will be indicated by the manufacturer on the headlamp.
Headlamp test fixture means a device designed to support a headlamp or headlamp assembly in the test position specified in the laboratory tests and whose mounting hardware and components are those necessary to operate the headlamp as installed in a motor vehicle.
High-mounted stop lamp means a lamp mounted high and possibly forward of the tail, stop, and rear turn signal lamps intended to give a steady stop warning through intervening vehicles to operators of following vehicles.
Identification lamps are lamps used in groups of three, in a horizontal row, which show to the front or rear or both, having lamp centers spaced not less than [6 in] 15.2 mm nor more than [12 in] 30.4 mm apart, mounted on the permanent structure as near as practicable to the vertical centerline and the top of the vehicle to identify certain types of vehicles.
Integral beam headlamp means a headlamp (other than a standardized sealed beam headlamp designed to conform to paragraph S10.13 or a replaceable bulb headlamp designed to conform to paragraph S10.15) comprising an integral and indivisible optical assembly including lens, reflector, and light source, except that a headlamp conforming to paragraph S10.18.8 or paragraph S10.18.9 may have a lens designed to be replaceable.
License plate lamp means a lamp used to illuminate the license plate on the rear of a vehicle.
Lower beam means a beam intended to illuminate the road and its environs ahead of the vehicle when meeting or closely following another vehicle.
Material means the type and grade of plastics, composition, and manufacturer’s designation number and color.
Mechanically aimable headlamp means a headlamp having three pads on the lens, forming an aiming plane used for laboratory photometric testing and for adjusting and inspecting the aim of the headlamp when installe